3 FAM 2600
POSITION MANAGEMENT AND CLASSIFICATION
3 FAM 2610
POSITION MANAGEMENT
(CT:PER-942; 05-06-2019)
(Office of Origin: HR/RMA)
3 FAM 2611 AUTHORITY
(TL:PER-380; 03-02-2000)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
The authority is found under:
(1) 5 U.S.C. sections 302, 305, 3404, 5102, 5105,
5113, and 7106; and
(2) Section 501 of the Foreign Service Act (22 U.S.C.
3981).
3 FAM 2612 GENERAL PROVISIONS
(CT:PER-942; 05-06-2019)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
a. This regulation establishes the policies and
assignment of responsibilities for the Departments Position Management System,
which is designed to ensure that positions are structured and staffed in the
most economic manner consistent with effective mission accomplishment. It also
underscores the need for coordination between operating managers, personnel
staffs, management operations staffs, and budget staffs in position management
implementation.
b. This regulation prescribes general guidelines
governing the position management system and should be used in conjunction with
appropriate Foreign Affairs Manual issuances and other cited guidelines.
c. Federal agencies are required to manage positions
efficiently. A good position management program should achieve the stated
objectives and at the same time be a useful management tool. These policies
are applicable to positions in both the Foreign Service and Civil Service in
the Department.
3 FAM 2613 POLICY
(TL:PER-408; 07-18-2001)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
a. Organization heads must manage organization and
position structures like they would monetary resources.
b. Organization heads must observe all position and
full-time equivalent (FTE) employment ceilings.
c. Positions should be carefully planned and staffed
to make the most effective use of human resources at the lowest practical
expenditure to accomplish assigned missions.
d. Organizations should operate with the minimum number
of organizational levels, with emphasis on delegation of authority to the
lowest appropriate working levels.
e. Organizations should minimize the number of deputy,
assistant, and special assistant positions.
f. Appropriate personnel staffs should properly
develop and classify positions in accordance with published classification
standards or guides or with established classification principles and
guidelines.
3 FAM 2614 DEFINITIONS
(CT:PER-942; 05-06-2019)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
Assistant to or special assistant positions provide staff assistance to the
principal position (or manager of high rank or level) rather than participate
with the principal in the direct management and supervision of the work of the
organization.
Deputy or assistant
positions, as officially designated, serve as an alter ego to a manager of high
rank or level and either fully shares with the manager the direction of all
phases of the organization's program and work, or is assigned continuing
responsibility for managing a major part of the manager's program when the
total authority and responsibility for the organization is equally divided
between manager and the deputy.
Organization heads are
supervisory or managerial positions that head or direct Departmental bureaus,
offices, and operating units and are generally vested with the authority to
make decisions affecting the organization. See 1 FAM 014.3
for additional information.
Organization structure is the
assignment of functions and activities to a group of organizational components
charged with a specific mission.
Position is the specified set
of all duties and responsibilities currently assigned or delegated by competent
authority and requiring full-time, part-time, or intermittent employment of one
person.
Position description (PD) is
the official written description of managements assignment of duties,
responsibilities, and supervisory relationships to a position.
Position management means the
planned structuring of the numbers, kinds, and levels of positions to
accomplish mission objectives, within the framework of FTE ceilings and budget
resources allotted to approved organizations.
Position structure is the
arrangement and assignment of duties and responsibilities and the resultant
classification of positions by series/skill and grade/class within an
organization.
3 FAM 2615 RESPONSIBILITIES
3 FAM 2615.1 The Secretary of
State
(TL:PER-408; 07-18-2001)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
Retains sole authority for determining, approving, and
forwarding any changes that abolish organizations or eliminate functions that
are mandated by law or Executive Order.
3 FAM 2615.2 Under Secretary for
Management
(CT:PER-942; 05-06-2019)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
Approves all organizational changes, including changes in
functional statements, above the office level, and at or below the office level
if the change doesn't meet the criteria outlined in 1 FAM 014.7,
unless such changes involve an organization or function that is legislatively
or otherwise mandated by higher authority.
3 FAM 2615.3 Assistant Secretary
or Equivalents
(CT:PER-942; 05-06-2019)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
Approves organizational changes affecting organizations
within his or her respective bureau provided these changes do not impact on
delegations of authority or violate approved criteria outlined in 1 FAM 014.
3 FAM 2615.4 Office of Civil
Service Human Resource Management (HR/CSHRM)
(CT:PER-942; 05-06-2019)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
a. Administers the Departments General Schedule and
Federal Wage Service classification program.
b. Provides advisory services on Civil Service
classification titling and practices, including when new titles are established
in existing organizations, and prior to the implementation of reorganizations,
at the request of HR Service Providers.
c. Reviews organization proposals before final approval
to determine potential classification impact.
3 FAM 2615.5 The Office of
Resource Management and Analysis (HR/RMA)
(CT:PER-942; 05-06-2019)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
a. Manages the Departments worldwide position
management program. All policies outlined in 1 FAM 014 must
be strictly adhered to when implementing the Department's position management
program, including maintaining an efficient span of control, minimizing
organizational layers, and preventing duplication of work functions.
b. Establishes and administers policies and procedures
for the conduct of organizational and workload studies. Conducts Department
organizational and competency studies and reviews organizational proposals
prior to final approval, consistent with 1 FAM 014, to determine
potential impact on organizational functions and alignment, position
management, and FS position classification.
c. Develops, modifies, and implements position
classification programs, policies and standards, and develops operational
procedures for the classification of all Foreign Service positions. Oversees
all FS classification policy with full authority to review, alter, cancel, or
correct any FS position classification determination. Makes recommendations to
the Director General regarding the approval or revocation of all delegations of
FS position classification authority.
d. Approves the establishment of all assistant, chief,
deputy, and director positions at the office level and below. See 1 FAM 014 for
further information on the establishment of these types of positions.
e. Regularly reviews the classification of all FS
positions and reclassifies (as necessary) FS positions to ensure they are
properly classified to attract and retain the appropriate level of experienced
candidates in support of a regular, predictable flow-through of the Foreign
Service; effective career development patterns to meet the needs of the Foreign
Service; and a regular, predictable flow of talent upward through the ranks.
3 FAM 2615.6 Executive Directors
(CT:PER-513; 12-15-2004)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
a. Plan and implement staffing management policies for
their respective organizations.
b. Evaluate position and FTE requirements of their
organizations against mission and functional statements.
c. Prepare and forward to HR all personnel actions
(not covered under bureau(s) delegated authority). Prepare and process all
personnel actions under the bureau(s) delegated authority.
d. Distribute and monitor positions and FTE usage
within the organization ensuring that employment ceilings are not exceeded.
3 FAM 2615.7 Managers and
Supervisors
(TL:PER-380; 03-02-2000)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
a. Have the most critical role in the position
management program.
b. Are responsible for ensuring that their
organizations operate in conformance with this regulation and with the
provisions of 1
FAM 014, and for taking corrective action when position management and
classification surveys indicate a need for improvement.
3 FAM 2616 RELATIONSHIP OF POSITION
MANAGEMENT TO OTHER DEPARTMENTAL MANAGEMENT SYSTEMS
(CT:PER-942; 05-06-2019)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
The provisions of this directive may be applied to or
integrated with other Departmental management systems, which are designed to
manage and control Departmental resources. Organization and management
studies, as appropriate, and personnel management reviews, in particular, will
include an assessment of the effectiveness of the position management program
within specific organizational units. Nonconformance will be brought to the
attention of appropriate officials.
(1) Organizational Planning and Control. A
fundamental element in position management is the development and maintenance
of an organization structure designed to promote the effective accomplishment
of program objectives. The factors that should be considered in the
development of organization structures are contained in 1 FAM 014,
Organization Control, Policies, and Functional Statements.
(2) Position or FTE Allocation. Agency heads are
required to ensure strict observance of employment ceilings. The allocation of
FTE and associated positions to the bureaus is a dynamic process whose
complexity is compounded by the separation of FTE authority from associated
funding. The major factors affecting the allocation of FTE are availability of
resources and the priorities for FTE distribution within the Department.
(3) Internal Control. OMB Circular A-123 requires
that all Departmental operations incorporate effective systems of internal
control to eliminate the possibility of waste, fraud, abuse, or mismanagement.
This requirement includes adequate administrative, financial, and management
controls of all physical and human resources over which the Department has
jurisdiction. The position management program, which is a human resource
management program, clearly falls within this requirement. The Bureau of the
Comptroller and Global Financial Services (CGFS) has responsibility for the
Departments internal control program.
3 FAM 2617 ADMINISTRATION OF THE
POSITION MANAGEMENT PROGRAM
(CT:PER-942; 05-06-2019)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
Position management is greatly dependent on the skill and
judgment of managers and supervisors. The core of any position management
program is the performance by managers and supervisors of their inherent
position management responsibilities, using the supplementary skills and
expertise provided by personnel and management staffs. The program is a
continuing process of evaluation wherein the work structures and staffing
patterns are systematically assessed for improvement, for correct
classification of positions, and for the most productive employment of individuals.
(1) Position Management Coordinators
(PMC). Each bureau will designate an individual or senior position to
serve as PMC. PMCs shall oversee position management efforts within the
bureau. In particular, PMCs shall:
(a) Place primary emphasis on the restraint of grade
escalation, the elimination of duplicative work efforts or under-utilization of
personnel, and the reduction of personnel cost;
(b) Participate in position management planning on a
regular basis with personnel, management analysis staffs, and budget staffs as
well as with line managers and supervisors within the bureau; and
(c) Participate with personnel and management analysis
staffs in a coordinated program review and evaluation of the organizations
position management program to ensure that program policies are carried out,
objectives are achieved, deficiencies are discovered and highlighted, and
corrective actions where indicated are taken.
(2) Establishment of New Positions.
Prior to the Office of Civil Service Human Resource Managements (HR/CSHRM),
the Office of Resource Management and Analysis (HR/RMA), and/or a bureaus
(with delegated classification authority) establishment of any new position,
the PMC shall ensure that the following actions are carried out:
(a) The existing position structure shall be reviewed
to ensure that any proposed duties do not conflict with or duplicate
responsibilities already assigned;
(b) The grade structure of the organizational
components involved shall be reviewed to ensure that the proposed grade does
not set an indefensible precedent, and that it fits logically within the
existing structure;
(c) The possibility of incorporating the duties of the
proposed position into existing positions shall be explored with the requesting
officials; and
(d) Formal classification determinations involving new
positions that are established by a new organization structure shall be made
only after the organization has been approved officially in accordance with the
provisions of 1
FAM 014.
(3) Organizational Layering
(a) Deputy and Assistant Positions.
The most frequent legitimate use of a deputy or assistant position occurs when
there is an unusual span of control situation (e.g., a full 24-hour operation,
or a very large ratio of nonsupervisory to supervisory personnel). All too
often, however, such positions are created as a means to generate promotion
opportunities for certain employees or to give enhanced status that is not
supportable in light of mission need.
(i) The need for an assistant or deputy position must
be carefully evaluated and kept to a minimum essential number. Unless there is
a demonstrated need for deputy and assistant positions, such positions tend to
confuse lines of communications and leadership authority, prevent maximum
delegation of authority and responsibility, add unnecessarily to the number of
organizational echelons or administrative levels, impede day-to-day operations
and increase costs.
(ii) As a general rule, deputy assistant secretary
(DAS) positions are not considered deputies within the definitions used in this
directive. Such positions normally are established within bureaus, which have
more than one, major function and which are an organization of substantial size
or complexity. The DAS position (or position ranked as administratively
equivalent) usually oversees one or more of the major functions within the
bureau.
(iii) Deputy or full assistant positions will not be
approved for divisions, branches, or sections.
(iv) Form DS-3051, Checklist for Requesting
Establishment of Deputy or Assistant Positions, should be completed and
attached to all requests to establish such positions.
(b) Assistant to and Special Assistant
Positions. These positions may be concerned with restricted aspects of
the principals overall responsibility, or with all areas. In the latter case,
such positions may be difficult to distinguish from deputy or a full assistant
position and lead to staff-line conflicts.
To the extent possible, functions performed by
assistants to, and special assistants should be assigned to the line
organization.
(4) Organization Studies and Review.
Periodically and/or upon request, HR/RMA will conduct comprehensive reviews of
the operating components of an organization to achieve the objectives of the
position management program. Reports generated as a result of these reviews
will provide advice and guidance to management officials on organization
structures, functional assignments, proper position structuring and alignment,
development of career ladders, and ways to improve services and productivity.
(5) Position and FTE Allocation.
Position and FTE allocation are the responsibility of HR/RMA and are based on
budget considerations. Annual allocations are the product of BP and HR/RMA's
extensive review of bureaus budget requests and detailed justifications.
Off-cycle adjustments are made quarterly based on FTE consumption, requests
from the bureaus, and HR/RMA review of the regular financial plan.
3 FAM 2618 through 2619 UNASSIGNED