5 C.F.R. PART 511—CLASSIFICATION UNDER THE GENERAL SCHEDULE
Title 5 - Administrative Personnel
Title 5: Administrative Personnel
PART 511—CLASSIFICATION UNDER THE GENERAL SCHEDULE
Section Contents
§ 511.101 Definitions.
§ 511.201 Coverage of and exclusions from the General Schedule.
§ 511.202 Authority of agency.
§ 511.203 Exercise of authority.
§ 511.601 Applicability of regulations.
§ 511.602 Notification of classification decision.
§ 511.603 Right to appeal.
§ 511.604 Filing an appeal.
§ 511.605 Time limits.
§ 511.606 Form and content of an appeal.
§ 511.607 Nonappealable issues.
§ 511.608 Employee representatives.
§ 511.609 Ascertainment of facts.
§ 511.610 Notification.
§ 511.611 Cancellation of an employee appeal.
§ 511.612 Finality of decision.
§ 511.613 Classification Appeals Office.
§ 511.614 Review by the Director.
§ 511.615 Temporary compliance authority.
§ 511.616 Availability of information.
§ 511.701 Effective dates generally.
§ 511.702 Agency or Office classification appeal decisions.
§ 511.703 Retroactive effective date.
Authority: 5 U.S.C. 5115, 5338, 5351.
Source: 33 FR 12445, Sept. 4, 1968, unless otherwise noted.
Subpart A—General Provisions
top
§ 511.101 Definitions.
top
In this part:
(a) Agency and employee have the meanings given them by section 5102 of title 5, United States Code.
(b) Class means all positions which are sufficiently similar as to (1) kind or subject-matter of work, (2) level of difficulty and responsibility, and (3) the qualification requirements of the work, to warrant similar treatment in personnel and pay administration.
(c) Classification means the analysis and identification of a position and placing it in a class under the position-classification plan established by OPM under chapter 51 of title 5, United States Code.
(d) Grade means all classes of positions which (although different with respect to kind or subject-matter of work) are sufficiently equivalent as to (1) level of difficulty and responsibility, and (2) level of qualification requirements of the work, to warrant their inclusion within one range of rates of basic pay.
(e) Position means the work, consisting of the duties and responsibilities, assigned by competent authority for performance by an employee.
Subpart B—Coverage of the General Schedule
top§ 511.201 Coverage of and exclusions from the General Schedule.
topThis part and chapter 51 of the title 5, United States Code, apply to all positions in the agencies except those specifically excluded by section 5102 of title 5, United States Code. (5 U.S.C. 5102)
(5 U.S.C. 1104; Pub. L. 95–454, sec. 3(5))
[44 FR 54693, Sept. 21, 1979]
§ 511.202 Authority of agency.
topSubject to the provisions of subpart F of this part and §511.203, an agency may determine whether a position is subject to, or is excluded from, chapter 51 of title 5, United States Code, by section 5102(c) (7) and (8) thereof.
§ 511.203 Exercise of authority.
topAn agency may exercise the authority under §511.202 only in accordance with guidelines and standards issued by OPM.
Subparts C–E [Reserved]
topSubpart F—Classification Appeals
topSource: 46 FR 9913, Jan. 30, 1981, unless otherwise noted.
§ 511.601 Applicability of regulations.
top
This subpart applies to a request from an employee or an agency for the Office to review the classification of a position subject to chapter 51 of title 5, United States Code, or for the Office to determine whether a position is subject to that chapter.
§ 511.602 Notification of classification decision.
topAn employee whose position is reclassified to a lower grade which is based in whole or in part on a classification decision is entitled to a prompt written notice from the agency. This includes employees who are eligible for retained grade or pay. If the reclassification is due to an Office classification certificate issued under the authority of 5 U.S.C. 5110, the agency will also explain the reasons for the reclassification action to the employee. This notice shall inform the employee:
(a) Of his or her right to appeal the classification decision to the agency (if the agency has an established appeal system and it has the authority to review the classification decision), or to the Office as provided in this subpart if such an appeal has not already been made;
(b) Of the time limits within which the employee's appeal must be filed in order to preserve any retroactive benefits under §511.703; and
(c) Any other appeal or grievance rights available under applicable law, rule, regulation or negotiated agreement.
§ 511.603 Right to appeal.
top(a) Employee appeal. An employee, or the employee's designated representative acting on behalf of an employee, may request an Office decision as to:
(1) The appropriate occupational series or grade of the employee's official position.
(2) The inclusion under or exclusion from chapter 51 of title 5, United States Code, of the official position by the employee's agency or the Office, except in the case of a position located in the Office of the Architect of the Capitol.
(b) Agency appeal. The head of an agency, or an authorized representative, may appeal any classification certificate issued by the Office under sections 5103 or 5110 of title 5, U.S.C., with respect to any position in the agency.
§ 511.604 Filing an appeal.
top(a) Employee. An employee may appeal by writing to the Office directly, or by forwarding the appeal through the employing agency.
(b) Referral of an employee appeal to the Office. An agency shall forward, within 60 calendar days of its receipt in the agency, and employee's appeal filed through the agency to the Office when:
(1) The employee has directed the appeal to the Office and the agency's written decision is not favorable; or
(2) The agency is not authorized to act on the employee's appeal; or
(3) The agency has not decided the appeal within the established time period.
§ 511.605 Time limits.
topLink to an amendment published at 71 FR 37489, June 30, 2006.
(a) Employees. (1) An employee may submit an appeal of his or her official position at any time. If the employee has suffered a loss in grade or pay, is not entitled to retained grade or pay, and desires retroactive adjustments, the time limits in §511.703 must be observed.
(2) If the employee is appealing an agency decision or an Office classification certificate issued under 5 U.S.C. 5103 or 5110, the employee shall promptly appeal if he or she disagrees with the classification certificate. Employees must meet the time limits provided in §511.703 in order to preserve the right to retroactive adjustment.
(b) Agency. An agency may appeal an Office classification certificate issued under authority of section 5103 or 5110 of title 5, United States Code, at any time. Heads of agencies should appeal prior to the implementation date of the certificate if they disagree with the classification rationale.
(c) Reconsideration. An employee or agency may request reconsideration of an Office appellate decision. The request must be in writing, and filed not later than 45 calendar days after the decision is issued. This time limit may be waived under exceptional circumstances by either the Classification Appeals Office or the Director.
§ 511.606 Form and content of an appeal.
top(a) Employee appeal. An employee's appeal shall be in writing, and shall contain the reasons why the employee believes his or her position is erroneously classified, or should be brought under or excluded from chapter 51 of title 5, United States Code. The agency, when forwarding the employee's appeal or when requested by the Office, shall furnish all relevant facts concerning the position and the agency's justification for its classification decision. The agency shall also comment on the information submitted by the employee if requested to do so by the Office. Either the employee or agency may submit relevant information to the Office at any time following the initial filing of an appeal.
(b) Agency appeal. An agency's appeal shall be in writing, and shall contain its reasons and justification for requesting a review of the Office's certificate.
(c) Inspection of the Office's appellate record. The employee, an employee's representative and the agency will be permitted to inspect the Office's appellate record on request. Agencies will make available to appellants copies of any and all information submitted by the agency to the Office with respect to the appellant's individual appeal.
§ 511.607 Nonappealable issues.
top(a) The following issues are not appealable to the Office under this subpart. Such issues may be reviewed under administrative or negotiated grievance procedures if applicable:
(1) The accuracy of the official position description including the inclusion or exclusion of a major duty in the official position description. When the accuracy of the official position description is questioned by the employee, the employee will be directed to review this matter with his or her supervisor. If management and the employee cannot resolve their differences informally, the accuracy of the position description should be reviewed in accordance with administrative or negotiated grievance procedures. If the accuracy of the position description cannot be resolved in this manner, the Office will decide the appeal on the basis of the actual duties and responsibilities assigned by management and performed by the employee;
(2) An assignment or detail out of the scope of normally performed duties as outlined in the official position description;
(3) The accuracy, consistency or use of agency supplemental classification guides; or,
(4) The title of the position unless a specific title is authorized in a published Office classification standard or guide, or the title reflects a qualification requirement or authorized area of specialization.
(b) The following issues are neither appealable nor reviewable:
(1) The class, grade, or pay system of a position to which the employee is not officially assigned by an official personnel action;
(2) An agency's proposed classification decision;
(3) The class, grade, or pay system of a position to which the employee is detailed or promoted on a time-limited basis, except that employees serving under time-limited promotion for 2 years or more may appeal the classification of their positions to the Office under these procedures.
(4) The classification of the employee's position based on position-to-position comparisons and not standards;
(5) The accuracy of grade level criteria contained in an Office classification guide or standard; or
(6) A classification decision that has been issued by the Office under this subpart when there has been no change in the governing classification standard(s) or the major duties of the position.
[46 FR 9913, Jan. 30, 1981, as amended at 58 FR 59348, Nov. 9, 1993]
§ 511.608 Employee representatives.
topAn employee may select a representative of his or her choice to assist in the preparation and presentation of an appeal. An agency may disallow an employee's representative when the individual's activities as a representative would cause a conflict of interest or position; an employee who cannot be released from his or her official duties because of the priority needs of the Government; or an employee whose release would give rise to unreasonable costs to the Government.
§ 511.609 Ascertainment of facts.
topThe employee, a designated representative, and the agency shall furnish such facts as may be requested by the Office within the time frames specified. The facts shall be in writing when so requested. The Office, in its discretion, may investigate or audit the position. A representative may not participate in OPM on-site audits unless specifically requested to do so by the Office.
§ 511.610 Notification.
topThe Office shall notify the employee, or a representative if one is designated, and the agency in writing of its decision.
§ 511.611 Cancellation of an employee appeal.
topAn employee's appeal shall be cancelled and the employee so notified in writing in the following circumstances:
(a) On receipt of the employee's written request for cancellation.
(b) On failure to prosecute, when the employee or the designated representative does not furnish requested information, or proceed with the advancement of the appeal.
The Office may at its discretion reopen a cancelled appeal on a showing that circumstances beyond the control of the employee prevented pursuing the appeal.
§ 511.612 Finality of decision.
topAn appellate decision made by the Office is final unless reconsidered by the Office. There is no further right of appeal. The Office may reconsider a decision at its discretion. The decision shall constitute a certificate which is mandatory and binding on all administrative, certifying, payroll, disbursing, and accounting officials of the Government. Agencies shall review their own classification decisions for identical, similar or related positions to insure consistency with the Office's certificate.
§ 511.613 Classification Appeals Office.
topLink to an amendment published at 71 FR 37489, June 30, 2006.
The Office's Classification Appeals Office may, at its discretion, reopen and reconsider a certificate issued under this subpart.
(a) The Classification Appeals Office may remand to the respective region of the Office any request for reconsideration which requires extensive factfinding or investigation. Requests which contain new and material information, or disagreements over the significance of information, will be remanded to the regional deciding official for a decision.
(b) The Classification Appeals Office may reopen and reconsider a decision only when written argument or evidence is presented which establishes a reasonable doubt concerning the technical accuracy of the decision.
§ 511.614 Review by the Director.
topThe Director may, at his or her discretion, reopen and reconsider any decision when written argument or evidence is submitted which tends to establish that:
(a) The previous decision involves an erroneous interpretation of law or regulation, or a misapplication of established policy:
(b) The previous decision is of a precedential nature involving a new or unreviewed policy consideration that may have effects beyond the actual case at hand, or is otherwise of such an exceptional nature as to merit the personal attention of the Director.
§ 511.615 Temporary compliance authority.
topAgencies may use temporary or conditional compliance action, e.g., a temporary promotion or a temporary reassignment when available, if:
(a) A position has been certified by the Office under either section 5110 or 5112 of title 5, United States Code;
(b) The certificate has not been suspended; and,
(c) The agency or employee has requested reconsideration.
This authority will not be used if the position has been downgraded and the employee is entitled to retained grade under section 5362 of title 5, United States Code.
§ 511.616 Availability of information.
top(a) The Office, upon a request which identifies the individual from whose file the information is sought, shall disclose the following information from an appeal file to a member of the public, except when the disclosure would constitute a clearly unwarranted invasion of personal privacy:
(1) Confirmation of the name of the individual from whose file the information is sought and the names of the other parties concerned;
(2) The status of the appeal;
(3) The results of the appeal (i.e., proper title, pay plan, series, and grade);
(4) the classification requested (i.e., title, pay plan, series, and grade); and
(5) With the consent of the parties concerned, other reasonably identified information from the file.
(b) The Office will disclose to the parties concerned the information contained in an appeal file in proceedings under this part. For the purposes of this section, the parties concerned means the Government employee or former Government employee involved in the proceedings, his or her representative designated in writing, and the representative of the agency or the Office involved in the proceeding.
(5 U.S.C. 552, Freedom of Information Act, Pub. L. 92–502)
[50 FR 3313, Jan. 24, 1985]
Subpart G—Effective Dates of Position Classification Actions or Decisions
topSource: 46 FR 9915, Jan. 30, 1981, unless otherwise noted.
§ 511.701 Effective dates generally.
top
Link to an amendment published at 71 FR 37489, June 30, 2006.
(a) Agency classification actions. (1) A classification action is a determination to establish or change the title, series, grade or pay system of a position based on application of published position classification standards or guides. This is a position action.
(i) The effective date of a position action taken by an agency shall be the date an official with properly delegated authority approves (certifies) the proposed classification. This is accomplished when the authorized official(s) signs the allocation of the position.
(ii) The effective date of a position action may be extended to correspond with the effective date of the personnel action when:
(A) The position is being changed to lower grade or pay; and
(B) The employee occupying the position is eligible for retained grade or pay under 5 U.S.C. 5362–5363.
(2) A position action is implemented by a personnel action. The personnel action must occur within a reasonable period of time following the date of the position action.
(3) If the position action requires a personnel action which will result in a loss of grade or pay to the occupant of the position, the agency must advise the employee, in writing, of the position action and the proposed date of the personnel action. This notice shall be issued prior to taking a personnel action.
(4) Except as provided in §511.703, classification actions may not be made retroactive.
(b) Office of Personnel Management's classification decision. (1) The effective date of a classification decision made by means of a certificate issued under the authority of section 5110, title 5, United States Code is not earlier than the date of the certificate, and not later than the beginning of the fourth pay period following the date of the certificate, unless a subsequent date is specifically stated in the certificate. Except as otherwise provided by this paragraph the filing of an appeal of such a certificate does not delay its effective date.
(2) The implementation of the certificate may be suspended when it is determined before its effective date that a review of the classification decision is warranted and suspension is desirable. The determination to suspend implementation may be made by:
(i) A regional director, or a designee, when the decision is made by the regional office; or,
(ii) The Assistant Director, Agency Compliance and Evaluation, or a designee, when the decision is made within the central office or by a region, or
(iii) The Director with respect to any classification decision.
Suspending the implementation of a certificate does not automatically change the effective date except when the certificate requires that the grade or pay of the position be reduced and the employee is not entitled to retained grade or pay.
(3) When the original decision requires that the grade or pay of the position be reduced and the employee is not entitled to retained grade or pay the reviewing authority shall issue a new certificate if it sustains the original decision. Since demotions cannot be made retroactive, the effective date of the new certificate shall be not earlier than the date of the certificate, and not later than the beginning of the fourth pay period after the date of the certificate unless a subsequent date is specifically stated in the certificate.
[46 FR 9915, Jan. 30, 1981, as amended at 58 FR 65534, Dec. 15, 1993]
§ 511.702 Agency or Office classification appeal decisions.
topLink to an amendment published at 71 FR 37489, June 30, 2006.
(a) Subject to §511.703, the effective date of a change in the classification of a position resulting from a classification appeal decision by either an agency or the Office is not earlier than the date of the decision and not later than the beginning of the fourth pay period following the date of the decision, except when a subsequent date is specifically provided in the decision.
(b) The implementation of the decision may be suspended by the Office when it determines before the effective date that a review of the decision is warranted. The determination to suspend implementation may be made by:
(1) The regional director, or a designee, when the appellate decision is made by an agency under the jurisdiction of the region; or
(2) The Assistant Director, Agency Compliance and Evaluation, or the Chief, Classification Appeals Office when the appellate decision is made within the central office, by a region or by an agency; or
(3) The Director with respect to any appellate decision.
Suspending the implementation does not change the effective date of the decision except when the original decision requires that the grade or pay of the position be reduced and the employee is not entitled to grade or pay retention.
(c) When the original decision requires that the grade or pay position be reduced and the employee is not entitled to grade or pay retention, the reviewing authority, if sustaining the original decision, shall issue a new certificate and the effective date of the new certificate shall be not earlier than the date of the new decision and not later than the beginning of the fourth pay period following the date of the new decision, unless a subsequent date is specifically stated in the new decision.
§ 511.703 Retroactive effective date.
top(a) Applicability. A retroactive effective date may be required only if the employee is wrongfully demoted.
(b) Downgrading. (1) The effective date of a classification appellate certificate or agency appellate decision can be retroactive only if it corrects a classification action which resulted in a loss of grade or pay. In order for the decision to be made retroactive, the employee must file the initial request for review with either the agency or the Office not later than 15 calendar days after the effective date of the reclassification action.
(2) However, if the appellate decision raises the grade of the position above the original grade, retroactivity will apply only to the extent of restoration to the original grade.
(3) The right to a retroactive effective date provided by this section is preserved on subsequent appeals from an agency or Office classification decision when the subsequent appeal is filed not later than 15 calendar days following receipt of written notification of a final agency administrative decision or 15 calendar days after the effective date of the action taken as a result of the classification decision, whichever is later.
(c) Grade change based on new duties and responsibilities. Retroactivity may be based only on duties and responsibilities existing at the time of demotion and cannot be based on duties and responsibilities assigned later.
(d) Retroactivity when time limits are extended. The right to a retroactive effective date provided by this section may be preserved at the discretion of the Office, on a showing by the employee that he or she was not notified of the applicable time limit and was not otherwise aware of it, or that circumstances beyond his or her control prevented filing an appeal within the prescribed time limit.
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