3 FAM 2600
POSITION MANAGEMENT AND CLASSIFICATION
3 FAM 2610
POSITION MANAGEMENT
(CT:PER-1166; 12-06-2023)
(Office of Origin: GTM/OTA)
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 Department’s 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 management’s 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 Global Talent Management (GTM/CSTM)
(CT:PER-991; 05-18-2020)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
a. Administers the Department’s 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 Organization and Talent Analytics (GTM/OTA)
(CT:PER-1166; 12-06-2023)
(State Only)
(Applies to Foreign Service & Civil Service Employees)
a. Manages the Department’s 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 Foreign Service positions. Oversees FS position classification policy with full authority to review, alter, cancel, or correct FS position classification determinations. 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. Reviews the classification of 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 Department’s internal control program.
3 FAM 2617 ADMINISTRATION OF THE POSITION MANAGEMENT PROGRAM
(CT:PER-1166; 12-06-2023)
(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 organization’s 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 Global Talent Management’s (GTM/CSTM), the Office of Organization and Talent Analytics (GTM/OTA), and/or a bureau’s (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.
(b) Assistant to and Special Assistant Positions. These positions may be concerned with restricted aspects of the principal’s 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, GTM/OTA 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 GTM/OTA and are based on budget considerations. Annual allocations are the product of BP and GTM/OTA's extensive review of bureaus’ budget requests and detailed justifications. Off-cycle adjustments are made at the request from the bureaus to GTM/OTA, and GTM/OTA review of the regular financial plan.
3 FAM 2618 through 2619 UNASSIGNED