Charles T. Schmidt, Jr. Labor Research Center Professor Richard W. Scholl Factor Evaluation System

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Contact information:

Dr. Richard W. Scholl
36 Upper College Road
Kingston, RI 02881

p. 401.874.4347
f. 401.874.2954

rscholl@uri.edu

Factor	Number of Levels	Maximum Points
1: Knowledge Required by the job	9	1850
2. Supervisory Controls	5	650
3. Guidelines	3	650
4. Complexity	6	450
5. Scope and Effect	6	450
6. Personal Contacts	4	110
7. Purpose of Contacts	4	220
8. Physical Demands	3	50
9. Work Environment	3	50

The Factor Evaluation System (FES)
Of Job Evaluation

FACTOR 1: KNOWLEDGE REQUIRED BY THE JOB

Factor 1 measures the nature and extent of information of facts which the workers must understand to do acceptable work (e.g., steps, procedures, practices, rules, policies, theories, principles, and concepts) and the nature and extent of the skills needed to apply those knowledges . To be used as a basis for selecting a level under this factor, a knowledge must be required and applied.

Level 1-1                   50 Points

Knowledge of simple, routine, or repetitive tasks or operations which typically includes following step-by-step instructions and requires little or no previous training or experience. OR Skill to operate simple equipment or equipment which operates repetitively, requiring little or no training or experience. OR Equivalent knowledge and skill

Level 1-2                   200 Points

Knowledge of basic or commonly-used rules, procedures or operations which typically requires some previous training or experience; OR Basic skill to operate equipment requiring some previous training or experience such as keyboard equipment; OR Equivalent knowledge or skill.

Level 1-3                    350 Points

Knowledge of a body of standardized rules, procedures or operations requiring considerable training and experience to perform the full range of standard clerical assignments and resolve recurring problems; OR Skill, acquired through considerable training and experience, to operate and adjust varied equipment for purposes such as performing numerous standard tests or operations; OR Equivalent knowledge or skill.

Level 1-4                     550 Points

Knowledge of an extensive body of rules, procedures or operations requiring extended training and experience to perform a wide variety of interrelated or nonstandard procedural assignments and resolve a wide range of problems; OR Practical knowledge of standard procedures in a technical field, requiring extended training or experience, to perform such work as adapting equipment when this requires considering the functioning characteristics of equipment; interpreting results of tests based on previous experience and observations (rather than directly reading instruments or other measures); or extracting information from various sources when this requires considering the applicability of information and the characteristics and quality of sources; OR Equivalent knowledge and skill.

Level 1-5                    750 Points

Knowledge (such as would be acquired through pertinent baccalaureate educational program or its equivalent in experience, training, or independent study) of basic principles, concepts, and methodology of a professional or administrative occupation, and skill in applying this knowledge in carrying out elementary assignments, operations, or procedures; OR In addition to the practical knowledge of standard procedures in Level 1-4, practical knowledge of technical methods to perform assignments such as carrying out limited projects which involve use of specialized complicated techniques; OR Equivalent knowledge and skill.

Level 1-6                     950 Points

Knowledge of the principles, concepts, and methodology of a professional or administrative occupation as described in Level 1-5 which has been either: (a) supplemented by skill gained through job experience to permit independent performance or recurring assignments, or (b) supplemented by expanded professional or administrative knowledge gained through relevant graduate study or experience which has provided skill in carrying out assignments, operations, and procedures in the occupation which are significantly more difficult and complex than those covered by Level 1-5; OR Practical knowledge of a wide range of technical methods, principles, and practices similar to a narrow area of a professional field, and skill in applying this knowledge to such assignment as the design and planning of difficult, but well precedented projects; OR Equivalent knowledge and skill.

Level 1-7                     1250 Points

Knowledge of a wide range of concepts, principles, and practices in a professional or administrative occupation, such as would be gained through extended graduate study or experience, and skill in applying this knowledge to difficult and complex work assignments; OR A comprehensive, intensive, practical knowledge of a technical field and skill in applying this knowledge to the development of a new methods, approaches, or procedures; OR Equivalent knowledge and skill.

Level 1-8                    1550 Points

Mastery of a professional of administrative field to:

• Apply experimental theories and new developments to problems not susceptible to treatment by accepted methods; or
• Make decisions or recommendations significantly changing, interpreting, or developing important organizational policies or programs;
OR Equivalent knowledge and skill.

Level 1-9                    1850 Points

Mastery of a professional field to generate and develop new hypotheses and theories; OR Equivalent knowledge and skill.

FACTOR 2: SUPERVISORY CONTROLS

Supervisory Controls covers the nature and extent of direct or indirect controls exercised by the supervisor, the employee's responsibility, and the review of completed work. Controls are exercised by the supervisor in the way assignments are made, instructions are given to the employee, priorities and deadlines are set, and objectives and boundaries are defined. Responsibility of the employee depends upon the extent to which the employee is expected to develop the sequence and timing of various aspects of the work, to modify or recommend modification of instructions, and to participate in establishing priorities and defining objectives. The degree f review , e.g., close and detailed review of each phase of the assignment; detailed review of the finished assignment; spot-check of finished work for accuracy; or review for adherence to policy.

Level 2-1                      25 Points

• For both one-of-a-kind and repetitive tasks the supervisor makes specific assignments that are accompanied by clear, detailed, and specific instructions.
• The employee works as instructed and consults with the supervisor as needed on all matters not specifically covered in the original instructions or guidlines.
• For all positions the work is closely controlled. For some positions, the control is through the structured nature of the work itself; for others, it may be controlled by the circumstances in which it is performed. In some situations, the supervisor maintains control through review of the work which may include checking progress or reviewing completed work for accuracy, adequacy, and adherence to instructions and established procedures.

 

Level 2-2                     125 Points

• The supervisor provides continuing or individual assignments by indicating generally what is to be done, limitations, quality and quantity expected, deadlines, and priority of assignments. The supervisor provides additional, specific instructions for new, difficult, or unusual assignments including suggested work methods or advise on source material available.
• The employee uses initiative in carrying out recurring assignments independently without specific instruction, but refers deviations, problems, and unfamiliar situations not covered by instructions to the supervisor for decision or help.
• The supervisor assures that finished work and methods used are technically accurate and in compliance with instructions or established procedures. Review of the work increases with more difficult assignments if the employee has not previously performed similar assignments.

Level 2-3                     275 Points

• The supervisor makes assignments by defining objectives, priorities, and deadlines; and assists employee with unusual situations which do not have clear precedents.
• The employee plans and carries out the successive steps and handles problems and deviations in the work assignment in accordance with instructions, policies previous training, or accepted practices in the occupation.
• Completed work is usually evaluated for technical soundness, appropriateness, and conformity to policy and requirements. The methods used in arriving at the end results are not usually reviewed in detail.

Level 2-4                     450 Points

• The supervisor sets the overall objectives and resources available. The employee and supervisor, in consultation, develop the deadlines, projects, and work to be done.
• At this level, the employee, having developed expertise in the line of work, is responsible for planning and carrying out the assignment; resolving most of the conflicts which arise; coordinating the work with others as necessary, and interpreting policy on won initiative in terms of established objectives. In some assignments, the employee also determines the approach to be taken and the methodology to be used. The employee keeps the supervisor informed of progress, potentially controversial matters, or far-reaching implications.
• Completed work is reviewed only from an overall standpoint in terms of feasibility, compatibility with other work, or effectiveness in meeting requirements or expected results.

Level 2-5                    650 Points

• The supervisor provides administrative direction with assignments in terms of broadly defined mission or functions.
• The employee has responsibility for planning, designing, and carrying out programs, projects, studies, or other work independently.
• Results of the work are considered as technically authoritative and are normally accepted without significant change. If the work should be reviewed, the review concerns such matters as fulfillment of program objectives, effect of advice and influence of the overall program, or the contribution to the advancement of technology. Recommendations for new projects and alteration of objectives are usually evaluated for such considerations as availability of funds and other resources, broad program goals or organizational priorities.

This factor covers the nature of guidelines and the judgment needed to apply them. Guides used in occupations include, for example: desk manuals, established procedures and policies, traditional practices, and reference materials such as dictionaries, style manuals, or engineering handbooks.

Individual jobs in different occupations vary in the specificity, applicability and availability of the guidelines for performance of assignments. Consequently, the constraints and judgmental demands placed upon employees also vary. For example, the existence of specific instructions, procedures, and policies may limit the opportunity of the employee to make or recommend actions. However, in the absence of procedures or under broadly stated objectives, employees in some occupations may use considerable judgment in researching literature and developing new methods.

Guidelines should not be confused with the knowledges described under Factor 1, Knowledge Required by the Position. Guidelines either provide reference data or impose certain constraints on the use of knowledges. For example, in the field of medical technology, for a particular diagnosis there may be three or four standardized tests set forth in a

technical manual. A medical technologist is expected to know these diagnostic tests. However, in a given laboratory the policy may be to use only one of the tests; or the policy may state specifically under what conditions one or the other of these tests may be used.

Level 3-1                     25 points

Specific, detailed guidelines covering all important aspects of the assignment are provided to the employee. The employee works in strict adherence to the guidelines; deviations must be authorized by the supervisor.

Level 3-2                     125 points

• Procedures for doing the work have been established and a number of specific guidelines are available.
• The number and similarity of guidelines and work situations requires the employee to use judgment in locating and selecting the most appropriate guidelines, references, and procedures for application and in making minor deviations to adapt the guidelines in specific cases. At this level, the employee may also determine which of several established alternatives to use. Situations to which the existing guidelines cannot be applied or significant proposed deviations from the guidelines are referred to the supervisor.

Level 3-3                     275 points

• Guidelines are available, but are not completely applicable to the work or have gaps in specificity.
• The employee uses judgment in interpreting and adapting guidelines such as agency policies, regulations, precedents, and work directions for application to specific cases or problems. The employee analyzes results and recommends changes.

Level 3-4                     450 points

• Administrative policies and precedents are applicable but are stated in general terms. Guidelines for performing the work are scarce or of limited use.
• The employee uses initiative and resourcefulness in deviating from traditional methods or researching trends and patterns to develop new methods, criteria, or proposed new policies.

Level 3-5                     650 points

• Guidelines are broadly stated and nonspecific, e.g., broad policy statements and basic legislation which require extensive interpretation.
• The employee must use judgment and ingenuity in interpreting the intent of the guides that do exist and in developing applications to specific areas of work. Frequently, the employee is recognized as a technical authority in the development and interpretation of guidelines.

This factor covers the nature, number, variety, and intricacy of tasks, step, processes, or methods in the work performed; the difficulty in identifying what needs to be done; and the difficulty and originality involved in performing the work.

Level 4-1                    125 points

• The work consists of tasks that are clear-cut and directly related.
• There is little or no choice to be made in deciding what needs to be done.
• Actions to be taken or responses to be made are readily discernible. The work is quickly mastered.

Level 4-2                     75 points

• The work consists of duties that involve related steps, processes, or methods.
• The decision regarding what needs to be done involves various choices requiring the employee to recognize the existence of and differences among a few easily recognizable situations.
• Actions to be taken or responses to be made differ in such things as the source of information, the kind of transactions or entries, or other differences of a factual nature.

Level 4-3                     150 points

• The work includes various duties involving different and unrelated processes and methods.
• The decision regarding what needs to be done depends upon the analysis of the subject, phase, or issues involved in each assignment, and the chosen course of action may have to be selected from many alternatives.
• The work involves conditions and elements that must be identified and analyzed to discern interrelationships.

Level 4-4                     225 points

• The work typically includes varied duties requiring many different and unrelated processes and methods such as those relating to well-established aspects of an administrative or professional field. Decisions regarding what needs to be done include the assessment of unusual circumstances, variations in approach, and incomplete or conflicting data.
• The work requires making many decisions concerning such things as the interpreting of considerable data, planning of the work, or refining the methods and techniques to be used.

Level 4-5                     325 points

• The work includes varied duties requiring many different and unrelated processes and methods applied to a broad range of activities or substantial depth of analysis, typically for an administrative or professional field.
• Decisions regarding what needs to be done include major areas of uncertainty in approach, methodology, or interpretation and evaluation processes resulting from such elements as continuing changes in program, technological developments, unknown phenomena, or conflicting requirements.
• The work requires originating new techniques, establishing criteria, or developing new information.

Level 4-6                     450 points

• The work consists of broad functions and processes of an administrative or professional field. Assignments are characterized by breadth and intensity of effort and involve several phases being pursued concurrently or sequentially with the support of others within or outside of the organization.
• Decisions regarding what needs to be done include largely undefined issues and elements, requiring extensive probing and analysis to determine the nature and scope of the problems.
• The work requires continuing efforts to establish concepts, theories, or programs, or to resolve unyielding problems.

Scope and Effect covers the relationship between the nature of the work, i.e., the purpose, breadth, and depth of the assignment, and the effect of work products or services both within and outside the organization.

In General Schedule occupations, effect measures such things as whether the work output facilitates the work of others, provides timely services of a personal nature, or impacts on the adequacy of research conclusions. The concept of effect alone does not provide sufficient information to properly understand and evaluate the impact of the position. The scope of the work completes the picture, allowing consistent evaluations. Only the effect of properly performed work is to be considered.

Level 5-1                     25 points

• The work involves the performance of specific, routine operations that include a few separate tasks or procedures.
• The work product or service is required to facilitate the work of others; however, it has little impact beyond the immediate organizational unit or beyond the timely provision of limited services to others.

Level 5-2                     75 points

• The work involves the execution of specific rules, regulations, or procedures and typically comprises a complete segment of an assignment or project of broader scope.
• The work product or service affects the accuracy, reliability, or acceptability of further processes or services.

Level 5-3                     150 points

• The work involves treating a variety of conventional problems, questions, or situations in conformance with established criteria.
• The work product or service affects the design or operation of systems, programs, or equipment; the adequacy of such activities as field investigations, testing operations, or research conclusions; or the social, physical, and economic well being of persons.

Level 5-4                     225 points

• The work involves establishing criteria; formulating projects; assessing program effectiveness; or investigating or analyzing a variety of unusual conditions, problems. or questions.
• The work product or service affects a wide range of agency activities, major activities of industrial concerns, or the operation of other agencies.

Level 5-5                     325 points

• The work involves isolating and defining unknown conditions, resolving critical problems, or developing new theories.
• The work product or service affects the work of other experts, the development of major aspects of administrative or scientific programs or missions, or the well-being of substantial numbers of people

Level 5-6                     450 points

• The work involves planning, developing, and carrying out vital administrative or scientific programs.
• The programs are essential to the missions of the agency or affect large numbers of people on a long-term or continuing basis.

This factor includes face-to-face contacts and telephone and radio dialogue with persons not in the supervisory chain. (NOTE: Personal contacts with supervisors are covered under Factor 2, Supervisory Controls.) Levels described under this factor are based on what is required to make the initial contact, the difficulty of communicating with those contacted, and the setting in which the contact takes place (e.g., the degree to which the employee and those contacted recognize their relative roles and authorities).

Above the lowest level, points should be credited under this factor only for contacts which are essential for successful performance of the work and which have a demonstrable impact on the difficulty and responsibility of the work performed.

The relationship of Factors 6 and 7 presumes that the same contacts will be evaluated for both factors. Therefore, use the personal contacts which serve as the basis for the level selected for Factor 7 as the basis for selecting a level for Factor 6.

Level 6-1                     10 points

The personal contacts are with employees within the immediate organization, office, project, or work unit, and in related or support units; AND/OR The contacts are with members of the general public in very highly structured situations (e.g., the purpose of the contact and the question of with whom to deal are relatively clear). Typical of contacts at this level are purchases of admission tickets at a ticket window.

Level 6-2                     25 points

The personal contacts are with employees in the same agency, but outside the immediate organization. People contacted generally are engaged in different functions, missions, and kinds of work, e.g., representatives from various levels within the agency such as headquarters, regional, district, or field offices or other operating offices in the immediate installations; AND/OR The contacts are with members of the general public, as individuals or groups, in a moderately structured setting (e.g., the contacts are generally established on a routine basis, usually at the employee's work place; the exact purpose of the contact may be unclear at first to one or more of the parties; and one or more of the parties may be uninformed concerning the role and authority of other participants). Typical of contacts at this level are those with persons seeking airline reservations or with job applicants at a job information center.

Level 6-3                     60 points

The personal contacts are with individuals or groups from outside the employing agency in a moderately unstructured setting (e.g., the contacts are not established on routine basis; the purpose and extent of each contact is different and the role and authority of each party is identified and developed during the course of the contact). Typical of contacts at this level are those with persons in their capacities as attorneys; contractors; or representatives of professional organizations, the news media, or public action groups.

Level 6-4                     110 points

The personal contacts are with high-ranking officials from outside the employing agency at national or international levels in highly unstructured settings (e.g., contacts are characterized by problems such as: the officials may be relatively inaccessible; arrangements may have to be made for accompanying staff members; appointments may have to be made well in advance; each party may be very unclear as to the role and authority of the other; and each contact may be conducted under different ground rules). Typical of contacts at this level are those with members of Congress, leading representatives of foreign governments, presidents of large national or international firms, nationally recognized representatives of the news media, presidents of national unions, state governors, or mayors of large cities.

This factor,, purpose of personal contacts, ranges from factual exchanges of information to situations involving significant or controversial issues and differing viewpoints, goals, or objectives. The personal contacts which serve as the basis for the level selected for this factor must be the same as the contacts which are the
basis for the level selected for Factor 6.

Level 7-1                     20 points

The purpose is to obtain, clarify, or give facts or information regardless of the nature of those facts, i.e., the facts or information may range from easily understood to highly technical.

Level 7-2                     50 points

The purpose is to plan, coordinate, or advise on work efforts or to resolve operating problems by influencing or motivating individual or groups who are working toward mutual goals and who have basically co-operative attitudes.

Level 7-3                     120 points

The purpose is to influence, motivate, interrogate, or control persons or groups. At this level the persons contacted may be fearful, skeptical, uncooperative, or dangerous. Therefore, the employee must be skillful in approaching the individual or group in order to obtain the desired effect, such as, gaining compliance with established policies and regulations by persuasion or negotiation, or gaining information by establishing rapport with a suspicious informant.

Level 7-4                     220 points

The purpose is to justify, defend, negotiate, or settle matters involving significant or controversial issues. Work at this level usually involves active participation in conferences, meetings, hearings, or presentations involving problems or issues of considerable consequence or importance. The persons contacted typically have diverse viewpoints, goals, or objectives requiring the employee to achieve a common understanding of the problem and a satisfactory solution by convincing them, arriving at a compromise, or developing suitable alternatives.

The "Physical Demands" factor covers the requirements and physical demands placed on the employee by the work assignment. This includes physical characteristics and abilities (e.g., specific agility and dexterity requirements) and the physical exertion involved in the work (e.g., climbing, lifting, pushing, balancing, stooping, kneeling, crouching, crawling, or reaching). To some extent the frequency or intensity of physical exertion must also be considered, e.g., a job requiring prolonged standing involves more physical exertion than a job requiring intermittent standing.

Level 8-1                     5 points

The work is sedentary. Typically, the employee may sit comfortably to do the work. However, there may be some walking; standing; bending; carrying of light items such as papers, books, small parts; driving an automobile, etc. No special physical demands are required to perform the work.

Level 8-2                     20 points

The work requires some physical exertion such as long periods of standing; walking over rough, uneven, or rocky surfaces; recurring bending, crouching, stooping, stretching, reaching, or similar activities; recurring lifting of moderately heavy items such as typewriters and record boxes. The work may require specific, but common, physical characteristics and abilities such as above-average agility and dexterity.

Level 8-3                     50 points

The work requires considerable and strenuous physical exertion such as frequent climbing of tall ladders, lifting heavy objects over 50 pounds, crouching or crawling in restricted areas, and defending oneself or others against physical attack.

The work Environment" factor considers the risks and discomforts in the employee's physical surroundings or the nature of the work assigned and the safety regulations required. Although the use of safety precautions can practically eliminate a certain danger or discomfort, such situations typically place additional demands upon the employee in carrying out safety regulations and techniques.

Level 9-1                     5 points

The work environment involves everyday risks or discomforts which require normal safety precautions typical of such places as offices, meeting and training rooms, libraries, and residences or commercial vehicles, e.g., use of safe work practices with office equipment, avoidance of trips and falls, observance of fire regulations and traffic signals, etc. The work area is adequately lighted, heated, and ventilated.

Level 9-2                     20 points

The work involves moderate risks or discomforts which require special safety precautions, e.g., working around moving parts, carts, or machines; with contagious diseases or irritant chemicals; etc. Employees may be required to use protective clothing or gear such as masks, gowns, coats, boots, goggles, gloves, or shields.

Level 9-3                     50 points

The work environment involves high risks with exposure to potentially dangerous situations or unusual environmental stress which require a range of safety and other precautions, e.g., working at great heights under extreme outdoor weather conditions, subject to possible physical attack or mob conditions, or similar situations where conditions cannot be controlled.