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Position Management and Classification Guidance

Introduction

This document provides detailed guidance for the establishment, evaluation, and classification of NIH positions.

1. Reviewing Position Management Issues

Positions are established in the context of other positions in the organization; positions should not be established and classified "in a vacuum". Assessment of how the position relates to others will assist in the creation of an effective staffing plan. Prior to the establishment of a new or the re-description or upgrading of an existing position, review the organizational structure and proposed job design to identify any issues that affect the establishment of the position.

In assessing position management issues, ask the following questions (as applicable):

2. Developing the Position Description

A position description (PD) outlines the major duties, responsibilities, and supervisory relationships that pertain to a specific position. The PD should be kept up-to-date and reflect necessary information that is pertinent to the position

Immediate supervisors carry the primary responsibility to assign work, write the description of that assigned work, and certify the accuracy of that description. Human resources specialists who have earned classification authority are accountable for 1) determining the title, occupational series, and grade level of that work; 2) ensuring that the PD is properly documented; 3) writing the evaluation statement; and, 4) effecting the legal action necessary to establish that position. Other managers and assistants correlate activities such as appropriating funds to support the position, initiating requests for actions, and documenting results. The PD is an essential record of the duties assigned and the classification action at a given point in time. Institutes/Centers/Offices (IC s) distribute final copies to their employees, supervisors, and managers.

A narrative or Factor Evaluation System (FES) format is used to create a PD. Although narrative descriptions may be used when the classification standard covering the position is written in a narrative format, the NIH prefers (and it has been a long-standing practice among Public Health Service agencies) that all PD's be written in the FES format. The OPM Booklet, "How to Write Position Descriptions," dated 9/79, is a comprehensive guide that will assist in writing PD's in the FES format.

For a non-supervisory position , the description should include enough information so that proper classification can be made when the description is supplemented by other information about the organization's structure, mission, and procedures as described in the above introduction. The PD should define clearly the major duties assigned and the nature and extent of responsibility for carrying out those duties. Qualification requirements should be evident from reading the description, and specialized requirements not readily apparent from the description should be specifically mentioned and supported by the described duties.

For a supervisory position , the description should identify the information necessary to evaluate the position by the appropriate supervisory standard (e.g., the six factors of the General Schedule Supervisory Guide), specifically the scope and degree of supervisory responsibility exercised by the employee. The PD should include first-and/or second-level supervisory responsibilities as well as EEO responsibilities that are listed in the NIH Affirmative Action Statement . The PD does not need to include a detailed discussion of the work performed by subordinate employees. However, it is important that there be consistency between a supervisor's and subordinates' position descriptions concerning supervision given and received.

Supervisors certify that the PD is accurate by completing Block #22, "Supervisory Certification", on the OF-8 (cover sheet to the PD). With certifications of accuracy by the supervisor and classification decisions in accordance with USOPM published standards, the position description becomes a legally binding narrative of how the organization intends to fulfill its mission and functions.

3. Reviewing the PD and Determining Duties to be Classified

An important step in evaluating a position is identifying the duties of the position that are most significant. To accomplish this, ask the following questions:

Major duties are those that represent the primary reason for the position's existence and that govern the qualification requirements. Generally, they occupy a majority of the employee's time. Minor duties are not the primary purpose for which the position was established; occupy a small portion of time; and, do not determine qualification requirements.

Because the final classification of most positions is based on an evaluation of the major duties, small parts of the job could be overlooked as relatively insignificant to the position's classification. These small parts, however, can sometimes have a major influence on series and grade level determinations and the qualifications required, and must be considered when classifying the position. (Refer also to discussion on Mixed Grade Positions under #7, "Determining Grade Level".)

Regular and recurring duties are the foundation of most positions. They may be performed in a continuous, uninterrupted manner, or they may be performed at recurring intervals.

Temporary or "one-time only" duties generally do not affect the series or grade level. However, in some cases these duties become a regular part of a job. The position should be re-evaluated if the temporary duties extend over a long period of time (e.g., several months) and it is reasonable to assume that the duties will continue to recur, even if not in a predictable pattern.

As a rule, a position is classified on the basis of the duties actually performed. In some cases, such as classifying a new position for recruitment, proposed duties rather than a previously established assignment must be evaluated. If it is necessary to base a grade and series on duties of this type, it is recommended that the position be reviewed within a reasonable time (i.e., six months or so) after it is encumbered to determine if the work is being performed as originally described.

Identify the period of time representative of a full complement of the work typically assigned and performed to accomplish the work. This may range from 30-to-90 days for most types of clerical work to 12-to-18 months for complicated scientific and research work. Some patterns of work are cyclical in nature with certain activities occurring once or twice per year such as budget work. It is not necessary for all such activities to be performed in order to assess that the most typical work would be completed within a work cycle of less than one year. The representative work cycle is particularly important in selecting appropriate evaluation criteria and standards for which USOPM has not published a standard specific to the occupational series.

4. Conducting Position Review or Desk Audit by Interviewing Incumbent and Supervisor (if applicable)

A position review or desk audit is a fact-finding interview (via telephone, in person, or by questionnaire) by an HR Specialist with an employee and/or supervisor.

The position review or desk audit is an important means of developing current and accurate information about the work described in a position description. This information, with the PD, is used to evaluate the position through use of USOPM classification standards. The result is the classification of a position with the proper title, series (occupation), and grade.

Position reviews or desk audits are conducted to:

Review the proposed PD, as well as the current PD, to see what significant changes have occurred. Develop questions for the incumbent relevant to the grade-controlling factor(s) (Refer to discussion in # 7, "Determining Grade Level", below) . Ask the incumbent and/or the supervisor for examples that illustrate his/her responses.

Once the information is gathered, determine if it is necessary to meet with the incumbent. If the incumbent is interviewed in person, it is recommended a conference room be arranged to minimize distractions.

Follow-up with the supervisor as necessary to verify information discussed during the interview (for example, a discussion of duties and responsibilities incumbent is performing that are not described in the position description).

5. Determining Occupational Series

Determining the correct occupational series for a position is an essential part of the classification process. Qualification requirements used in recruiting are based on the series of the position; career ladders are influenced by the series; and organizational structures are often designed with consideration of the series of assigned positions. Typically the correct series is apparent from reviewing the duties and responsibilities of the position. For these positions, the series represents the primary work of the position; the highest level of work performed; and, the paramount qualifications required.

Some positions, however, are a mix of duties and responsibilities covered by more than one occupational series and classified by more than one Standard or Guide. For most positions, the grade-controlling work determines the series. Often the appropriate series for these positions is a general series for the occupational group covering the type of work performed (e.g., GS-301, GS-401).

For positions whose duties fall in more than one occupational group, the most appropriate series for the position depends on consideration of the following interrelated factors:

An alternative method for determining the series for some professional positions is the interdisciplinary series approach. An interdisciplinary position involves duties and responsibilities that are closely related to more than one professional occupation. As a result, persons qualified in either of the professional series involved can meet the knowledge, education, and experience requirements. Interdisciplinary classification is used primarily for positions in the mathematical, scientific, or engineering disciplines. This method for determining series is used for the purpose of adding flexibility to staffing professional positions. This flexibility allows the qualification requirements for the position to extend beyond those for a single series.

Interdisciplinary positions generally fall into one of the following two categories:

In order for a position to be designated as interdisciplinary, the professions or disciplines involved must be logically compatible. The position description should clearly document that the position is interdisciplinary and indicate the various series in which the position can be classified. The final title and classification of the position is determined by the qualifications of the person selected to fill it.

6. Determining the Official (Classification) Title

The Office of Personnel Management (OPM) is required by law to establish an official title for positions in published classification standards. Thus, position classification standards generally prescribe the title to be used for positions in covered series. The prescribed title may be used on official documents relating to a position; e.g., position descriptions and personnel actions.

If a title is not provided, construct a title in accordance with guidance provided in OPM's Introduction to the Position Classification Standards (PCS). Obtain clearance for the use of a constructed title within the NIH by defining and requesting approval of an Occupational Specialty Code.

The following information is from the Introduction to the Position Classification Standards; for more detailed information, refer to the full document. Note that the title developed should not be one that has been prescribed by OPM as an official title for positions in another series.

For positions in some series for which OPM has not established parenthetical titles, NIH may supplement official titles with parenthetical designations, e.g., Administrative Technician (Procurement/OA). Parenthetical titles should be used only where it would be helpful or necessary to identify further the duties and responsibilities involved and such duties and responsibilities reflect special knowledge and skills needed to perform the work. The addition of parenthetical designations can be important for a variety of purposes, such as to indicate special skills or selective factors for recruitment or to identify positions for pay purposes.

In all cases where a parenthetical title is used, the position description must reflect the duties that support the parenthetical designation.

What is the difference between a classification title and an organizational title?

The classification title that is assigned by the classifier is the official title of the position for Federal employment purposes. This title is required on all official forms and correspondence related to employment, such as SF-52, SF-50B, and leave and earnings statements.

However, the requirement to use official titles does not preclude the NIH from using any unofficial title or designation for public conveyance purposes. These unofficial titles may be based on organizational needs and/or IC/NIH policy. For example, the intramural designation "Senior Investigator" is used at NIH to describe senior research scientists who have independent responsibility for their research and resources. The official title for these scientists under the General Schedule is "Research Microbiologist/Biologist/etc."

7. Determining Grade Level

The proper grade of a position must be based on grade-level criteria contained in OPM PCS or Evaluation Guides. The grade is not determined by comparison of the position to other jobs and/or salaries within or outside the IC, NIH, or the Federal sector. Selecting the appropriate grade-level criteria is a primary decision in determining the proper classification of work. The criteria selected, as the basis for comparison should be for a kind of work as similar as possible to that of the position being evaluated. Where USOPM has published standards covering the work of the position, those standards must be applied in evaluating the grade level(s) of those duties. Where USOPM has not published standards covering the work, the classifier must select the published standard (including the primary standard) containing closely aligned criteria to evaluate the work. The classifiers reason's for selecting the standards used, should be recorded in the evaluation statement.

The duties that control the qualifications of the job and constitute the primary reason for establishing the position are grade controlling. If the grade-controlling duties of a position are covered in a standard for a specific occupational series, the work is evaluated by that standard. It may be necessary to evaluate both the supervisory and non-supervisory work to determine which is higher-graded and controls the overall grade of a position. Many of the PCS and Guides contain illustrations for the various factor or grade levels; these illustrations may be referenced and compared to examples of the incumbent's work situation. However, the evaluation criteria itself must be fully met in order to credit that particular value level in assessing the grade level of the work.

In some cases the duties and responsibilities of a position may be "mixed series" in nature and require the application of more than one PCS or Guide (e.g., Administrative Officer positions are classified by referencing PCS for budget, personnel, and program/management analysis).

If there are no specific grade level criteria for the work, use an appropriate general classification guide or criteria in a standard(s) for related kinds of work. In using other standards, the criteria selected, as the basis for comparison should be for a kind of work as similar as possible to the position to be evaluated with respect to:

Wherever possible, the position to be classified should be matched against classification criteria which are comparable in scope and difficulty and which describe similar subject matter and functions. Thus, professional positions should be evaluated by standards for professional work; administrative duties by criteria for administrative occupations; technical work by standards involving similar factors and skill levels; and clerical or administrative support positions by criteria describing comparable duties and responsibilities.

For almost all positions there will be a classification guide(s) or standards(s) which applies directly or indirectly to the work. On occasion, the Primary Standard may be used as supplemental guidance but only in conjunction with other Standards. The Primary Standard may not be used alone to classify a position except when evaluating an individual FES factor that falls below the lowest or above the highest factor level described in the applicable FES Standard.

Proper classification requires analysis and the use of judgment rather than a "mechanical" matching of specific "buzz" words or phrases in the Standards/Guides. Considerable judgment is needed in determining where work being classified fits into the continuum of duties and responsibilities described in Standard/Guide.

a) Classifying Supervisory Work: The General Schedule Supervisory Guide (GSSG) is the standard used most often to classify supervisory positions. The GSSG provides evaluation criteria for determining the General Schedule grade level of supervisory positions in grades GS-5 through GS-15. It also contains criteria for evaluating managerial responsibilities that may accompany supervisory responsibilities in this range of grades.

b) Classifying Interdisciplinary Professional Positions: These positions involve duties and responsibilities closely related to more than one professional occupation. As a result, the position could be classifiable to two or more professional occupational series. The nature of the work is such that persons with education and experience in either of two or more professions may be considered equally well qualified to do the work.

In classifying interdisciplinary positions, the classifier should evaluate the position description against the standards for all possible occupational series identified.

c) Classifying Mixed Grade Positions: Some positions involve performing different kinds and levels of work that, when separately evaluated in terms of duties, responsibilities, and qualifications required, are at different grade levels. The proper grade of such positions is determined by evaluation of the regularly assigned work that is paramount in the position.

In most instances the highest-level work assigned to and performed by the employee for the majority of time is grade determining. When the highest level of work is a smaller portion of the job, it may be grade-controlling only if:

Work that is temporary or short-term, carried out only in the absence of another employee, performed under closer than normal supervision, or assigned solely for the purpose of training an employee for higher-level work cannot be considered paramount for grade-level purposes.

Special Considerations for Classifying NIH Positions:

  1. NIH Principal (Senior) Investigator Positions in the NIH Intramural Research Program -- The Research Grade-Evaluation Guide is to be used in the evaluation of these positions. In addition, NIH Office of Intramural Research policy, procedures, and requirements regarding Senior Investigator appointments and promotions must be met prior to final classification of a position.
  2. NIH Staff Scientist Positions in the NIH Intramural Research Program -- The appropriate OPM PCS is to be used in classifying these positions (e.g., PCS for the Microbiology Series, GS-403). In addition, NIH Office of Intramural Research policy, procedures, and requirements regarding appointments and promotions must be met prior to final classification of a position.
  3. NIH Research Support Specialist Positions in the NIH Intramural Research Program -- The appropriate OPM PCS is to be used in classifying these positions (e.g., PCS for the Microbiology Series, GS-403). In addition, NIH policy, procedures, and requirements regarding appointments and promotions must be met prior to final classification of a position.
  4. Scientific Review Administrators or other Positions Classified in the GS-601 General Health Science Series -- The Research Grants Grade-Evaluation Guide is to be used to evaluate professional and scientific positions primarily concerned with the analysis, evaluation, planning, organization, coordination, and approval of scientific research programs and projects that are supported by grants or contracts and carried out in educational, research, and other institutions.
  5. Mathematical Statistician Positions -- Mathematical Statistician positions that require the personal performance of mathematical statistical work at levels involving responsibility for independent accomplishment of significant research assignments or assignments as members of research teams are to be evaluated using the Research Grade-Evaluation Guide. For example, a Mathematical Statistician position involving collaboration in the design, conduct, and analysis of intramural clinical trials and/or pre-clinical and laboratory studies directed by a Principal Investigator.
  6. Clerical/Administrative/Technical Support Positions that Exceed the Criteria Included in the PCS or the FES Standard -- Sometimes a position being evaluated will exceed the evaluation criteria included in a PCS, requiring the classifier to extrapolate or extend the criteria and/or cross-reference other PCS involving similar work. For example, the Grade Level Guide for clerical and Assistance Work includes criteria only up through the GS-7 level. If it is determined by the classifier that the position being evaluated exceeds the criteria at the GS-7 level, he/she may document how the position exceeds the GS-7 criteria or he/she may cross-reference another non-FES PCS that includes similar or related work, such as the Statistical Assistant PCS. Also, the classifier may classify the position using a FES PCS, such as the Budget Clerical and Assistance Series, the Accounting Technician Series, or the Secretary Series.

    The FES Primary Standard and related FES Standards may be used in point rating a position factor when that factor fails to meet the lowest, or exceed the highest, factor level in the applicable FES Standard.

8. Preparing an Evaluation Statement

Each position must be classified by considering its own duties, responsibilities, and qualification requirements in comparison with the governing classification standards published by OPM.

The evaluation statement is the written record of the analysis and judgment used in classifying the position. The evaluation statement records the occupational series, title, and grade level determinations as well as presents the classifier's conclusion. The format of the evaluation statement is governed by the format of the standard(s) on which final classification decisions are based.

Career ladder positions and progressive line positions may include one or more statement of differences evaluations. A 'statement of differences' evaluation explains the classification decision differences between an evaluated position and one at the next appropriate grade level. The evaluation statement for each position (including statements of differences) must be signed and dated by the official exercising classification authority for the organization in which the position is established.

9. Completing the OF-8

The OF-8 is the cover sheet for the PD. In addition to capturing such information as the PD number, supervisory level and competitive level codes, and organizational location, the OF-8 is where the individual who has delegated authority signs for the classification of the position.

Refer to " Instructions for Completing Optional Form 8 " for detailed guidance.