Title 5 Administrative Personnel

By Jeanette Ellis,2014-05-07 14:00
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Title 5 Administrative Personnel

    Title 5: Administrative Personnel



     Section Contents

    Subpart B Classification


    ? 9901.201 Purpose.

    ? 9901.202 Coverage.

    ? 9901.203 Waivers.

    ? 9901.204 Definitions.

Classification Structure

    ? 9901.211 Career groups.

    ? 9901.212 Pay schedules and pay bands.

Classification Process

    ? 9901.221 Classification requirements. ? 9901.222 Review of classification decisions. ? 9901.223 Appeal to DoD for review of classification decisions.

    ? 9901.224 Appeal to OPM for review of classification decisions.

Transitional Provisions

    ? 9901.231 Conversion of positions and employees to NSPS classification system.

    Subpart B Classification




    ? 9901.201 Purpose.


     (a) This subpart establishes a classification structure and rules for covered DoD employees and positions to

    replace the classification structure and rules in 5 U.S.C. chapter 51, in accordance with the merit system

    principle that equal pay should be provided for work of equal value, with appropriate consideration of both

    national and local rates paid by employers in the private sector, and with appropriate incentives and

    recognition provided for excellence in performance. (b) The basis for determining the appropriate classification under NSPS is the primary duties and

    responsibilities of the position, level of difficulty, occupational qualifications, competency requirements,

    mission of the organization, and relationship of the position to other positions or organizational levels.


(c) Any classification system prescribed under this subpart will be established in conjunction with the pay

    system described in subpart C of this part.

    ? 9901.202 Coverage.


     (a) This subpart applies to eligible DoD employees and positions listed in paragraph (b) of this section,

    subject to a determination by the Secretary under ?9901.102(b) or (f).

    (b) The following employees of, or positions in, DoD organizational and functional units are eligible for

    coverage under this subpart:

    (1) Employees and positions that would otherwise be covered by the General Schedule classification system

    established under 5 U.S.C. chapter 51;

    (2) Employees in senior-level (SL) and scientific or professional (ST) positions who would otherwise be

    covered by 5 U.S.C. 5376;

    (3) Members of the Senior Executive Service (SES) who would otherwise be covered by 5 U.S.C. chapter 53,

    subchapter VIII, subject to ?9901.102(d); and

    (4) Such others designated by the Secretary as DoD may be authorized to include under 5 U.S.C. 9902.

    ? 9901.203 Waivers.


     (a) When a specified category of employees is covered by a classification system established under this

    subpart, the provisions of 5 U.S.C. chapter 51 are waived with respect to that category of employees, except

    as provided in paragraph (b) of this section, ??9901.106, and 9901.222(d) (with respect to OPM's authority

    to act on requests for classification decisions under 5 U.S.C. 5112(b) and review of pay plans under 5 U.S.C.


    (b) Section 5108 of title 5, U.S. Code, dealing with the classification of positions above GS15, is not waived

    for the purpose of defining and allocating Senior Executive Service (SES) positions under 5 U.S.C. 3132 and

    3133 or applying provisions of law outside the waivable and modifiable chapters of title 5, U.S. Codee.g.,

    5 U.S.C. 4507 and 4507a (regarding Presidential rank awards), 5 U.S.C. 6303(f) (regarding annual leave

    accrual for members of the SES and employees in SL/ST positions), and 5 U.S.C. 6304(f) (regarding annual

    leave ceilings for members of the SES and employees in SL/ST positions).

    ? 9901.204 Definitions.


    In this subpart:

    Band has the meaning given that term in ?9901.103. Basic pay has the meaning given that term in ?9901.103. Career group has the meaning given that term in ?9901.103.


Classification, also referred to as job evaluation, means the process of analyzing and assigning a job or

    position to an occupational series, official title, career group, pay schedule, and pay band for pay and other

    related purposes.

    Competencies has the meaning given that term in ?9901.103. Occupational series has the meaning given that term in ?9901.103.

    Official title means the position title prescribed in an NSPS classification standard or by supplemental

    Component guidance.

    Pay band or band has the meaning given that term in ?9901.103. Pay schedule has the meaning given that term in ?9901.103. Position or job means the duties, responsibilities, and related competency requirements that are assigned to

    an employee.

    Classification Structure


    ? 9901.211 Career groups.


    For the purpose of classifying positions, the Secretary may establish career groups based on factors such

    as mission or function; nature of work; qualifications or competencies; career or pay progression patterns;

    relevant labor-market features; and other characteristics of those occupations or positions. The Secretary

    will document in implementing issuances the criteria and rationale for grouping occupations or positions into

    career groups.

    ? 9901.212 Pay schedules and pay bands.


     (a) For purposes of identifying relative levels of work and corresponding pay ranges, the Secretary may

    establish one or more pay schedules within each career group.

    (b) Each pay schedule may include one or more pay bands.

    (c) The Secretary will document in implementing issuances the definitions for each pay band which specify

    the type and range of difficulty and responsibility, qualifications or competencies, or other characteristics of

    the work encompassed by the pay band.

    (d) The Secretary will

    (1) Use qualification standards established or approved by OPM, or establish qualification standards for

    positions covered by NSPS, subject to ?9901.105(b)(2); and (2) Designate qualification standards and requirements for each career group, occupational series, pay

    schedule, and/or pay band.

    Classification Process



    ? 9901.221 Classification requirements.


     (a) The Secretary will develop a methodology for describing and documenting the duties, qualifications, and

    other requirements of categories of jobs, and will make such descriptions and documentation available to

    affected employees. (b) The Secretary will (1) Assign occupational series to jobs consistent with occupational series definitions established by OPM

    under 5 U.S.C. 5105, or by DoD; and

    (2) Apply the criteria and definitions required by ??9901.211 and 9901.212 to assign jobs to an appropriate

    career group, pay schedule, and pay band.

    (c) The Secretary will establish procedures for classifying jobs and may make such inquiries of the duties,

    responsibilities, and qualification requirements of jobs as he or she considers necessary for the purpose of

    this section.

    (d) A classification action is implemented by a personnel action, which, for encumbered positions, must be

    taken within a reasonable period of time following the effective date of the position classification action. For

    classification actions resulting from a DoD appeal decision, the personnel action must occur within four pay

    periods following the effective date of the decision, except when a subsequent date is specifically provided

    in the decision. If a classification action results in a reduction in an employee's pay band or adjusted salary,

    the employee must be advised, in writing, of the action and proposed effective date of the personnel action

    at least 7 days before the personnel action is taken. The written notice will inform the employee of the

    reason for the reclassification, the right to appeal the classification decision, and the time limitations in

    ?9901.223 within which the appeal must be filed to preserve applicable retroactive benefits. (e) Except as otherwise provided in this paragraph or required by law, the effective date of a classification

    action is the date the authorized management official certifies the classification decision ( i.e. , signs or

    electronically validates the position description).

    (1) A retroactive effective date for a classification action and the implementing personnel action is permitted

    only if the action resulted in a reduction in pay band or adjusted salary and if that action is subsequently

    reversed on appeal.

    (2) In order for a corrective action to be retroactive, the employee must file an initial request for review of the

    classification action with DoD or OPM not later than 15 calendar days after the personnel action effective

    date for the reduction in pay band or adjusted salary.

    (3) A retroactive date may be established only if the appeal reversal is based on the duties and

    responsibilities performed at the time of reduction. Retroactive action is mandatory under these


    ? 9901.222 Review of classification decisions.


     (a) An individual employee may request that DoD or OPM review the classification ( i.e. , pay system,

    career group, occupational series, official title, pay schedule, or pay band) of his or her official position of

    record at any time.


    (b) Under this section, an employee may not appeal to either DoD or OPM the issues designated as nonappealable to the Office of Personnel Management in 5 CFR 511.607 or the accuracy of NSPS pay schedule and pay band classification criteria. Additional nonappealable issues covered under NSPS include

    (1) Classification of a proposed position or one to which the employee is not officially assigned; (2) Classification of a position to which an employee is detailed, temporarily reassigned, or temporarily promoted, except for employees serving under a time-limited promotion or reassignment for 2 years or more; (3) Accuracy of the official position description, including the inclusion or exclusion of a duty (subject to paragraph (c) of this section);

    (4) Classification of a position based on position-to-position comparisons rather than the NSPS classification criteria;

    (5) Classification of a position for which a DoD or an OPM appeal decision was previously rendered unless there is a later change in the governing classification criteria or a material change in the requirements of the position; and

    (6) The accuracy of career group, pay band, or pay schedule classification criteria or standards contained in DoD issuances.

    (c) When the accuracy of the official position description is questioned by the employee, the employee will be advised to raise this issue informally with the employee's supervisor or file a grievance using the applicable administrative or negotiated grievance procedure. If the employee elects to first raise this issue with the employee's supervisor and the employee and the supervisor cannot resolve this issue, the accuracy of the position description may be determined using the applicable administrative or negotiated grievance procedure. If, after completing this procedure, the issue is not resolved, the classification appeal, if any, will be decided on the basis of the actual duties and responsibilities assigned by management and performed by the employee.

    (d) An employee may request that OPM review a DoD determination made under paragraph (a) of this section. If an employee does not request an OPM review, DoD's classification determination is final and not subject to further review or appeal.

    (e) Any determination made under this section will be based on criteria issued by the Secretary. ? 9901.223 Appeal to DoD for review of classification decisions. top

     (a) Employee representation. An employee may designate in writing a representative of his or her choice to

    assist in the preparation and presentation of an appeal. A management official may disallow an employee's representative when

    (1) An individual's activities as a representative would cause a conflict of interest or position; (2) An employee cannot be released from his or her official duties because of the priority needs of the Government; or

    (3) An employee's release would give rise to unreasonable costs to the Government.

    (b) DoD classification appeal process. (1) Employee appeals to DoD must be submitted through the

    employee's servicing Human Resources Office.


    (2) An employee may file a classification appeal at any time. When the issue involves a classification action that resulted in a reduction in band or adjusted salary, to preserve any entitlement to retroactive pay, the employee must file any DoD classification appeal no later than 15 calendar days after the effective date of the personnel action. When an employee shows that he or she did not receive notice of the applicable time limit, or personnel action, or was prevented from timely filing by circumstances beyond the employee's control, the deciding official may grant an extension of the appeal period.

    (3) An employee must provide the following documentation when filing an appeal:

    (i) The employee's name, mailing address, and office telephone and fax numbers;

    (ii) The employing Component and the exact location of the employee's position within the Component (installation name, mailing address, organization, division, branch, section, unit);

    (iii) The name, address, and business telephone and fax numbers of the employee's representative, if any; (iv) A statement of the employee's requested pay system, official position title, occupational series, pay schedule, and/or pay band; and

    (v) Reasons why the employee believes the position is incorrectly classified.

    (4) The employee must refer to classification standards that support the appeal and state specific points of disagreement with the current classification. The employee may also include a statement of facts that he or she thinks may affect the final classification decision.

    (c) Binding decisions. DoD appeal decisions constitute certificates that are binding on all administrative,

    certifying, payroll, disbursing, and accounting offices within DoD.

    (d) Cancellation. (1) An employee or representative may cancel an appeal at any time before DoD issues a

    decision by providing written notification to the DoD deciding official.

    (2) DoD may cancel an appeal if any of the following occur:

    (i) The employee, or his or her representative, does not furnish requested information within the required time period;

    (ii) The employee is no longer officially assigned to, or is removed from, the position and there is no entitlement to retroactive benefits;

    (iii) The duties and responsibilities of the position are significantly changed while the case is pending and there is no entitlement to retroactive benefits; or

    (iv) The position is abolished and there is no entitlement to retroactive benefits.

    ? 9901.224 Appeal to OPM for review of classification decisions.


     (a) An employee's request for OPM review of DoD classification determination will follow the procedures in 5 CFR part 511, subpart FClassification Appeals.

    (b) Effective dates of OPM classification appeal decisions will be consistent with 5 CFR 511.702. (c) Employee appeals to OPM may be submitted directly to OPM.


(d) OPM's final determination on an appeal made under this section is not subject to further review or appeal.

    Transitional Provisions


    ? 9901.231 Conversion of positions and employees to NSPS classification system.


     (a) Introduction. This section describes the transitional provisions that apply when DoD positions and

    employees initially are converted to a classification system established under this subpart. (See ?9901.371

    for conversion rules related to setting an employee's pay.) Positions and employees in affected

    organizational or functional units may convert from the GS system, the SL/ST system, the SES system, or

    such other DoD systems as may be designated by the Secretary, as provided in ?9901.202. For the purpose

    of this part, the terms ―convert,‖ ―converted,‖ ―converting,‖ and ―conversion‖ refer to positions and employees

    that become covered by the NSPS classification system as a result of a coverage determination made under

    ?9901.102(b) and excludes employees who move from a noncovered position to a position already covered

    by NSPS.

    (b) Implementing issuances. The Secretary will issue implementing issuances prescribing policies and

    procedures for converting DoD employees to a pay band upon initial implementation of the NSPS

    classification system. Those issuances will establish the work level conversion tables used to place an

    employee in a pay band based on the level of work of the employee's position in the formerly applicable pay


    (c) Temporary promotion prior to conversion. An employee on a temporary promotion at the time of conversion will be returned to his or her official position of record prior to processing the conversion. That

    official position of record (including occupational series and grade) is used in determining the employee's

    career group, pay schedule, and band upon conversion.

    (d) Grade retention prior to conversion. For an employee who is entitled to grade retention immediately before conversion, the grade of the actual position of record (not the grade being retained) is used in

    determining the employee's band upon conversion.



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