ML18073A271

Management Directive 10.38, Position Management.

ML18073A271
Person / Time
Issue date:	04/29/2016
From:	Office of the Chief Human Capital Officer
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DT-17-194 MD 10.38
Download: ML18073A271 (11)

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U.S. NUCLEAR REGULATORY COMMISSION MANAGEMENT DIRECTIVE (MD)

MD 10.38 POSITION MANAGEMENT DT-17-194 Volume 10, Personnel Management Part 2: Position Evaluation and Management, Pay Administration, and Leave Approved By: Miriam L. Cohen Chief Human Capital Officer Date Approved: April 29, 2016 Cert. Date: N/A, for the latest version of any NRC directive or handbook, see the online MD Catalog.

Issuing Office: Office of the Chief Human Capital Officer Contact Name: Bi Smith 301-287-0553 EXECUTIVE

SUMMARY

Management Directive 10.38, Position Management, is recertified as accurate and up to date and is being republished as part of the NRC Plan to Update Management Directives.

This revision updates organizational information, titles, and references.

TABLE OF CONTENTS I. POLICY..............................................................................................................................2 II. OBJECTIVES ....................................................................................................................2 III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY ........... 2 A. Chairman ......................................................................................................................2 B. Executive Director for Operations (EDO) ......................................................................2 C. Inspector General (IG) ..................................................................................................2 D. Chief Financial Officer (CFO)........................................................................................3 E. Chief Human Capital Officer (CHCO) ...........................................................................3 F. Office Directors and Regional Administrators ...............................................................3 G. Managers and Supervisors ...........................................................................................3 IV. APPLICABILITY ................................................................................................................4 V. DIRECTIVE HANDBOOK ..................................................................................................4 VI. REFERENCES ...................................................................................................................4 For updates or revisions to policies contained in this MD that were issued after the MD was signed, please see the Yellow Announcement to Management Directive index (YA-to-MD index).

MD 10.38 POSITION MANAGEMENT Date Approved: 04/29/2016 I. POLICY It is the policy of the U.S. Nuclear Regulatory Commission (NRC) to ensure the effective and efficient use of human resources.

II. OBJECTIVES Observe limitations and controls established by the President, the Congress, and the Office of Management and Budget (OMB) which apply to the numbers and levels of full-time equivalent (FTE) work years authorized to the NRC.

Pursue a position management program that achieves proper balance among mission needs, efficiency of operations, and effective use of employees.

Ensure that each NRC organizational component is staffed with an appropriate number and grade levels of employees essential for the effective accomplishment of its mission.

Ensure that the NRCs position management program is compatible with and supports the agencys affirmative employment programs and diversity management initiatives.

Ensure that a decision to substitute the use of contractors for FTE is based on considerations of effectiveness and economy in administering Federal programs and the determinations as to whether the organization can achieve its mission based on current ceiling levels. Contracts will not be used as a means to avoid compliance with NRC FTE ceilings.

III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY A. Chairman Ensures compliance with the policies and provisions of applicable OMB Circulars.

B. Executive Director for Operations (EDO)

1. Directs and coordinates the NRC policy of position management.

2. Assures that appropriate consideration is given to the NRC position management program throughout the process of NRCs program planning, budgeting, financial management, and performance management.

3. Grants exceptions from the provisions of this directive that are consistent with law.

C. Inspector General (IG)

1. Directs and coordinates the policy of position management for the Office of the Inspector General.

2. Assures that appropriate consideration is given to program planning, budgeting, financial management, and performance management.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 2

MD 10.38 POSITION MANAGEMENT Date Approved: 04/29/2016 D. Chief Financial Officer (CFO)

1. Allocates the FTE ceiling for each NRC office and region in accordance with the ceiling authorization approved by OMB.

2. Approves changes in FTE ceiling authorizations resulting from programmatic shifts or Congressional action.

3. Directs and supervises the preparation of the staffing estimate for the NRC.

4. Ensures compliance with FTE approved by OMB.

5. Issues and revises financial allotments and plans for NRC human resources compensation and benefits consistent with congressionally authorized staffing levels.

6. Provides assistance to NRC offices and regions to ensure that their staffing budget requirements are determined through the use of such tools as work measurement, productivity analysis, and workload forecasts.

7. Monitors the execution of approved budgets, including assigned FTE, to assure budget proposals and assumptions regarding workload, efficiency, proposed legislation/supplemental appropriations, and interagency reimbursable arrangements are appropriately reflected.

E. Chief Human Capital Officer (CHCO)

1. Directs the administration of policy development and operational activities affecting the NRCs current fiscal year FTE authorizations.

2. Monitors, reports, and evaluates the effectiveness of office and regional FTE use.

3. Conducts and/or administers special reviews to identify possible improvements in the NRCs position management program.

4. Coordinates with NRC offices and regions in defining their current fiscal year FTE requirements in human resources functional areas, including position mixes and position descriptions.

F. Office Directors and Regional Administrators

1. Ensure that FTE allocations are used efficiently and effectively.

2. Provide an annual staffing plan electronically to the Office of the Chief Human Capital Officer (OCHCO).

3. Take necessary actions to fill approved staffing plan positions to fully use their FTE ceiling.

4. Ensure that existing organizational structures meet effective position management, affirmative employment and diversity management.

G. Managers and Supervisors

1. Effectively manage the work and people assigned to their organizations.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 3

MD 10.38 POSITION MANAGEMENT Date Approved: 04/29/2016

2. Initiate actions to fill vacant and newly authorized positions in a timely manner.

3. Evaluate the impact of changes in functions and ensure prompt action to recommend reclassification of positions based on changing work requirements.

4. Review and/or revise position descriptions to ensure that grade levels are not improperly inflated to levels that do not promote efficiency.

5. Review vacancies and determine whether positions should be restructured and filled at lower levels.

6. Assign work to employees in accordance with the duties and responsibilities described in the position description.

7. Ensure that the grade controlling duties in a position description are performed at least 25 percent of the time.

IV. APPLICABILITY This policy and guidance in the directive and handbook apply to all NRC positions. This policy covers all personnel, including consultants. It does not cover NRC contractor personnel.

V. DIRECTIVE HANDBOOK Directive Handbook 10.38 contains the policies and procedures for the agencys position management.

VI. REFERENCES Inspector General Act of 1978, as amended (5 U.S.C. App. 3).

Nuclear Regulatory Commission Management Directives 4.2, Administrative Control of Funds.

10.1, Recruitment, Appointments, and Merit Staffing.

10.37, Position Evaluation and Benchmarks.

Office of Management and Budget Circular A-11, Preparation, Submission and Execution of the Budget (revised annually).

For the latest version of any NRC directive or handbook, see the online MD Catalog. 4

U.S. NUCLEAR REGULATORY COMMISSION DIRECTIVE HANDBOOK (DH)

DH 10.38 POSITION MANAGEMENT DT-17-194 Volume 10, Personnel Management Part 2: Position Evaluation and Management, Pay Administration, and Leave Approved By: Miriam L. Cohen Chief Human Capital Officer Date Approved: April 29, 2016 Cert. Date: N/A, for the latest version of any NRC directive or handbook, see the online MD Catalog.

Issuing Office: Office of the Chief Human Capital Officer Contact Name: Bi Smith 301-287-0553 EXECUTIVE

SUMMARY

Management Directive 10.38, Position Management, is recertified as accurate and up to date and is being republished as part of the NRC Plan to Update Management Directives.

This revision updates organizational information, titles, and references.

TABLE OF CONTENTS I. GENERAL..........................................................................................................................2 II. POSITION MANAGEMENT DEFINED ...............................................................................2 III. POSITION MANAGEMENT BASICS .................................................................................3 IV. POSITION MANAGEMENT PLANNING ............................................................................4 V. DEFINITIONS ....................................................................................................................4 EXHIBIT Exhibit 1 Position Management Troubleshooting Guide......................................................6 For updates or revisions to policies contained in this MD that were issued after the MD was signed, please see the Yellow Announcement to Management Directive index (YA-to-MD index).

DH 10.38 POSITION MANAGEMENT Date Approved: 04/29/2016 I. GENERAL A. The purpose of this handbook is to provide supervisors, human resources specialists, and administrative staffs with a practical approach to position management.

B. Position management is the structuring of positions, functions, and organizations in a manner that optimizes efficiency, economy, productivity, and organizational effectiveness. The need to adhere to an economical and effective position structure is critical to the proper and responsible use of limited financial and human resources.

C. Managers and supervisors play the most important role in the position management process and should use position management as the vehicle for ensuring effectiveness and the efficient distribution of staff resources and for identifying, preventing, and eliminating unnecessary organizational fragmentation. Sound position management seeks to prevent or avoid excessive layering, improper design of jobs, narrow span of control, and eliminate unnecessary positions.

D. Developing an effective position management program in the NRC is a critical step in accomplishing the NRCs mission and goals. Managers are responsible for enhancing the quality of program performance on a timely basis, increasing productivity, controlling costs, and assuring that programs are managed with integrity and in compliance with applicable law.

II. POSITION MANAGEMENT DEFINED A. Position management is the one Federal human resource management function that is not addressed by a Governmentwide rule or regulation. Position management is the continuous and systematic process used to determine

1. How many positions are needed,

2. How jobs should be designed, and

3. Types of organizational structures needed to accomplish the functional assignments (the mission) of the unit.

B. The position management process is carried out so that the mission of the unit is accomplished in the most economical, efficient, and effective way possible by all levels of the NRC, from the first-line supervisor to the Chairman.

1. Economy. Getting the mission accomplished with the minimum possible outlay of dollars.

2. Efficiency. Accomplishing the mission economically in the timeliest manner with the least wasted effort possible.

3. Effectiveness. Getting the work done using the appropriate tools and personnel in a positive work environment that supports the best balance of economy and efficiency.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 2

DH 10.38 POSITION MANAGEMENT Date Approved: 04/29/2016 III. POSITION MANAGEMENT BASICS A. Position management is often referred to as a micro approach because it addresses the daily operations of a unit. The process is literally concerned with managing positions.

The supervisor is required to strike a balance between numbers of competing factors that influence the design of each position.

1. Among the obvious factors are (a) Full-time equivalent (FTE) limitations - units must compete for people and resources, (b) Shifting mission of the supervisors work unit, and (c) Priority requirements.

2. Additional factors include (a) Innovations in work methods, (b) Ratio of supervisors to staff, (c) Use of deputies, (d) Career opportunities, (e) Morale impact of decisions, (f) Training requirements, and (g) Work environment.

B. Designing a position or restructuring a unit is a balancing act in which trade-offs are made. For example, although it may be economical to reduce grade levels, having the lowest possible salary costs may mean that the supervisor cannot attract and retain a capable workforce.

C. Good position management is the careful design of a position structure which blends the skills and assignments of employees with the goal of successfully carrying out the organizations mission or program. Sound position management reflects a logical balance between employees needed to carry out the major functions of the organization and those needed to provide adequate support; between professional employees and technicians; between fully trained employees and trainees; and between supervisors and their staff.

D. Good position management also requires consideration of grade levels for the positions involved. Grades should be commensurate with the work performed to accomplish the organizations mission and should not exceed those grades needed to perform the work of the unit. A carefully designed position structure will result in reasonable and supportable grade levels.

E. Because supervisors and managers play major roles in the management and classification of employee positions, they are responsible for assuring a sound position For the latest version of any NRC directive or handbook, see the online MD Catalog. 3

DH 10.38 POSITION MANAGEMENT Date Approved: 04/29/2016 structure in the organization they lead. The NRC position evaluation (classification) system allows considerable freedom and flexibility for managers to establish an organizational structure that is not only efficient, but also cost conscious.

IV. POSITION MANAGEMENT PLANNING A. Managers and supervisors must consider the mission and organizational structure. The mission is the basis for all organizational and position decisions. In managing positions and structural problems, managers must make informed decisions about organizing the work. They must first recognize the problems that affect unit productivity. Examples of these considerations may include

1. High employee turnover,

2. Recruiting problems,

3. Frequent disciplinary problems,

4. High number of substandard products,

5. Unmanageable backlog, and

6. Work environment.

B. Once a supervisor has recognized the problem he or she can take action to solve it.

Position Management Troubleshooting Guide (see the exhibit to this handbook) is designed to address many common position management problems.

V. DEFINITIONS Classification The NRC process of evaluating the duties and responsibilities of each position resulting in equal pay being given for work of substantially equal value, with variations in pay rates based on differences in the difficulty and responsibility of work performed.

Flat organizations Organizations with few or no levels of intervening management between staff and managers. Workers are more directly involved in the decisionmaking process and can therefore exercise greater independence and react more quickly.

Fragmentation Position management problem where the organization/position is split into too many segments, restricting the employees potential contribution and causing considerable frustration. This can lead to high rates of absenteeism and turnover--as well as to low overall group productivity.

FTE Full-time equivalent.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 4

DH 10.38 POSITION MANAGEMENT Date Approved: 04/29/2016 Job dilution Position management problem where high-level duties are spread too thinly among several positions at the journeyman level. Positions are not used fully, increasing the number of senior positions and, therefore, increasing human resources costs.

Layering Position management problem where there are too many levels in the line of supervision. Communication bottlenecks occur and decisions/actions are slow because each supervisor in the line must evaluate every idea. Controversy on some important issues does not reach the supervisors attention.

Leader work Positions that lead other employees in accomplishing the work of a unit.

Missing career ladders (also called dead-end positions)

Positions that have no promotion potential or no opportunity for additional development or movement to a higher graded job within the organization.

Supervisory ratio Quantitative measurement used to calculate the ratio of supervisory positions to non-supervisory positions. This may be calculated for a work group, a division, an office, or the entire agency.

Unit A segment of an organization. In the NRC, it might be a team, section, branch, division or an office. Unit is used throughout this MD and directive handbook to generically refer to a part of an organization.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 5

DH 10.38 POSITION MANAGEMENT Date Approved: 04/29/2016 EXHIBIT Exhibit 1 Position Management Troubleshooting Guide Symptom Problem and Suggested Solutions Many Supervisors Problem: Fragmentation Solutions: Consolidate Employee job development functions so related limited tasks/processes are placed in and Organization split the same organization under Miscommunication or no into many small one supervisor, team leader, or communication between segments other line authority. Ensure supervisors and employees breadth on knowledge/tasks in individual positions to allow Individual positions challenge, development of overspecialized individuals.

Difficulty in getting decisions Problem: Layering made Solution: Reduce number and layers of supervision, increase Management often unaware span of control; increase of how, why lower-level authority that individual decisions made and Too many layers positions have to do their work; in the line of ensure clear line of supervision Controversial issues supervision and communication.

sometimes do not reach upper-level supervisors Lower-level supervisors, employees overly restricted Low employee morale Problem: Job dilution Solution: Increase Inefficiency and High-level duties percentages of grade-spread thinly controlling work in position; High costs among several establish technician and positions support jobs to take care of lower-level work.

High operating and salary Problem: Unnecessary costs positions and Positions do not Solution: Eliminate positions Many layers in management contribute that duplicate effort, including chain substantially to supervisors, assistant shadow the mission of the administrative staff. Determine Low employee morale unit what work is actually needed and design jobs around that work.

For the latest version of any NRC directive or handbook, see the online MD Catalog. 6

DH 10.38 POSITION MANAGEMENT Date Approved: 04/29/2016 Symptom Problem and Suggested Solutions Dead-end positions Problem: Missing career ladders Low employee morale Solution: Establish bridge and No clear path or positions, including technicians, Recruitment problems progression to support staff at interim levels; higher levels create development programs, Job dilution within an internships, etc., to move organization employees into higher-graded positions.

More than one position with Problem: Workforce/Position same responsibility Description inconsistency and Workload/program Solution: Review Confusion regarding changes not organization/unit functions and accountability followed by design positions; review and position, update all position descriptions; organization follow with communication, changes accountability.

Little employee initiative Problem: Narrow supervisor to and More supervision employee ratio Eroding responsibility for than is actually Solution: Increase span of quality needed to get the control, introduce team job done concept, peer reviews, etc.

Excessive overhead expense For the latest version of any NRC directive or handbook, see the online MD Catalog. 7