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Full text of "SUPERVISORY GRADE EVALUATION GUIDE AND QUALIFICATION STANDARD"

October 1976 



Personnel Management Series No, 22 

U.S. Civil Service Commission 
Bureau of Policies and Standards 



For sale by the Superintendent of Documents. U S. Government Printing Office 
Washington, D.C. 20402 

Stock No, 006-000-00973-5 



Contents 



Page 

Introduction 1 

Purpose of the guide 1 

Relationship to position management 1 

Definitions 2 

Definitions of managerial positions 3 

Definition of supervisory duties and responsibilities 4 

Titles 4 

Exclusion from titling as a supervisory position 5 

Coverage of the guide 5 

Series determination 6 

Parti 

Coverage 7 

Exclusions 7 

Concept and plan for part I g 

Factor I. Base level of work supervised IQ 

Factor II. Kind and degree of supervision exercised 12 

Factor III. Scope and variety of operations supervised 19 

Factor IV. Special additional responsibilities 22 

Conversion of points to grades 25 

Adjustment factors 26 

Part II 

Coverage of the guide 29 

Organization and plan of part II 29 

Exclusion 30 

Factors 31 

Factor I. Base level of work supervised 32 

Factor II. Nature and extent of supervisory responsibility .... 33 

Factor III. Managerial aspects 35 

Factor IV. Special additional elements 37 

Grade determination 40 

Comprehensive evaluation 40 

Determining the grade for degree B positions 41 

Determining the grade for degree A positions 41 

General provisions 42 

Grades above GS-15 42 

Special documentation requirement 42 

(v) 



Appendix. Qualification Standard for Supervisory 
Positions in General Schedule Occupations (GS-15 
and below) 

Page 

Introduction and coverage 43 

Kinds of supervisory positions 44 

Minimum qualification requirements 45 

Evaluating candidates' potential for supervisory positions 48 

Area of consideration and selective placement 49 

Suggested method for analyzing job requirements and evaluating 

candidates 49 



Contents 



Introduction 1 

Purpose of the guide 1 

Relationship to position management 1 

Definitions 2 

Definitions of managerial positions 3 

Definition of supervisory duties and responsibilities 4 

Titles 4 

Exclusion from titling as a supervisory position 5 

Coverage of the guide 5 

Series determination 6 

Parti 

Coverage 7 

Exclusions 7 

Concept and plan for part I g 

Factor I. Base level of work supervised 10 

Factor II. Kind and degree of supervision exercised 12 

Factor III. Scope and variety of operations supervised 19 

Factor IV. Special additional responsibilities 22 

Conversion of points to grades 25 

Adjustment factors 26 

Part II 

Coverage of the guide 29 

Organization and plan of part II 29 

Exclusion 30 

Factors 31 

Factor I. Base level of work supervised 32 

Factor II. Nature and extent of supervisory responsibility .... 33 

Factor III. Managerial aspects 35 

Factor IV. Special additional elements 37 

Grade determination 40 

Comprehensive evaluation 40 

Determining the grade for degree B positions 41 

Determining the grade for degree A positions 41 

General provisions 42 

Grades above GS-15 42 

Special documentation requirement 42 

(v) 



Appendix. Qualification Standard for Supervisory 
Positions in General Schedule Occupations (GS-15 
and below) 

Page 

Introduction and coverage 43 

Kinds of supervisory positions 44 

Minimum qualification requirements 45 

Evaluating candidates' potential for supervisory positions 48 

Area of consideration and selective placement 49 

Suggested method for analyzing job requirements and evaluating 

candidates 49 



(vi) 



Purpose of the Guide Relationship to position management 

This guide serves three important purposes: 

1. To provide direct guidance in determining the grade value of 
positions with supervisory responsibilities; 

2. To provide a basis for uniformity in distinguishing, along the 
continuum of supervisory-managerial responsibility, between work 
leaders, supervisors, and managers; and 

3. To provide managers and their staff advisors with an additional 
analytical tool for use in reviewing organizational structure for 
position management and control purposes. 

These three purposes, of course, are closely interrelated. Proper classifi- 
cation of supervisory positions requires systematic analysis of duties, 
responsibilities, and qualification requirements, as assigned by competent 
management authority. Proper organizational arrangements (i.e., the 
assignment of responsibility and authority for functions, program areas, 
staff, etc.) requires this same kind of analysis to provide a solid basis for 
the management decisions which lead to the creation, abolition, or 
modification of supervisory jobs. Proper selection, training, and intra- 
management communication require the ability to distinguish consistent- 
ly, again on the basis of duties and responsibilities, between positions with 
very limited supervisory responsibility (e.g., work leaders, team leaders, 
and reviewers), and positions with sufficient supervisory responsibility to 
be properly titled "Supervisor," and recognized as the front line of 
management, and positions which need to be recognized as having 
managerial responsibilities, and as requiring managerial qualifications. 

This guide serves these three related purposes by providing definitions of 
supervisory and managerial positions, with criteria for distinguishing 
between them, and by providing descriptions of a common set of 
supervisory tasks scaled as to difficulty. The description of supervisory 
positions can thus be sharpened and clarified so as to trace more precisely 
relationships among supervisors in the same and related lines of com- 
mand. These better descriptions can contribute to effective design of jobs 
and organizations and to the identification of unwarranted overlapping 
and fragmentation. 

One problem, for example, which has plagued both classifiers and 
managers has been the assumption that each succeeding organizational 
layer of supervision automatically warrants an additional grade level. 

1 



This assumption can sometimes le'ad to a proliferation of layers of 
command beyond a useful management purpose. This guide can help in 
dealing with this problem because it makes it clear that grade-level 
differences between supervisory positions at different levels can be 
justified only by reference to actual and substantial differences in difficul- 
ty and responsibility. Thus, the guide definitely can result in a supervi- 
sory position being properly evaluated at the same grade level as another 
supervisory position below it in the chain of command. Of course, if this 
guide casts serious doubt on the need for grade-level difference between 
two successive supervisory levels, management will want to review the 
necessity for this particular organizational structure. 

Obviously, this kind of relationship will be useful both in reviewing 
existing organizational patterns and in creating new ones to meet new or 
changing program requirements. 

Definitions 

"Supervision" and "management" are rather ill-defined terms which have 
come to be applied to a continuum of responsibility from the least 
responsibility for instructing, assigning work to, or reviewing the work of 
another employee to the direction of the largest organizations and 
programs of Government. The lower end of the continuum tends to be 
called supervision, and to relate primarily to the direct oversight of 
people; the higher end of the spectrum tends to be called management, 
and relates primarily to the direction of programs and multi-segment 
organizations. Both supervisory and managerial positions operate within 
the framework of government and agency-wide policy with respect to 
programs, organizational and personnel matters and appropriate labor- 
management agreements. 

However, this continuum also represents a significant range of differ- 
ences in knowledge, skill, and ability requirements, in training needs, and 
in intramanagement communication needs. It is accordingly necessary to 
undertake to distinguish the major segments of this spectrum in order to 
facilitate proper and uniform treatment of comparable positions in per- 
sonnel and management processes. 

Supervisory duties and responsibilities represent a kind of work which, 
when performed reasonably fully, represents an extention of, and requires 
identification with "the management" of the organization. Yet many 
positions involve performance of aspects of this kind of work to such a 
limited extent that they should not be regarded as part of "management," 
These may include, for example, positions of work leaders, team leaders, 
coordinators, or reviewers which involve performing onty limited as- 
pects of the defined supervisory duties and responsibilities. 

A distinction therefore needs to be made along the continuum of 
supervisory duties and responsibilities, between positions which have 
supervisory responsibility to a degree sufficient to require identification 
with management and those which do not. This distinction is important 
for such purposes as management training, intramanagement communica- 



tion, and determination of executive status under the Fair Labor Stan- 
dards Act. It is also important that it be spelled out as a background for 
management decisions on organizing, and on establishing and delegating 
responsibility! to, supervisory positions. 

To highlight this difference, this standard restricts the title "Supervisory" 
to positions that have a sufficient level of supervisory responsibility to be 
considered part of the management team, as described in the following 
definitions of managerial and supervisory positions. 

Definition of Managerial Positions 

Managerial positions are those in which incumbents (1) direct the work of 
an organization, (2) are held accountable for the success of specific line or 
staff programs, (3) monitor the progress of the organization toward goals 
and periodically evaluate and make appropriate adjustments, and (4) 
typically perform the full range of the following duties and responsibil- 
ities; 

a. Determine program goals and develop plans for the organization 
independently of or jointly with higher management; 

b. Determine resource needs and allocation of resources and account 
for their effective use; 

c. Determine the need and develop plans for organizational changes 
which have considerable impact, such as those involving basic 
structure, operating costs, or key positions; 

d. Consider a broad spectrum of factors when making decisions (or 
recommendations to higher-level management) including public 
relations, Congressional relations, labor-management relations, pub- 
lic policy stances, effect on other organizations and other parts of 
the organization, economic impact, and the like; 

e. Coordinate program efforts with other internal activities or with the 
activities of other agencies; 

f. Assess the impact on organization programs of substantive develop- 
ments in programs and policies in other parts of the agency, in other 
Government entities, and in the private sector; 

g. Set policy for the organization managed in such areas as determin- 
ing program emphasis and operating guidelines; understand and 
communicate agency policies and priorities throughout the organi- 
zation managed; 

h. Deal with general personnel management policy matters affecting 
the organization manager, with personnel actions affecting key 
employees, and other actions with possible serious repercussions; 
and 

i. Delegate authority to subordinate supervisors and hold them icspon- 
sible for the performance of their organizational units. 

"Deputy" positions are included when the responsibility for managing 
the total organization is divided between the manager and the deputy; or 
when the deputy serves as an alter ego and assists the manager in all 
phases of the organization's work. 

3 



29E>-960 0-79-2 



It is recognized that this definition excludes many positions which require 
a high degree of expertise in management subjects but which do not 
include responsibility for directing an organization or a subdivision; of an 
organization. The definition excludes: 

General staff assistants to managers; 

Positions at the first or second supervisory levels that primarily 
involve the duties outlined in the definition of Supervisory positions 
as distinguished from managerial duties including positions with 
some but not the full range of managerial duties described above; 

Nonsupervisory positions with responsibility for technical guidance 
of work performed by contractors, grantees, or personnel in other 
Government organizations. 

Definition of Supervisory Duties and Responsibilities 

Supervision involves getting work done through others (i.e., the direction 
of subordinate employees in the performance of work) with accountabil- 
ity to agency management for the quantity and quality of the work done 
and for assuring efficient and economical work operations. Supervisory 
functions include a range of duties and responsibilities for planning, 
organizing and reviewing work, administering personnel matters, and 
dealing effectively with employees and union representatives about 
employee-management concerns. Incumbents with supervisory responsi- 
bilities perform a range of duties such as: 

a. Assign, direct, and review the work of subordinate employees; 

b. Plan and carry out the training and development of employees; 

c. Evaluate employees' work performance; 

d. Recommend selections, promotions, status changes, awards, disci- 
plinary actions, and separations; 

e. Plan, schedule, and coordinate work operations; 

f. Solve problems related to the work supervised; 

g. Determine material, equipment, and facilities needed; 

h. Explain and gain the support of employees for management policies 

and goals (for example, cost reduction and safety); 
i. Work to achieve the objectives of Government-wide personnel 
programs and policies (e.g., labor-management relations and equal 
employment opportunity); and 

j. Deal effectively with employees and union representatives on em- 
ployee suggestions, complaints, grievances, and other matters in- 
volved in the day to day administration of labor-management 
agreements, sometimes including labor-management contract negoti- 
ations. 

Some supervisory positions also include responsibility for advice to 
management on and participation in the; 

Establishment of program and production goals, priorities, and 

major work schedules; 

Development of cost and budget analyses or forecasts; and 
Determination of long-range manpower requirements. 



Positions which involve supervisory duties and responsibilities (as de- 
fined above) with respect to three or more employees (exclusive of 
"support" employees), whose supervisory responsibilities meet or exceed 
Degree B on elements 1, 2, and 3 of Factor II under Pait I, or Degree B 
on Factor II of Part II, shall be titled "Supervisory." 

Exclusion from Titling as a Supervisory Position 

1. Positions with responsibility for work assignments requiring only 
one or two other workers or with supervisory responsibility only in 
the absence of the regular supervisor. Such positions have as their 
primary responsibility personal work accomplishment. Responsibil- 
ity for work assignments involving one or two other persons is not 
sufficient to warrant identification of a position as supeivisory. 

2. Positions with some supervisory duties and responsibilities but less 
than that described for "Degree B" in Factor II of Part I and Pait II 
of this guide. 



This grade-evaluation guide is for use across occupational lines for 
positions that include responsibility on a regular and continuous basis for 
directing other employees in the accomplishment of work. 

This guide provides grade level criteria for supervisory positions at the 
first and second levels. Also covered by this guide are first and second 
level supervisory positions that have some aspects of managerial responsi- 
bilities, but not the full range as identified in the preceding section, 
"Definition of Managerial Positions," The terms "First" and "second" 
level of supervision and "managerial" reflect the nature of the account- 
ability of the position rather than the mere location of the position in the 
supervisory chain of command. 

Differences in supervisory assignments reflect differences in programs, 
staffing patterns, or other organizational or operational requirements. 
They result from decisions of higher management on the way in which 
supervisory or managerial authority and responsibility art to be delegat- 
ed. However, some responsibilities, such as planning work assignments, 
training, and evaluating employees, and recommending action in person- 
nel management matters, are common to supervisory assignments at all 
levels. 

First-level supervisors are the members of management with whom the 
average employee has the most direct or regular contact, and who can 
provide higher level management with information and insights into 
employee feelings, attitudes, and behavior. Conversely, first-level super- 
visors are the focal point in communicating the policies and objectives of 
management to employees. They stimulate, motivate, and instill in 
employees a sense of participation in achieving management's goals. 
They are responsible for the efficient and economical operation of the 
organizational unit. 

5 



Second-level supervisors are responsible for directing an organization 
through subordinate supervisors. Their duties and accountability are 
described at Degree D in Part I, and Degree A in Part II. 

Some positions with important supervisory responsibilities are not appro- 
priately covered by this guide. Such positions are identified in the 
"Exclusion" Sections in Part I and Part II. Among the exclusions are 
supervisory positions whose evaluation requires the use of separate 
supervisory standards set forth in terms specific to an occupation. 

The issuance of this guide eliminates, or reduces the need for, descriptive 
material on supervisory functions in individual occupational standards. 
Therefore, only a few separately published classification standards now 
provide such material for positions in which the supervisory work is 
paramount. 

Organization of the Guide 

This guide is divided into two parts. The coverage of each part is 
comprehensively defined within that part. Broadly speaking, Part I deals 
with positions which involve supervision of types of work which are 
classifiable at one-grade intervals through GS-8. Part II deals with 
positions which involve supervision of types of work which are classifi- 
able at two-grade intervals, and at one-grade intervals where the base 
level of work is GS-9 or above. 

Series Determination 

This guide is not intended to affect current practice regarding series 
classification. Positions classified as to grade by means of this guide will 
continue to be classified to the most appropriate classification series in 
accordance with definitions published in the Commission's "Hand-book 
of Occupational Groups and Series of Classes" and amplifying material in 
published classification standards. 



Coverage 

Part I is for direct use in the evaluation of positions of supervisors, 
regardless of level in the supervisory chain, which meet the following 
criteria: 

1. The paramount responsibility of the position consists of the supervi- 
sion of three or more employees (exclusive of "suppoit" employees) 
engaged in work which is properly classified at one-grade intervals, 
provided the creditable level of work under Factor I is not above 
grade GS-8. Included, for example, are supervisors of clerical work, 
office machine operation, communications equipment operation, 
one-grade interval technician work, protective and custodial work, 
etc. 

2. As a minimum, the duties and responsibilities of the position match 
at least the scope of Degree B on elements 1-3 of Factor II, 

Exclusions 

The grade-level criteria in Part I are not for direct application to the 
following positions: 

1. Positions with responsibility for work that is not primarily accom- 
plished through the subordinate staff, or that involves fewer than 
three subordinates. Such positions reflect a situation in which the 
primary responsibility is nonsupervisory, i.e., personal work accom- 
plishment. They should be classified primarily on the basis of their 
nonsupervisory responsibilities in accordance with appropriate sub- 
ject-matter standards. 

2. Positions having the full range of managerial functions as delineated 
in the "Definition of Managerial Positions" in the introductory 
section. 

3. Positions which involve supervision of research or other profession- 
al and scientific work, or of administrative or technical work falling 
in series in which positions are properly classifiable at two-grade 
intervals, or work classifiable at one-grade intervals with a base 
level of GS-9 or above. 

4. Positions which involve "staff-type" technical guidance of employ- 
ees or organizational units not under the direct line control of the 
incumbent. 

5. "Assistant chief" positions, The factor and element values and grade 
conversion table in this part are not geared to their direct evalua- 
tion. Such positions may be classified in relation to the position of 



the "chief," or supervisor of the unit Ordinarily, where the "assis- 
tant chief is a full assistant to the chief, occupies a position in the 
direct supervisory line, and shares in, and assists the chief with 
respect to, all phases of the unit's work, the "assistant chief position 
will be one grade lower than that of the chief. 

6. Positions involving supervisory responsibilities that also entail the 
personal performance of duties which are quite different in kind or 
level from the work supervised and/or which are not a part of 
normal supervisory responsibilities. For example, a supervisor of 
accounting clerical work may personally and individually perform 
certain assignments involving professional accounting; or a supervi- 
sor of a unit may have responsibilities for advice to management 
which are personal and not necessarily a part of supervising the unit. 
Positions involving such responsibilities should be treated as mixed 
positions; the supervisory responsibilities may be classified by this 
guide, while the additional duties which the incumbent performs 
personally should be evaluated separately on their own merits. 

7. Supervisory positions in series for which current classification 
standards provide specific grade-level guidance for supervisory 
positions, 

Concept and Plan for Part I 

> 

Reduced to simplest terms, the classification of supervisor positions under 
this part involves determining what increment over the grade level of the 
work supervised is appropriate for the additional responsibility assumed 
by the supervisor. (In the case of supervision of very low grade work, 
minimum grades are established for defined degrees of supervisory 
responsibility.) 

Therefore the guide provides for a determination of the base level of 
work supervised. Then it provides for a determination of the number of 
grades to be added to this base level to reflect properly the kind and 
degree of supervisory responsibilities and problems which characterize 
the work assignment. 

Elements which determine the appropriate increment over the base level 
of work supervised are grouped into three factors: The kind and degree of 
supervision exercised; the scope and variety of operations supervised; and 
special additional responsibilities. 

The kind and degree of supervision exercised relates to the extent to which 
the supervisor is required to perform, and is held responsible for, the 
many elements of work planning and organization, work assignment and 
review, supervisory personnel functions, and technical responsibility 
which comprise the total supervisory pattern. 

The scope and variety of operations supervised is the factor which relates to 
the size and workload and variety of work and activities of the organiza- 
tion supervised. 

Under special additional responsibilities are considered such items as 
problems which stem from supervision of shift operations, from large and 



frequent fluctuations in work force, from constantly changing assign- 
ments and deadlines, from dispersion of work force, and from special 
staffing situations. 

Scales for Factor II, Kind and Degree of Supervision Exercised, for Factor 
III, Scope and Variety of Operations Supervised, and for Factor IV, Special 
Additional Responsibilities, provide the means for determining the values 
of these three factors. Values for these factors are expressed in terms of 
points assignable if the factors, or their elements, meet designated 
conditions. These points are then converted into the number of grades to 
be added to the base level of work. 

For positions covered by Part I, such a system of points, and conversion 
of points to grades, seems to be the most practical way of systematically 
relating and reconciling the many variables of supervisory situations into 
a consistent set of grade evaluations. However, the fact that judgments 
regarding these elements are quantified should not obscure the fact that 
they &r& judgments. 

Neither should the classifier lose sight of the fact that the situations 
described are norms, or statements of concepts and intent, rather than 
absolutes. 

Sound classification judgment, rather than rigid and slavish arithmetic, 
should still be the basis of evaluations. For example, several criteria are 
given for determining the number of "kinds of work" present in the job. 
The intent of this element is to credit the additional breadth of knowledge 
required to supervise dissimilar kinds of work. Classification series are 
not, of course, all equal in breadth of coverage, nor does the presence of 
work falling within a particular series necessarily imply that the job 
involves the full range of knowledge typical of the series. Thus, good 
classification judgment may determine that elements of two or three very 
closely related series may represent essentially one "kind of work" 
(especially if each element covers only a narrow band of the series), or 
that two job elements within one broad series may represent two "kinds 
of work" if sufficiently dissimilar and if a sufficient breadth of different 
subject-matter knowlege is required. 

Similarly, in relating staff to workload, the standard implies that the 
present staff-workload ratio may be accepted as a base. However, 
abnormal staff- workload ratios, if blindly accepted, could tend to distort 
grades. While classifiers do not have responsibility for determining staff- 
workload ratios, they must be alert to the effects that any known 
overstaffmg or understaffing may have on application of this standard. 
Where there appear to be marked incongruities between workload and 
staff, the situation should be clarified before application of this guide. 

Exercise of judgment may be required in weighing the value of other 
elements, such as "full and final technical responsibility," or "constantly 
changing assignments and deadlines," against the intent of the guide. 
When a position is borderline in two elements, they may be balanced 
against each other by crediting one and not crediting the other. 



Factor I. Base Level of Work Supervised 

The intent of this factor is to identify the highest level of "line" or 
productive work which constitutes a significant proportion of the work 
under the technical supervision of the position being evaluated. The base 
level of work supervised will be the highest actual grade of a substantial 
proportion of the nonsupervisory positions in the unit. In some instances, 
however, job dilution may result in a situation in which none of the 
nonsupervisory jobs are classified at the full performance level of work 
which is present in the unit. In such cases, a "constructed" level, as 
determined under 3, below, will be used. 

To Determine Base Level of Work 

1. Identify the different kinds of work represented among the "line" 
jobs of the unit 

A "kind of work" usually will be equivalent of a classification series. 
However, this does not apply to such broad series as GS-301 or GS-501 
which, by definition, may include work throughout the range of an entire 
occupational group. More than one "kind of work" may be identified for 
a series or position when separate elements comprise distinct and separate 
blocks of work, and require substantially full qualification in distinctly 
separate areas, or full knowledge and understanding of rules, regulations, 
procedures 'and subject matter of a distinctly separate area of work. 

Some positions appropriately classified by this guide may also have 
responsibility for work covered by the Federal Wage System. Although 
such wage grade work would not be identified as a "kind of work" for 
base level determination, it may be credited for variety under element 2 
of Factor III. For wage grade positions a "kind of work" is represented 
by the broad trade or craft such as automotive mechanic, carpenter, or 
plumber; the various specialized series of the trade are not to be 
recognized as separate "kinds of work." 

Work in the following categories should not be identified as separate 
"kinds of work" for base level or variety determinations: 

Work in individual positions that may have elements which can be 
related to more than one classification series when such positions 
involve performance of a homogeneous, integrated assignment. 
Work in a series which is wholly contained within some other 
specific series. For example in a unit performing time, leave and 
payroll work only the Payroll Series should be recognized rather 
than separately recognizing the Time and Leave Series and the 
Payroll Series. 
Work in wage grade occupations which are ancillary to a trade or 

craft (e.g., helpers, laborers, etc.). 

"Line" positions are positions directly engaged in performing the work 
for which the unit was established, such as voucher examiners and, 
payroll clerks in a Payroll and Voucher Unit. "Support" positions, which 
are to be distinguished from "line" positions, are those which perform 
facilitating services to the unit, such as stenographers or file clerks in a 

10 



Payroll and Voucher Unit. However, stenographers would represent 
"line" positions in a Stenographic Pool, while file clerks would represent 
"line" positions in a Files Unit. 

2 Find, foi each kind of "line" work, the highest-graded non-supervi- 
sory position or positions over which the positions being evaluated has 
technical supervision. 

3. Ascertain whether the grades of the positions identified undei 2 
(above) for each kind of work represent the appropriate grades for full 
performance, under normal supervision, of such work as it occurs in the 
unit. Note: By "normal supervision" is meant a level of supervision which 
is neither close and detailed, nor so minimal as to demand an extraordi- 
nary degree of personal independence and responsibility which is not 
normal to the nature and variety of work performed. When base work is 
at a very low grade level, and the work is so standardized or so 
circumscribed as to offer little or no opportunity for use of judgment, 
"normal supervision" may be equivalent to "immediate supervision." 
Above the lowest grade levels, "normal supervision" represents the level 
commonly called "general supervision," at which employees are ex- 
pected to receive assignments without detailed instructions and to carry 
them through to completion with substantial independence. They may 
consult their supervisor on problems, and the finished work may be 
subject to either spot-check or full review, depending on the type of 
work and the circumstances. In either case, the employees are considered 
to be operating at the "full performance level" for the kind of work they 
are doing. 

Constructed Grade: 

In some cases, where there has been considerable subdivision of work 
assignments, or where the entire staff of a unit is in training, it may be 
found that the full performance level of one or more kinds of work is not 
reflected in any established nonsupervisory position. In such cases, a 
hypothetical or constructed grade may be determined which represents 
the grade which would be appropriate for a position performing, under 
normal supervision, the full range of that kind of work as it occurs in the 
unit. This constructed grade may be used as the base level for that kind of 
work. Variety of work within a classification series may be considered in 
arriving at a constructed grade. Variety which involves work in more 
than one classification series is not to be used in building hypothetical 
grades for this factor, but is to be credited under Factor III. 

4. The base level of work will be the highest level of nonsupervisory 
work under the direct or indirect supervision of the position being 
evaluated when such work meets the following criteria: 

It represents a significant portion of the total work of the unit. Work 
at a particular level represents a significant portion of the total work 
of a unit when: 

a. Such work constitutes more than half the work of at least two of 
the full-time positions supervised, and 



11 



295-960 0-79-3 



~. .VUUUL ^ H i,.._i_ufc ui muic ui me bUDorumaies are at least at tnai 
level; 

The supervisor is responsible for technical and administative super- 
vision over the work; and 

The grade level is not based on extraordinary independence or 
freedom from supervision, or is not dependent on a snaring or the 
supervisor's supervisory responsibility such as assistant supervisors, 
work leaders, or reviewers. 

Factor II, Kind and Degree of Supervision Exercises 

This factor is intended to measure the degree to which the supervisor 
whose position is being evaluated is actually responsible for the various 
facets of technical and administrative supervision, as involved in such 
things as work planning and organization, work assignment and review, 
and the exercise of supervisory personnel functions. 

For the most part, the kind and degree of supervisory responsibility 
exercised, as expressed in elements 1-3, below, also expresses the extent 
of supervision received from above and the extent of the incumbent's 
technical responsibility for the work product. However, in some cases, a 
position may entail an extraordinary degree of technical responsibility in 
the subject area, which is not comprehended under elements 1-3. Such a 
degree of technical responsibility is given separate weight under element 
4. 

This factor is divided into four elements as follows: 

Element 1 Work Planning and Organization; 
Element 2 Work Assignment and Review; 
Element 3 Supervisory Personnel Functions; and 
Element 4 Full and Final Technical Responsibility. 

To Evaluate Factor II 

Compare the responsibilities of the position being evaluated, element by 
element, with the three defined degrees of each of the first three elements 
below. For each element in which the position matches defined Degree 
B, C, and D assign 3, 5, and 7 points, respectively. Since the guide does 
not provide for the crediting of intermediate points, the highest degree 
should be chosen for which substantially all duties and responsibilities 
listed for that degree are performed. Not all degree levels may be 
discernible in a given organizational unit, 

Degree D provides credit for additional supervisory responsibilities and 
decision-making authority that exceed Degree C on elements 1-3. Such 
responsibility involves supervising an organization through one or more 
levels of subordinate supervisors whose supervisory responsibilities 
match Degree C on elements 1-3 of Factor II. 

Degree D does not automatically apply to the second layer of supervision 
in the hierarchal structure. Rather Degree D contemplates that subordi- 
nate supervisory positions will be delegated the degree of authority and 
responsibility described at Degree C for at least two of elements 1-3 of 

12 



this factor. In some organizational segments the kind of duties and degree 
of authority described at Degree D may not be encountered before the 
third or higher layer of supervision. Note: The terms "first" and "sec- 
ond" level of supervision reflect the nature of the responsibilities and 
accountability of the position, rather than the mere location of the 
position in the supervisory chain of command. 

In assigning points to elements 1-3 of Factor II for positions of supervi- 
sors over other supervisors, the following criteria should be applied: 

1. Positions which do not match at least Degree B on elements 1-3 are 
not "supervisor" positions and should not be treated as a level of 
supervision. (See the standard for work leader positions.) 

2. An assistant or one subordinate supervisory position does not 
constitute a level of supervision. Such positions are typically an extension 
of the supervisor's own responsibility. 

3. The responsibility and authority of a supervisor over two or three 
supervisors of small units (e.g., each with 3-5 employees) would not 
exceed the scope and difficulty for planning, organizing, assigning and 
reviewing work, and personnel administration beyond that described at 
Degree C on elements 1-3. 

4. To warrant Degree D on elements 1-3 the organization supervised 
as a minimum must be comprised of three or more units with subordinate 
supervisors whose duties, responsibility, and authority match Degree C 
for at least two of elements 1-3. Typically, each unit consists of a 
moderate or large number of employees (e.g., 9 or more). 

Element 1: Work Planning and Organization 

Degree B: (3 points) Supervisors at this level have authority to plan work 
schedules, and sequence of operations on a weekly, monthly, or project- 
to-project basis to meet the general schedules, priorities, and require- 
ments established by higher levels of supervisor. 

Degree B supervisors carry out such responsibilities as; 

Plan work schedules and sequence of operations on a weekly, 

project, or longer basis to assure an even flow and distribution of 

work, the expeditious handling of priority cases and the meeting of 

schedules and deadlines; 
Revise work schedule to meet changes in workload considering 

factors such as peak loads, availability of manpower, and processing 

time requirements; 
Coordinate with representatives of other units concerning matters of 

work accomplishment, priorities and procedures; 
Plan for sufficient amount of supplies; 
Make recommendations concerning the maintenance or replacement 

of equipment and the maintenance and safety of facilities; and 
Prepare workload and production reports as necessary and report on 

highlights of operations and problems in meeting work schedules to 

higher level supervisor. 



13 



Degree C: (5 points) In addition to planning the assigned work to meet 
schedules and deadlines for regular and peak loads and priority cases, 
supervisors at this level have authority to plan for and make changes in 
the organization of work for designated functions to achieve efficient and 
economical operations within allowable costs, staffing levels, and policies 
established by higher levels of supervision. In organizations that have 
several large units performing similar work, this authority may be 
exercised by serving on task or work groups, established to develop work 
plans and organizational changes. 

Degree C supervisors carry out such responsibilities as: 

Make changes in organization of work or assignment of functions to 

positions to improve work flow and services rendered, promote job 

satisfaction, increase productivity, etc.; 
Recommend and justify to higher authority changes that may 

increase costs or jeopardize the status of employee's tenure, limit 

services rendered, or affect work outside own unit; 
Prepare plans to meet substantial changes in workload and propose 

and justify revisions in staffing levels, work priorities and deadlines; 
Coordinate with representatives of other units to work out changes 

and pr9blems that affect outside organizations; and 
Develop and report to higher levels of supervision estimates of 

budget requirements based on past experience, anticipated workload 

and the production capability of the unit. 

Degree D: (7 points) In addition to the authority to make changes in the 
organization of work within allowable costs and established policies as 
described at Degree C, Supervisors at Degree D have authority to 
develop plans and schedules for guidance of subordinate supervisors in 
their organization supervised for the accomplishment of work to meet 
program goals, objectives and broad priorities established by higher 
levels of management. 

Degree D supervisors carry out such responsibilities as; 

Analyze work requirements and determine staff resources, equip- 
ment and other resources needed to accomplish work assignments, 
and make adjustments among subordinate units as deemed appropri- 
ate; 

Establish and adjust long range schedules, priorities and deadlines 
for regular and special work assignments, and coordinate work 
schedules among subordinate units; (Long range typically involves 
planning cycle such as annually or semi-annually.) 

Review, approve, modify, or reject changes in functions, structure, 
position design, staffing levels, and the like proposed by subordinate 
supervisors and collaborate with higher levels of management in 
making decisions relating to major changes in work plans or oper- 
ations; 

Coordinate work operations among subordinate units and with other 
organizations for matters that may adversely affect other operations 
or programs; and 



14 



Review and analyze records and reports of work production, costs, 
and equipment and staff resource utilization to evaluate progress and 
to control or reduce costs; report progress and resolution of prob- 
lems in achieving goals and objectives to higher levels of manage- 
ment. 

Element 2: Work Assignment and Review 

Degree B; (3 points) Degree B supervisors have authority to determine 
how the workload should be assigned, processed and reviewed to achieve 
an acceptable quality level. 

Degree B supervisors carry out such responsibilities as: 

Assign work to employees or assign employees to positions; break 

out tasks as necessary to provide new employees with the experience 

and training required to perform the work; 
Assign work (including overtime, disagreeable or choice tasks, etc.) 

among employees equitably; 
Explain work requirements, methods and procedures as needed, 

giving special instructions on difficult or different operations and 

answering technical questions about the work; 
Review work in progress or upon completion or spot check work 

not requiring or susceptible of review, as they deem appropriate to 

assess the quality and quantity of work produced by each employee; 

and 
Inform employees about the policies, procedures, and practices of 

management as they relate to the work of the unit. 

Degree C; (5 points) In addition to insuring that work output is of an 
acceptable quality and quantity as described at Degree B, Degree C 
supervisors have authority to define the standards for the work and to 
prepare and issue internal instructions and procedures for its accomplish- 
ment. 

Degree C supervisors carry out such responsibilities as: 

Assign work to employees or to units or assign employees to 
positions based on a selective consideration of such factors as 
difficulty and requirements of assignments; availability, capability 
and special qualifications of employees; and other resources avail- 
able; 

Formulate and issue (individually or collectively with other supervi- 
sors or specialists) written instructions and procedures and special 
instructions for non-routine or complex assignments or to clarify 
published guidelines; 

Set or participate in setting performance standards; 

Review work in progress or upon completion, production reports or 
other data to ascertain problems in accuracy, adequacy, adherence to 
procedures, etc. of individuals or units and take corrective action as 
necessary; or review and accept, amend or reject work for which 
quality standards have not been established or which may have had a 
lower-level review; and 



15 



Keep employees informed of management goals and objectives and 
higher level supervisors informed of employees' participation and 
concerns. 

Degree D: (7 points) In addition to responsibility for defining quality 
standards and internal instructions and procedures for the work as 
described at Degree C, supervisors at Degree D have authority to 
establish operating guidelines for and to coordinate activities of subordi- 
nate supervisors relating to such matters as organizational structure, 
performance standards, and work review and reporting requirements to 
achieve the goals and objectives established by higher management 
levels. 

Degree D supervisors carry out such responsibilities as: 

Assign and explain work requirements to subordinate levels of 

supervision for new or changed programs, functions, goals and 

processes; 
Establish operating guidelines to implement procedures, methods, 

and other work related changes; 
Study continuing problems in the quality and quantity of work and 

operating effectiveness and take or recommend necessary corrective 

actions; and 
Resolve technical work problems not covered by precedents or 

established policies. 

Element 3: Supervisory Personnel Functions 

Degree B; (3 points) In addition to providing pertinent information to 
employees, Degree B supervisors have authority to carry out established 
personnel functions and practices, and to keep employees informed about 
important aspects of personnel management programs, 

Degree B supervisors carry out such responsibilities as: 

Inform higher level supervisor of anticipated vacancies, increase in 
workload or other circumstances to obtain replacements, temporary 
help or additional staff; 

Informally recommend promotions, reassignment, or other status 
changes of assigned personnel, such as retention or release of 
probationary employees, step increases, and recognize outstanding 
performance by recommending meritorious awards; 

Oversee attendance and leave, typically including approval of ordi- 
nary sick and annual leave and vacation schedules; 

Resolve informal complaints of employees that are within their 
jurisdiction, contacting higher levels of supervision, service, or other 
organization, as appropriate for information and correction of unsat- 
isfactory conditions; 

Direct on-the-job training for employees, broaden employee training 
and provide back-up skills by cross training; 

Advise employees of the performance requirements of their positions 
and keep them informed individually of their progress in meeting the 
requirements; 



16 



Hold coirective interviews with employees and refer disciplinary 
problems to higher level supervisor; 

Prepare formal evaluation of employee performance or provide 
appraisals to be incorporated into the formal evaluation; 

Where labor-management agreements exist, deal with union stew- 
ards on matters involving action by an immediate supervisor; 

Implement provisions of personnel management programs where 
well established procedures exist in their installation or organization 
such as, equal employment opportunity action plans, career develop- 
ment plans, training plans; time, leave, and overtime policies and 
practices, award and incentive systems; grievance procedures, and 
safety practices; 

Explain to employees the main features and general procedures of 
the merit promotion plan, relevant training programs and opportuni- 
ties, basis for classification of employees 1 positions and pay changes, 
counseling and health services, and the like; and seek answers to 
more technical questions from higher level supervisors or staff 
specialists; and 

Inform employees about the policies, procedures and goals of man- 
agement as they relate to the work of the unit and changes thereto; 
and inform management of employees' participation, suggestions, 
and reactions. 

Degree C: (5 points) In addition to responsibilities for keeping employees 
and higher level supervisor informed of personnel matters that affect 
them, supervisors at this level have authority to prepare formal and 
follow-up actions for most supervisory personnel functions. 

Degree C supervisors carry out such responsibilities as: 

Prepare formal requests for filling vacancies or for additional person- 
nel to meet workload requirements; 

Select (or participate with considerable weight in the selection of) 
employees from lists of eligibles (where large numbers of new 
employees are hired at one time, selections may be made collectively 
with other supervisors); 

Prepare formal requests and recommendations for promotions, 
reassignments, other status changes, or recognition of outstanding 
performance of assigned employees; 

Prepare position-classification actions; 

Approve and disapprove leave and recommend action in unusual 
cases; 

Receive formal grievances, resolving those that can be resolved at 
the first full supervisory level; 

Take disciplinary action as deemed necessary and propose to higher 
authority a specific disciplinary action consistent with the problem 
and facts (i.e., suspension, demotion, letter of warning, or removal); 

Formulate training plans for assigned employees; conduct informal 
training to broaden employee skills and to provide back-up skills by 
cross training; recommend more formal training when need is 
apparent; and officially recommend employees for formal training 
courses; 

17 



Implement specific and general provisions of government-wide and 
installation programs in the area of equal employment opportunity 
and employee management relations to assure equal treatment of all 
employees; and 

Inform employees of all aspects of personnel programs of the 
installation, either answering their questions on such matters or 
obtaining information from specialists when more technical answers 
are required, 

Degree D: (7 points) In addition to authority to initiate formal and follow- 
up actions for personnel functions typical of Degree C, supervisors at 
Degree D have authority to establish internal guidelines for and approve, 
modify, or reject personnel actions of subordinate supervisors. 

Degree D supervisors carry out such responsibilities as: 

Develop internal programs, plans, and procedures to insure that 
subordinate supervisors implement the provisions of vaiious Gov- 
ernment-wide, agency, or installation programs such as equal em- 
ployment opportunity, merit promotion plans, career development 
plans, performance appraisals, counseling services and others to 
achieve equitable treatment of employees; 

Select or contribute significantly to the selection of key employees 
(e.g., subordinate supervisor); 

Hear group grievances and serious employee complaints (including 
those refened from a lower level); 

Review serious disciplinary cases (i.e., those proposing suspensions 
and removals) and recommend approval or change to higher level 
management; 

Recommend disciplinary action involving key employees; 

Approve, modify, or reject career development plans, training 
requests, employee utilization proposals, and similar matters and, 
typically, estimate and justify resources needed to accomplish plans 
recommended for approval to higher level management; 

Approve, modify, or reject formal tequests prepared by subordinate 
supervisors for promotions, reassignments, status changes, awards, 
selections, and the like; 

Prepare formal evaluation of the performance of key employees, and 
review evaluations prepared by subordinate supervisors; and 

Where labor-management agreements exist, deal with union stew- 
ards and others on matters involving action by second-level supervi- 
sors. 

Element 4: Full and Final Technical Responsibility (4 points) 

All supervisory positions which meet Degree C criteria for element 2 of 
Factor II, "Work Assignment and Review," will have a substantial 
measure of responsibility for the technical soundness of work which they 
supervise. This will ordinarily include responsibility for unreviewed 
decisions on most of the technical questions which arise in the normal 
course of the work. However, the normal work situation also provides 
sources to which the supervisor can turn for advice and assistance on the 



18 



particularly difficult and out-of-the-ordinary technical problems. There 
are, however, some situations in which a supervisor is required to assume 
extraordinary responsibility, without technical advice and assistance, for 
resolving any and all technical pioblems which may arise in the work. 

When, in connection with work which reaches at least a base level of 
GS-4, a supervisor is held responsible for all technical determinations 
arising from such work, without technical advice or assistance on even 
the more difficult and unusual problems, and without further review 
except from an administrative standpoint, 4 points will be credited for full 
and final technical responsibility. 

There is no intent in this guide to set "Full and Final Technical 
Responsibility" so high as to preclude its ever being credited in field 
positions. However, the intent is to restrict this credit to situations which 
involve a really extraordinary degree of finality of technical responsibility 
and decisions. 

Credit which the guide gives under the first three elements of "Kind and 
Degree of Supervision Exercised" covers positions with substantial 
technical responsibility and independence. This provides credit enough 
for the degree of "finality" of technical responsibility, which will be 
found in most of the supervisory positions covered, including those 
which, under loose usage of the term, may be said to serve "under only 
administrative supervision." 

Within any given establishment, and with respect to any one "kind of 
work," such a degree of responsibility should be neither segmented nor 
shared. The degree of responsibility which we are trying to identify 
quickly disapppears if there is a technically qualified person within the 
installation to whom the incumbent can turn for advice and decisions (or 
if advice can be obtained readily by a phone call or by consulting in the 
local commuting area). However, if an organization (such as a field 
establishment) has authority for taking final action in the subject area, if 
the incumbent is held fully and finally responsible for taking or authoriz- 
ing that action, and if the operating requirements of the situation are such 
as to normally preclude seeking technical advice except in rare instances 
(such advice being obtainable only outside the immediate organization), 
the necessary extraordinary responsibility would seem to be present. 

Factor III. Scope and Variety of Operations Supervised 

This factor is intended to measure the extent to which size, and workload 
and variety of functions of the organization supervised, contribute 
additional grade weight to the supervisory position. 

It is well recognized that, other things being equal, the greater the 
workload and scope of operations supervised, the more difficult and 
responsible is the supervisory position. 

The problem in attempting to measure this facet of supervisory jobs is 
that there is no common denominator which fully holds "other things 
equal" and provides a valid measure of workload differences. Even 
within the same kind of work, where workload may be measured by 

19 



counting the number of comparable items produced, differences m 
equipment provided by management, or in other operating conditions, 
may impair comparability- And, of course, where items produced are not 
even the same kind (as across occupational lines), there is no common 
direct measure of workload, 

There is, however, a definite and recognized correlation between the 
scope of a supervisory job and the number of employees needed and 
provided by management for the accomplishment of that job. It is a 
truism that an efficiently run statistical clerical operation requiring 30 
clerks is a greater supervisory responsibility than an otherwise complete- 
ly comparable statistical clerical operation requiring only 5 clerks. The 
problem, of course, is that even here we have postulated equally efficient 
supervision and organization and equally sound decision by management 
as to the necessity for the number of employees assigned. These postu- 
lates represent assumptions which may not, in all cases, be completely 
applicable. There may be differences in efficiency of supervision or 
organization by which one unit can, with fewer employees, carry the 
same workload as a comparable unit, or, with the same number of 
employees, carry a larger workload. 

In matters of efficiency of employee performance, or effectiveness of 
management, the classification process can provide valuable information, 
and assistance. It does not, however, have direct authority and responsi- 
bility in these areas. Thus, while classification must avoid placing a 
premium on inefficiency, it is not, and was not intended as, the vehicle for 
rewarding efficiency. Other means such as incentive awards, are pro- 
vided for that, Similarly, while classification must not encourage poor 
management, it is not, and should not be held, responsible for manage- 
ment's job of assuring efficient and economical operations. 

The fact remains that the number of employees furnished by management 
to do a job is the only readily available common denominator of the 
supervisory scope of that job. If efficiency of supervisors and manage- 
ment were equal, and if situational differences were fully accounted for, 
this would be a completely reliable common denominator. Within reason- 
able norms of supervisory and management efficiency, the differences in 
size of work force that may arise from supervisory or management 
differences will be insignificant in comparison to the magnitude of work 
force differences which would have grade significance. For the purpose 
of classification, such reasonable norms must be assumed unless there is 
evidence that a given situation does not conform to the "norm." 

For these reasons, after giving separate consideration to the grade level 
of work supervised and the kind and degree of supervision exercised, and 
after providing for separate treatment of variety and special additional 
responsibilities, the size of the work force supervised is treated as one 
pertinent element in the evaluation of supervisory positions. When 
applied with proper judgment, it is considered the best available index of 
volume of work and the supervisory and management problems resulting 
from such volume of work. Application of this size of work force factor 
should always be conditioned by good judgment as to the existence of a 

20 



normal relationship between the work force and the workload and 
supervisory and managerial problems for which it is taken as an index. 

It is also recognized that the variety of work, particularly as such vaiiety 
calls for distinctly broader knowledges of varied subject-mattei fields, 
contributes complexity to the supervisory job. Consequently, variety of 
work supervised is treated as element 2 of this factor 

Element 1; Size of Work Force Supervised 

The table below indicates the points to be credited for various ranges in 
the size of the work force supervised. No points are credited for the first 
range of employees supervised because this reflects supervisory responsi- 
bility which leceives grade credit through other elements of this guide. 

Points To Be Credited for Size of Work Force Supervised 

Size of Points To 

Work Force Be Credited 

3-5 

7- 12 4 

15- 30 8 

40- 80 16 

100-200 24 

Instructions for Use of the Table; 

1. For the purpose of the above table, count all employees in the unit 
or units supervised, regardless of whether they are in "line" or "support" 
positions. In organizations with a pattern of several substantial fluctu- 
ations in the size of the work force during the course of each year, credit 
a number of employees which represents an overall average of the 
supervisory load carried for the year. In organizations with a pattern 
characterized by a very sizable work force increase that is sustained over 
a number of months in a year (e.g., 5 or 6), credit a number of employees 
which represents the sustained heavier supervisory load carried duiing 
this period. 

2. Count part-time employees in proportion to the number of hours 
worked (e.g., two employees working half time are counted as one 
employee). 

3. If the number of employees falls within a range shown in the table, 
credit the points applicable to that range. If it falls in the gap between 
ranges, credit the points for the lower of the ranges, as shown on the table, 
but take note of the fact that the position fell in the gap between ranges 
for possible adjustment as described under Conversion of Points to Grades. 
Use only the specific point values shown. 

4. There may be isolated instances in which supervisory positions 
covered by this part involve supervision of larger numbers of employees 
than shown in the table. In such instances, additional credit may be given 
for size of work force supervised. However, determination of the amount 
of additional credit to be given involves more than an arithmetic 
projection of the supervisory ranges shown above. As organizations 
increase in size beyond the ranges shown, the impact of additional 



21 



employees diminishes at a much more rapid rate than would be derived 
by mathematically projecting these ranges. What is required in such 
instances, therefore, is a determination as to the degree to which 
supervisory problems are actually compounded by the greater numbers 
involved. Such a determination is converted to a judgment as to the 
points to be added. 

Element 2: Variety of Work (2-8 points) 

Where more than one kind of work, each kind representing a requirement 
for -A distinctly additional body of knowledge, is present in a unit, 
additional points for variety will be credited. Two points will be credited 
for the second, and each additional kind of "line" work up to a maximum 
of 8 points on the following basis: 

In identifying "kind or line of work," use the criteria contained in 

paragraph 1, Factor I; 
Both technical and administrative responsibility must be exercised 

over the work; 
The grade level of the work must be at, above or not more than one 

grade below the base level of work supervised; 
The work of positions which operate with unusual independence, or 

which do not represent a significant proportion of the work of the 

unit may be counted for this purpose. 

Factor IV,- Special Additional Responsibilities 

This factor covers the additional grade value of such elements as 
supervision of shift operations; fluctuating work force or constantly 
changing assignments and deadlines; physical dispersion of subordinates 
and special staffing situations. It is possible that elements other than those 
identified below can impose special additional responsibilities on a super- 
visor. However, extreme caution should be used in crediting "special 
additional responsibilities" not credited in the guide. This caution should 
include a determination that the extra responsibility is not implicit in 
factors already credited, and that it truly has grade weight of the value 
credited to it. 

Element I: Supervision of Shift Operations (4 points) 

When the position being evaluated is responsible for supervising activities 
which are carried on throughout three shifts, or through two fully stated 
shifts, an additional 4 points will be credited for supervision of shift 
operations. Credit under this element will not be given in situations where 
the operation is essentially carried out on one shift, with part of the staff 
working staggered hours to provide service for somewhat longer than an 
8-hour period, or where only a skeleton force may work part or all of a 
second shift. 

Element 2: Fluctuating Work Force 

or 
Constantly Changing Deadlines (4 points) 

a. Fluctuating Work Force: 

22 



In some situations, there may be large fluctuations in total work force 
employed. These significant differences may result from seasonal or othei 
variations in workload. These fluctuations impose on the supervisor a 
substantially greater responsibility for training, adjusting assignments and 
maintaining a smooth flow of work while absorbing and releasing laige 
numbers of employees. 

Therefore, in circumstances where all the following conditions are 
present, 4 points may be credited for fluctuating workforce: 

\. There are substantial cyclic fluctuations. 

2. Within a period of a year variations in the work force supervised 
amount to at least 100 percent of the minimum force foi that period 
but not fewer than 10 employees. 

3. The number of points credited for Size of the Work Force Supervised 
(element 1 of Factor III) depicts a number of employees which 
represents an overall average of the supervisory load carried during 
the year. 

There is a direct relationship between the basis for crediting the woik 
force size and the basis for crediting supervisory responsibility stemming 
from fluctuations. When the number of points credited under element 1 of 
Factor III denotes the number of employees in the work force during a 
number of months (e.g., 5 or 6) and constitutes a sustained heavier 
supervisory load, additional points may not be ciedited for fluctuative 
work force. In such a situation the greater number of points assigned for 
size of work force adequately recognizes the supervisory responsibility 
derived from absorbing and releasing large numbers of employees. 

OR 

b. Constantly Changing Assignments and Deadlines; 

While almost any work situation will involve problems in regard to 
deadlines and changes in work assignments and goals, in a few cases these 
problems are so much greater than normal that they add significantly to 
the supervisor's responsibility. These are cases in which frequent, abrupt, 
and unexpected changes in woik assignments, goals, and deadlines 
require the supervisor to be constantly adjusting operations under the 
pressure of more or less continuously unpredictable, changing conditions. 
As a general principle, this element will not be credited unless it reflects 
problems which clearly stand out as exceptional Established and predict- 
able, or unvarying, deadlines or work variations which follow a regular 
pattern will not be cause for giving credit to this factor. Similarly, peak 
workloads, changes in procedures, and new work or processes which are 
(or can be) anticipated will not warrant credit under this element. 

Characteristic of the situations this element is intended to cover include 
changes of deadlines on short notice; unexpected deadlines; or strict 
deadlines where the workload is highly variable, unpredictable, and 
uncontrollable; changes in the desired work pioduct which require 
redoing substantial amounts of work, or redirecting the efforts of the 
major part of the organization, etc. 



23 



When such situations occur with such frequency that the position is 
found to involve exceptional responsibilities resulting from constantly 
changing assignments and deadlines 4 points will be credited if extra 
credit has not been given for Fluctuating Work Force. Both of these 
elements will not be credited in the same position, as they are considered 
to involve generally parallel demands on the supervisor and to require 
basically similar skills. 

Element 3; Physical Dispersion (2 points) 

Additional supervisory problems are presented in the supervision of 
positions which are physically located in widely separated places. When 
a substantial portion of the work force for which the supervisor is 
responsible is regularly assigned to one or more locations which are 
physically removed from the location of the main unit (as in different 
buildings, or widely dispersed locations in a large warehouse or factory 
building), under conditions such as to make day-to-day supervision 
difficult to administer, 2 points will be credited tor physical dispersion. 

One or two employees should not be considered "a substantial portion of 
the work force." For purposes of this element, employees, such as 
timekeepers, messengers, etc,, who work out of the same offices as the 
supervisor, but whose daily duties require circulation, or the making of 
certain rounds, shall not be considerd "physically separated" from the 
supervisor. However, employees such as guards whose full duties are 
performed at an .assigned post removed from the supervisor will be 
considered as "physically separated" from their supervisor, even though 
they may report at the start of their tour of duty to a central point for 
instructions and assignment to a post of duty. 

(This element should not be construed as applying to staff-type technical 
"supervision" of activities which are not under the line control of the 
incumbent, nor as an implication that such responsibilities are to be 
classified under this guide.) 

Element 4; Special Staffing Situations (4 points) 

Supervisors are responsible typically for devising work assignments and 
conducting on-the-job training for and guiding employees at the trainee 
level However, some staffing situations may impose on the supervisor a 
substantially greater responsibility for job design, job reengineering, 
work scheduling, training, teaching, counseling and motivating beyond 
that which is normally encountered in orienting and training new 
imployees in the work. For example, special employment programs such 
as new careers, work-study, upward mobility, rehabilitation, and others 
may be geared toward utilizing employees with very low level skills and 
inappropriate or no work experience. Other staffing situations also may 
involve exceptionally difficult attitudinal and motivational problems. 

Four points may be credited for special staffing situations when the 
following conditions are present: 

Several positions are used regularly for special employment pro- 

24 



grams, 01 a substantial portion of the work force is involved (one or 

two employees should not be considered a substantial poition), 
Job assignments, work tasks, and tiaming must be tailored, in part, to 

fit these special circumstances for individual employees, and 
Counseling and motivational activities are regulai and lecurnng and 

are essential to the effective handling of the special situation 



The points credited under Factois II, III, and IV, which reflect the 
degree of supervisory lesponsibihty piesent in the position, conveit, in 
accordance with the following scale, into thr numbei of grades to be 
added to the base level of work. Howevei, before a final grade is 
established for the position, ceitain further Adjustment Factors are for 
consideration, 

Conversion Scale for Number of Grades to be Added to Baw Level of Work 
for Supervisory Responsibilities 



If total of points 




credited is: 


Add 


9-11 


1 grade 


13-18 


2 grades 


20-27 


3 grades 


29-38 


4 grades 


40-51 


5 grades 


53-66 


6 grades 


68-up 


7 grades 



If direct application of the above scale would result in a grade above 
GS-11 use the following special adjustments: 

Subtract 1 grade from the giade resulting from conversion if that 

grade is GS-12 or GS-13. 
Subtract 2 grades from the grade resulting from conversion if that 

gradeisGS-14orGS-15. 

This special adjustment is made because the scale for conversion of points 
to grades in Part I assumes the addition of grades (up to 7 grades may be 
added), which are based on the breadth, or span, of grades in the one- 
grade progression (GS-5, 6, 7, 8, 9, 10). These grades are, howevci, 
nat rower in their individual ranges or spans than grades GS-11 and 
above. Stated differently, the difference between GS-11 and GS-12, or 
between GS-12 and GS-13, etc., represents, and always has lepresented, 
a full grade in the progression of professional work. As such, these grades 
are the counterparts in range of the two-giade steps from GS-5 to 7 to 9 
to 11. To permit allocations above GS-11 through direct application of 
Part I would equate the grade spans at the upper levels to those at levels 
below GS-11, and would therefore distort the evaluation scheme. 



25 



Adjustment Factors 

1. No position which clearly meets the minimum supervisory criteria 
(which includes at least level B responsibilities on elements 1-3 of 
Factoi II) will be classified below GS-5. 

2. No supervisory position which meets the minimum supervisory 
criteria will be classified less than one grade above the highest 
subordinate nonsupervisory position over which the incumbent 
exercises administrative and technical supervision. 

3. For borderline positions, the final decision between two possible 
grades should be determined on the basis of sound classification 
judgment as to the overall worth of the position and in consider- 
ation of best alignment with other properly classified positions. A 
position may be considered bordeiline in one of the following 
situations: 

a. When the total points for Factors II through IV fall in a gap 
between the ranges specified above for conversion of points to 
"Grades to be added;" 

b. When the size of the work force supervised falls in a gap 
between ranges of the scale provided in element 1 of Factor 
III, and the total point credits for the position are at the top, or 
next to the top, value of a range in the Conversion Scale; or 

c. When the grade results in GS-12 or GS-14 after conversion 
and the point credits for the position are at the top, or next to 
the top, value of a range in the Conversion Scale. In such 
instances the automatic reduction may be modified to either 
or 1 grade at the GS-12 level and either 1 or 2 grades at the 
GS-14 level. 



26 



SAMPLE POSITION EVALUATION SUMMARY 
(USCSC SUPERVISORY QRADL EVALUATION GUIDE PART I) 



JOB NO 



INSTALLATION AND ORGANIZATIONAI 
LOCATION 



PAY CATEGORY SERIES CODE 



DATE 



SrONATURE. (Evaluating 
Authority) 



FACTOR I 



BASE LEVEL OF WORK-TITLE AND SERIES 



ORAEIL 



OS 



FACTOR II KIND AND DEGREE OF SUPERVISION EXERCISED 



I WORK PLANNING AND ORGANIZATION 



2 WORK ASSIGNMENT AND REVIEW 



3. SUPERVISORY PERSONNEL FUNCTIONS 



4 FULL AND FINAL TECHNICAL RESPONSIBILITY 



FACTOR HI SCOPE AND VARIETY OF OPERATIONS SUPERVISED 
I SIZE OF WORK FORCE 



NO. OF POSITIONS SUPERVISED BY SERIES AND GRADE 



2 VARIETY OF WORK 



FACTOR IV SPECIAL ADDITIONAL RESPONSIBILITIES 



I. SUPERVISION OF SHIFT OPERATIONS 



2a. FLUCTUATING WORK FORCE OR 



2b. CONSTANTLY CHANGING ASSIGNMENTS AND DEADLINES 



3. PHYSICAL DISPERSION 



4. SPECIAL STAFFING SITUATIONS 



TOTAL POINTS 



POINTS 



NUMBER OF GRADES TO RE ADDED TO LEVEL OF WORK 
SUPERVISED 



ADJUSTMENTS (Explain m Remarks Below) 



FINAL CLASSIFICATION 



OS- 



REMARKS 



27 



Coverage 

This guide is for direct use in the classification of positions which involve 
supervision of professional or other work properly classifiable in the two- 
grade interval pattern 1 (i.e., GS-5, 7, 9, 11, 12, 13, 14, \$) provided the 
positions are not excepted from coverage under the "Exclusions" criteria. 
It is also for direct use in the classification of positions which involve 
supervision of "one-grade interval" work, the base level of which is 
grade GS-9 or above. 

Organization and plan of Part II 

This part is designed to be used in evaluating regardless of their location 
in the supervisory hierachy all supervisory positions over professional 
and administrative work which can be evaluated best by reference to the 
base level of work performed by their subordinates. (Some supervisory 
positions must be evaluated on other bases and therefore are not cov- 
ered.) 

Study of supervisory positions makes it clear that it is not feasible to rely 
on a simple analysis which results in a one-grade increment over the 
highest level of work supervised. While this may give correct results in 
some instances, supervision is much too complex a function and much too 
important to organizational success to allow such a simple formula to be 
used in all situations. 

Therefore, in preparing this standard, we have been faced with the 
problem of providing for a wide variety of unusual circumstances and, at 
the same time, not overly complicating the evaluation process when a 
simple and direct method would serve the purpose. 

This problem has been met by a grade-determination plan which rests on 
four factors, with the first two factors assuming major importance in 
every case in setting the grade. The third and fourth factois come into 
play for adjustment purposes only as needed and appropriate, based on a 
comprehensive evaluation of the total situation. 

Outline Summary of Grade-Determination Process 

Determine the "Base Level of Work Supervised," Factor I (Pages 40 
thru 42). 



1 See Appendix A to Chapter 300 of the Federal Personnel Manual for a list of lines of 
work properly classifiable at two-grade intervals The list shows some occupations which 
include both "one-grade interval" and "two-grade interval" work Appendix instructions 
tell how to make the determination for individual types of positions, in such occupations, 

29 



Determine "Nature and Extent of Supervisory Responsibility," Factor 
II (Pages 42 thru 45). 

Under this factor, a position's responsibility is either: 

Degree B, or 

-Degree A 
Factors I and II determine a tentative or initial grade, The position may 

be stronger or weaker than this tentative grade indicates. Therefore, 

evaluate the total situation to see if there are: 

Strengthening "Managerial Aspects," Factor III (Pages 45 thru 47). 
(Major recommendations, decisions and actions affecting: basic con- 
tent and character of operations, program planning and evaluation, 
organizational improvements, relationships with outside groups, econ- 
omy of operations, and key officials.) 

& Strengthening "Special Additional Elements Affecting Supervisory 
Work," Factor IV (Pages 47 thru 50). 
Changing Work Situations 
Variety 

Special Technical Demand 
Other Special Elements 

& Weakening supervisory or administrative controls. 
Weakening or strengthening alignment considerations. 

O Other weakening or strengthening environmental circumstances. 

Span of the grades involved 

Other conditions 

Decide whether final grade should be 

8 Same as tentative grade 

$ Down one level because of weakening elements 

$ Up one level because of strengthening considerations (but see if 
conditions for upward adjustment are met). 

Exclusions 

"Exclusions," as used here, refers to the identification of those positions 
for which Part II is not designed to provide direct and complete grade- 
level guidance, and positions for which there are other standards which 
are more particularly appropriate. Part II, of course, may be used in 
evaluating portions of some of the positions identified as "Exclusions." 

1. Positions in which the degree of supervisory responsibility falls 
significantly below the level described in Degree B of Factor II. Briefly, 
Degree B involves supervision of a small to moderate number of 
employees performing professional, technical or administrative work; 
important work planning, assigning, overseeing and evaluating responsi- 
bilities; and significant responsibilities for supervisory personnel manage- 
ment functions, Positions excluded under this paragraph are further 
described in connection with the definition of Degree B of Factor II. (See 
pages 42 and 43.) 

2, Supervisory positions above the second supervisory level, i.e., those 

30 



which significantly exceed the accountability described for the compre- 
hensive evaluation of Degree A positions 

3. Positions at any echelon, having a full range of managerial functions 
as delineated in the "Definition of Managerial Positions," in the introduc- 
tory section. For a fuller discussion of such positions and the criteria foi 
exclusion see Factor III "Managerial Aspects." (See pages 45 thru 47.) 

4. Supervisory positions in which the paramount requirement is the 
supervision of trades or crafts positions. Such positions are not subject to 
the Classification Act. (See Section IV of the General Introduction, 
Background and Instructions to Position-Classification Standaids foi 
guidelines relating to such positions.) 

5. Positions engaged in basic or applied research or development in the 
biological, medical, agricultural, physical or mathematical sciences, in 
engineering, or in psychology, when the positions involve the direct and 
personal leadership of an participation in, the activities of a research team 
or organizational unit, and the basis of selection for the position is 
competence and capability in the performance of research or develop- 
ment rather than capability in supervising and managing an organization. 
(See "Reseaich Grade-Evaluation Guide and Equipment Development 
Grade Evaluation, Part III.") 

6. Supervisory positions in series for which classification standards 
provide specific grade-level guidance for supervisory positions. 

7. "Assistant Chief positions, As in Part I, the material in Part II is not 
geared to the direct evaluation of such positions. It is always necessary, 
though, to consider the appropriate grade of the unit chiefs position (and 
the basis for that grade) in evaluating an assistant chief position. 

8. Positions which have, in addition to supervisoiy work which can be 
evaluated under this guide, nonsupervisory work which is a regular pait 
of the job, requires materially higher qualifications than the supervisoiy 
work, and clearly constitutes the paramount responsibility. Such posi- 
tions are to be evaluated by reference to individual standards appiopriate 
for the work concerned. 

Special Note: 

Positions involving supervision of professional, technical or administia- 
live work usually have advisory, representational, negotiating and 
comparable duties duties which frequently are inseparable from su- 
pervision. Sometimes, however, such duties may be essentially nonsu- 
pervisory work. Making the distinction may be difficult at times. As a 
general guideline treat advisory, representational, negotiating and 
comparable duties as supervisory work if they are an integral part of 
planning, directing and controlling the work of others. Treat such 
duties as nonsupervisory if they are neither an integral part of the basic 
work performed by subordinates, nor essential to overseeing that woi k 

Factors 

I. "Base Level of Work Supervised, " involves determining the grade 
level of nonsupervisory work which is an appropriate reference base foi 
measuring the difficulty and responsibility inherent in supervisory woik. 

31 



II. "Nature and Extent of Supervisory Responsibility, " requires ascertain- 
ing what components of supervision are present in a position, and what 
the dimensions of these components are. 

III. "Managerial Aspects, " deals with vital decision-making responsibil- 
ities and associated aspects of directing work which are not adequately 
measured in Factor II. 

IV. "Special Additional Elements Affecting Supervisory Work," involves 
consideration of other elements which make supervisory work substan- 
tially more difficult and responsible elements not reflected or credited 
in evaluations under the first three factors. 

Factor I. Base level of work supervised 

The intrinsic difficulty and worth of supervisory positions covered by 
this guide is directly related to the difficulty and worth of the work 
performed by those supervised. Since subordinate positions often require 
performance of work at several levels of difficulty and responsibility, it is 
necessary to determine that level which best serves as a meaningful base 
for measuring the "work supervised" dimension of a supervisory position. 
This level is called the "base level"; it is defined below and expressed as a 
grade. 

Nonsupervisory work performed by subordinates which is above this 
base level should be evaluated by reference to Factor IV, "Special 
Additional Elements Affecting Supervisory Work". 

"Base Level" Definition 

The base level of work supervised is the grade of the highest level of 
rtonsupervisory substantive work under the direct or indirect supervision 
of the position being evaluated. Substantive work is that which directly 
furthers the purpose for which the unit is established. Thus, in a unit with 
a "staff" or "auxiliary service" function, the substantive work of the unit 
is the performance of that function. A budget analyst in a budget office is 
doing the substantive work of that unit; a budget analyst in an engineer- 
ing office is not doing the substantive work of that unit. The work 
identified as the base level must meet the following criteria: 

(a) It represents a significant portion of the total substantive work of 
the immediate unit in which it appears. Work at a particular level 
represents a significant portion of the total substantive work of a 
unit when: 

(1) Such work constitutes more than half the work of at least 
two of the full-time positions supervised; and 

(2) About 25 percent or more of the professional, technical, or 
administrative positions engaged in that substantive work are 
at least at that level; 

(b) It requires of the immediate supervisor substantial and recurring 
use of technical skills of the kind typically needed for directing 
work at that level, in addition to the use of supervisory skills 
common to all supervisory positions; and 

(c) It is not based on a degree of extraordinary independence or 
freedom from supervision. 

32 



Constructed Grades 

In some cases it may be necessary to establish a constructed grade level in 
order to determine the base level of work supervised. 

In units where there are trainees performing woik in professional or other 
"two-grade interval" occupations in which nontrainee positions are 
normally classifiable at a higher grade level, the full performance level 
for such work may be projected to art ho at a constructed grade level. 

There may be instances other than those involving trainees where the 
regular performance level for some work performed in a unit is not 
reflected in grade levels of established positions. For example, this may 
occur where a unit regularly carries out projects which by reference to 
appropriate standards, are typically handled by incumbents of GS-12 
positions, but because of circumstances such as inability to recruit 
qualified individuals at the GS-12 level, or the need for further develop- 
ment of current staff members, such projects are assigned to incumbents 
of GS-1 1 positions under greater-than-normal assistance and guidance. A 
constructed grade level representing the regular performance level 
(GS-12 in the example) may be used in situations such as this. 

Grades Which are Inappropriate for Base Level Consideration 

The base level of work should not be determined by reference to grades 
of subordinate positions in cases in which such grades depend primarily 
on: 

(a) A sharing of the supervisor's responsibility for planning, reviewing 
and/or coordinating work; 

(b) The "impact on the job" of a particular incumbent, rather than on a 
level of work which is normal for the job. 

Factor II. Nature and extent of supervisory responsibility 

Under this factor, two degrees of responsibility are defined Degree B 
and Degree A. Degree definitions are expressed in terms of scope and 
kinds of duties and responsibilities involved in directing subordinate 
workers, and in dealing with personnel management matters affecting 
such workers. The definitions include a criterion regarding the relative 
size of the work force performing work in professional, technical, and/or 
administrative occupations which is substantive as defined in Factor I. 
Include in this count positions established by reference to two-grade 
interval work or GS-9 or higher one-grade interval work. However, 
supporting technician positions in one-grade interval occupations may be 
counted as performing technical work. 

For both Degree B and Degree A there is an underlying assumption that 
the supervisory position being evaluated receives general direction and 
guidance from a higher ranking supervisory position. Under such super- 
vision, outlines of the work to be accomplished by a unit, general target 
dates, objectives, and major problems anticipated may be initially dis- 
cussed by the higher supervisor. The higher official may be consulted on 
the more difficult and controversial problems encountered. A continuing 
general review of completed work is made by the higher supervisor to 

33 



insure accomplishment of objectives, The higher official may engage in 
quality control reviews of individual work products, but apart from this, 
he does not normally give a technical review to work products except for 
those which may have out-of-the-ordinary impact, may be controversial, 
or may set a precedent. 

This section also describes, under Degree B, the criteria for excluding 
positions whose supervisory responsibilities are not sufficient for direct 
evaluation under the plan for this guide. 

Degree B 

Degree B encompasses a broad range of supervisory responsibilities 
exercised over a small to moderate Dumber of employees (e.g., 5 to 12), 
but at least three, engaged in substantive professional, technical or 
administrative work. Degree B always includes responsibility for insuring 
timely performance of a satisfactory amount and quality of work, and duties 
of reviewing work products of subordinates and accepting, amending or 
rejecting work. It also involves at least three of the first four, and six of the 
eight following duties and responsibilities: 

1. Planning work to be accomplished by subordinates. Setting prior- 
ities and preparing schedules for completion of work; 

2. Assigning work to subordinates based on priorities, selective consid- 
eration of the difficulty and the requirements of the assignments, and 
the capabilities of employees; 

3. Evaluating performance of subordinates; 

4. Giving advice, counsel, or instruction to individual employees on 
both work and administrative matters; 

5. Interviewing candidates for positions in his unit. Making recommen- 
dations for appointment, promotion, or reassignment involving such 
positions; 

6. Hearing and resolving complaints from employees. Referring group 
grievances and the more serious complaints not resolved to higher 
level supervisors; 

7. Effecting minor disciplinary measures such as warnings and repri- 
mands. Recommending action in more serious cases; 

8. Identifying developmental and training needs of employees. Provid- 
ing or making provision for such development and training. 

Positions With Supervisory Responsibilities Lower Than Degree B 

A position which does not meet the minimum criteria specified above for 
Degree B, does not have a sufficient level of supervisory responsibility to 
be directly evaluated by this guide. Such positions must be evaluated 
through considering standards and criteria not described in this guide; the 
total evaluation, however, may include appropriate reference to this 
guide for aspects which are supervisory. 

Degree A 

Degree A supervisory responsibility is substantially greater than Degree 
B. On an overall basis, it is characterized by all of the following: 

34 



The necessity to use some subordinates in guiding and controlling 
work; 

Especially significant responsibilities in dealing with officials of 
other units or organizations; 

Important responsibilities in advising higher supervisory and man- 
agement officials not covered by this guide; 

Clearly greater personnel management responsibilities than those 
typical of Degree B; 

Direction of a sizable woik operation. 

Typically, Degree A positions involve direct and indirect supervision of a 
moderate to fairly sizable number of employees (e.g., 15 to 30) engaged in 
substantive professional, technical or administrative work. Typically, the 
unit supervised is divided into sub-units each with its own supervisor. 

Degree A positions will involve most or all of the duties described for 
Degree B, and typically, in addition, the following: 

1. Making decisions on work problems presented by subordinate 
supervisors; 

2. Collaborating with heads of other units to negotiate, decide on, 
and/or coordinate work-related changes affecting other units; 

3. Advising officials with broader and higher responsibilities on prob- 
lems involving the relationship of the work of the unit supervised to 
broader programs, and its impact on such programs; 

4. Evaluating supervisors and reviewing evaluations made by supervi- 
sors on other employees; 

5. Making selections for nonsupervisory positions; recommending se- 
lections for supervisory positions; 

6. Hearing group grievances and serious employee complaints, or ones 
not resolved at a lower level; reviewing serious disciplinary cases 
(i.e., those proposing suspensions and removals), and disciplinary 
problems involving key employees; 

7. As needed, consulting with specialists on training needs, and decid- 
ing on training problems related to the units supervised. 

Positions involving the supervision of about 15 or more employees in 
situations not requiring the establishment of two or more subordinate 
fully supervisory positions may be in Degree A provided that such 
positions involve supervisory work equivalent to that represented by the 
typical duties and responsibilities described above. Such positions, for 
example, may involve the utilization of two or more subordinates in 
guiding and controlling work matters; serving as highly responsible 
advisor to program managers; and overall responsibilities in selection, 
training, grievance and disciplinary matters that approach that described 
in Items 5 through 7 above. 

Factor III. Managerial aspects 

This factor measures aspects of directing and accomplishing work which 
involve difficulties and responsibilities not adequately measured in Factor 
II, These aspects involve major recommendations and actions which 
have a direct and substantial effect on the organization and programs 
managed, of the type shown in the following categories: 

35 



Category No. 1: Major decisions affecting the basic content and character 
of the operations directed 

These decisions involve matters such as: 

What programs or major projects should be initiated, dropped, or 
curtailed; 

How much resources to devote to particular projects (when man- 
years and a significant portion of a unit's budget is involved); 

The timing of initiating, dropping, or curtailing particular programs, 
or major projects; 

What changes in emphasis need to be made in programs or parts of 
programs. 

Category No. 2: Basic program planning and evaluation activities 

These managerial activities involve decisions and actions related to such 
matters as: 
Long-range planning in connection with prospective changes in 

functions and programs; 

Periodic and comprehensive evaluation of program goals and objec- 
tives; 
Adjustments or redefinition of broad objectives. 

Category No. 3: Decisions on organizational improvements 
This category involves decisions on matters such as: 

Desirability of changes in organizational structure, and the particular 

changes to be effected; 
Desirability of changes in delegated authority, and the particular 

changes needed; 

Measures for improving coordination among subordinate units; 
Control measures needed to provide data for management. 

Category No, 4: Decisions which have an impact on relationships with other 
groups 

This category involves decisions on: 

What compromises to make in operations in view of public relations 
implications and need for program support from various groups; 

How to maintain effective relations with a variety of groups interest- 
ed in the program. 

Category No. 5: Decisions substantially affecting economy of oper- 
ations 

This category involves matters such as: 

Means of substantially reducing operating costs without impairing 
overall operations, e.g., methods improvements, sampling, automa- 
tion, etc.; 

Justifications for major expenditures for equipment, facilities, etc. 



36 



This category involves matters such as: 

Resolution of differences between key subordinate officials, i.e., 
'those with responsibilities for important programs; 

Selections, disciplinary actions, and other conclusive personnel ac- 
tions involving supervisors and other key officials. 

Supervisory positions vary a great deal in the degree to which they have 
managerial aspects which contribute to the grade determination. In some 
positions such aspects are insignificant, In many others, they are of 
limited significance. In still others, they may be sufficient to influence the 
final grade. A position covered by the guide has significant managerial 
aspects when it is concerned with matters of the type described in at least 
three of the managerial categories above. 

Excluded Managerial Positions 

Some positions at the first and second supervisory levels have managerial 
responsibilities great enough to exclude them from coverage by this 
guide. Positions at these levels are excluded on this basis, however, only 
if they have managerial responsibilities entailing making decisions and 
recommendations on matters of the type described in at least five of the 
managerial categories above under circumstances in which such decisions 
and recommendations have a direct and substantial effect on a program, 
and only if these responsibilities are so important a part of the job that the 
ability to carry them out is essential to satisfactory performance in the 
job. 

Such positions are excluded because the grade-evaluation plan of this 
guide is not designed for them. The intrinsic worth of such positions 
probably depends heavily on factors other than base level of work 
supervised. Such factors include the nature of the total program or 
complex of activities, the magnitude of resources utilized in the program, 
the total results expected, the consequences of management decisions 
made, etc. Therefore, in evaluating such positions it would be more 
appropriate to treat these factors directly rather than to use the base level 
of work supervised as a starting point. Since these factors tend to be 
highly specific to a give organizational and program setting, it is not 
practical to attempt to deal with them in this kind of general guide. 

Factor IV. Special additional elements affecting supervisory 

work 

This factor deals with those special elements, conditions, or situations 
which may make supervisory work substantially more difficult or respon- 
sible, and the true effect of which has not been measured in Factors I, II, 
or III. 

The following elements may be considered in the final grade-determina- 
tion process if the position being evaluated meets the criteria defined 
below: 

Element No. 1; Changing Work Situations 

This element contemplates situations which place unusual demands on a 

37 



supervisor because of frequent and substantial changes in the volume of 
work, the kinds or substance of work, and/or deadlines set for comple- 
tion of work. 

To credit this element all, or substantially all, of the following conditions 
should be present: 

(a) The time (approximate date) of such changes cannot be accurately 
predicted; 

(b) The changes substantially affect resources needed, and those 
resources cannot be accurately estimated; 

(c) The changing work situations require frequent and substantial 
reprograming, rescheduling, and/or reassignment of work; 

(d) The incumbent makes, or participates in making, many decisions as 
to impact of changing priorities; as to which work to defer in order 
to comply with new urgencies; as to whether to "farm out'* work 
or secure employees by temporary detail; or comparable decisions; 

(e) The changes require almost constant attention to work progress, 
and to adjustments in plans and schedules; 

(f) The situations are such that they demand of the incumbent such 
qualities as exceptional adaptability, special skills in planning, 
ability to act quickly, and ability to withstand considerable and 
continuing pressure. 

Element No. 2: Variety 

This element is designed to credit situations placing upon a supervisor a 
substantial demand for a variety of technical knowledges when that 
variety has not already been credited under Factor I; that is, this element 
is intended to credit variety which has made the job of supervision more 
difficult, but which has not influenced the grade of the base level work 
under Factor I, 

Variety may be credited only when all of the following conditions are 
present: 

(a) To perform his supervisory duties the incumbent is required to have 
an extensive understanding of, and intimate familiarity with, the 
principles, methods, and techniques of two markedly different spe- 
cialized areas of work l classifiable at or above the GS-9 level. 



1 One specialized area of work is "markedly different" from another if both of Hie 
following conditions are present: (A difference in series or in specialization does not of itself 
give conclusive evidence of marked difference.) 

(1) The supervisor must apply a knowledge of different principles, methods, and 
techniques for each of the specialized areas (in addition to applying a knowledge of 
the principles, methods and techniques which may be common to both specialized 
areas). 

(2) Ordinarily, persons qualified in the one specialized area cannot be assigned to a 
position at the same level in the other area and perform sat isfiic tori! y the full duties of 
the position without substantial additional training (one year or more). 



38 



(b) In each of two markedly different specialized areas, there is at least 
two, or the equivalent of two, subordinate employees performing, 
on a substantially full-time basis, nonsupervisory work classifiable 
at or above the GS-9 level. 

(c) In each of at least two areas, the level of the nonsupervisory work is 
no lower than the base level of work supervised. 

Variety may not be credited for work performed by a subordinate when 
the supervisor cannot and does not effectively determine the quality of 
the work through use of the qualifications mentioned in Item (a) above. 

Element No. 3; Special Technical Demand 

This element is designed to evaluate an important aspect of difficulty in 
supervision not measured elsewhere in this guide. It concerns an added 
requirement for knowledge, understanding, and ability with regard to the 
work supervised. The base level determination (Factor I) provides a 
general measure of the knowledge, understanding, and ability required by 
a supervisor to oversee the work for which he is responsible, i.e., it 
recognizes that the supervisor must have that level of knowledge and 
understanding of the work which will enable him to make a review for 
substance of work at the base level grade and make decisions on accepting, 
rejecting or modifying that base level work. Element No. 2, "Variety," 
recognizes another dimension of difficulty in supervision not reflected in 
the base level determination. However, neither the base level nor the 
variety valuation measures the technical demand (i.e., the requirement for 
work-related knowledge and ability) that conies into play when there is 
one or a very few positions above the base level (i.e., when there is higher 
level nonsupervisory work that (a) does not constitute a "significant 
portion" of the line work of the unit supervised, or (b) requires substantial 
and recurring use of higher technical skills and of supervisory skills). 

This element is not designed to give recognition for subordinate positions 
above the base level that do not really place upon the supervisor a 
technical demand higher than that reflected in the base level, For 
example, a position which is above the base level because of the personal 
stature and outstanding competence of the incumbent, because of sharing 
in the work of the supervisor, or is otherwise at a higher level because of 
the "impact on the job" of the particular incumbent, and which does not 
actually require of the supervisor a significantly higher technical capabili- 
ty than that needed for base level supervision does not merit credit under 
this element. 

Therefore, special technical demand may be credited when both of the 
following conditions are present: 

(a) There is at least one subordinate full-time position, at a level above 
the base level of work, whose incumbent performs, as a major part 
of his work, nonsupervisory substantive work for which the 
incumbent of the position being evaluated is technically responsi- 
ble. 

(b) The nonsupervisory substantive work concerned actually imposes 
on the supervisory position being evaluated a technical ability and 
knowledge requirement significantly higher than that needed to 
review work at the base level. 

39 



Subordinate positions considered in connection with this element could 
be either supervisory or nonsupervisory. However, it is only the nonsu- 
pervisory work performed by subordinates of the position being evalu- 
ated that enters into the evaluation under this element. 

Other Special Elements 

If there is some other special element which warrants consideration 
under Factor IV, it may be credited if it meets all of the following 
criteria: 

(a) It involves difficulties clearly comparable to those associated with 
elements 1 through 3 above. 

(b) It is directly associated with getting work accomplished through 
others; i.e., it clearly involves a "supervisory" aspect, 

(c) It is not already reflected or measured in Factors I, II and/or III, or 
in another special element already credited. 

Grade Determination 

The nature and scope of this guide precludes a simple and direct 
conversion of factor evaluations to a final grade evaluation. The final 
grade is determined systematically through an evaluation of the several 
factors as well as through an application of considerable judgment in 
addition to that applied in the factor evaluations. 

Comprehensive evaluation 

In the grade-determination process explained below, before the full 
increment associated with a tentative grade or an additional grade is 
credited, a comprehensive evaluation should be made of the total situa- 
tion affecting the difficulty and responsibility of directing the work 
involved. A comprehensive evaluation should include consideration of 
the following: 

1. The extent to which the position involves any of the matters with 
managerial aspects described in this guide. 

2. The existence of weakening elements, such as extensive review and 
highly centralized controls in some areas which may counterbalance 
some strengths. (In this connection, consider the number and actual 
impact of supervisory and management levels between the position 
and the bureau or national headquarters level.) 

3. Alignment with properly classified positions with comparable or 
higher management responsibilities in the same administrative hier- 
archy, 

4. The number and kinds of special elements recognized in Factor IV, 

5. The particular grade level of the "Tentative Grade" and the 
magnitude of the band of difficulty and responsibility represented by 
that grade level relative to other grade levels in the GS-9 to OS- 15 
range. 

(Keep in mind that the GS-15 grade level represents a wider band 
or range of difficulty and responsibility than OS- 14, GS-14 a wider 
band that GS-I3, etc. Therefore, correspondingly greater additional 
difficulties and responsibilities are required for a GS-15 to be higher 
than the Tentative Grade than are required for a GS-14, and greater 

40 



additional difficulties and responsibilities are required for a GS-14 
to be higher than the Tentative Grade than are required for GS-13, 
etc.) 

Determining the grade for Degree B positions 

Tentative grade. The tentative grade for a Degree B position is w. 
level 1 above the base level of work identified in Factor I. 

Final grade. If the comprehensive evaluation identified no significant 
offsetting weaknesses or no significant additional strengthening manageri- 
al or other aspects, the tentative grade is the final grade. If the compre- 
hensive evaluation identified offsetting weaknesses or otherwise indicated 
that a full increment to the base level of work is not warranted (see Itemr, 
2, 3, and 5), the final grade is the same grade as the grade of the base level 
of work supervised, or is at an intermediate grade (e.g., GS-10), if 
available. 

On the other hand, the possibility may be explored of a Final grade two 
levels l above the base level of work if the comprehensive evaluation 
identified significant strengthening conditions (see Items 1, 3, 4, and i 
above), and included one or more of the following items: 
The element "Special Technical Demand" in Factor IV is recog- 
nized , 
There are at least two special elements recognized under Factor IV, 

exclusive of "Special Technical Demand," 

- The position has "significant managerial aspects" as defined in 
Factor III. 

The final grade is the one which best expresses the worth of the position 
as a result of the comprehensive evaluation. 

Determining the grade for Degree A positions 

Tentative grade. The tentative grade for a Degree A position is two 
levels ' above the base level of work identified in Factor I. 

Final grade, If the comprehensive evaluation identitified no signifi- 
cant offsetting weaknesses or no significant additional strengthening 
managerial or other aspects, the tentative grade is the final grade. If the 
comprehensive evaluation identified offsetting weaknesses or otherwise 
indicated that a full two-level increment to the base level of work is not 
warranted (see Items 2, 3, and 5), the final grade is one level * above tlw 
base level of work identified in Factor I. If the comprehensive evaluation 
identified significant strengthening conditions (see Items 1, 3, 4, and 5), 
and if these conditions included one or more of the following, the 
possibility may be explored of a final grade three levels, 1 above the base 
level of work identified in Factor I. 

There are at least two special elements recognized under Factor IV, 
exclusive of "Special Technical Demand," 

1 Note; A level equals the grade interval between grades in the normal progression in the 
two-grade interval structure below GS-10 (e.g., GS-5, 7, 9). At grade level OS-10 and 
above, one level equals one grade and two levels equal two grades (i.e., GS-10, 11, 12, etc.). 
Thus, a supervisory position would be placed at GS-1 1 If one level above and Qt GS-12 if 
two levels above the base level of work credited at GS-9 or GS-10. 



41 



The position has "significant managerial aspects" as defined in 
Factor III. 

The position involves supervision of a unit with a workload which 
requires, under effective management conditions, substantially more 
than 30 employees engaged in professional, technical, or administra- 
tive work. 

The final grade is the one which best expresses the worth of the position 
as a result of the comprehensive evaluation. 

General Provisions 

Grades above GS-15 

No position may be classified higher than GS-15 by an agency solely on 
the basis of the grade-evaluation plan of this guide. Generally, positions 
above GS-15 must have prior classification approval of the Civil Service 
Commission. In submitting requests to the Civil Service Commission for 
approval of supervisory positions in GS-16, 17, or 18, departments and 
agencies should include in their evaluation statements a full and detailed 
analysis of the position in terms of the factors and evaluations procedure 
required by this guide, in addition to any other material required to 
justify the specific grade proposal, 

Special documentation requirement 

Wherever the final grade is higher than the tentative grade, the position 
description should reflect the basis for such a determination and the 
specific adjustment factors used should supplement the description. 



42 



Qualification Standard for Supervisory 



Introduction and Coverage 

The success of any organization is directly related to the capacity and 
skill of the supervisors, line managers, and executives who make the 
decisions and direct and lead others in the accomplishment of the 
organization's mission. It is natural then that selection of competent 
supervisors is a primary and continuing concern of every effective 
organization. To achieve the selection of able supervisors, this qualifica- 
tion standard prescribes minimum requirements for supervisory positions 
and provides guidance for evaluating the qualifications of candidates for 
such positions, 

The standard makes clear that supervisory positions may be staffed 
with persons who have not had specific supervisory experience provided 
they meet criteria of essential supervisory or managerial aptitudes. It 
provides guidance in the qualitative evaluation of these aptitudes, The 
standard also emphasizes the necessity for and importance of supervisory 
training either before, or at the earliest possible time after applicants are 
selected to fill supervisory positions. 

To meet future staffing needs for supervisory positions, some organiza- 
tions may identify a number of candidates with supervisory potential and 
provide appropriate training for them. The provisions of this standard are 
to be applied in the evaluation and selection of those persons who are to 
receive training intended to equip them for supervisory responsibilities. 
The satisfactory completion of supervisory training is to be given 
appropriate weight in evaluating the overall supervisory or managerial 
capabilities of candidates for positions covered by this standard. 

The provisions of this standard apply to all supervisory positions in 
grade'GS-15 and below. 

Specific guidance in the form of a procedure for identifying the 
requirements of supervisory positions and assessing candidates' potential 
for such supervisory positions is in Suggested Methods for Analyzing Job 
Requirements and Evaluating Candidates, below. This method, or one 
which is equivalent in scope and thoroughness, must be used in staffing 
supervisory positions. 

43 



Kinds of Supervisory Positions 

Differences in supervisory assignments reflect differences in programs, 
staffing patterns, or other organizational or operational requirements. 
They result from decisions of higher management on the way in which 
supervisory or managerial authority and responsibility are to be delegated 
and carried out in the various programs and organizations. However, 
some responsibilities, such as assigning and reviewing work and training 
and evaluating employees, are common to all supervisory assignments, 

This standard deals with elements of supervisory or managerial assign- 
ments that are typical of various kinds of supervisory positions. The 
following discussion describes the characteristics common to supervisory 
assignments at first, second, and higher supervisory levels. 

First level supervisors are key links in the management chain. They are 
the focal points in communicating the policies and objectives of manage- 
ment to nonsupervisory employees. They stimulate, motivate, and instill a 
sense of participation in employees in achieving management's goals. 
They communicate the suggestions, ideas, and opinions of employees to 
higher management. They promote efficient and economical operations 
and are responsible for the quantity and quality of work produced. They 
are alert to the interests of outside groups. They insure that their 
employees provide good service to the public. 

First level supervisors; 

1. Are responsible for the quality and quantity of work produced by 
employees under their supervision; 

2. Participate in selection and train and evaluate employees; 

3. Plan, organize, assign, and review work; 

4. Provide guidance and make decisions in technical and administra- 
tive matters; 

5. Adjust work schedules to meet new requirements or unforeseen 
situations; 

6. Hear and respond to employee or employee-group suggestions, 
dissatisfactions, or grievances and take appropriate action; 

7. Coordinate the work of the unit supervised with that of other units; 
and 

8. Provide higher level supervisors with current information on work 
operations and employee views and opinions. 

Supervisors at second and higher levels serve as bridges between subordi- 
nate supervisors and higher management. They are the keystones in 
communicating the concept and spirit of the agency's program goals and 
objectives, both within and beyond the confines of the organizations they 
manage. They translate management goals and objectives into effective 
operations. They set the tone for program operations and activities, 

Supervisors at second and higher levels typically are involved in most, 
or all of the first level supervisory functions outlined above. In addition 
they: 

1. Identify new developments or issues which call for new actions and 
make or participate in decisions on the operations directed; 

2. Carry out or direct basic planning for prospective changes in 
functions or programs; 



44 



3. Make decisions or recommendations on tne expenditure or avauaoie 
resources; 

4. Define and delegate authority to subordinate supervisors; 

5. Establish and monitor production goals or program priorities and 
controls, and evaluate progress and results; 

6. Coordinate the work of the units supervised with associated activi- 
ties and, when appropriate, with the general public; and 

7. Represent management in dealing with employee grievances and 
complaints, or matters relating to labor-management cooperation. 

Minimum Qualification Requirements 

To be eligible for consideration, candidates for supervisory positions 
must meet the following requirements: 1 

Supervisory or Managerial Abilities 

Candidates must have demonstrated in their work experience or 
training that they possess, or have the potential to develop, the qualities 
of successful supervision, as listed under the appropriate category below. 

The qualities listed for first level supervisory positions and for positions 
at second and higher supervisory levels are not mutually exclusive. For 
example, some first level supervisory positions may also require certain of 
the abilities described for second and higher level supervisors, or the 
potential to develop these abilities. Decisions on the appropriate mini- 
mum supervisory qualities should be based on actual job requirements. 

1. First level supervisory positions 

a. Ability to motivate, train, and work effectively with subordinates 
who have a variety of backgrounds and training. 

b. Ability to accomplish the quality and quantity of work expected 
within set limits of cost and time. 

c. Ability to plan own work and carry out assignments effectively. 

d. Ability to communicate with others effectively both orally and in 
writing in working out solutions to problems or questions relating to 

the work. 

e. Ability to understand and further management goals as these affect 
day-to-day work operations. 

f. Ability to develop improvements in or design new work methods 
and procedures. 

2. Supervisory positions at second and higher levels 

In addition to the abilities required for first level supervisory positions, 
candidates for supervisory positions at second and higher levels must 
possess, or have the potential to develop, the following: 

a. Ability to deal effectively with persons representing widely diver- 
gent backgrounds, interests, and points of view. 



1 Many supervisory positions have specific subject-matter knowledge and skill require- 
ments which candidates must also meet; normally, these subject-mailer requirements are in 
the qualification standard appropriate to the position to be filled. 

45 



b. Ability to adjust work operations to meet emergency or changing 
program or production requirements within available resources and 
with minimum sacrifice of quantity or quality of work. 

c. Ability to establish program objectives or performance goals and to 
asses progress toward their achievement. 

d. Ability to coordinate and integrate the work activities of several 
organizational segments or several different projects. 

e. Ability to analyze organizational and operational problems and 
develop timely and economical solutions. 

f. Ability to represent the activity both within and outside the organiza- 
tion or agency and to gain support for the agency's program goals. 

Personal Attributes 

The attributes listed below are important to success in supervisory or 
managerial positions at all supervisory levels. Accordingly, candidates 
for all supervisory positions must demonstrate all of the following 
personal qualities; 

1. Objectivity and fairness in judging people on their ability, and 
situations on the facts and circumstances; 

2. Capacity to adjust to change, work pressures, or difficult situations 
without undue stress; 

3- Willingness to consider new ideas or divergent points of view; 
4. Capacity to see the job through. 

Examples of Assignments Which Provide Opportunity To Demonstrate 
Necessary Abilities and Attributes 

The skills, abilities, and personal attributes described above may have 
been demonstrated in many types of either supervisory or nonsupervisory 
work assignments. The following examples show the kinds of nonsuper- 
visory assignments in which candidates may have acquired or demon- 
strated some of the skills and abilities identified earlier as necessary for 
supervisory positions. 

1. For first level supervisors 

a. Assignments which involved providing guidance and training to new 
employees. 

b. Project leader assignments which involved coordinating and inte- 
grating the work of others into a completed work product. 

c. Assignments which required the candidate to work closely with 
others to resolve problems, coordinate activities, or gain acceptance of 
a product or procedure. 

d. Assignment as a troubleshooter or source of advice to others 
regarding the work of the unit or organization. 

e. Assignments which involved devising new work methods and 
procedures or improvements in existing work practices, and getting Ihe 
cooperation of employees in applying the new methods and practices. 

2. Second and highei level supervisors 

a. Assignments which required the candidate to devise ways to 
accommodate work operations to new and changing programs or 

46 



requirements, such as studies of work practices and procedures, 
staffing, and budget requirements and similar matters. 

b. Assignments which included extensive work with other Federal 
organizational units, or with State, local, or private activities and 
which required the candidate to represent and explain program or 
project goals, or to coordinate and complete projects. 

c. Assignments which involved one or more of the following 
complications: (1) Controversial issues, i.e., disagreements on 
program requirements, policy positions, or operating procedures; (2) 
strong public interest; or (3) last minute changes requiring extensive 
coordination. 

d. Assignments to positions, task forces, planning, or special study 
groups which involved substantive work in (1) planning for new 
programs, (2) reviewing program operations to develop or improve 
methods, procedures, or controls, or (3) bringing about major changes 
in program operations and procedures, when such assignments have 
required exploring the management, organizational, and program 
issues involved and appraising alternative courses of action. 

Technical Requirements 

In addition to meeting the requirements outlined above, candidates for 
many supervisory positions must meet the minimum kind, length, and 
level of experience required for the occupation and grade in which the 
position is classified. These requirements are in CSC Handbook X-118 or 
in the qualification standard approved for positions unique to one agency. 

When the nature of the position to be filled warrants it, the technical 
requirements should be interpreted broadly. For example, if the position 
involves supervision of more than one kind of work, and no one kind 
clearly predominates, candidates may meet the minimum technical re- 
quirements if their backgrounds clearly show that they possess the 
knowledges, skills, and abilities needed in the occupation in which the 
position is classified, or in two or more of the kinds of work supervised. 

Further, for many positions, supervisory or program management skills 
are more significant to success than technical expertise in a particular 
subject-matter field. In such a situation undue emphasis on technical skills 
could result in the selection of mediocre supervisors. Accordingly, 
closely related experience should be accepted as qualifying when the 
total background of the candidate demonstrates strong, affirmative evi- 
dence that he; 

1, Has the necessary level of supervisory or managerial skills, abilities, 
and attributes to perform the work successfully and 

2. Possesses the necessary level of professional or technical compe- 
tence for the supervisory position being filled. 

A full discussion of this staffing flexibility is in the guidelines for 
evaluating specialized experience, Crediting Experience, in section II, 
part II of CSC Handbook X-118. 

In addition, the technical requirements for certain supervisory or 
managerial positions may be met by the appropriate use of training and 



47 



executive development agreements. A full discussion of training and 
executive development agreements is in chapter 412 of the Federal 
Personnel Manual. 

Evaluating Candidates' Potential for Supervisory 

Positions 

Many of the qualities required for success in supervisory positions are 
separate and distinct from those which make for high quality perfor- 
mance in nonsupervisory assignments. It is necessary to use several 
sources to get information essential for evaluating the potential of 
candidates for supervisory positions. Not every information source has to 
be used in evaluating candidates for every supervisory position. The 
sources selected should be those most appropriate to the requirements of 
the position to be filled. Among the sources of information available are: 

1. A review of the candidate's education, training, and experience; 

2. A review of information in his personnel records (e.g., commenda- 
tions, awards, disciplinary actions); 

3. Performance appraisals by his supervisors (past and present); 

4. Assessments of potential foi supervisory positions; 

5. Qualifications investigations; 
6., Interviews; and 

7. Written tests. 

Some of these sources are more suitable for measuring certain charac- 
teristics than they are for measuring others; normally, it is desirable to use 
several sources and techniques in the evaluation process. Some appraisal 
techniques and souices are discussed below. These and other appraisal 
methods and their application are discussed in some detail in the Guide to 
the Evaluation of Employees for Promotion, appendix A, part II of CSC 
Handbook X-118. 

As provided in chapter 335 of the Federal Personnel Manual, individ- 
ual agency promotion plans or announcements should indicate the 
evaluation techniques to be applied in the ranking process for the 
supervisory position to be filled. 

Interviews 

Where possible, individual or group interviews are a highly desirable 
part of the supervisory selection process. Interviews such as these can 
provide considerable information about the candidate's attitudes toward, 
and knowledge of, supervisory or managerial processes and problems, 
and his skill in interpersonal relationships. 

Written Tests 

No written test is required. When an agency wishes to use a written 
test as an additional measure of supervisory ability or potential, it must 
follow the requirements in FPM chapter 335 on the use of written tests in 
promotion actions. 

Qualifications Investigations 
The use of qualifications investigations may be especially desirable for 

48 



key supervisory and managerial positions. As part of these investigations 
a skilled investigator personally interviews persons likely to have first- 
hand knowledge about the skills, knowledges, abilities, and potential of 
the candidates, as demonstrated through his prior work performance. 

These investigations offer the important advantage of developing 
information that is not likely to be covered -in a reference inquiiy or 
voucher, or to be shown in the usual employment history. In addition, 
biased views (either favorable or unfavorable to the candidate) are moie 
likely to be balanced out by careful face-to-face questioning and by the 
investigator's objectivity. 

Qualifications investigations should be conducted only on persons in 
the highly qualified group. They are not needed when the selecting 
officials have available information equivalent to that developed as a 
result of the qualifications investigation. 

Area of Consideration and Selective Placement 

Most supervisoiy and line program management positions are filled 
through promotion or reassignment. The importance of these positions 
warrants that (where appropriate and feasible under merit promotion 
policy) the search for quality candidates extend beyond the confines of 
the organizational unit in which the vacancy exists. When candidates are 
also sought from outside the Federal Service through the competitive 
examining process, agencies are encouraged to emphasize selective place- 
ment factors such as experience in program or production planning, and 
in requesting the names of qualified persons. These requests should 
include a copy of the current position description and selective criteria 
derived from a qualifications analysis of the type described below. 

The search for quality candidates should extend over the broadest 
possible occupational and organizational area consistent with the require- 
ments and timely staffing of the position. The provisions of this standard 
are not intended to abrogate commitments to employees who are as- 
signed to broad managerial or executive training programs under Civil 
Service Commission-approved training agreements. The provisions of 
this standard should be applied in selecting persons to enter these training 
programs; it should also prove useful in assessing the progress and 
relative success of those being trained. 

Suggested Method for Analyzing Job Requirements 
and Evaluating Candidates 

The guidance material that follows provides a method for (1) determin- 
ing job requirements and (2) assessing candidates' potential for supervi- 
sory positions. It includes a suggested form for recording judgments 
about the job and the candidate and provides a means of screening 
persons for selection as supervisors. It is designed for use in any kind of 
personnel action (e.g., merit promotion, lateral reassignment, appoint- 
ment from register) and can be used in filling any type of supervisory or 
managerial position at any grade level. 

It is not necessary to use this method or the form exactly as presented 
here. Any part of these materials may be modified and adapted as 
necessary, provided that the modified method results in an identification 

49 



of job requirements and an appraisal of candidates which is equivalent in 
scope and thoroughness to that which would be achieved through the use 
of the method described below. 

Determining Job Requirements 

The procedure outlined for determining the requirements of supervi- 
sory positions is designed to assure that the elements essential to success 
are given appropriate weight in the evaluation of candidates. These 
determinations need not be made on an individual position basis. For 
those supervisory positions which are substantially alike, decisions on job 
requirements can be applied to all like positions. Further, these require- 
ments, once established, need not be revised until the basic characteristics 
of the position change. 

All supervisory positions share some common requirements, such as 
the ability to get work done through others. However, the particular 
knowledges, skills, and abilities essential to supervisory success vary in 
kind and in importance from one supervisory position to another. These 
variations reflect differences in agency programs and operations, such as 
differences in (1) the kind of work operations supervised, (2) the place of 
the position in the management hierarchy, and (3) the goals and objec- 
tives of higher management. 

1. The kind of work operations supervised or programs managed 

Many supervisory positions require specialized professional, technical, 
administrative 01 clerical subject-matter knowledge and experience. The 
depth and variety of these knowledges must be established to determine: 

a. The degree to which one or more specialized knowledges are 
essential, and 

b. The relative weight which should be given to these knowledge 
requirements in the overall appraisal of candidates. 

2. The role and level of the position in the managerial hierarchy 

The role of the position in the managerial hierarchy may be a clue to 
the relative importance of job requirements. All supervisory positions 
demand considerable skill in interpersonal relationships in guiding and 
controlling day-to-day work operations and dealing with employees 
supervised. However, for supervisory positions at the highei levels, 
demands such as the ability to translate management goals and objectives 
into well-coordinated and controlled work operation 1 ! or the ability to 
establish and monitor production or performance priorities may assume 
additional importance. 

Some supervisory positions are clearly identified as stepping stones to 
key level executive positions. For these positions, candidates should not 
only meet fully the requirements of the position to be filled but also 
should possess the potential for further growth and development. 

3. The goals and objectives of higher management, as these relate to the 
activities to be supervised 

Management's expectations play an important part in determining the 
supervisor's role in the total work effort of the organization. These 

50 



key supervisory and managerial positions. As part of these investigations 
a skilled investigator personally interviews persons likely to have first- 
hand knowledge about the skills, knowledges, abilities, and potential of 
the candidates, as demonstrated through his prior work performance. 

These investigations offer the important advantage of developing 
information that is not likely to be covered -in a reference inquiry or 
voucher, or to be shown in the usual employment history. In addition, 
biased views (either favorable or unfavorable to the candidate) are moie 
likely to be balanced out by careful face-to-face questioning and by the 
investigator's objectivity. 

Qualifications investigations should be conducted only on persons in 
the highly qualified group. They are not needed when the selecting 
officials have available information equivalent to that developed as a 
result of the qualifications investigation. 

Area of Consideration and Selective Placement 

Most supervisory and line program management positions ate filled 
through promotion or reassignment. The importance of these positions 
wai rants that (where appropriate and feasible under merit promotion 
policy) the search for quality candidates extend beyond the confines of 
the organizational unit in which the vacancy exists. When candidates are 
also sought from outside the Federal Service through the competitive 
examining process, agencies are encouraged to emphasize selective place- 
ment factors such as experience in program or production planning, and 
in requesting the names of qualified persons. These requests should 
include a copy of the current position description and selective criteria 
derived from a qualifications analysis of the type described below. 

The search for quality candidates should extend over the broadest 
possible occupational and organizational area consistent with the require- 
ments and timely staffing of the position. The provisions of this standard 
are not intended to abrogate commitments to employees who are as 
signed to broad managerial or executive training programs under Civi 
Service Commission-approved training agreements. The provisions 01 
this standard should be applied in selecting persons to enter these training 
programs; it should also prove useful in assessing the progress and 
relative success of those being trained. 

Suggested Method for Analyzing Job Requirements 
and Evaluating Candidates 

The guidance material that follows provides a method for (1) determin- 
ing job requirements and (2) assessing candidates' potential for supervi- 
sory positions. It includes a suggested form for recording judgments 
about the job and the candidate and provides a means of screening 
persons for selection as supervisors. It is designed for use in any kind of 
personnel action (e.g., merit promotion, lateral reassignment, appoint- 
ment from register) and can be used in filling any type of supervisory or 
managerial position at any grade level. 

It is not necessary to use this method or the forpi exactly as piesented 
here. Any part of these materials may be modified and adapted as 
necessary, provided that the modified method results m an identification 

49 



of job requirements and an appraisal of candidates which is equivalent in 
scope and thoroughness to that which would be achieved through the use 
of the method described below. 

Determining Job Requirements 

The procedure outlined for determining the requirements of supervi- 
sory positions is designed 10 assure that the elements essential to success 
are given appropriate weight in the evaluation of candidates. These 
determinations need not be made on an individual position basis. For 
those supervisory positions which are substantially alike, decisions on job 
requirements can be applied to all like positions. Further, these require- 
ments, once established, need not be revised until the basic characteristics 
of the position change. 

All supervisory positions share some common requirements, such as 
the ability to get work done through others. However, the particular 
knowledges, skills, and abilities essential to supervisory success vary in 
kind and in importance from one supervisory position to another. These 
variations reflect differences in agency programs and operations, such as 
differences in (1) the kind of work operations supervised, (2) the place of 
the position in the management hierarchy, and (3) the goals and objec- 
tives of higher management. 

1. The kind of work operations supervised or programs managed 

Many supervisory positions require specialized professional, technical, 
administrative or clerical subject-matter knowledge and experience. The 
depth and variety of these knowledges must be established to determine: 

a. The degree to which one or more specialized knowledges are 
essential, and 

b. The relative weight which should be given to these knowledge 
requirements in the overall appraisal of candidates. 

2. The role and level of the position in the managerial hierarchy 

The role of the position in the managerial hierarchy may be a clue to 
the relative importance of job requirements. All supervisory positions 
demand considerable skill in interpersonal relationships in guiding and 
controlling day-to-day work operations and dealing with employees 
supervised, However, for supervisory positions at the higher levels, 
demands such as the ability to translate management goals and objectives 
into well-coordinated and controlled work operations or the ability to 
establish and monitor production or performance priorities may assume 
additional importance. 

Some supervisory positions are clearly identified as stepping stones to 
key level executive positions. For these positions, candidates should not 
only meet fully the requirements of the position to be filled but also 
should possess the potential for further growth and development. 

3 The goals and objectives of higher management, as these relate to the 
activities to be supervised 

Management's expectations play an important part in determining the 
supervisor's role in the total work effort of the organization. These 

50 



expectations are reflected in the amount and kind of authority and 
responsibility delegated to the position which, in turn, affect the skills and 
abilities required to do the work successfully. To be sure that these 
expectations are clearly understood and taken into account in evaluating 
candidates it is highly desirable (especially for higher level positions) that 
the management official directly responsible for the activity in which the 
position exists participate in identifying the qualifications required. 

In determining the total requirements for supervisory positions the 
occupational information in both the classification and qualification 
standards for the specific occupation involved should be considered. 
They provide an excellent source for added insights into the kinds of 
experience which should be considered in the supervisory selection 
process. 

Additional guidance material for use by management and personnel 
officials in developing specific supervisory or managerial qualification 
requirements may be found in CSC Handbook X-1I8, Guide to Evalua- 
tion of Employees for Promotion (appendix A to part II). 

Assessing Candidates' Potential for Supervisory Positions 

The form for qualifications analysis and assessment of potential which 
follows is designed to facilitate recording judgments relating to a candi- 
date's potential for success in the supervisory position to be filled. It is not 
designed to replace a supervisory appraisal of past performance in the 
candidate's present assignment. 

Many of the supervisory or managerial elements known to be impor- 
tant to these positions are listed as supervisory abilities on the form. 
Obviously, every item listed is not significant in every job. The elements 
in the form that are used for a specific position should be those essential 
for successful performance in that position. For each ability statement 
finally decided upon, the degree of importance to the position should be 
recorded according to the instructions for determining job requirements 
on the attached form. 

It is neither feasible nor necessary to use this form or its equivalent for 
every job at every level. It may, however, be a particularly valuable 
source of appraisal information in screening candidates for higher level 
supervisory or managerial positions, 

If this form is used, judgments should be obtained from a sufficient 
number of persons to provide a rounded picture of each candidate. 
Normally, this involves selecting a few persons who know the candi- 
date's work and behavior well, and asking each rater to (1) rate each item 
according to the instructions on the form, (2) indicate the type of work 
association he has had with the candidate, and (3) indicate the length of 
that association. 

The qualification analysis and assessment of potential may be used in a 
number of ways. As one example, candidates could tentatively be placed 
in one of three groups, e.g., highly qualified, fully qualified, or qualified 
on the following basis: 

1.' The highly qualified group could include candidates who have been 
rated in the first column, which indicates "True of him" on important or 



51 



essential items, and in the second column, i.e., "More true than false" on 
the remainder of these items. 

2. The fully qualified group could include those who have been rated 
in columns C and D on important or essential items and in Column E on 
the items marked as desirable. 

3. The qualified group could include all others. 

The form may also be used as a convenient way of summarizing data 
gathered from all other sources used in the evaluation process. Provided 
it is current, information about a candidate, once obtained for a given 
supervisory position, may be used in considering that candidate for other 
supervisory positions having similar characteristics and requirements. 

Screening and Ranking Candidates 

The final ranking of candidates never should be based solely on the 
method described in the preceding paragraphs for arriving at a qualifica- 
tions analysis and assessment of potential. This method is designed to 
provide a tentative ranking. The final grouping or ranking of candidates 
should take into account and balance off the strengths and weaknesses of 
candidates as revealed by the other appropriate sources of information, in 
relation to the total requirements of the position to be filled. Decisions on 
screening, ranking, and selecting candidates should be based on a careful 
evaluation of all information available about all candidates. In this 
process particular attention should be directed to education, training, 1 or 
experience that has provided candidates with a grasp of supervisory or 
managerial theories, techniques, and practices, 



1 If the person selected has not had previous supervisory experience or training, it is 
highly desirable to provide supervisory training at the earliest possible date, For specific 
requirements for first level-supervisory positions, see chapter 335 of the Federal Personnel 
Manual, subchapter 3, section 3-8b, training for first-level supervisors. 



52 



Qualifications Analysis and Assessment of Potential for 
Supervisory Positions 



Name of candidate 



Position 



Grade 



1. Instructions for determining job requirements: Complete column A 
by entering "D" for an ability which is desirable; "I" for an ability 
which is important for acceptable performance; or "E" for an ability 
which is essential for top quality penftsrmance. 

2. Instructions for recording judgments of candidate's potential for 
supervisory positions: Mark that column C through F which best 
expresses from your firsthand knowledge, your judgment of the 
probability of the candidate's success in the position to be filled. If your 
knowledge of the candidate's ability or potential was learned from 
someone else, mark column F, Don't Know. 



Importance 
of ability 



(A) 



Supervisory abilities and traits 



(B) 



True 
of 
htm 

(C) 



More 
true 
than 
false 

(D) 



Vtore 
false 
than 
true 

(E) 



Don't 
enow 



(F) 



1. Supervisory Abilities 

The candidate would: 

a Define assignments or projects clearly 

b Plan nnd carry out assignments effectively 

c, Delegate authority nnd responsibility and work 
with and through others effectively 

d Instruct, guide, and review the work of others 
effectively 

e Establish and maintain high standards of quality 
and quantity for the work produced 

f Be fair and objective In dealings with and judg- 
ments of subordinates 

g Understand the theories and techniques of sound 
personnel management in dealing with employ- 
ees, both individually and in groups 

h Motivate, train, develop, and guide employees of 
varied backgrounds and skill levels effectively , 



2. Organization and Management Abilities 

The candidate would: 

a. Devise or organizational plans and procedures 

b. Establish program objectives or performance 
goals and assess progress toward their achieve- 
ment 

c. Adjust work activities and schedules to meet 
emergency conditions or unanticipated require- 
ments 

d. Understand, interpret, and gain support Tor man- 
agement goals and objectives 

e. Develop methods and procedures 

f. Coordinate and integrate the work of subordinate 
employees or organizational segments effec- 
tively 

g. Resolve organizational, management, person 
net, nnd technical problems ... 



53 



Importance 
of ability 

(A) 


Supervisory abilities and traits 
(B) 


True 
of 
him 

(C) 


More 
true 
than 
false 

(D) 


More 
false 
than 
true 

(E) 


Don't 
know 

(F) 




3 Ability To Make Recommendations and Deci- 
sions 
The candidate would 
a Absorb new facts and concepts quickly 
b Analyze complex issues or problems thoroughly 


































d Assess the advantages and disadvantages of alter- 
native plans or courses or action 
e Make sound decisions, e g., based on past experi- 
ence, present effort, and future outcome 
f. Accept responsibility- . 










































4 Communications Abilities 
The candidate would; 
a Communicate effectively with management, em- 
ployees, and (where appropriate) employee 












b. Foster an attitude of responsive service to the 
























d. Maintain poise, handle controversial or delicate 












e. Persuade others to consider and accept his posi- 
tion or point of view 
f Communicate effectively with individuals or 
groups with different backgrounds, levels of edu- 
cational attainment and personal, program, or 


































5 Personal Attributes 
The candidate would: 
a Adjust to change, work pressure, or difficult 
situations without undue stress 
b. Be able and willing tojudge people and situations 






















c. Consider new ideas or divergent points of 












d. Have a positive outlook toward the work and 














































Your relations 
a. Employe 

b, Fellow e 
c Other (sp 


From To 
ip with candidate- 


Your present position or title: 










Signature 


Date 





-if U,S, GOVERNMENT PRINTING OFFICE: 1 984-554-392 



54