01-401~2.htm - Trial Policy for Assessment of Impact-of-Person-on-the- Job in ARS Category 4 Positions

*Title:*	Trial Policy for Assessment of Impact-of-Person-on-the- Job in ARS Category 4 Positions

*Number:*	01-401-ARS

*Date:*	February 12, 2001

*Originating Office:*	Human Resources Division, AFM/ARS

*Distribution:*	ARS Headquarters, Areas, and Locations (provide a copy to all Category 4 Scientists and their supervisors)

Expires:	February 11, 2003

This Bulletin establishes trial policy and procedures for reviewing the grade level of incumbered ARS Category 4 positions.

As of 3/7/2002 this bulletin is being extended for another year to allow for additional cases to be completed under the trial policy and to collect more data to assess trends and patterns. The bulletin will be extended to February 11, 2003.

Minor changes have been made to streamline the procedural process based on solicited feedback from Human Resources Division specialists using this trial policy. Changes are effective as of April 8, 2002.

1. Background

There has been longstanding interest in developing a uniform procedure for grading ARS Category 4 (Service Scientist) positions. These positions sometimes offer the opportunity for employees to impact the classification of their positions. During the Area Director (AD) Workshop in September 1999, a request was made to design and test such a procedure. This Bulletin establishes a one year trial procedure. Results will be evaluated at the end of the trial period to determine whether the approach should be retained, modified or terminated.

The intent of this procedure is to accommodate demonstration of person-in-the-job impact on Category 4 positions, not to encourage or require this type of impact in all Category 4 positions.

2. Review Basis

The grade level of most Federal government positions, including those in ARS Category 4, is determined by criteria in U.S. Office of Personnel Management (OPM) position classification standards. Most positions do not have unlimited promotion potential, but rather are limited by assignment characteristics and supervisory controls over the position. The maximum grade level of each individual position is determined using appropriate OPM standards, and is referred to as the full performance level (FPL).

Noncompetitive promotion is permitted when impact-of-person-on-the-job can be demonstrated and documented. The intent of impact is evident in this excerpt from the Introduction to the Position Classification Standards (OPM, July 1999):

    The duties and responsibilities of a position may change over time. For the most part these changes result from reorganizations, new or revised organizational responsibilities or missions, and changes in technology. Sometimes, however, the unique capabilities, experience, or knowledge a particular employee brings to the job can also have an effect on the work performed and therefore on the classification of the position.

    While it is the position which is classified, the relationship of the employee to the position can be recognized when the performance of the incumbent broadens the nature or scope and effect of the work being performed. For example, exceptional ability of the employee may lead to the attraction of especially difficult work assignments, unusual freedom from supervision, special authority to speak for and commit the agency, continuing contribution to organizational efficiency and economy, recognition as an “expert” sought by peers, or similar considerations. Such changes affect the difficulty of work or the responsibility and authority given the employee and can be recognized in the position

    classification decision. Job changes resulting from the individual impact of an employee should be recorded to distinguish the position from descriptions of other positions.

    When significant changes in work occur for any of the kinds of reasons mentioned above, the classification of the position (title, series, and grade) should be reviewed and revised as needed.

    When a position which has been affected by the impact of an individual is vacated, it should normally revert to its original classification.

Additional guidance is provided in The Classifier's Handbook (OPM, July 1999):

    The policy for classifying positions based on “impact of the person on the job” is described in the Introduction to the Position Classification Standards. This policy is based on the premise that the special knowledge, skills, abilities, talents, or achievements of an individual may have an important effect on the duties, responsibilities, and expectations of the job held.

    The impact of the person on the job is reflected in the classification when the performance of a particular individual actually makes the job materially different from what it otherwise would be. On the other hand, the mere fact that an individual in a position possesses higher qualifications or stands out from other individuals in comparable positions is not sufficient reason by itself to classify the position to a higher grade.

    When determining grade level based on this concept, it is essential that management recognizes and endorses the duties and that the work environment allows continuing performance at a different level. The job description should clearly state the higher level duties and responsibilities, The position's final classification must be based on grade level criteria in appropriate standards and not merely on comparison with other jobs. As with series determination, the employee's possession of special qualifications would not affect the grade unless these qualifications are required to perform the higher level duties.

    When the classification of a position has been directly affected by an individual employee, the position will normally require redescription and reevaluation when it is vacated and typically will be filled at a lower grade level.

Submission Criteria

Procedures in this Bulletin apply only after a Category 4 scientist has been in grade at the FPL of their position for at least one year. If an assignment changes, the incumbent should perform the new assignment for at least one year prior to being reviewed. This Bulletin does not apply to career ladder promotions which occur prior to reaching the FPL.

Whenever the Area Director (AD) determines that a Category 4 scientist may have impacted their position beyond the established FPL, the AD may submit the position for review under procedures in this Bulletin.

Such features affect the difficulty of work or the responsibility and authority given the employee. This concept can be recognized in the position classification decision when it actually makes the position materially different than it otherwise would have been.

Note: Classification actions neither measure nor reward performance. An employee's performance in a job has no direct relationship with the classification of the job. Classification measures what an employee is assigned to do, not how well the employee does it. Outstanding performance of assigned duties is therefore not a basis for review under this Bulletin. Impact without a material change in the position itself is to be recognized in the performance evaluation and ratings process and through the incentive awards system.

Exceptions

No Category 4 position will be reviewed if the incumbent's performance rating of record is less than "Fully Successful" on a Critical Element or if management expects to assign such a rating before the scientist's case is reviewed.

No Category 4 position will be subject to review if the incumbent is affected, or will be affected, by budget impact, impending assignment change, or other organizational issues.

Application of the OPM General Schedule Supervisory Guide (GSSG) to determine the grade value of the supervisory component of a service position is the responsibility of the servicing Human Resources Specialist (HRS), and is performed separately from this procedure.

Classification Problems

If a review establishes problems with regard to either the grade level or categorization of a position, the matter will be documented and referred to the AD for resolution.

Option if Dissatisfied

Category 4 employees may appeal the classification of their positions to either the USDA Office of Human Resources Management (OHRM) or OPM as explained in P&P 431.1, Position Classification and Position Management, or may request reconsideration by the REE Classification Officer.

3. Evaluation Procedure Summary

Under this procedure, grade levels of Category 4 positions will be determined by application of OPM position classification standards.

Peer input will be obtained to help assess the impact of an incumbent's contributions to science, technology or programs, and a determination of the effect (if any) of such impact on the final grade level. When there is documented evidence of personal impact sufficient to warrant promotion, such promotion will be made noncompetitively.

The HRS retains position classification authority, including final grade level determination. In determining the grade level, the HRS will consider input from the position's immediate supervisor and from interviews of four Subject Matter Contacts (SMC) selected by the HRS from a list submitted by the incumbent. The HRS may also interview appropriate National Program Leaders (NPL), the incumbent, and other persons as determined advantageous to fact finding. Names of persons interviewed by the HRS are subject to confidentiality and will not be divulged. After the evaluation is completed, scientists should not contact the subject matter experts regarding the evaluation process or their input to the servicing HRS.

Grade levels based on an incumbent's personal impact are limited to the term of occupancy of that incumbent, and do not establish a permanent FPL or career ladder. The position will normally require redescription and reevaluation when it is vacated and typically will be filled at a lower grade level.

4. Materials Required

5. Procedures

6. Summary of Responsibilities

7. Glossary

AD-332. (Available in InForms.) Position Description Cover Sheet.

Case Material. The position description and Supplemental Data Format (see definition below) considered as a package.

Category 4 (Service Scientist). Permanent positions whose incumbents either primarily orexclusively serve as project or program leaders over or personally perform, work assigned to ARS involving professional scientific services to the public or to other governmental agencies, such as: identification of animals, plants, or insects; diagnosis of diseases; mass production of plants, animals, or insects; collection, introduction, and maintenance of germplasm or specimens; vaccine production; education, extension, or technology transfer activities; or nutrient data and food intake surveys. Category 4 positions are SY positions.

Full Performance Level. The highest grade level of work described and classified for a
particular position.

GM. General Schedule employees in the former Performance Management and Recognition System.

GS. General Schedule.

Impact of the Person on the Job. Sometimes the unique capabilities, experience, or knowledge a particular employee brings to the position can affect the work performed and therefore the classification of the position. The relationship of the employee to the position can be recognized when these aspects broaden the nature or scope and effect of the work being performed.

OHRM. Office of Human Resources Management, USDA.

OPM. U.S. Office of Personnel Management.

Position Description. The position description consists of the nine factors of the Factor Evaluation System (FES). Supplemental Data (see definition below) are not part of the position description.

Position Evaluation Report. A statement summarizing the most significant information relevant to a position classification decision.

SF-52. (Available in InForms.) Request for Personnel Action.

SMC. Subject Matter Contact.

Subject Matter Contact. An individual knowledgeable of a Category 4 scientist's contributions, stature, recognition and impact, and listed on the Recommended Subject Matter Contacts List.

Supplemental Data. Factual information concerning a scientist's career which reviewers must have in order to make fair and equitable grading decisions. See Exhibit 2.

1. Prepare position description in Factor Evaluation System (FES) format as detailed in Policies and Procedures 431.1, Section 2.

2. Prepare Supplemental Data package as outlined in Supplemental Data Format (Exhibit 2).

3. Complete Recommended Subject Matter Contacts List (Exhibit 3). Designate (by number) which contribution(s) each contact is knowledgeable about. If the contact is a general (multi-contribution or career-long) contact, enter the word "General" rather than contribution number(s). It is recommended that--where possible--contact selection include at least some persons from ARS, USDA and other action agencies, State agencies, user groups, academia, and others outside of ARS. Be sure to include NPL(s) on the Subject Matter Contacts list.

4. Assemble AD-332, revised position description, Supplemental Data package, and Recommended Subject Matter Contacts List. Top with a complete Case Materials Certification (Exhibit 4). Forward with SF-52, Request for Personnel Action (SF-52), through supervisory channels and the Area Office to the servicing HRS, in accordance with Area/local procedures.

5. Address questions about package preparation and/or policy to the servicing HRS.

Information on individual positions and incumbents will be submitted according to the following outline. The standardized format is an important feature in assuring consistency throughout ARS. Supplemental data will be reviewed for adherence to format. Inaccurate, incomplete or improperly prepared packages will be returned for revision.

    a.    Honors and Awards

    b.    Special Invitations

    c.    Membership in Professional Societies

    d.    Offices and Committee Assignments Held in Professional and Honorary Societies

3.    Advisory and Consultant Activities

    a.    Participation in National Scientific Meetings, Technical Conference, Workshops, etc.

    b.    Professional Advisory and Consulting Activities

    c.    Special Assignments

4.    Other Significant Information

5.    Publications

General Guidance

In writing Supplemental Data, use gender-neutral terms and style instead of saying "he," "she," "his," or "her." Begin sentences with action verbs (the subject is understood). Write brief narrative paragraphs following the outline shown above.

Undue detail, verbosity, and needless repetition may weaken rather than strengthen your package.

1. Most Significant Contributions. List up to five of your most significant contributions having impact on science, technology or programs. List and number in chronological order with the most recent listed first.

    Purpose

    The purpose of submitting Contributions Statements is to permit an assessment of the impact of your original contributions to a field of science or technology, and on ARS programs. Each submitted significant contribution must summarize the following information in a brief, concise paragraph:

    What was contributed? Emphasize what was done, but not how it was done.

    What was your role in the contribution? This is particularly important for work involving a team effort. The position classification procedure cannot take cognizance of group activities. It is important to describe as accurately as possible what you as an individual contributed to the total contribution or group effort.

    Finally and most importantly, what is the impact on science or the degree of adoption, or economic or program importance of the contribution? The actual impact of a contribution sometimes changes with time--often it is not apparent for some time after the work has been completed--therefore, great care and precision in writing are required.

    As a rule, each significant contribution statement should not exceed one-half of a page in length.

    Identify contributions since last promotion (or entry on duty with ARS) via an asterisk.

    Contribution Format Samples

    As Germplasm Curator for the crop, coordinated the evaluation of hundred germplasm accessions and consolidated the data into a report distributed to scientists working with the crop. The report has stimulated increased use of the germplasm to broaden the genetic base of the crop in the United States. (Exhibit 1a, letter from State Agriculture Experiment Station scientists/Director documenting use of the report and of the germplasmlines; Exhibit 1b, letter from plant breeder from Seed Company documenting utility of the report and the new germplasm in their program; Exhibit 1c, copy of the germplasm report).

    Led a small team which.... (Exhibit 2a, letter from State program official; Exhibit 2b, #14)

    Organized, standardized and reevaluated all published information on food consumption patterns in the rural Southwest during 1950-1990. Prepared a comprehensive analytical report which formed the foundation of major policy and guideline revisions by regional program administrators. (Exhibit 3a, #23; Exhibit 3b, #142)

    Served as technical consultant to a series of major national workshops and symposia evaluating scientific information on food nutrient composition. This directly affected national policy in the area of _____________ by ______________________. (Exhibit 5a, memo from series coordinator; Exhibit 5b, memo from Chairman of Mid-Atlantic Nutrition Advisory Board)

    Developed a computer-based Indexing System (Exhibit 3) for insect and mite systematics. It greatly increased the capability of Federal and State agencies to conduct regulatory and economic entomology programs

    Exhibits

    For each contribution, select supporting documentation (exhibits). A maximum of three exhibits may be used to document each contribution. (Copies of exhibits are preferred over originals, since exhibits are discarded after the position is evaluated.)

    Exhibits must be selected with the following in mind:

    .    Exhibits must support statements of your role and impact of the work on science, technology or programs.

    .    There is no requirement to "fill the quota" with the maximum number of allowed exhibits. A total of eight to ten carefully selected exhibits is often more effective in supporting a well- prepared package.

    .    Full credit for a contribution cannot be given when the contribution is documented solely by abstracts.

    .    Serial articles ("Part I, Part II," etc.) are counted as separate documents when used as exhibits. Similarly, supporting statements are counted individually, unless a statement is an enclosure to another statement.

    Acceptable exhibits include:

    .    Publications, i.e., technical reports, germplasm releases, policy papers, review articles, peer-reviewed journal articles, patents, etc.;

    .    Concise statements signed by some knowledgeable authority such as NPS staff scientists, supervisors, action agency official, industry or commodity group representative, AD's, etc.

    .    Videotapes, computer models, and other commonly accessible media.

        Note: Contributions may also be documented by a mixture of types of exhibits, provided the maximum of three total exhibits is not exceeded.

    Exhibits must be referenced to the particular contribution documented and--in the case of publications--to the publications list, e.g., Exhibit 1, #3; Exhibit 3a, #6; Exhibit 3b, #8; Exhibit 4, #10; etc., and labeled accordingly. Publications related to a contribution but of lesser importance than the exhibit(s) will only be referenced to the publication list, e.g., #28, #34, and #40.

2.    Stature, Recognition and Impact. Under subheadings shown below, list up to 20 of your most significant awards, invitations and advisory/consultant activities, in chronological order:

    a.    Honors and Awards: Give a brief but sufficient description to enable the reader to determine true significance. Differentiate between group and individual awards; do not include civic or social awards.

    b.    Special Invitations: These are to be specific invitations to you to present a paper before science-oriented or industry groups, prepare a paper or a chapter for a book, conduct a seminar, etc. These are usually good evidence of professional recognition and standing. The key word is invitation. Be selective since the stature of the group issuing the invitation is just as important as the fact that an invitation was received. If an invitation was declined due to travel restrictions or other reasons, state "Declined" in parentheses after the listing.

        For each entry, list the title, date, location, and organization or purpose of gathering. If a paper was subsequently published, reference it to the publication list.

    c.    Membership, Offices and Committee Assignments Held in Professional and Honorary Societies:    List and give dates.

3.     Advisory and Consultant Activities:

    a.    Participation in National Scientific Meetings, Technical Conferences, Workshops, etc.: List, give date, location, type of meeting, and title of talk or paper you gave. (Coauthored papers or talks which were presented by others are not to be listed.) In some cases, it may be difficult to determine if a paper should be listed here or as an invitational paper. Make this decision and include the paper in one place but not both. Reference papers to the publication list. If the same meeting, conference, etc., has been attended a number of times, summarize information rather than listing individually.

    b.    Professional Advisory and Consulting Activities: List each with dates, name and type of organization or situation (generally outside ARS), and type and significance of contribution. These need not be on a "paid" basis. Service as a journal reviewer is reported under this section. If numerous, summarize information and list only most recent activities.

        It may be appropriate to cite related activities as further evidence of your impact and recognition.

    c.    Special Assignments: These should be of a technical and professional nature. List each; give dates covered and briefly describe. Include formal Technical Advisor appointment activities and contributions to Special Foreign Currency Programs (Public Law 480). Only publications associated with the assignment are to be referenced.

4.    Other Significant Information:

    Present narratively any information not covered in paragraphs 1-3 considered important in evaluating you as a scientist. Examples include educational and public relations efforts, and other activities which may be a part of the your responsibilities.

    Any exceptional or extenuating circumstances which may have affected the quality or quantity of output, either favorably or unfavorably, should be summarized here if such circumstances have not been covered under other items of the format.

    Materials in preparation or submitted but not yet accepted are to be listed here, NOT in the publications list.

    Often a scientist is required to perform duties vital to ARS operations but which are not scientific or evaluable under classification standards. When classifying a position having mixed duties, direct credit cannot be given for such activities as some Location Coordinator duties, Equal Employment Opportunity Counselor, Safety Officer, etc. A brief description of the intended role in meeting organization goals and objectives, how well this role is fulfilled,

    and how effective the individual is in cooperating with others when this is necessary or desirable in the total program can be indicated.

5.    Publications:

    Start this section on a separate page. Attach the entire listing at the end of the package. List only those items already published or accepted by the publishing agent, citing acceptance date for the latter.

    Publications to be listed are policy papers, technical reports, patents, review articles, technical bulletins, books, book chapters, conference or society proceedings, thesis/dissertation, popular publications, and others (identify specifically; for example, transcript of radio talk). Do not include talks, radio or other presentations unless they have actually been published.

    List publications in chronological order, all authors in proper order. Give full references including journal, volume and complete pagination.

    Abstracts may be listed at your option. If shown, they will be grouped separately in a separate section at the end of the publications list, and numbered "A1, A2," etc.

        Note: Materials in preparation or submitted but not yet accepted are to be shown in paragraph 4, Other Significant Information, NOT as part of this publications list.

PRIOR TO SUBMITTING YOUR CONTACT LIST, PLEASE NOTIFY THE SUBJECT MATTER CONTACTS TO ALERT THEM THAT THEY MAY BE RECEIVING A PHONE CALL ON YOUR BEHALF.

...............................................
Area Director's Signature/Date

Step	Responsible Individual	Action
1. Determine tentative grade level	Servicing HRS	. review position description and Supplemental Data . select no less than 4 SMC's from Recommended SMC List and other necessary contacts . decide questions to ask/issues to clarify during interviews . tentatively grade position by reference to appropriate classification standard(s) Note: HRS is encouraged to interview the NPL(s) and at least one person not listed on the SMC List
2. Conduct interviews	Servicing HRS	. focus on resolving questions relevant to determining incumbent's impact, stature and recognition . if proximity of interviewees permits, a face-to- face interview may be preferable
3. Final grade level determination	Servicing HRS	. make final grade level determination . prepare and issue Position Evaluation Report through supervisory channels . destroy exhibits and interview notes . attach a copy of the Supplemental Data to file copy of the Position Evaluation Report . annotate AD-332: “Classification limited to tenure of current incumbent.” OR “Redescription of duties - no change to classification.”
3. Final grade level determination	Supervisor	provide copy of Position Evaluation Report to incumbent

Purpose:        To provide additional guidance for consistently implementing this Bulletin.

Evaluation    Appendix A provides a format for documenting grade level determination of
report            nonsupervisory Category 4 positions; the format for supervisory positions is in
formats:        Appendix B.

                Note especially that:

                .    final evaluation report structure will vary depending on whether the incumbent performs genetic resources curator duties; and,

                .    when the incumbent does perform such duties, grade level must be determined by reference or cross-series comparison to criteria of a specific narrative or FES classification standard or standards before Museum Curator GS-1015 criteria are applied.

Operating    Questions regarding implementation of the Bulletin which do not appear to be
guidance:        adequately addressed in the Bulletin should be referred to the REE Classification Officer.

Appeal        Note that Category 4 employees who are dissatisfied with the classification
route:            decision resulting from this procedure may first obtain a classification review decision from the REE Classification Officer before filing an appeal. For classification appeal policy and procedures, see USDA PB 511-1 (3/8/99) and P&P 431.1, Section 7. Category 4 employees are not covered by the exclusion for positions graded on the basis of peer panel review.

Position Evaluation Report
Position Number 4_____

I.    Position Identification:

        [current title, pay plan, series, grade], USDA, ARS, _____ ________ Area, _______________________________ [unit name], _______________ [duty station]

II.     Classification References:

        A.    [series/guide name](TS-__, _________ [mo/yr]

        B.    OPM Position Classification Standard for the Museum Curator, GS-1015 Series (TS-38, February 1962) [cross- series comparison for genetic resources curators only]

        [NOTE: In many instances, only a single standard/guide need be cited. In other instances, you will have to rely on cross-series comparison for basic standards criteria.]

III.    Background Information:

        This is a professional service position occupied by ___________ [name]. The service component of this position is evaluated under the [series] standard(s). Bulletin 01-0401-ARS provides for a supplemental assessment of the impact of a service scientist's contributions to science and technology, and a determination of the effect (if any) of such impact on final grade level.

IV.    Series and Title Determination:

        The position performs.... This requires application of professional education and training in the fields of ______________ and ________________, so that classification to the GS-_______ series is appropriate. The title _______________ _____________ is prescribed by the standard. OR The illustrative title ____________ __________ is constructed.

V.    Grade Level Determination:

        A.    Standard(s) Application

            Applying criteria of the GS-________ standard yields a grade of GS-____, because ____________________________. [for narrative standards]

            OR

            Factor Evaluation System points assigned, as shown on the AD-332, total _____ points, whichconverts to GS- ____. [for FES standards]

            [For curator positions only]

            The position was also compared to criteria of the GS-1015 standard, and evaluated as follows:

                Factor I - Research Function:

                Overall evaluation at Level ____ (___ points) because ___________________.

                Factor II - Curatorial Function:

                Overall evaluation at Level _____(___ points) because ___________________.

                Grade Conversion:

                Total of ___ points converts to GS- _____. [Provide additional explanation if total points assigned fall into the gap between grade level.]

[NOTE: Since this procedure is based on review of person-in-the-job impact, be sure the evaluation clearly describes how the position duties and responsibilities are impacted by the person and how the position has changed as a result of the impact.]

            B.    Final Grade Level Determination: GS-_____

VI.    Final Classification:

        Based on the foregoing evaluation, this position is properly classified as _____________, GS- ______-___.

V.    Grade Level Determination:

    A.    Standard(s) Application

            Applying criteria of the GS-________ standard yields a grade of GS-____, because ____________________________. [for narrative standards]
            OR
            Factor Evaluation System points assigned, as shown on the AD-332, total _____ points, which converts to GS- ____. [for FES standards]

            [For curator positions only]
            The position was also compared to criteria of the GS-1015 standard, and evaluated as follows:

            Factor I - Research Function:

            Overall evaluation at Level ____ (___ points) because ___________________.

            Factor II - Curatorial Function:

            Overall evaluation at Level _____(___ points) because ___________________.

            Grade Conversion:

            Total of ___ points converts to GS- _____. [Provide additional explanation if total points assigned fall into the gap between grade level.]

            Grade Based on Standard(s) Application:

[Note: Since this procedure is based on review of person-in-the-job impact, be sure the evaluation clearly described how the position duties and responsibilities are impacted by the person, and how the position has changed as a result of the impact.]

            B.    GSSG Evaluation: Factor Evaluation System points assigned, as shown on the attached Position Evaluation Summary for the General Schedule Supervisory Guide, total _____ points, which converts to GS- ____.

            C.    Final Grade Level Determination: GS-_____

VI.    Final Classification:

        Based on the foregoing evaluation, this position is properly classified as _____________,
        GS-______-___.

[typed name]
Human Resources Specialist
[date]

1. Background

2. Review Basis

3. Evaluation Procedure Summary

4. Materials Required

5. Procedures

6. Summary of Responsibilities

7. Glossary

Exhibit 1- Package Submission Instructions

Exhibit 2- Supplemental Data Format

Exhibit 3- Recommended Subject Matter Contacts List

Exhibit 4- Case Materials Certification

Exhibit 5- Evaluation Procedures

Exhibit 6- HRD Internal Guidance

Contact's Name, Official Capacity and Location	Telephone Number(s)	Knowledge of Contribution(s) Number: