Section D - Classification Audits
A classification audit is basically an interview in which a classifier discusses the assigned duties and responsibilities with the employee, and also the supervisor. An audit obtains information about a position and focuses only on the major duties currently assigned and performed on a regular basis.
Audits are conducted via written questionnaires, telephone, and sometimes at the employee’s workplace when possible. On-site audits are conducted only as a last resort to gain pertinent information that is otherwise unattainable. After the audit, classifiers determine the proper title, series, and grade of positions by comparing actual duties and responsibilities to criteria in published OPM classification standards. Grade controlling duties must occupy at least 25% of the employee’s time, and be regular and recurring.
The following factors are not considered in audits or the classification of positions:
Other areas of the personnel management system take some of these considerations into account such as performance and incentive awards, the merit promotion plan, periodic step increases, and special pay rates.
|When Audits are Necessary||
Audits are done in situations where classifiers need detailed information about jobs to make classification determinations.
Audits may be required when:
Resolution is needed for disagreement on the classified position.
|Requesting an Audit||
Disagreement on assigned duties and content of PDs is usually resolved at the local level. After consulting with HRD Classification - if a supervisor decides that a desk audit may be beneficial, the request should be sent through supervisory channels and submitted to the Servicing Classification Specialist.
The classifier determines if an audit will be conducted, or if an employee's concerns would be better addressed using a different process. Generally, audits are more likely to occur when requests are based on specific job changes which have occurred since the position was last classified. The classifier will verify the accuracy of the current position description and may want an updated PD and AD-332 Cover Sheet before deciding if an audit is appropriate.
|Preparing for an Audit||
Classifiers prepare for audits by reviewing PDs, classification standards, and organizational information; and will ask several questions during the audit. Employees will have ample opportunity to provide views on aspects of the job they feel are important.
The following tips may be helpful to employees preparing for an audit:
After interviews are completed, extensive analysis of the data and the classification standards takes place. As a result, audit decisions generally take a few weeks. Most audits confirm the validity of previous classification determinations. In some instances, however, it may be determined that changes in title, occupational series, and/or grade are warranted. When a decision is reached, the results will be communicated through supervisory channels.
If the position is found to be functioning at a grade below its current classification, other actions that may occur are:
If a position is found to be functioning at a grade level above its current level, the classification specialist will work with the HR staffing specialist and the supervisor of the audited position to effect appropriate action such as: