Procedural
Requirements
Effective Date: December 21, 2020
Expiration Date: December 21, 2025
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NASA Procedural Requirements |
NPR 3100.1C Effective Date: December 21, 2020 Expiration Date: December 21, 2025 |
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5.1.1 The level of pay of an executive is a reflection of the responsibilities of the position as well as the qualifications, performance, and contributions of the executive.
5.1.2 Tier Structure
a. Executives may be in one of four tier levels based on the position occupied, not to exceed the salary for Executive Level (EX) II. These salaries are reserved for the highest performers occupying key positions that make the greatest contributions and have the greatest impact on the Agency's success. Appendix C contains tier level descriptions.
b. Consideration for advancement to a higher tier level, is based on the importance of the position as well as individual performance and contributions to mission success. Advancement to and between tiers will be considered during the annual performance review process.
c. The Administrator shall approve pay actions.
d. The fact that a position meets a particular tier definition does not require that the position be designated to the tier, nor does it entitle an incumbent to the tier salary.
e. Although the assignment to a tier is based largely on the position, the expectations are that an executive paid at a tier salary would continue to occupy positions of equal stature in the future and continue to perform at the highest level.
5.1.3 The 12-Month Rule under Setting and Adjusting Pay for Senior Executives, 5 CFR § 534.404:
a. The rate of basic pay of a senior executive may be adjusted not more than once during any 12-month period except as permissible under 5 CFR § 534.404.
b. Pay adjustments that increase or reduce an executive's position in the rate range restart the 12-month waiting period, except as provided in paragraph c below. The following actions also start a 12-month waiting period:
(1) Initial appointment to the SES.
(2) Reappointment to the SES.
(3) Reinstatement of a former career senior executive who is reinstated to the SES from a Presidential appointment requiring Senate confirmation.
c. Pay Actions that do not count against the 12-Month Rule. The following pay actions may be taken regardless of whether the senior executive received a pay adjustment during the previous 12-month period and do not initiate a new 12-month waiting period.
(1) A determination to make a zero adjustment in pay after considering an executive's annual summary rating.
(2) An additional pay increase when there is an increase in the rates for the Executive Schedule.
(3) A pay increase to allow a senior executive to maintain his or her relative position in the SES rate range.
(4) An increase in pay equivalent to the minimum amount necessary to ensure that a senior executive's rate of basic pay does not fall below the minimum rate of the SES rate range.
d. Exceptions to the 12-Month Rule. The Administrator, or designee may increase a senior executive's rate of basic pay more than once during a 12-month period where he or she determines that an additional increase is warranted. Such determinations are made in writing prior to the effective date of the pay adjustment.
(1) For an exceptionally meritorious accomplishment that significantly contributes to the Agency's performance.
(2) For a senior executive who is reassigned to a position with substantially greater scope and responsibility or for a senior executive with superior leadership or other competencies who is recruited from a position in another agency.
(3) For a senior executive who is critical to the mission of the Agency and who would be likely to leave the Agency in the absence of a pay increase.
(4) To align a senior executive with the Agency's senior executive appraisal and pay adjustment cycle (e.g., in the case of a senior executive who was appointed to an SES position within the past 12 months or a senior executive who was transferred to an SES position from an agency with a different senior executive appraisal and pay adjustment cycle within the past 12 months).
e. Any adjustment authorized as an exception to the 12-month rule is considered a pay adjustment and begins a new 12-month waiting period.
5.2.1 Basic pay may be set at any rate within the SES salary range upon initial appointment to the SES, subject to the maximum rate of basic pay in 5 CFR § 534.404. Use the following guidelines when making basic pay determinations:
a. Initial appointments will be made at the lowest practicable rate of pay.
b. Current GS employees appointed to an SES position may receive an appropriate increase in pay, normally 6 percent or the minimum of the salary range of the tier level of the position. The following guidelines apply in making basic pay determinations.
(1) The minimum rate of basic pay will be at least 120 percent of a GS-15 step 1.
(2) The minimum rate of basic pay will be set at least one dollar more than Executive Level IV (EX-IV), which is equivalent to the maximum salary in the GS pay scale to adhere to Strengthening the Senior Executive Service, E.O. 13714. This E.O. ensures that members of the SES receive higher pay than the GS employees they supervise.
(3) Proposed salaries differing from this guidance will be justified based on appropriate factors, such as the scope and impact of the position, the special or unique qualifications of the selectee, or competing salary offers.
c. The salary of a selectee from the private sector will be set at the lowest practicable level, considering the responsibilities and tier designation of the position to be filled, the experience and qualifications of the selectee and anticipated contributions, the relative difficulty in filling the position with a highly qualified individual, and current salary.
d. Initial pay determinations will be documented and approved by the Administrator, or designee, and maintained indefinitely or for the tenure of the employee with the Agency.
e. Employees occupying ST or SL positions may be given an increase in pay upon appointment to the SES if the duties of the position and the employee's qualifications relative to the position are warranted.
5.3.1 Basic pay may be set at any rate within the SES salary range of a senior executive transferring from another agency, subject to the maximum rate of basic pay in 5 CFR § 534.404. Use the following guidelines when making basic pay determinations:
a. Pay may be set at a rate of basic pay within the applicable rate range based upon the nature and quality of the individual's experience, qualifications, and accomplishments as they relate to the requirements of the SES position, as well as the individual's current responsibilities.
b. Pay will normally be set at a rate of basic pay at least equivalent to that earned by the senior executive in his or her former agency, unless the senior executive voluntarily accepts a lower rate.
c. Pay will be set no lower than the entry salary for the tier of the position.
d. If pay is set at the same SES rate the senior executive received in his or her former agency, the action is not considered a pay adjustment for the purpose of applying the 12-month rule and does not start a new 12-month waiting period.
e. If pay is set at a rate higher than that received in the senior executive's former agency, the action is considered a pay adjustment and it restarts the 12-month waiting period.
f. A senior executive with a rate of basic pay higher than EX-III may not suffer a reduction in pay as a result of transferring from an agency that has a certified appraisal system (i.e., having a maximum rate of basic pay equal to EX-II) to an agency without certification. The senior executive will continue to receive his or her current SES rate and is not eligible for a pay adjustment until the Agency's SES performance appraisal system is certified.
5.4.1 Upon reappointment to the SES, the rate of basic pay of a former senior executive may be set at any rate within the applicable rate range, except that a senior executive reappointed within 30 days to the same position may not receive a higher rate of basic pay unless approved by the Administrator.
5.4.2 To be eligible for reappointment through reinstatement, the senior executive shall have served on a career SES appointment and satisfactorily completed the one-year SES probationary period.
5.5.1 The following provisions apply to a former career senior executive who is reinstated under Guaranteed reinstatement: Presidential appointees, 5 CFR § 317.703:
a. If the individual elected to remain subject to the SES pay provisions while serving under the Presidential appointment, his or her SES rate may be adjusted upon reinstatement to the SES, whether in the agency where the individual held the Presidential appointment or in another agency, if at least 12 months have elapsed since the senior executive's last SES pay adjustment.
b. If fewer than 12 months have elapsed since the senior executive's last SES pay adjustment, the Administrator, or designee may approve an additional pay increase under 5 CFR § 534.404, if warranted (see 5.1.3 d. Exceptions to the 12-month rule above).
c. If the individual did not elect to remain subject to the SES pay provisions while serving under a Presidential appointment, his or her SES rate may be set upon reinstatement at any rate within the SES rate range.
d. Setting a rate of basic pay upon reinstatement to the SES is considered a pay adjustment for purposes of starting a new 12-month waiting period.
5.6.1 As part of the annual performance management process, the Administrator or designee shall authorize pay increases for executives. A performance-based pay increase may be effected the first pay period in January providing the executive has:
a. Served under an approved SES performance plan for at least 90 days.
b. Received an official rating of record of at least Successful.
c. Not received a basic pay increase in the last 12 months, with exceptions as indicated in 5.6.4 through 5.6.6 of this directive.
5.6.2 Although the specific increases are subject to change, the range of performance-based increases is expected to appropriately distinguish between low and high performers. Appendix D shows a representative range of performance-based increases.
5.6.3 Increases less than the maximum authorized are appropriate if a larger increase would cause the executive's salary to exceed the maximum range for their tier level. Increases greater than these amounts are authorized only when approved by the Administrator, based on appropriate justification by the EPM regarding the level of performance and/or contribution of the executive.
5.6.4 Executives with less than 12 months in the SES who:
a. Entered the SES before July 3 of the previous calendar year and received an official rating of record of at least Successful approved by the Administrator may receive a performance-based increase.
5.6.5 Executives who received a pay increase within the last 12 months may receive a pay increase the first pay period in January (or other effective date of an adjustment to the minimum or maximum rate of basic pay for the SES salary range) as follows:
a. Executives who received an increase before July 3 may receive an increase to maintain their position in the salary range under 5 CFR § 534.404. An executive paid above the rate for EX III may receive such an increase only if the Administrator approves the increase together with an official rating of record of Distinguished for the rating period ending September 30 or a Meritorious rating together with an exceptionally meritorious accomplishment.
b. Executives who received an increase on or after July 2 may receive an increase only with the Administrator's special approval, if otherwise permitted in regulations.
c. If a performance-based increase was given within the last 12 months, e.g., upon completion of the probationary period or due to other delay in granting such increases, the 12-month rule under Pay Under Other Systems, 5 CFR pt. 534 is waived to align an executive's subsequent performance-based pay adjustment to the performance cycle.
5.6.6 An executive reassigned to a position with greater responsibilities may be considered for an increase in pay. The executive's most recent performance rating, current pay, and earlier pay adjustments will be factored into the decision and requires the Administrator's approval to waive the 12-month rule.
5.6.7 Movement of a position to a higher tier requires the Administrator's approval, unless the position previously was approved for a tier 1, 2, or 3. Normally these requests will be considered by the PRB during the annual performance review.
5.6.8 Unless otherwise authorized by the Administrator or designee, the pay of an employee returning to a GS position from a limited term or limited emergency SES appointment will be set at the rate that would have been in effect had the employee remained in the GS position, including any within-grade increases to which the employee would have been entitled.
5.6.9 Reduction in pay.
5.6.9.1 In accordance with 5 CFR § 534.404, an executive's basic pay may not be reduced by more than 10 percent in any 12-month period. A management official shall base any decision to decrease an executive's basic pay on the following:
a. The decision is based on poor performance or conduct related reasons.
b. The executive is provided a written notice 15 calendar days in advance of the effective date.
c. The executive is provided a reasonable time (no less than seven calendar days) to respond orally or in writing and furnish evidence in support of the response.
d. The executive is provided the opportunity to be represented.
e. The executive is promptly provided a written decision and documentation that provides the specific reasons for the pay reduction after the executive's response, if any.
f. The executive is provided an opportunity to request reconsideration by the Administrator within seven calendar days of the final decision.
5.6.9.2 Reductions in pay are not appealable. The Administrator's decision is final and not subject to further review.
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