Delegated Examining Operations Handbook, A - Beatley

Transcription

To Delegated Examining Customers:
We are pleased to provide you with an updated version of the Delegated Examining Operations
Handbook, A Guide for Federal Agency Examining Offices, dated October,1999. The updated
Handbook is designed to complement the new training program for agency delegated examining staff
now available from OPM Service Centers. The handbook contains new or expanded discussions of a
number of key examining subjects such as:
o agency options to use a variety of candidate assessment techniques
o effective job analysis, including a detailed step by step guide to job analysis procedures
o a new competency-based approach that agencies can use in developing crediting plans and
other examining tools.
The Handbook also has been updated to reflect the latest statutory and regulatory changes and now
includes a glossary of examining terms and expanded legal and regulatory citations.
To make this information available to agencies as quickly as possible, we have placed the updated
Delegated Examining Operations Handbook on our website without “hyperlinks.” This version of the
Handbook can be downloaded for printing and immediate use.
Within the next few weeks we will upload the Handbook in the format provided for previous editions of
the handbook, including special “hyperlinks” incorporated within the document allowing you to move
among related topics quickly. The enhanced version of the Handbook will have a complete listing of the
updates and may also include additional material on pending policy and statutory changes, so please be
sure to check this website periodically. We are also planning to incorporate a continuing “what’s new”
feature on this website alerting you to new or updated information.
If you have any questions, please send us an E-mail at [email protected]. We hope you find this
website useful and welcome your comments and suggestions.
United States
Office of
Personnel
Management
Delegated
Examining
Operations
Handbook
A Guide for Federal Agency Examining Offices
October 1999
i
TABLE OF CONTENTS
Page
INTRODUCTION
iv
SECTION 1 -- DELEGATION RESPONSIBILITIES
1.1.
1.2.
1.3.
1.4.
I-1
Basic Authority
Occupational Coverage
Relationship of the Delegated Examining Office to the Agency
Relationship Between OPM and a Delegated Examining Office
I-1
I-1
I-2
I-3
SECTION 2 -- CANDIDATE ASSESSMENT OPTIONS
2.1.
2.2.
2.3.
2.4.
2.5.
2.6.
2.7.
2.8.
2.9.
II-1
The Staffing Process
Assessment Options
Choosing a Particular Assessment Option
Case Examining v. Standing Inventories
Qualification Requirements
Written Tests
Special Hiring Procedures for Shortage Category Positions
Special Hiring Authorities Subject to the Luevano Consent Decree
NonPermanent Appointments (5 CFR 316)
II-1
II-1
II-2
II-2
II-3
II-3
II-4
II-4
II-5
SECTION 3 -- RATING AND RANKING CANDIDATES FOR GENERAL SCHEDULE (GS)
POSITIONS
3.1.
3.2.
3.3.
3.4.
3.5.
3.6.
3.7.
Purpose
Policy
Definitions
Job Analysis Competency/KSA-Based and Rating Schedule Development
Two Alternative Rating Procedures
Developing and Using Selective Factors
Documentation
SECTION 4 -- INITIATING THE EXAMINING PROCESS
4.1.
4.2.
4.3.
4.4.
III-1
III-1
III-2
III-2
III-4
III-6
III-6
IV-1
Receipt, Preliminary Review, and Control of Requests for Certification
Competitive Examining v. Outside-The-Register Examining
Implementing The Agency Career Transition Assistance Plan (CTAP) and
The Interagency Career Transition Assistance Plan (ICTAP)
Excepted Service Positions, Senior Executive Service Positions, and
Statutory (Public Law) Appointments
Certification Control Sheet
CTAP Special Selection Consideration
ICTAP Special Selection Consideration
Delegated Examining Operations Handbook
III-1
IV-1
IV-2
IV-2
IV-11
IV-13
IV-14
IV-15
Inst. 5 - October 1999
ii
SECTION 5 -- PUBLIC NOTICE AND RECRUITMENT
5.1.
5.2.
5.3.
5.4.
5.5.
5.6.
5.7.
V-1
Introduction
Public Notice of the Opportunity to Compete
Differences Between Public Notice and Recruiting
Focused Recruiting
Setting Up An Effective Recruiting Plan
Direct Entry of Job Vacancies Into The Federal Jobs Database
Coordinating Recruitment Efforts With Public Notice
V-1
V-1
V-2
V-2
V-3
V-3
V-7
SECTION 6 -- ACCEPTING APPLICATIONS AND ADJUDICATING VETERANS PREFERENCE VI-1
6.1.
6.2.
6.3.
6.4.
6.5.
6.6.
6.7.
Application Acceptance Procedures
Review of Applications for Legally Required Information
Special Filing and Consideration Procedures for 10-point Preference Eligibles in
Case Examining Situations
Adjudication of Veterans Preference
Positions Restricted to Veterans
Issuing Notices of Results
Reconsideration of Rating Decisions
SECTION 7 -- ESTABLISHING & MAINTAINING COMPETITOR INVENTORIES
7.1.
7.2.
7.3.
7.4.
Definition of Competitor Inventory
Establishing Competitor Inventories
Maintaining Competitor Inventories
Terminating or Combining Competitor Inventories
VII-1
VIII-1
The Certificate of Eligibles
Certification from an Inventory
Number of Applicants Certified Under Case Examining
Order of Certification
Tied Ratings
Certifying Name Requests
Completing the Request for Certification Form
Adding Names to (Or Rearranging Names On) Outstanding Certificates
Supplemental Certificates
Additional Certification
Certification by Geographic Area
Acting on the Certificate
Auditing Actions on Certificates of Eligibles
Lost Certification due to Erroneous Certification
Certification Time Limits
VI-7
VI-8
VI-9
VI-9
VI-10
VII-1
VII-1
VII-5
VII-7
SECTION 8 -- CERTIFICATION PROCEDURES
8.1.
8.2.
8.3.
8.4.
8.5.
8.6.
8.7.
8.8.
8.9.
8.10.
8.11.
8.12.
8.13.
8.14.
8.15.
VI-1
VI-6
VIII-1
VIII-2
VIII-4
VIII-4
VIII-5
VIII-6
VIII-6
VIII-6
VIII-7
VIII-8
VIII-8
VIII-9
VIII-14
VIII-16
VIII-19
iii
SECTION 9 -- MISCELLANEOUS INFORMATION AND INSTRUCTIONS
9.1.
9.2.
9.3.
9.4.
9.5.
9.6.
9.7.
9.8.
9.9.
IX-1
Documenting SF-50s to Show Selection Through Delegated Examining
Providing Quarterly Workload Reports to OPM
Providing Examining Information Under the Freedom of Information and
Privacy Acts
Maintaining Delegated Examining Records
Maintaining Forms Necessary for Examining Operations
Safeguarding the Examining Process
Conducting Internal Reviews of Examining Operations
Termination, Suspension, or Revocation of Delegated Examining Authority
Delegated Examining Review Sheets and Checklists
IX-1
IX-1
IX-2
IX-4
IX-4
IX-4
IX-5
IX-6
IX-6
GLOSSARY
APPENDIX A - Sample Interagency Delegated Examining Agreement
APPENDIX B - Positions Covered Under the Luevano Consent Decree
APPENDIX C - Instructions for Completing Competency/KSA-Based Job Analysis and Rating
Schedule Development
APPENDIX D - A-C-E Rating Procedure
APPENDIX E - Professional and Scientific Positions
APPENDIX F - Transmutation Tables for General Schedule Positions
APPENDIX G - Records Retention and Disposition Schedule
APPENDIX H - Sample Vacancy Announcement Language to Explain CTAP and ICTAP
APPENDIX I - Personnel Actions Subject to Public Notice Requirements
APPENDIX J - Random Referral Instructions
APPENDIX K - Instructions for Completing the Delegated Examining Quarterly Workload Report
Form
APPENDIX L - Model Agency-Based Accountability Agenda
APPENDIX M - Oversight Review Guide for Tier 3 Reviews
APPENDIX N - Delegated Examining Checklists
iv
INTRODUCTION
A.
This Handbook provides guidance for agencies that have been delegated examining authority by the
U.S. Office of Personnel Management (OPM) under the provisions of Title 5, of the U.S. Code (U.S.C.),
Chapter 11, Section 1104.
B.
The Handbook is intended to guide and provide options to users, and where necessary, to prescribe
specific operational procedures in order that an examining program may comply with merit system laws
and regulations. The Handbook is to be used in conjunction with (1) specific authorities cited in the
agency’s delegation agreement; (2) applicable laws in 5 U.S.C.; and (3) regulations published in the
Code of Federal Regulations (5 CFR).
C.
The principal merit system objectives for recruiting and selection are to provide adequate public notice
of the opportunity to compete for consideration and to select from among the best qualified available
candidates on the basis of job-related measures. Ensuring that these objectives are met entails several
basic steps and the preparation of related documentation. The usual order of the process is as follows.
1. Using job analysis processes, identify the Competencies or Knowledges, Skills, and Abilities (KSAs)
needed to perform the job (including selective placement factors), and develop criteria for
evaluating the extent to which applicants possess the KSAs;
2. Notify the public of the acceptance of applications, and target recruitment as necessary to reach
the best sources of qualified applicants;
3. Rate applications against minimum qualification standards or competency-based job profiles,
including selective factors, to identify eligible candidates;
4. Assess the relative competencies or knowledge, skills, and abilities of eligibles against job-related
criteria;
5. Rank eligibles, giving due weight to veteran preference entitlement;
6. Refer the ranked list to the selecting official for appointment consideration;
7. Review the results of the selection process for conformance with laws and regulations;
8. Maintain the lists of eligibles, that include records of referral for each eligible candidate; and
9. Dispose of records when appropriate to do so in accordance with instruction in the agency’s
Delegation Agreement and in this Handbook.
A set of records must be kept showing that these steps were accomplished properly.
D.
This installment of the Handbook (Inst. 5 - June 1999) completely replaces all earlier versions.
I-1
SECTION 1 - DELEGATION RESPONSIBILITIES
References:
5 U.S.C. 1104: OPM’s Authority to Delegate Examining
5 U.S.C. 2301: Merit System Principles
5 U.S.C. 2302: Prohibited Personnel Practices
P.L. 104-52: Amendment to 5 U.S.C. 1104
Interagency Agreement for Delegated Examining Authority
Luevano Consent Decree
www.opm.gov/deu - OPM Delegated Examining Website)
§ 1.1.
BASIC AUTHORITY
A.
Competitive examining is the process used to fill civil service positions with candidates applying
from outside the Federal workforce. It is also used to enable employees who do not have civil
service status to compete for a permanent appointment and to enable employees with civil service
status to compete for other positions. Appointments made through the competitive examining
process are subject to civil service laws which ensure recruitment from all segments of society, and
selection on the basis of the competencies or knowledge, skills, and abilities, and veterans
preference, after fair and open competition.
B.
The authority for OPM to delegate competitive examining derives from the Civil Service Reform Act
of 1978, and is now codified in 5 U.S.C. § 1104. OPM delegates examining authority at the
headquarters level of an agency, and this authority cannot be redelegated. Requests for
certification of a Delegated Examining Unit (DEU) or employees responsible for competitive
examining must come from the office to which the authority is delegated. (See Appendix A for the
standard Interagency Agreement for Delegated Examining Authority).
C.
It is particularly important for agency units conducting both delegated competitive examining and
internal merit promotion to recognize that there are substantial differences between the two
processes. Unlike merit promotion, competitive examining requires the application of veteran
preference, the rule of three, pass-over and objection procedures, and full public notice.
§ 1.2.
OCCUPATIONAL COVERAGE
A.
General. Title 5 U.S.C. § 1104 was amended by P.L. 104-52 in November 1995 to permit delegation
of all jobs in the competitive civil service (except Administrative Law Judges).
B.
Additional Considerations: There are two additional limitations on the types of occupations for which
agencies can examine:
1.
Positions Covered Under the Luevano Consent Decree (formerly called Administrative Careers
With America - ACWA) Defined. The series and job titles covered under the Luevano Consent
Decree are listed in Appendix B. In addition to the series being one of those listed in the
Appendix, a covered position must also meet ALL of the following criteria:
I-2
(a)
it is being filled at either GS-5 or GS-7;
(b)
it is classified at 2-grade intervals; and
(c)
it must have promotion potential to GS-9, or higher.
Agencies are reminded that the Luevano consent decree required the establishment and
application of an approved rating procedure for entry into these covered positions. OPM
continues to administer an approved examining instrument on a case-by-case basis;
alternatively, OPM will administer the written test developed for the Luevano positions for an
agency, upon request. When using the approved rating instrument, the specialized
qualification questions can be modified, but the rating questions cannot be changed. Agencies
that wish to consider developing an alternative examining instrument must obtain approval
from the Department of Justice and the plaintiffs prior to implementation. Agencies should be
aware that there are data collection and reporting requirements that go along with examining
for Luevano positions.
The Outstanding Scholar provision of the Luevano decree is still available as a supplement to
a formal competitive examination. Refer to Section 2.7 of this Handbook for additional
information on the Outstanding Scholar hiring authority.
2.
Clerical Jobs. Although agencies were delegated authority to examine for all clerical positions,
OPM’s qualifications standard for competitive clerical positions at grades 2/3/4 requires
applicants to successfully pass a specific OPM written test. In the case of CTAP/ICTAP
candidates, the written test is waived when these applicants are processed as reinstatement
eligibles. For a complete listing of OPM’s written test requirements, visit our Website at
opm.gov/qualifications/sec-v.
As of April 2, 1999, agencies have two options when filling temporary clerical positions of less
than one year. Agencies may (1) continue to use the written test for temporary clerical
positions or they may (2) use education, experience and proficiency requirements as provided
in OPM’s guidelines on “Qualifications Standards for General Schedule Positions” to fill these
jobs. These options may be used whether the agencies fill the positions under delegated
examining authority, use outside of the register selection procedures under 5 CFR 333, or
obtain examining services from the Office of Personnel Management.
If OPM does not provide regular testing services in a particular geographical area, an agency
may procure these services from OPM on a case-by-case basis or administer the test
themselves, provided, the test administrators are trained by OPM. An agency may elect to
share the examining process with OPM or request OPM to provide total examining services
along with the administration of the clerical test. (See Section 2.6.B)
§ 1.3.
RELATIONSHIP OF THE DELEGATED EXAMINING OFFICE TO THE AGENCY
A.
Personnel staff who perform delegated examining have a dual responsibility as a vital adjunct of its
parent agency charged with expediting the process of filling vacant positions with well-qualified
persons and as a representative of the Federal Government responsible for upholding the laws and
policies of merit selection. (See 5 U.S.C. § 2301 and § 2302) For this reason, agency personnel
staff who perform delegated examining are required to be trained and certified by OPM (See 1.4
below).
I-3
B.
OPM prescribes no requirements for how the delegated examining function is organized. In some
agencies, employees may work full time on competitive examining; in other agencies, the
competitive examining tasks may be just a collateral duty. OPM's experience in working with many
agency examining programs through the years, however, has demonstrated the effectiveness of a
very close relationship between the competitive examining function and whichever organization is
responsible for other external hiring programs. There is considerable overlap, and employees often
share techniques and information between the two functions.
C.
In carrying out its examining authority, an agency has a number of options including conducting all
examining work itself; contracting with an OPM Service Center to conduct part or all of the work on
a reimbursable basis; or contracting with a certified Examining Office of another Federal agency to
conduct part or all of the work.
D.
Agencies are required to conduct annual reviews of each unit carrying-out delegated examining
operations. (See Section 9.7, Conducting Internal Reviews of Delegated Examining Operations.)
§ 1.4.
RELATIONSHIP BETWEEN OPM AND A DELEGATED EXAMINING OFFICE
A.
Training. OPM and each agency have a vested interest in assuring that responsible agency
Examining Office employees are fully knowledgeable about competitive examining procedures. To
that end, OPM provides comprehensive training to new staff members responsible for delegated
examining and periodic refresher training to more experienced staff. Ad hoc training can usually be
provided as agencies identify internal needs. Agencies are also responsible for notifying their local
OPM Service Center when initial or refresher training is necessary for delegated examining staff
members and, in this context, providing information to OPM on their training needs and background.
B.
Candidates for Delegated Examining Training. Training is provided to agency specialists, assistants,
or clerks whose responsibility include conducting or maintaining delegated examining operations.
Experience has shown that staff identified for delegated examining work and training by OPM should
have one or more of the following to be successful:
1.
Prior work experience that has provided a knowledge of personnel staffing procedures from
the perspective of administering or conducting either competitive staffing or internal agency
merit promotion operations; and/or
2.
Classroom training that has provided a knowledge of basic staffing policies, procedures,
methods and techniques; and/or
3.
Knowledge of Federal personnel management procedures including the application of merit
systems principles.
Prior to attending training, each participant and his/her supervisor will be asked to complete a
training needs assessment for OPM’s use in ascertaining the individual’s technical level of
knowledge, and identifying specific areas of training to be emphasized.
C.
Certification of Agency Delegated Examining Staff. Individuals who have successfully completed
OPM’s delegated examining training and related assessment procedures will be certified for the
performance of delegated examining work. Certifications will be time limited and will require
periodic refresher training for recertification. Generally, recertification must occur within three years
of the initial training, although additional conditions may be established by the local OPM Service
Center.
I-4
D.
On-going technical assistance. OPM staff is available to respond to technical questions or to make
on-site technical assistance visits as needed. Agencies are encouraged to ask for help on issues
that may not be clear to the examining staff. Often, OPM's clarification can prevent major problems.
E.
OPM's oversight role. OPM is tasked with maintaining an oversight program to ensure that activities
under any authority delegated under 5 U.S.C. § 1104(a) are in accordance with the merit system
principles and the standards established under 5 U.S.C. § 1104(b)(1). OPM’s Office of Merit
Systems Oversight and Effectiveness (OMSOE) conducts periodic reviews of competitive examining
activities. A review is not necessarily intended to be a problem-finding exercise. However, when
problems are identified, corrective actions will be specified, and OPM may conduct future reviews
on a more frequent basis and with more intensity. Any actions contrary to any law, rule and/or
regulation shall be corrected as required by OPM and in accordance with 5 U.S.C. § 1104.
II - 1
SECTION 2 - CANDIDATE ASSESSMENT OPTIONS
References:
5 CFR 316: Non-Permanent Appointments
5 CFR 333: Recruitment and Selection for Temporary Appointments Outside the Register.
Luevano Consent Decree
www.opm.gov/qualifications - Operating Manual for Qualification Standards for General Schedule
Positions
www.opm.gov/veterans Federal Employment Policy Handbook: Veterans and the Civil Service
(VetGuide)
www.opm.gov/deu OPM Delegated Examining
§ 2.1
THE STAFFING PROCESS
Examining is a critical part of the overall staffing process or continuum. This process includes:
§ 2.2
C
Planning and forecasting workforce needs of the organization;
C
Working with agency managers to design specific positions to meet those needs;
C
Conducting appropriate analysis of the jobs to identify key tasks, responsibilities, occupational
classification, and pay levels;
C
Determining the competencies or knowledge, skills, and abilities needed for successful
performance in the position;
C
Notifying the public of the opportunity to compete and focusing recruitment efforts on the best
sources of candidates identified by labor market analysis;
C
Choosing the best assessment procedure to measure candidates against job requirements;
C
Applying relevant laws and regulations to the examining selection process;
C
Monitoring the performance of new hires through the completion of their probationary period.
ASSESSMENT OPTIONS
In carrying out competitive examining work, agencies can use a broad range of tools, individually or in
combination (subject to the requirements affecting written tests listed in Section 2.5), to assess candidates
including:
C
Objective Test. A series of questions (e.g. true-false, fill-in-the-blank, matching, and multiple
choice) or exercises designed to measure job-related competencies. The word “objective”
refers to the scoring and indicates that there is only one correct answer.
II - 2
C
Assessment Center. A method of evaluating candidates (e.g. executives, PMIs) through a
variety of assessment tools which include: leaderless group discussions, interviews, role
playing, group discussion and in- basket exercises.
C
Education/Experience. An evaluation of the candidate’s job-related competencies or
knowledge, skills, and abilities accomplished by reviewing the factual background of a
candidate to include positions held, levels of responsibility, accomplishments, and job-related
education they have received. Example: Rating Schedule or Crediting Plan using Behavioral
Consistency Method.
C
Professional Certification. A certification that is issued and recognized by a specific general
professional community or by other group (e.g. agency Certification Program) as a result of
meeting job-related requirements. Example: Certified Public Accountant (C.P.A.).
C
Structured Interview. A structured interview consists of questions that are consistently used
for all interviews for a particular job. The questions are based on job-related competencies
critical to job performance. It may include questions concerning job knowledge, job samples,
work requirements, and how a candidate would handle various situations. Structured interviews
often anchor the rating scales used by interviewers with behaviorally specific examples of what
constitutes good, average or poor answers on a competency.
C
Work Sample Assessment. Systematic evaluation of a candidate’s work that would represent
a job-related competency. Example: Writing Sample.
These assessment options do NOT need to be approved by OPM but they must meet the three
considerations in Section 2.3.
§ 2.3
CHOOSING A PARTICULAR ASSESSMENT OPTION
The key consideration affecting an agency’s choice of a particular assessment instrument should be:
§ 2.4
C
Validity (i.e. The extent to which the instrument is predictive of successful performance on the
job);
C
Practicality (i.e. Appropriate for the occupation/grade, labor market, expected candidate supply,
professional capability of agency staff, consistent with time frame to fill the position etc.)
C
Conformance with the requirements of the Uniform Guidelines on Employee Selection
Procedures (also found on OPM’s Delegated Examining Website), applicable qualifications
standards and competency-based profiles, and other laws and regulations affecting the staffing
process.
CASE EXAMINING v. STANDING INVENTORIES
Case examining v. standing inventories. Delegated examining authority is understood to apply equally to
case examining situations and to the maintenance of inventories. Agencies may determine which option best
meets their needs for specific vacancies.
A.
Case Examining. An effective technique in filling a specific position in which the job seeker applies
directly for the position and is rated and ranked using job-related competencies/KSAs. A certified
delegated examiner conducts the examination process and issues a Certificate of Eligibles for the
position. A standing inventory is not maintained.
II - 3
B.
1.
Advantages: (1) Enables agencies to identify specific requirements of the job, (2) Candidate
availability is good because they have applied for the specific job.
2.
Disadvantages: (1) Case examining requires more time to issue a certificate than inventories,
since each vacancy must be announced first. (2) From the applicant's perspective, case
examining requires more diligence in finding out about vacancies and more effort in applying
for them.
Standing Inventories. An inventory of eligible competitors who are assigned a numerical rating and
certified in score order by occupation, grade, location, etc. This is an effective approach when many
recurring vacancies are anticipated over time.
1.
Advantages: (1) Speed of referral is the principal advantage; a certificate can be issued in a
matter of hours (or minutes) after an SF-39 or other formal request for a certificate is received.
(2) The applicant can file once and be assured of consideration for recurring jobs (consistent
with his/her rating).
2.
Disadvantages: (1) Inventories sometimes generate a high unavailability rate as the span of
time between filing and consideration lengthens. (2) Inventories require continual
maintenance as eligibles request extensions of eligibility, address changes, etc.
§2.5
QUALIFICATION REQUIREMENTS
A.
General Schedule positions. Agencies must use OPM qualification requirements found in the
Operating Manual: Qualification Standards for General Schedule Positions or OPM published
competency-based job profiles, unless an agency has an agency-specific standard which has been
approved by OPM. Any written test requirement must be met, unless a specific waiver from OPM
has been obtained. Agencies are also responsible for identifying through job analysis appropriate
competencies or KSA’s for their positions. (See 5 CFR 300.103)
B.
Wage Grade Positions. Agencies may use approved job elements in OPM’s Handbook X-118C, or
develop their own job-related elements. If agencies decide to develop their own job-related
elements, they must retain the required screen-out element and use the job element rating process
and transmutation table prescribed in the Job Qualification System for Trades and Labor
Occupations Handbook, X-118C.
C.
Operating Manual for Qualification Standards for General Schedule Positions. The introduction to
this manual contains excellent resource material on a variety of qualifications issues; including, but
not limited to: application of the qualification standards, superior academic achievement
requirements, medical and physical requirements, special inservice placement provisions, etc. This
manual is also available on OPM’s Website at www.opm.gov/qualifications.
§ 2.6
WRITTEN TESTS
A.
Non - OPM Tests. Examining Offices’ must follow the guidelines listed below concerning the use
of written tests in examining.
1.
Examining Offices may develop applicant appraisal procedures, including written tests,
consistent with the following:
II - 4
2.
B.
a.
The technical standards in the Uniform Guidelines on Employee Selection Procedures
in the development of any applicant appraisal procedure, including written tests.
b.
The Operating Handbook, Qualifications Standards for General Schedule Positions. This
includes using any written test that is specifically mentioned in the qualification standard
(e.g., clerical occupations).
c.
There are also certain occupations that require written tests for inservice placement.
Examining Offices must adhere to the guidance found in the Operating Handbook,
Qualifications Standards for General Schedule Positions.
Agencies must obtain OPM approval to use a written test to determine basic eligibility or as the
sole basis for ranking applicants for inservice placement. A written request must be submitted
to OPM’s Employment Service, Personnel Resources and Development Center.
OPM Tests
The administration of OPM written tests has been delegated to agencies. Examining Offices’ test
administrators must receive training from OPM before administering OPM tests. At the discretion
of an agency examining unit, OPM will administer tests on a reimbursable basis.
§ 2.7
SPECIAL HIRING PROCEDURES FOR SHORTAGE CATEGORY POSITIONS
Special hiring procedures commonly known as “direct hire” are appropriate when agencies are not able to
attract enough qualified candidates to fill their positions. The criteria for use of these procedures are that
there must be (1) an open continuous job announcement, (2) active recruitment, and (3) an insufficient
supply of qualified candidates to fill current vacancies. Even under special hiring procedures, the rule
of three and veteran preference must be applied. This means that applications must be rated and ranked
if there are more than three applications, or if there are two or more applications from a combination of
preference and non-preference eligibles.
Under the delegated examining authority, agencies are responsible for determining whether the special hiring
criteria for a specific series and grade level(s) are met and for making the decision to use these procedures.
When making employment offers under direct hire procedures, selections must meet rule of three and
veteran preference requirements. If these requirements are not met because higher-rated applicants or
preference eligibles are available, this situation must be reconciled promptly by making a job offer or filing
a formal objection.
§ 2.8
SPECIAL HIRING AUTHORITIES SUBJECT TO THE LUEVANO CONSENT DECREE
A.
Outstanding Scholar for Luevano Consent Decree Positions. Under the terms of the Luevano
consent decree the Outstanding Scholar Program was established as a supplement to the
competitive examining process where under representation of Blacks and Hispanic exists. This
authority was not intended to replace competitive examining, nor to become the primary method of
hiring. This authority allows agencies to appoint Outstanding Scholars as an exception to normal
competitive procedures, that is, the rule of three and veterans’ preference do not apply. However,
agencies must first ensure that there are no well-qualified candidates eligible for priority referral
under the Career Transition Assistance Plan (CTAP) and Interagency Career Transition Assistance
Plan (ICTAP). The Outstanding Scholar authority is NOT an exception to CTAP\ICTAP and
Reemployment Priority List (RPL) (see Section 3 for further information on the CTAP\ICTAP
program).
II - 5
To qualify for consideration as an Outstanding Scholar, an applicant must be a college graduate
from an accredited university (or expect to graduate within 9 months) who has maintained a gradepoint average (GPA) of 3.5 or higher on a 4.0 scale for all undergraduate course work, or have
graduated in the upper 10 percent of their baccalaureate graduating class, or of a major university
subdivision. Grade-point averages are rounded to the nearest full tenth of a GPA point. For
example, a GPA of 3.45 is rounded up to 3.5, but a GPA of 3.449 is rounded to a 3.4 GPA.
Agencies are required to submit an annual report addressing the race and national origin data of all
Outstanding Scholar applicants.
This authority is only to be used with the 100+ administrative occupations at GS-5 and GS-7 grade
levels specifically covered under the Luevano decree.
Under no circumstances may
Outstanding Scholar hiring procedures be used for filling any other positions. (See
Appendix B for a list of positions covered under the Luevano consent decree.)
B.
Bilingual and\or Bicultural Certification for Luevano Consent Decree Positions. Agencies may also
use the bilingual\bicultural certification provided by the consent decree as an exception to normal
competitive hiring procedures for Luevano positions. However, under this program, persons must
first obtain a passing score on an appropriate competitive examining procedure and may be
appointed without further regard to rank, provided that: (1) the job is covered by this program (see
Appendix B), (2) the position must require interaction with the public or in which job performance
is enhanced by having bilingual and/or bicultural skills, and (3) the agency has determined through
use of a reasonable questionnaire or interview that the applicant to whom appointment is to be
offered has the required level of oral Spanish language proficiency and/or the requisite knowledge
of Hispanic culture. Agencies must maintain documentation that these requirements have been met.
The bilingual\bicultural certification process is NOT an exception to CTAP/ICTAP (see Section 3 for
further information on the CTAP/ICTAP program.)
Under the current examining procedure for most Luevano occupations, a written test is not used.
In this case, a passing score is equivalent to meeting the minimum qualifications for the position.
Agencies can make minimum qualifications determinations themselves. Therefore, if an applicant
meets minimum qualifications and the three criteria described in the preceding paragraph are
fulfilled, no further rating is required.
§ 2.9
NONPERMANENT APPOINTMENTS (5 CFR 316 and 5 CFR 333)
A.
Temporary appointments. Delegated examining authority applies to filling temporary not-to-exceed
(NTE) one year positions, as well as permanent jobs. Positions filled on a temporary basis are
limited to an initial appointment of one year or less, with the option of a one-year extension. For
specific limitations on the use of the temporary hiring authority, agencies should review the
temporary regulations found at 5 CFR 316, Subpart D.
B.
Term appointments. Delegated examining authority applies to filling term positions. These are
nonpermanent appointments set up for greater than one year, but not more than four years without
OPM’s approval. Term positions may not be filled through outside-the-register procedures. Term
positions must be filled either through competitive procedures or an appropriate non-competitive
authority. The regulations authorizing the use of the term authority are at 5 CFR 316, Subpart C.
Reasons for term appointments may include, but are not limited to project work, extraordinary
workload, scheduled abolishment, reorganization, contracting out of the function, uncertainty of
future funding, or the need to maintain permanent positions for placement of employees who would
otherwise be displaced from other parts of the organization.
II - 6
Term appointments do not confer status. Therefore, term employees may not be selected for
permanent appointments through merit promotion procedures unless they have reinstatement
eligibility from previous Federal service. Term employees like any other applicant may be given a
permanent appointment when properly reached on a competitive certificate of eligibles.
C.
Extensions of Temporary and Term appointments. Agencies are reminded that if the initial or
original appointment/action to a temporary or term position is 121 days or more, agencies must
advertise the position in order to clear CTAP and ICTAP. Extensions of temporary appointments
beyond 120 days and term appointments for up to 4 years are also covered by the ICTAP
regulations. Refer to Section 4.3B.6 for additional information.
III - 1
SECTION 3 - RATING AND RANKING CANDIDATES FOR GENERAL SCHEDULE (GS) POSITIONS
References:
29 CFR 1607:
Uniform Guidelines on Employee Selection Procedures
5 CFR 300.102
and 300.103:
Policy on Competitive Employment and Basic Requirement for Job Analysis
5 U.S.C. 2301:
Merit Systems Principles
Operating Manual for Qualifications Standards Handbook, Section II.,E,6, Using Selective Factors.
www.opm.gov/deu - OPM Delegated Examining
§ 3.1.
PURPOSE
Rating candidates involves evaluating the qualifications of eligible candidates to identify the “highly qualified”
based on a comparison of the eligible candidates’ qualifications against a set of job-related criteria measured
by valid selection devices. Rating procedures developed in a systematic manner through job analysis will
produce the types of documentation necessary for the certification record and for demonstrating the jobrelatedness of the rating procedure. There are a number of valid approaches to job analysis. The methods
described below provide one model. Agencies are free to choose the specific method they will use, provided
that it is consistent with the Uniform Guidelines on Employee Selection Procedures and applicable laws and
regulations.
This Section does not mandate a specific process for developing rating procedures, but it does provide
details on the competency-based approach, which has several advantages over traditional approaches.
Specifically, competency-based approaches provide a foundation for integrated human resource
management (HRM), flexibility for placement and career transitioning, and relative stability of job
requirements as compared to ever changing job tasks. This Section also describes the documentation that
must be retained as rating procedures are developed.
§ 3.2.
POLICY
A.
Individuals involved in competitive examining should become familiar with the basic policy and
requirements for competitive employment practices as stated in 5 CFR 300.102 and 300.103
respectively.
1.
Section 300.102 covers the requirements for competitive examinations to (1) fairly measure
the relative capacity and fitness of candidates; (2) result in selection from among the best
qualified candidates; (3) be developed and used without discrimination because of race, color,
religion, sex, age, handicapping condition, national origin, partisan political affiliation, or other
non-merit grounds; and (4) assure opportunity for candidates to appeal.
2.
Section 300.103 addresses the requirement for employment practices to be based on job
analysis to identify (1) basic duties or tasks and responsibilities; (2) KSAs needed to perform
the duties and responsibilities; and (3) the factors that are important in evaluating candidates.
Section 300.103 also covers the requirement for selection procedures to comply with the
standards established by the Uniform Guidelines on Employee Selection Procedures (29 CFR,
1607). (See www.dol.gov/dol/esa/public/regs/cfr/41cfr/toc_chapt60/60_3_toc_htm.)
III - 2
A thorough job analysis, conducted according to the Uniform Guidelines, is essential to providing the
foundation for developing selection procedures that are valid and fair. Optimizing validity, in turn,
provides the greatest return on investment for organizations as well. That is, the more valid the
selection procedure, the higher the pay off (in terms of better job performance from a high quality
workforce).
§ 3.3.
DEFINITIONS
A.
Behavioral Consistency Method - The behavioral consistency method is based on the principle that
the best predictor of future behavior is past behavior. This method focuses on accomplishment
dimensions (i.e., competencies) that best differentiate high performers from low performers. The
behavioral consistency method requires that benchmarks used to evaluate applicant achievements
be based on data from actual applicants. The behavioral consistency method asks applicants to
describe accomplishments in job-related areas. These accomplishments statements are rated on
the basis of carefully-developed, anchored rating scales.
B.
Competency - An observable, measurable pattern of skills, knowledge, abilities, behaviors, and other
characteristics that an individual needs to perform work roles or occupational functions successfully.
C.
Knowledge, Skills, and Abilities (KSA's) - The attributes required to perform a job which generally
demonstrated through qualifying experience, education, or training. Knowledge is a body of
information applied directly to the performance of a function. Skill is a present, observable
competence to perform a learned psychomotor act. Ability is present competence to perform an
observable behavior or a behavior that results in an observable product.
D.
Rating Procedure - A single, comprehensive documented process with specific criteria for making
consistent and job-related determinations about the relative qualifications of applicants for a position.
E.
Job-Relatedness - A standard met when the competencies or knowledge, skills, and abilities (KSA's)
in the rating procedure are shown through an analysis of the job to be necessary for successful job
performance.
F.
Job Analysis - A systematic method of studying jobs to identify the tasks performed and the
competencies or the KSAs required to perform the tasks. Job analysis information is used to
develop employee selection procedures, identify training needs, define performance standards, and
other uses.
G.
Subject-Matter Expert (SME) - A person with bona fide expert knowledge about what it takes to do
the job. The first-level supervisor is normally a good SME. Superior incumbents in the same or very
similar positions and other individuals can also be used as SMEs if they have current and thorough
knowledge of the job's requirements.
H.
Augmentation - A procedure to add additional points to augment the ratings of eligibles based upon
an assessment of the quality of the eligibles’ Competencies or KSAs in specific job-related criteria
that were not previously measured.
§ 3.4.
JOB ANALYSIS COMPETENCY/KSA-BASED AND RATING SCHEDULE DEVELOPMENT
This section is intended to provide an understanding of job analysis and its function as an essential part of
the selection process. It is also intended to provide an understanding of how to work with subject matter
experts to identify benchmarks or examples of work experience or education at multiple levels (i.e., superior,
acceptable, and barely acceptable) that demonstrate possession of the competencies/KSAs.
III - 3
Operationally, the process will involve collecting job information to identify task and competency
requirements of the position, using subject matter experts (e.g., managers supervising the work) to rate the
tasks and competencies, and then linking the competencies to the tasks to show overall job-relatedness.
Those competencies that are identified as critical for successful job performance are considered for
assessment via the rating schedule.
A.
Job Analysis. The first step in the job analysis is to collect job information that can be used to
identify the tasks and competencies related to the job. Good sources of information include accurate
and up-to-date position descriptions, classification standards, and existing performance standards.
OPM’s occupational studies are also an excellent source of information on job-related tasks and
competencies. These studies were designed to cover many occupations; the examiner will need to
identify which tasks and competencies included in the study are relevant to the position being filled.
Because these studies were developed based on a comprehensive review of job information and
are very broad in scope, it is unlikely that the examiner will need to develop many additional tasks
and competencies beyond those included in these studies. (Copies of the tasks and competencies,
along with their definitions, used in OPM’s three government wide studies are included in Appendix
C of the Handbook.)
Once the job-related tasks and competencies have been identified, based on the job information
collected, the next step is to have SMEs rate the tasks and competencies to verify their jobrelatedness. According to the Uniform Guidelines, tasks should be rated on importance for job
performance and on time spent/frequency, and competencies should be rated on importance, need
at entry, and distinguishing value (between superior and barely acceptable performance). The
Uniform Guidelines also require that the tasks and competencies are linked to demonstrate the
respective job-relatedness of the competencies. The linkage also ensures comprehensive coverage
of the job’s task and competency requirements.
The job analysis information is then used to develop weighted rating criteria and benchmarks that
will comprise the rating schedule. Not all competencies meeting these criteria will necessarily be
included on the rating schedule. Resource limitations and the appropriateness of measuring the
competency via a rating schedule also needs to be taken into consideration in deciding which
competencies to assess. See Appendix C, for a more detailed explanation.
B.
The rating schedule or crediting plan as an examining method. Although "rating schedule" is a
generic term referring to a number of different procedures, most Federal rating schedules evaluate
an applicant's relevant training, education, and/or experience. Eligible applicants receive ratings
from 70 to 100 based on the type and amount of training and experience that they possess.
1.
The Behavioral Consistency Method. Most Federal rating schedules employ what is known as
the Behavioral Consistency Method. Under the traditional Behavioral Consistency Method of
training and experience evaluation, originally developed by OPM in 1979, candidates are asked
to describe their major achievements in several job-related areas identified for the position,
called job dimensions (i.e., competencies). The competencies to be included on the rating
schedule are identified by the job analysis. For each competency, benchmarks are developed
that describe the type and level of achievements that represent each level of competence.
Each benchmark is assigned a point value. The information provided by the candidates about
their achievements is compared to these benchmarks to determine a rating (score).
Selection methods that assess training and experience attempt to predict future job
performance from past related accomplishments or achievements. A rating (score) is assigned
through systematic, judgment-based evaluations of information provided by applicants on
résumés, applications, or other documents. Examples of accomplishments are used either to
III - 4
develop rating schedule items (e.g., with yes/no or multiple-choice formats) or to develop
benchmarks to rate applications’ responses (e.g., to open-ended questions). Examples of
accomplishments can be gathered from job information (e.g., position descriptions), past
applications, or from SMEs. SMEs should also be used to assign point values to the items or
benchmark examples.
2.
Validity of rating schedules. The validity of rating schedules that assess training and experience
usually is established using a content validity model. Research has shown that a content
validity strategy is applicable to the development and validation of an examination using the
Behavioral Consistency Method. The behaviors sampled in the accomplishments are content
valid because they sample the kinds of achievements required to perform in the occupation.
The purpose of developing competencies is to point out and direct attention to the areas in the
background of the applicants where the most valid accomplishments are likely to be found.
The Society for Industrial-Organizational Psychology's Principles for the Validation and Use of
Personnel Selection Procedures (1987) supports the use of content validity for
accomplishments. Accomplishments can be justified by a similarity between the content of the
personal history experience and the content of the occupation, regardless of whether or not the
personal history experience and occupation as a whole are similar. As indicated in the Uniform
Guidelines on Employee Selection Procedures, this relationship can be based on the similarity
between the competencies or behaviors documented in the accomplishments and those of the
occupation rather than between the exact content of the accomplishments and the job. For
instance, a person with budgetary experience need not demonstrate experience with the
specific budgetary items associated with an occupation for the accomplishments to be content
valid, provided the competencies or behaviors in the accomplishments are similar to those
required by the job.
§ 3.5.
TWO ALTERNATIVE RATING PROCEDURES
A.
Alternative Rating Procedure (historically called A-C-E Rating Procedure). In this procedure, an
applicant’s qualifying experience and education/training are assigned to a single quality level. It also
provides for assigning additional points, on the basis of an evaluation of the applicant in terms of
specific competencies/KSAs that are important for successful performance on the job.
1.
Analyze the Job(s). Regardless of the rating process used, the first step should always involve
an analysis of the position(s) involved to determine the major duties or functions and the
competencies/KSAs that are required across all of the jobs being covered by a particular rating
schedule.
2.
Define the Quality Levels. After the job is analyzed to identify the job requirements, a single
definition is used to define each quality level. As placement in the quality level defines relative
qualifications, the quality levels must be defined in increasing levels of difficulty or complexity.
Typically 3 levels are used where the lowest quality level (E level) is worth 70 points, which
equates to the minimum qualifications only. The highest quality level (A level) equates to
exceptional qualifications. That is, where 3 quality levels are used, the levels would typically
be worth 70, 80 and 90 points, respectively.
The following are examples of quality levels. Each of these must be operationally defined
before use. (See Appendix D).
III - 5
“A”
experience is outstanding experience for the position for which the applicant is being
considered.
“C”
experience is good experience for the position for which the applicant is being
considered.
“E”
experience is minimally qualifying experience for the position for which the applicant is
being considered.
Quality levels should be broad and flexible since applicants may have acquired the
competencies/ KSAs in a number of ways. The superior or outstanding level should not create
artificial restrictions. For example, experience gained in a large company or government
setting is not automatically an indication of superior possession of a competency or KSA.
Likewise, not all types of work experience are better than education or training. Recent
education or experience may be more desirable for some positions but not for others.
Whatever is used, it must be relevant to performance of the job to be filled.
3.
Rating Procedure. All applications that are determined to be at least minimally qualified are
compared to the quality level definitions. The applicant is assigned the quality level point value
(70, 80, or 90) that best reflects the level of the applicant's experience and education.
Veterans’ preference points are added after the assignment of quality level and additional
points, if applicable. Where the application of veterans’ preference points raises the applicant
to a higher quality level, the applicant will be placed in the higher level.
4.
Assignment of Points. For positions that result in a large number of applicants with tied scores
at the quality level(s) being considered for selection, the examiner is obligated to refine the
rating procedure (rating schedule) through the use of rating factors (competencies or KSAs)
that are important for successful performance on the job. These rating factors are determined
through an analysis of the duties and responsibilities of the position. Additional points
associated with these rating factors distinguish among the best qualified applicants within a
quality level. A tie-breaking procedure (See Sections 7.2.C and 8.5) in ranking applicants
within a quality level may be used only when there are few candidates in the quality level (for
example, 90 quality level) or when other job-relevant rating factors cannot be identified. As
stated in 5 U.S.C. § 2301(b)(1), “...selection and advancement should be determined solely on
the basis of relative ability, knowledge, and skills, after fair and open competition...”
Applicants could have up to 9 additional points added to their score based on their level. The
total number of additional points, with the exception of veterans preference, cannot raise the
applicant to the next higher quality level. That is, for “C” and “E” quality levels the maximum
number of points an applicant can receive within these quality levels is 9 points. For “A” quality
level, the maximum number of points an applicant can receive is 10 points because it would
not raise the applicant to any higher quality level. (See Appendix D)
5.
The Ranking Procedure. The applicant’s final numerical score is calculated by adding the
rating factor points and the quality level, then augmented with veterans preference, if
applicable. The final score is a reflection of the applicant’s overall education/training and/or
experience for that particular position. The score could change depending on the
competencies or KSAs developed for another position.
Example: A 10-point preference eligible is placed in the “C quality level,” worth 80 points; an
assignment of 3 points for experience, would result in a score of 83; after the addition of the
III - 6
applicant’s 10 preference points, the new rating is 93. Although the new rating elevates the
applicant's rating to the “A quality level”, the eligible is still "C" quality.
As a reminder, CP/CPS 10-point veterans preference applicants will float to the top of the list
of eligibles unless the position is a GS-9 or above scientific or professional position. (See 5
U.S.C. § 3313 and Appendix E.) Please be aware, however, that CP/CPS 10-point preference
eligibles in the GS-1102 professional series still float to the top of the list for all grades.
B.
Generic Rating. A Generic Rating procedure is one that examines for a number of different
occupations using rating criteria that are common to all positions. This rating procedure is typically
used for entry-level positions. For example, for Engineering positions at the GS-05 and GS-07
grade levels, the basic qualifications are identical except for the engineering specialty and
specialized experience. The quality levels are developed based on common duties or functions of
the engineering occupation and the rating factor(s), such as major field of study, course work or
specialized experience is related to the engineering specialty. The final rating is augmented by
veterans preference. Care must be taken to ensure that the job analysis of all occupations to be
covered by a generic rating procedure supports the use of a common rating criteria.
§ 3.6.
DEVELOPING AND USING SELECTIVE FACTORS
A.
Identifying and Documenting Selective Factors.
1.
Selective factors are identified during the job analysis process. Selective factors must be
documented and justified by referencing information provided in the position description, job
analysis, and other job-related processes. They are Competencies or Knowledge, Skills,
Abilities, or special qualifications that are in addition to the minimum requirements in a
qualification standard, but are determined to be essential to perform the duties and
responsibilities of a particular position. That is, they are essential for a new employee to bring
to the job. The customary rule of thumb is that a selective factor could not be acquired within
90 days of entering the job. Applicants who do not meet a selective factor are ineligible for
further consideration.
2.
Some selective factors may also be used later in the examining process as rating factors.
Proficiency in a foreign language is an example of a factor which would most likely be used to
determine minimum qualifications only. Applicants either possess the necessary language
proficiency or they do not. They are rated in or out, but are not usually later evaluated on the
degree to which they possess fluency in the language. Other selective factors such as
knowledge of video conferencing can also be used in the rating process. In this case,
applicants must have this experience to minimally qualify; and, during the rating process the
applicant could be further rated on the level of video conferencing experience they possess.
When this occurs, applicants must receive at least a minimally-acceptable score to be eligible.
3.
As a selection criterion, recency can legitimately be used in many occupations. Highly
technical fields, such as information technology, are changing extremely rapidly, and recency
of experience can be a legitimate criterion for filling positions in these fields. Recency could
also apply to fields that are impacted by rapidly changing technology.
§ 3.7.
DOCUMENTATION
A.
Definition and Requirements. Documentation must provide the rationale for the rating procedure
and sufficient information to enable reconstruction of the process used in developing the rating
procedure. The actual documentation record should be kept in the examination folder (for case
III - 7
examining) or as a separate file identified by the occupation and referencing any inventory (register)
for which it was used. Documentation must include the following information.
B.
1.
Position descriptions or any other material gathered to identify the task and competency
requirements of the position.
2.
The job analysis ratings (i.e., the task, competency, and linkage ratings), the quality level
definitions, or other benchmark criteria used in the rating schedule development process to
distinguish qualifications. If any other rating, ranking, or weighting of competencies or KSAs
is made, this information and its basis must be maintained.
3.
A copy of the actual rating procedure used in accordance with 5 CFR 300.102 and 5 CFR
300.103. Also, include transmutation tables used to transmute raw scores to ratings between
70 and 100, if applicable. (See Appendix F.)
4.
Reference to the OPM qualification standard applied or a copy of the OPM approved standard
if different from the OPM qualification standard. Raters’ initials and dates of qualifications
determinations for each applicant are required.
5.
Copy of the supplemental application form, if developed. (Supplemental forms must be
approved by OMB and contain Privacy Act Information only if the information is being collected
from the general public.)
6.
Tie-breaking method developed from job-related criteria, if used.
7.
Identification of those subject matter experts and personnelists who participated in
development and the application of the examining plan (i.e., name, title, series, grade).
Recording the Information. Most documentation occurs in progress while developing a rating
procedure; therefore, a file should be maintained during the process. This eliminates problems that
often occur when past events must be reconstructed from memory or incomplete notes. In addition,
it can facilitate recording contacts with subject matter experts by preparation of summaries indicating
who was contacted, when, questions asked, and replies received. This approach contributes to both
the convenience and comprehensiveness of the rating process.
IV - 1
SECTION 4 - INITIATING THE EXAMINING PROCESS
References:
5 U.S.C. 105:
5 U.S.C. 3304:
5 U.S.C. 3327:
5 U.S.C. 2301:
5 U.S.C. 2302:
5 U.S.C. 8337(h):
5 U.S.C. 8456:
5 CFR 330, Subpart F:
Executive Agency
Competitive Service; Examinations
Requirement to Notify OPM of vacant positions being filled
Merit System Principles
Prohibited Personnel Practices
Disability Retirement
Military Reserve Technicians
Agency Career Transition assistance Plans (CTAP) for
Local Surplus and Displaced Employees
5 CFR 330, Subpart G: Interagency Career Transition Assistance Plan (ICTAP)
for Displaced Employees
5 CFR 330, Subpart K: Federal Employment Priority Consideration Program for Displaced
Employees of the District of Columbia Department of Corrections
5 CFR 330, Subpart L: Federal Employment Priority Consideration Program for Displaced
Employees of the Panama Canal Zone
5 CFR 333:
Outside of the Register Examining
www.opm.gov/deu -
OPM Delegated Examining
§ 4.1.
RECEIPT, PRELIMINARY REVIEW, AND CONTROL OF REQUESTS FOR CERTIFICATION
A.
Consideration of Hiring Options Available. Examining Offices should be aware of the various
options available to fill a vacancy. Each vacancy should be considered on its own merits to
determine whether a competitive process, such as delegated examining should be used; or whether
a non-competitive process, such as merit promotion, reinstatement authority, or a non-competitive
veteran’s hiring authority would be most appropriate.
B.
Request for Referral of Eligibles. Once a decision has been made to use the delegated examining
process, the Examining Office must be provided information documenting the significant facts about
the job to be filled. OPM recommends the use of the SF-39 for this purpose, as it is a
comprehensive document which identifies all required information. A copy of the SF 39 can be
found on OPM’s Website at www.opm.gov/forms. However, its use is not mandatory. Agencies may
develop their own method of documentation as long as all significant information is documented in
the case file. The significant information for documentation purposes includes department or agency
name, name and address of bureau or field establishment, request number, date of request, number
of vacancies, position title, series code, grade, name of duty location, type of appointment, full
performance level potential, date the request was initiated, reemployment priority list cleared, work
schedule, name and telephone number of contact person, request approval signature block, issuing
officer signature block, certificate number, date certificate issued, date certificate due back and
CTAP/ICTAP clearance. The following are optional fields that would become mandatory if an agency
is doing work for another agency: other conditions of employment, maximum number of nights per
IV - 2
month in travel status, date applicants available, any special remarks, and address where certificate
is to be sent. If an agency elects to use an SF-39, one SF-39 may be used for multiple vacancies
for the same position (for example, GS-5/7/9), type of appointment, and work schedule.
OPM recommends that the request for certification of candidates (or SF-39 if it is used) be
documented with the date on which it is received to aid in tracking the timeliness of the certification
process. The Examining Office should then review the request document provided (or SF-39) to
ensure that it contains all the information necessary to issue a certificate. The SF-39 or request
document should be accompanied by the appropriate position description(s). The Examining Office
may also request a job analysis (See Section 3.4 and Appendix C), justification for selective
placement factors, proposed competencies or KSAs, crediting plan, and completed application forms
for any name requests.
C.
Control of Requests. Examining Offices may wish to establish and maintain a certification log to
help ensure prompt response to requests for certification and timely return of reports on certificates
by appointing officers. As a minimum, the log should contain the date the request for certification
or SF- 39 was received, series and grades of the position, certificate number(s) (if for multiple
grades or duty locations), and date(s) issued. It may also include whatever other categories of
information the Examining Office wants to track. A suggested Certification Control Sheet can be
found at the end of this Section.
§ 4.2.
COMPETITIVE EXAMINING V. OUTSIDE-THE-REGISTER EXAMINING
Section 2 (Candidate Assessment Options) addresses the fact that delegated examining authority may
be used to fill temporary positions not-to-exceed (NTE) one year. Temporary positions may also be filled
using outside-the-register (OTR) hiring authority. Refer to 5 CFR 333 for information on OTR examining.
This procedure is applicable to temporary appointments of one year or less only and provides for a simplified
appointment procedure.
§ 4.3.
IMPLEMENTING THE AGENCY CAREER TRANSITION ASSISTANCE PLAN (CTAP) AND THE
INTERAGENCY CAREER TRANSITION ASSISTANCE PLAN (ICTAP)
A.
General Requirements and Obligations.
1.
CTAP and ICTAP regulations provide special selection priority to eligible current or former
employees who have been, or will be, separated from their positions through RIF or related
action (CTAP/ICTAP regulations are found in 5 CFR 330, Subparts F and G.) NOTE: Because
of the benefits provided to its employees under the Priority Placement Program (PPP), the
Department of Defense (DoD) is exempt from applying CTAP placement provisions. However,
DoD must adhere to ICTAP provisions.
2.
When an agency fills a vacancy in the competitive service by most internal and external
placement methods (including Outstanding Scholar appointing authority), the CTAP/ICTAP
provisions apply. Described in more detail below, those provisions require agencies to provide
selection priority to eligible well-qualified surplus or displaced employees for agency
vacancies in the local commuting area. The definitions of these highlighted words are as
follows:
Agency - An Executive department, a Government corporation, and an independent
establishment as cited in 5 U.S.C. § 105. For the purposes of this program, the term agency
includes all components of an organization, including its Office of Inspector General.
IV - 3
Vacancy - A competitive service position filled for a total of 121 days or more, including all
extensions, which the agency is filling, regardless of whether the agency issues a specific
vacancy announcement.
Local Commuting Area - The geographic area that usually constitutes one area for
employment purposes as determined by the agency.
Surplus Employee - A current agency employee serving under an appointment in the
competitive service, in tenure group I or II, who has received a Certification of Expected
Separation or other official certification issued by the agency indicating that the position is
surplus, for example, a notice of position abolishment, or a notice stating that the employee is
eligible for Discontinued Service Retirement. The employee is still on the agency rolls.
Displaced Employee a.
Under CTAP, a displaced employee is a current agency employee serving under a
competitive service appointment, in tenure group I or II, who has received a specific
reduction in force (RIF) separation notice, or notice of proposed removal for declining a
directed reassignment or transfer of function outside of the local commuting area. The
employee is still on the agency rolls.
b.
Under ICTAP, a displaced employee is:
1)
A current or former career or career-conditional (tenure group I or II) competitive
service employee who:
a) Received a specific RIF separation notice; or
b) Separated because of a compensable injury or illness, whose compensation has
been terminated, and whose former agency certifies that it is unable to place; or
c) Retired with a disability and whose disability annuity has been or is being
terminated; or
d) Upon receipt of a RIF separation notice retired on the effective date of the RIF
and submits a Standard Form 50 that indicates "Retirement in lieu of RIF;" or
Retired under the discontinued service retirement option; or
e) Received a notice of proposed removal for declining a transfer of function or
directed reassignment outside the commuting area.
OR
2)
A former Military Reserve or National Guard Technician who is receiving a special
OPM disability retirement annuity under section § 8337(h) or § 8456 of Title 5,
United States Code.
Eligible a.
Under CTAP, an eligible employee is a current employee of the agency (including all
agency components, and is not limited to the installation) who is surplus or displaced; has
a current performance rating of at least Fully Successful (or equivalent); applies for a
IV - 4
position at or below his/her current grade level, with no greater promotion potential;
occupies a position in the same local commuting area; files an application within the
agency-specified time frame and provides proof of eligibility; and is found to be wellqualified.
b.
Under ICTAP, an eligible employee is a displaced employee who has a current or last
performance rating of at least Fully Successful (or equivalent); applies for a position at
or below the grade level from which he/she is being separated, with no greater promotion
potential; occupies or was displaced from a position in the same local commuting area;
files an application within the agency-specified time frame and provides proof of eligibility;
and is found to be well-qualified.
Length of Eligibility for Special Selection Priority under CTAP and ICTAP a.
b.
c.
Under CTAP (§ 330.605(b), eligibility for special selection priority begins:
1)
On the date the agency issues the employee a RIF separation notice; or
2)
On the date an agency issues the employee a certificate of expected separation; or
3)
On the date an agency issues the employee a notice of proposed separation for
declining a directed reassignment or transfer of function outside of the local
commuting area; or
4)
On the date of any other official agency issued certification identifying the employee
as surplus.
Under CTAP (§ 330.605(c), eligibility expires on the earliest of:
1)
The RIF separation date, the date of the employee’s resignation, retirement, or
separation from the agency, including separation under adverse action procedures
for declining a directed reassignment or transfer of function or similar relocation to
another local commuting area; or
2)
The cancellation of the RIF separation notice, certificate of expected separation,
notice of proposed removal for declining a directed reassignment or transfer of
function outside of the commuting area, or other official agency certification
identifying the employee as surplus; or
3)
When an eligible employee receives a career, career-conditional, or excepted
appointment without time limit in any agency at any grade level; and
4)
Within an agency, and at the agency’s discretion, when an eligible employee
declines a career, career conditional, or excepted appointment (without time limit),
for which the employee has applied and been rated well-qualified.
Under ICTAP (§ 330.704(b), eligibility for special selection priority begins:
1)
On the date the agency issues the RIF separation notice; or
2)
On the date an agency certifies that it cannot place an employee eligible under
§330.703(b)(3); or
IV - 5
d.
3)
On the date an employee eligible under §330.703(b)(4) is notified that his or her
disability annuity has been or is being terminated; or
4)
On the date the agency issues a formal notice of proposed separation to an
employee for declining a transfer of function or directed reassignment outside the
local commuting area; or
5)
On the date the National Guard Bureau of Military Department certifies that an
employee under §330.703(b)(6) has retired under 5 U.S.C. 8337(h) or 8456.
Under ICTAP (§ 330.704(c), eligibility expires on the earliest of:
1)
One year after separation, except for those employees eligible under 5 CFR 330.404
(preference eligibles in restricted positions affected by contracting out under A-76
procedures). For these employees, eligibility under ICTAP lasts for 2 years.
2)
One year after an agency certifies that an individual under §330.703(b)(3) cannot be
placed;
3)
One year after an individual under §330.703(b)(4) receives notification that his/her
disability annuity has been or will be terminated;
4)
When the employee receives a career, career-conditional, or excepted appointment
without time limit in any agency at any grade level;
5)
When the employee no longer meets the eligibility requirements set forth in
§330.704(a), (e.g., the employee is no longer being separated by RIF, or under
adverse action procedures for declining a transfer of function or directed
reassignment outside the local commuting area, or separates by resignation or nondiscontinued service retirement prior to the RIF effective date); or
6)
At an agency’s discretion, when an eligible employee declines a career, careerconditional, or excepted appointment (without time limit), for which the employee has
applied and been rated well-qualified; or upon the failure of the applicant to respond
within a reasonable period of time to an offer or official inquiry of availability.
Well-qualified - An eligible employee who possesses the competencies or knowledge, skills,
and abilities which clearly exceed the minimum qualification requirements for the position. A
well-qualified employee will not necessarily meet the agency’s definition of “highly or best
qualified,” when evaluated against other candidates who apply for a particular vacancy, but
must satisfy the following criteria, as determined and consistently applied by the agency:
a.
Meets the basic qualification standards and eligibility requirements for the position,
including any medical qualifications, suitability, and minimum educational and experience
requirements; and
b.
Satisfies one of the following qualifications requirements:
1)
Meets all selective factors where applicable. Meets appropriate quality rating factor
levels as determined by the agency. Selective and quality ranking factors cannot be
so restrictive that they run counter to the goal of placing displaced employees. In
the absence of selective and quality ranking factors, selecting officials will document
IV - 6
the job-related reason(s) the eligible employee is or is not considered to be well
qualified; or
2)
3.
4.
B.
Is rated by the agency to be above minimally qualified in accordance with the
agency’s specific rating and ranking process. Generally, this means that the
individual may or may not meet the agency’s test for “highly qualified,” but would in
fact, exceed the minimum qualifications for the position;
c.
Is physically qualified, with reasonable accommodation where appropriate, to perform the
essential duties of the position;
d.
Meets any special qualifying condition(s) that OPM has approved for the position; and
e.
Is able to satisfactorily perform the duties of the position upon entry.
Following are some of the actions not covered by CTAP/ICTAP. Refer to 5 CFR 330.606(d)
for CTAP and 5 CFR 330.705(c) for ICTAP for a complete list.
a.
Exchange of positions between or among agency employees, when the actions involve
no increase in grade or promotion potential, e.g., job swaps;
b.
Conversion of an employee of the same agency who is serving on an excepted
appointment which confers eligibility for noncompetitive conversion into the competitive
service; e.g., conversion of a veterans readjustment appointee to a career-conditional
appointment;
c.
Assignments made under the Intergovernmental Personnel Act;
d.
The filling of a position through an excepted appointment;
e.
Extensions of temporary or term actions, up to the full period allowed, provided that the
original vacancy announcement specified that the position was open to CTAP/ICTAP
candidates and that extension was possible without further competition.
Agencies must provide notice of vacancies to ensure that CTAP/ICTAP eligibles have the
opportunity to apply. Each agency must develop its own Career Transition Assistance Plan
which sets forth how notification will occur for internal placement actions within the agency,
including reassignments, changes to lower grade, and promotions requiring competition. When
vacancies are to be filled from external sources including transfers, reinstatements,
promotions, and new appointments, notification must be made by entering the vacancy
information in the Federal Jobs Database. For specific information about that process, refer
to Section 5 of this Handbook.
Procedures to Follow in Filling Positions Under CTAP/ICTAP.
1.
The two flow charts at the end of this section of the Handbook will walk the user through the
steps to follow in filling positions in compliance with CTAP/ICTAP. External competitive
examining is subject to ICTAP, as is other types of external placements (e.g., transfers and
reinstatements). If CTAP/ICTAP clearance is done outside the Examining Office, there must
be documentation in the Examining Office case files that CTAP/ICTAP requirements have
been met.
IV - 7
2.
The last step on both charts states "Employee is referred for priority selection." That phrase
has a unique meaning under CTAP/ICTAP.
a.
If an individual is referred under CTAP for priority selection, meaning a well-qualified
surplus or displaced agency employee is available, then no one else from inside or
outside the agency may be selected. If two or more CTAP eligible employees apply, the
agency may select any one of them. If no CTAP eligible employees apply, the agency
may select an applicant under customary internal placement procedures.
b.
If an individual is referred under ICTAP for priority selection, meaning that a well-qualified
displaced employee is available, then no one else from outside the agency may be
selected unless they are covered by one of the exclusions. If two or more ICTAP eligibles
apply, the agency may select any one of them. If no ICTAP eligibles apply, the agency
may select an applicant through regular procedures.
NOTE: There are some exceptions to ICTAP selection priority. Some lost consideration
candidates may be considered with ICTAP eligibles and may be selected (see Lost
Consideration procedures in Section 8.14). If a 10-point preference eligible applies, or
an individual eligible for selection under an excepted hiring authority, and is qualified for
the position, the agency may choose to select him or her in lieu of selecting the ICTAP
eligible. The candidate considered as an exception to ICTAP must, however, be
appointable through some existing procedure. The ICTAP program does not establish a
new appointing authority for 10-point preference eligibles.
3.
If an individual applies as a CTAP or ICTAP candidate and is determined to be eligible, but not
well qualified, the agency must ensure that a documented independent second review is
conducted. The applicant must be advised in writing of the results of the second review (5 CFR
330.609 and 330.709). When the second review sustains the original determination of not well
qualified, the applicant is not given selection priority but is considered along with other qualified
applicants.
4.
There is no provision for filing an objection to a CTAP or ICTAP eligible.
5.
In a competitive examination, examining offices may waive the written test for well-qualified
CTAP/ICTAP candidates. If a CTAP or ICTAP candidate is applying through internal
procedures, he/she must be tested only if the agency normally tests status candidates. For
example, agencies which have law enforcement positions and use the written test as part of
their screening process may not wish to waive the test. Agencies which use the written test in
this manner should continue to require CTAP/ICTAP candidates to be tested.
6.
Extensions of Temporary and Term appointments. If the initial or original appointment/action
to a temporary or term position is 121 days or more, agencies must advertise the position in
order to clear CTAP and ICTAP. Extensions of temporary appointments beyond 120 days and
term appointments for up to 4 years are also covered by the ICTAP regulations. Under
discretionary exceptions to the final regulations for CTAP/ICTAP (published 6/9/97) agencies
are allowed to make extensions to temporary or term appointments, without having to
reannounce the position and reconsider surplus and/or displaced employees under both
CTAP/ICTAP. The original vacancy announcement must have been open to CTAP and/or
ICTAP candidates, and must have clearly stated that the original action or appointment could
be extended without further announcement. Reference: §330.606(d)(26) & §330.705(c)(11)
of 5 CFR.
IV - 8
7.
The order of selection of applicants is as follows:
a.
Surplus and displaced agency employees eligible through the CTAP (mandatory);
b.
Internal agency employees, through reassignment, promotion or change to lower grade
(optional);
c.
Minimally qualified individuals on the agency's RPL (mandatory);
d.
Other former employees the agency previously separated by RIF (optional);
e.
Special Selection Consideration Eligibles:
(1)
Displaced employees eligible through the ICTAP under 5 CFR 330 Subpart G
(mandatory); or
(2)
Displaced employees eligible through the District of Columbia Department of
Corrections under 5 CFR 330 Subpart K (mandatory); or
(3)
Displaced employees eligible through the Panama Canal Zone under 5 CFR 330
Subpart L (mandatory);
However, if two or more individuals eligible under (e) apply for a vacancy and are
determined to be well-qualified, and meet the eligibility requirements under 5 CFR
330.704(a) or 5 CFR 330.1104(a), or 5 CFR 330.1203(a), the agency would have the
discretion of selecting any of these eligible employees.
f.
C.
Qualified applicants, nonstatus or status (optional).
Tools and guidance.
1.
Examining Offices may obtain current information and guidance in implementing CTAP/ICTAP
provisions by either contacting their local OPM Service Center, or by accessing the OPM
Internet Web site at http://www.opm.gov. Extensive career transition information is also
available on the “Federal Employees’ Survival Guide” at http://safetynet.doleta.gov, and on the
Restructuring Hotline at (202) 606-2425.
2.
Appendix H to this Handbook contains sample vacancy announcement language covering
CTAP and ICTAP provisions.
§ 4.4.
OTHER FEDERAL EMPLOYMENT PRIORITY CONSIDERATION PROGRAMS
A.
Displaced Employees of the District of Columbia Department of Corrections (5 CFR 330 Subpart
K)
1.
Purpose. A displaced employee of the District of Columbia (DC) Department of Corrections
(DOC) who is separated from his or her position as a result of the closure of the Lorton
Correctional Complex, and who does not meet the qualifications and suitability requirements
for Federal Bureau of Prisons law enforcement positions, is entitled to priority consideration for
other Federal vacancies when he or she applies and is determined to be well-qualified.
IV - 9
2.
Duration. This program will terminate one year after the closing of the Lorton Correctional
Complex or December 31, 2002, whichever is later. (See 5 CFR 330.1102)
3.
Definitions. For purposes of 5 CFR 330 Subpart K:
Displaced Employee - A current or former employee of the District of Columbia Department
of Corrections who has received a specific reduction in force separation notice as a result of
the closure of the Lorton Correctional Complex.
Does Not Meet The Qualifications And Suitability Requirements For Bureau Of Prisons
Law Enforcement Positions - A DC DOC employee who has not been appointed to a Federal
Bureau of Prisons law enforcement position.
Non-Bureau of Prisons positions in the Federal Government - Any competitive service
positions (other than positions covered by the Federal Bureau of Prisons Priority Consideration
Program).
Priority Consideration - See 5 CFR 330, Subpart G
Geographical Restrictions - DC DOC employees are eligible for this priority consideration
without regard to any geographical restrictions. (See 5 CFR 330.1103(d))
Well-qualified - See 5 CFR 330, Subpart G
Eligibility - Under this program, an eligible employee is a current or former employee of the
DC DOC who is in receipt of a reduction-in-force separation notice from the DC Department
of Corrections in connection with the closure of the Lorton Correctional Complex.; have not
been appointed to a Federal Bureau of Prisons law enforcement position; applies for a vacancy
within the time frames established by the agency; and is found to be well-qualified for the
specific vacancy. (See 5 CFR 330.1104(a))
Eligibility for Priority Consideration Begins - On the date the DC DOC employee receives
or is issued a specific reduction-in-force separation notice by the DC DOC. (See 5 CFR
330.1104(b)).
Eligibility for Priority Consideration Expires: (See 5 CFR 330.1104(c))
4.
a.
One year after the closing of the Lorton Correctional Complex;
b.
When the DC DOC employee is no longer being separated by reduction-in-force;
c.
When the DC DOC employee receives a career, career-conditional, or excepted
appointment without time limit in any Federal agency at any grade level;
d.
When the DC DOC employee voluntarily separates by resignation or retirement prior to
the reduction-in-force effective date; or
e.
When the DC DOC employee is separated involuntarily other than by reduction-in-force
prior to the reduction-in-force effective date.
Order of Selection. If two or more individuals apply for a vacancy and are determined to be
well-qualified, and meet the eligibility requirements under 5 CFR 330.704(a) or 5 CFR
IV - 10
330.1104(a), or 5 CFR 330.1203(a), the agency would have the discretion of selecting any of
these eligible employees.
B.
Displaced Employees of the Panama Canal Zone (5 CFR 330 Subpart L)
1.
Purpose. This subpart implements Section 1232 of Public Law 96-70 (the Panama Canal Act
of 1979) and provides eligible displaced employees of the former Panama Canal Zone with
interagency special selection priority consideration for continuing Federal vacant positions in
the continental United States.
2.
Definitions. For purposes of 5 CFR 330 Subpart L:
Canal Zone - The areas and installations in the Republic of Panama made available to the
United States pursuant to the Panama Canal Treaty of 1977 and related agreements. (22
U.S.C. 3602(b)(1))
Displaced Employee - A current or former employee of the former Panama Canal Zone who
is a citizen of the United States and who:
a.
Holds or held a position in the Panama Canal Employment System that is in retention
tenure group 1 or 2;
b.
Was an employee of the Panama Canal Company or the Canal Zone Government on
March 31, 1979, and has been continuously employed in the former Panama Canal zone
under the Panama Canal Employment System; or
Has been continuously employed since March 31, 1979, in the former Panama Canal
Zone under the Panama Canal Employment System as an employee of an executive
agency, ora as an employee of the Smithsonian Institution;
c.
Holds or held a position that is eliminated as the result of the implementation of the
Panama Canal Treaty of 1977 and related agreements;
d.
Is not appointed to another appropriate Federal position located in the Republic of
Panama; and
e.
Has received a specific notice of separation by reduction in force, and meets the
additional eligibility criteria covered in 5 CFR 330.1203.
Priority Consideration - See 5 CFR 330, Subpart G and 5 CFR 330, Subpart K.
Geographical Restrictions - Eligible displaced employees of the former Panama Canal Zone
have special selection priority under this subpart to positions throughout the continental United
States.
Well-qualified - See 5 CFR 330, Subpart G.
Eligibility - Under this program, an eligible displaced employee of the former Panama Canal
Zone must:
a.
Have received a specific notice of separation by reduction-in-force;
IV - 11
b.
Have not been appointed to another appropriate position in the Government of the United
States in Panama;
c.
Apply for a vacancy within the time frames established by the hiring agency; and
d.
Be found by the hiring agency as well-qualified for that specific vacancy. (See 5 CFR
330.1203(a))
Eligibility for Priority Consideration Begins - On the date the displaced employee receives
or is issued a specific reduction-in-force separation notice. (See 5 CFR 330.1203(b)).
Eligibility for Priority Consideration Expires: (See 5 CFR 330.1203(c))
4.
a.
One year after the effective date of the reduction-in-force;
b.
The date that the employee receives a career, career-conditional, or excepted
appointment without time limit in any Federal agency at any grade level;
c.
The date that the employee is separated involuntarily for cause prior to the effective date
of the reduction-in-force.
Order of Selection. If two or more individuals apply for a vacancy and are determined to be
well-qualified, and meet the eligibility requirements under 5 CFR 330.704(a), 5 CFR
330.1104(a), or 5 CFR 330.1203(a), the agency would have the discretion of selecting any of
these eligible employees. (See 5 CFR 330.705).
§ 4.5.
EXCEPTED SERVICE POSITIONS, SENIOR EXECUTIVE SERVICE POSITIONS, AND
APPOINTMENTS AUTHORIZED BY STATUTE
A.
Individuals having past or current employment in the Excepted Service, non-career Senior
Executive Service (SES) and on an appointment authorized by Statute are generally not eligible by
virtue of that service for conversion to competitive service positions. These candidates must
participate in the competitive examining process, such as a case examining announcement under
a delegated examining agreement. The following categories of service do not confer
noncompetitive employment/conversion eligibility:
1.
Most Schedule A and B appointments, and all Schedule C appointments (refer to specific
Schedule A or B authorities to verify if they confer noncompetitive employment/conversion
eligibility);
2.
Non-career SES appointments;
3.
Employees on an appointment authorized by Statute (i.e., employment authorized by Public
Law);
4.
Experts and consultants, whether by statute or Title 5, Section §3109;
5.
Employees with limited appointments, such as SES Limited Term appointments, Foreign
Service Limited or Reserve appointments, IPA assignments; and
6.
Employees with Overseas Limited appointments, or unappropriated or non-appropriated fund
appointments.
IV - 12
B.
Agency personnel officials, and particularly Examining Office personnel, should be particularly
attentive in cases involving non-career excepted service employees being considered for
competitive service vacancies. These employees have often been appointed to their excepted
service positions without competition. While serving in these positions they gain specialized
experience which may give them a definite advantage in subsequent competition with other
individuals. Federal agencies have substantial discretion in filling their vacancies and must ensure
that their hiring decisions are made "solely on the basis of merit and fitness and without regard to
political or religious affiliations, marital status or race."
C.
Interchange Agreements. Under Rule 6.7, OPM and another agency having an established merit
system (in the excepted service) may enter into an agreement prescribing conditions under which
employees may be moved from one system to the other. A current list of Interchange Agreements
can be found on OPM's website (www.opm.gov).
Note:
The appointment of Schedule C and non-career SES employees to the competitive service warrants
special attention to ensure compliance with merit principles. The record in all personnel actions
must show clearly that the actions are proper and legitimate. Both OPM and agencies have an
obligation to ensure that all personnel actions conform fully to the spirit and letter of Civil Service
Rules and to Sections § 2301 and § 2302 of Title 5, United States Code, especially the prohibition
against political consideration, either favorable or unfavorable.
IV - 13
CERTIFICATION CONTROL SHEET
Agency Data
Certificate
Number
Report
Data
Certificate Data
Date
Received
Date
Due
Agency or
Organization
Identification
Number
of
Vacancies
Series
Grade
Type
of
Appt.
No.Names
On Cert.
Date
Issued
Notes:
Codes,
Name
Request,
Etc.
Date
of
Audit
No.
of
Apt
IV - 14
CTAP Special Selection Consideration
For CTAP Special Selection Consideration:
Does the Employee Have EITHER:
(1) a RIF Separation Notice, or
(2) a Notice of Proposed Removal, or
(3) a Certification of Expected Separation, or
(4) other agency certification.
YY
No YY
YY
Yes YY
YY
No YY
YY
No YY
YY
No YY
YY
Yes YY
YY
No YY
Individual is not Entitled to
Special Consideration
\
Yes
\
Has the Date of RIF or other
Separation Passed?
\
No
\
Has the Employee Included a Performance
Appraisal at the Fully Successful Level or Higher?
\
Yes
\
Is the Duty Station of the Vacancy in the Same
Commuting Area as the Employee's Duty Station?
\
Yes
\
Is the Grade of the Vacancy At or Below
the Employee's Current Grade?
\
Yes
\
Does the Vacancy Offer Greater Promotional
Potential Than Employee's Current Position?
\
No
\
Is the Employee Deemed to Be Well Qualified?
\
Yes
\
Employee is Referred for Priority Selection
IV - 15
ICTAP Special Selection Consideration
For ICTAP Special Selection Consideration:
Is the individual a displaced employee as defined in 5 CFR 330.703(b) or
5 CFR 330.404?
YY
No YY
Individual is not Entitled
to Special Consideration
YY
No YY
YY
No YY
YY
No YY
YY
No YY
YY
No YY
YY
No YY
\
Yes
\
Has the employee’s eligibility for ICTAP priority expired?
(See 330.704(c) and 330.407(b))
\
Yes
\
For non-injury eligibles: Has the Employee Included a Performance
Appraisal Showing at Least a Fully Successful Rating?
\
Yes
\
Is the Duty Station of the Vacancy in the Same Commuting Area as the
Employee's Last Duty Station?
\
Yes
\
Is the Grade of the Vacancy At or Below the Employee's Current (or Last)
Grade?
\
Yes
\
Does the Vacancy Offer the Same or Less Promotional Potential Than
Employee's Current (or Last) Position?
\
Yes
\
Is the Employee Deemed to Be Well Qualified?
\
Yes
\
Employee is Referred for Priority Selection.
V-1
SECTION 5 - PUBLIC NOTICE AND RECRUITMENT
References:
5 U.S.C. 2301:
5 U.S.C. 3327:
5 U.S.C. 3330:
Civil Service Employment Information
Requirement for OPM to maintain comprehensive list of certain
announcements.
5 CFR 300.103(c) Basic Requirements
5 CFR 330:
Recruitment, Selection and Placement.
www.opm.gov/deu -
§ 5.1.
INTRODUCTION
A.
This Section provides the conceptual framework and procedural instructions for assuring adequate
public notice of the opportunity to compete and gives guidance on additional public notice and
recruiting activity that may be conducted to increase the quality and quantity of candidates for a
Federal job.
B.
It is the responsibility of the Examining Office personnel to assure that full, fair and open competition
occurs, genuinely demonstrating equal opportunity, and that no unwarranted advantage is gained
by any candidate.
C.
This Section also describes the methods for complying with public notice requirements: USAJOBS
on-line entry, and job entry template.
D.
The agency is responsible for establishing public notice procedures that meet the standards set forth
in this Section.
§ 5.2.
PUBLIC NOTICE OF THE OPPORTUNITY TO COMPETE
A.
Public notice is the information dissemination process that assures that persons seeking Federal
employment in the competitive service will be able to learn of opportunities to compete in a specific
enough manner to enable them to know where, when, and how to apply for positions appropriate to
their qualifications and job interests. This definition is based on the premise that the required
information is available through a designated information process, but that the responsibility for
obtaining the information rests on the applicant.
B.
The requirement for public notice is stated in 5 U.S.C. § 3327. This legal requirement supports the
Merit System Principles of the Civil Service Reform Act (5 U.S.C. § 2301), the first of which reads:
Recruitment should be from qualified individuals from appropriate sources in an endeavor
to achieve a work force from all segments of society, and selection and advancement should
be determined solely on the basis of relative ability, knowledge, and skills, after fair and open
competition which assures that all receive equal opportunity.
V-2
C.
Adequate Public Notice. Adequate public notice is the minimum notice necessary to satisfy statutory
responsibilities. At a minimum, adequate public notice assures open competition by guaranteeing
that necessary information will be accessible and available on inquiry. Providing for adequate public
notice is required in every competitive employment situation. Additional recruitment activities may
or may not be necessary depending upon the agency's needs for applicants.
The minimum open period for competitive announcements is defined in the standard
interagency agreement governing delegated examining (see Appendix A) as five business days
with applications being accepted that are postmarked on or before the closing date. (As an
alternative to using the postmark date to govern application acceptance, examining offices may
employ an application "received by" date criterion, provided the announcement in question is open
for at least 10 business days.)
OPM has determined that examining offices may, at their discretion, establish a shorter open period
than five business days in situations when an inordinately large number of applications from well
qualified candidates is expected. An examining office's decision to use a shorter open period due
to such an expectation must be based on such objective factors as the number and type(s) of jobs
to be filled currently, labor market conditions, and recent experience when announcing to fill similar
positions. The examination record file must address such factors in documenting the rationale
(examples of past public notice results for the same or similar positions, or special situations, such
as, local private industry laying off large numbers of well qualified workers) for the examining office’s
decision to use a shorter public notice period.”
A shorter open period may be established either in terms of days or the point at which a specified
number of applications is received. When an application number is used it must be specified in the
public notice issued in connection with the vacancy. All applications received on the day the
specified number is reached must be accepted and processed.
D.
When Public Notice is Required. Generally, public notice is required anytime the agency considers
candidates from outside the workforce for competitive positions. See Appendix I, Personnel
Actions Subject to Public Notice Requirement, for a listing of Nature of Action codes and Legal
Authority codes which require public notice.
§ 5.3.
DIFFERENCES BETWEEN PUBLIC NOTICE AND RECRUITING
The procedures described in this section for entering jobs into the Federal Jobs Database are designed to
meet the minimum public notice requirements for civil service positions contained in Federal law and
regulations. They should not be understood, however, as substitutes for the more focused recruiting efforts
agencies need to make in many cases, over and above public notice, to fill their positions with the best
qualified candidates. Public notice is one part of the overall recruitment process.
§ 5.4.
FOCUSED RECRUITING
Recruiting is an effort to attract the best candidates available to support agency goals. Delegated examining
authority is particularly well suited to situations where agencies need to make extensive recruiting efforts to
find well-qualified candidates. Such actions are consistent with merit principles. Agencies have a variety
of tools available to support effective recruiting programs in conjunction with delegated examining. These
include:
1. Paid advertising;
2. Special Internet-based Recruiting Websites;
V-3
3. Contracted recruiting support from other Federal agencies or commercial firms;
4. Special software applications that better screen candidates;
5. Recruitment bonuses; and
6. Incentive awards to staff who locate top quality candidates.
§ 5.5.
SETTING UP AN EFFECTIVE RECRUITING PLAN
Listed below are some basic steps to consider when developing a new recruitment strategy:
1. Become a strategic partner with your agency’s managers to identify recruiting needs;
2. Analyze future directions of your agency’s workforce and decide appropriate occupations,
competency requirements and hiring strategies;
3. Research the labor market and design your message and corporate image as a recruiter;
4. Identify and train your recruiters; and
5. Establish and maintain relationships with the best sources of candidates for your workforce.
§ 5.6.
DIRECT ENTRY OF JOB VACANCIES INTO THE FEDERAL JOBS DATABASE
A.
What is the Federal Jobs Database?
The Federal Jobs Database is the Government's official repository of employment information and
job opportunities. Entry of vacancies and job announcements into the Federal Jobs Database allows
agencies to meet statutory and regulatory requirements to publicize employment opportunities.
B.
When Must the Database be Used?
1. Under 5 U.S.C. § 3327, agencies must notify OPM of (1) competitive examinations and (2)
vacancies in the competitive service and Senior Executive Service for which the agency will
consider applicants from outside Federal Service.
2. Agencies also are required by the regulations for Career Transition Assistance for Surplus and
Displaced Federal Employees in 5 CFR, Part 330 to notify OPM of competitive service vacancies
open to candidates outside an agency's work force, including temporary vacancies lasting 121
days or more. OPM makes this information available to assist displaced employees in finding
employment. By laws, OPM is responsible for disseminating the information to the public.
3. The database additionally includes many positions in the excepted service; non-appropriated fund
organization; judicial and legislative branches; State and local governments; and positions in the
private sector. OPM encourages agencies to list all jobs, not just those that are required by law
or regulation to be listed.
C.
How does Entering Job Vacancies into the Federal Jobs Database Meet Public Notice
Requirements?
1. Placing job vacancies in the Federal Jobs database ensures that information on jobs is readily
available to State Employment Offices, the public, Federal employees (especially those who are
V-4
displaced in Federal agencies' downsizing actions), and individuals with noncompetitive
appointment eligibility. Job vacancies entered before 4 p.m. Eastern Time and opening the next
day will appear in the delivery systems on the following business day. Entries made after that
time will take an additional business day to process. Job entries are automatically deleted when
the closing date passes.
2. Jobs entered into the Federal Jobs Database are available to job seekers through the USAJOBS
Government wide Automated Employment Information System: web site
(http://www.usajobs.opm.gov); automated telephone service; and touch screen computer kiosks.
Many of these systems are accessible 24 hours a day, seven days a week. If an Examining
Office follows a few simple procedures, the Federal Jobs Database fully meets legal public notice
requirements.
D.
Making Entries to the Federal Jobs Database
1. Register for job entry access through the Job Entry computer bulletin board. Using a computer
with a modem and communications software that supports ANSI Graphics, log into the job entry
program at (912) 757-3125 or Telnet to jobentry.opm.gov. At the prompts, enter the information
required for access. Upon verification, which usually takes about two work days, users may
proceed with job entry.
2. Enter jobs and vacancy announcements using one of the following methods:
a.
Bulletin Board Entry. Connect to the job entry program as instructed above. On the first
screen in the Entry Program, highlight selection for the desired function and press <Enter>.
Select the type of vacancy being listed and proceed with entering data at the prompts on
the screen.
Complete instructions for job entry are provided in the job entry manual which can be
downloaded from the board. At the first screen in the entry program, press “F”. At the next
screen select “Jobs Entry Download File Area.” Download the manual under filename
“GUIDE-FED.WP5” for the WordPerfect 5.1 version or “GUIDE-FED.TXT” for ASCII text.
b.
USAJOBS Online Entry.
Connect to the USAJOBS web site at
http://www.usajobs.opm.gov. From the home page click on JOB ENTRY FOR
EMPLOYERS. Use the on-screen instructions and help to add, edit or delete job entries and
create complete vacancy announcements.
c.
Job Entry Template. This is an off-line system that can be used to submit entries and
vacancy announcements via E-mail. Use the Job Entry Board to obtain the required
template files. The first, named template.txt, can be used for adding and making changes
to jobs in the Federal Jobs Database. The second template, named del_list.txt, can be used
to delete job entries and obtain listings of entries. Also required are a description of each
of the template fields; and the occupational code, duty location, agency code, and remark
code tables referenced in the template field descriptions. The files, available under the
following filenames, can be found in the Agency Job Entry Files Area on the job entry board
(912-757-3125 or Telnet to jobentry.opm.gov) in File area #1:
TEMPLATE.TXT
DEL_LST.TXT
TMP_FLDS.WP5
DLCSTATE.WP5 or DLCSTATE.TXT
RMK.WP5 or RMK.TXT
V-5
OCC.TXT or OCC.ZIP
AGCY_CDE.WP5 or AGCY_CDE.TXT
General: The address for the job entry system is [email protected]. All templates
sent to the job entry system must be submitted in ASCII text format. The job entry
templates can be submitted as messages or attachments. Template entry is limited to
registered users of the job entry bulletin board.
Adding Jobs: Complete or apply text to the template (template.txt) that conforms to the
template edits. Insert ASCII text vacancy announcement on the first line below “=== BEGIN
FULL VACANCY =======”. Send completed template to the job entry system. In the
subject line insert A. This will alert the entry system that a job is being added. The entry
will be reviewed and an E-mail message will be returned to verify acceptance of the entry
or to request corrections. A control number will be provided for successfully transmitted
entries. Save a copy of the template file for editing if necessary.
Changing Jobs: Make desired changes to the saved template file and send the revised
template to the job entry system. In the subject line insert C <space> <Control Number>.
The revised file will overlay the existing record and notification will be returned.
Deleting Jobs: Complete the Delete/List template to provide the job entry user name.
Send the template to the job entry system. In the subject line insert D <space> <Control
Number>. The entry will be deleted from the database and notification will be returned.
Obtaining Lists of Current Entries: Complete the Delete/List template to provide the job
entry user name. Send the template to the job entry system. In the subject line insert L.
A record of current listings will be returned.
For information about data entry registration or jobs data entry, call the help desk at the Staffing
Service Center in Macon at (912) 757-3090 or fax questions or problems to
(912) 744-2263.
E.
What are the Minimum Requirements of Electronic Vacancy Announcements Provided to the
Federal Jobs Database for Competitive Examinations?
1.
Title, series, pay plan, and grade (or pay rate);
2.
Duty location;
3.
Open and closing dates, plus any other information dealing with how application receipt will be
controlled, such as the use of early cut-offs (for additional information see Section 6.1);
4.
Name of issuing agency and announcement number;
5.
Qualification requirements, including competencies or knowledge, skills, abilities, and
combination of education and experience;
6.
Who may apply (generally, any U.S. citizen may apply unless the position is restricted, e.g.
restricted to veterans;
7.
Type of appointment (i.e., whether permanent, term, temporary, or TAPER, include Not-toExceed dates if applicable);
V-6
8.
Entrance pay;
9.
Brief description of duties;
10. Basis of rating;
11. What to file;
12. Instructions on How to Apply (including information about requesting forms if supplemental
forms are necessary);
13. Information on how to claim veterans’ preference;
14. Equal employment opportunity statement.
15. Information about filing as a CTAP/ICTAP eligible, including the definition of "well-qualified."
(See Section 4.3.)
F.
Additional items when appropriate. The following additional items must be a part of competitive
vacancy information when applicable to the specific position to be filled:
1.
Special conditions when one announcement is used for both an external and internal
competition. (See paragraph G.2 below.)
2.
A statement about physical requirements.
3.
A statement restricting appointment to veterans. (See Section 6.5.C.)
4.
Temporary or term appointment, special employment conditions, e.g., part-time or intermittent
employment, shift work, unusual tours of duty, travel requirements.
5.
Minimum or maximum entry age.
6.
Mandatory interview requirements.
7.
For Interdisciplinary positions, agencies have the option of advertising a single vacancy
announcement showing all disciplines or advertising one vacancy announcement for each
discipline. If multiple announcements are used, each one must reference all of the other
announcements. When entering the Electronic Job System, agencies must:
a. make an entry for each discipline;
b. reference the entry for all other disciplines included; and
c. upload the electronic copy of the full announcement for each entry.
8.
G.
Any other information needed by job seekers to determine their interest in applying.
Simultaneous Recruitment Through Open Competitive Examining and Merit Promotion. Agencies
frequently solicit applications from the public-at-large concurrently with merit promotion competition.
Sometimes this involves using one vacancy announcement for both external and internal
competitions. There are some important cautions that should be observed to protect the open
competition merit principle.
V-7
1.
An open competitive announcement must clearly indicate that all persons, regardless of where
they reside, may apply. On the other hand, a merit promotion announcement may identify a
"recruiting area" or specify an "area of consideration."
2.
The vacancy announcement must permit persons who are eligible to file for both the internal
and external competitions to do so. All applicants, including status applicants, must be allowed
to file through competitive procedures for job vacancies opened for non-status candidates.
Filing instructions must be clear. For example, if an individual must file two applications for
dual consideration, the announcement must say so. If different forms are required, they should
also be identified. (See Section 6.1.K and L)
H.
The Examining Office should print a copy of its job listing from the Federal Jobs database as
evidence that the listing did, in fact appear. The printed copy should be maintained in the case file.
I.
Modifying the Closing Date. Anytime a closing date is modified, the Federal Jobs Database must
be updated.
§ 5.7.
COORDINATING RECRUITMENT EFFORTS WITH PUBLIC NOTICE
A.
Recruitment should be an on-going process. An agency is permitted to solicit and collect
applications in advance of a competitive announcement provided all applications received are
forwarded to the Examining Office during the open period of the announcement and are considered
along with the applications received during the open period.
B.
Special recruiting activities such as paid advertising need to be coordinated so all applications are
either received or postmarked by the closing date of the public notice except for those referred to
in Section 6.1.G.
VI - 1
SECTION 6 - ACCEPTING APPLICATIONS AND ADJUDICATING VETERANS’ PREFERENCE
References:
59 FR 65086:
5 U.S.C. 3112:
5 U.S.C. 3303:
5 U.S.C. 3305:
5 U.S.C. 3310:
Elimination of the SF-171; New Application Procedures
Disabled Veterans; Noncompetitive Appointment
Recommendations of Senators or Representatives
Accepting Late Applications from 10-point Preference Eligibles
Preference Eligibles; Examinations; Guards; Elevator Operators, Messengers, and
Custodians
5 U.S.C. 3328 Selective Service Registration
5 U.S.C. 5534a: Dual Employment & Pay During Terminal Leave from Uniformed Services
5 CFR 211:
Basic Definition of Veterans’ Preference
5 CFR 300.103: Basic Requirements
5 CFR 300.701 Statutory Bar to Appointment of Persons Who Fail to Register Under Selective
Service Law
5 CFR 332:
Recruitment and Selection Through Competitive Examination (Note Subpart C,
Acceptance of Applications After the Closing Date)
5 CFR 337:
Evaluating Qualifications for Preference Eligibles
5 CFR 338.101: Citizenship Requirements
www.opm.gov/qualifications - Operating Manual for Qualification Standards for General Schedule
Positions
www.opm.gov/veterans Federal Employment Policy Handbook: Veterans and the Civil Service
(VetGuide)
www.opm.gov/deu OPM Delegated Examining Website
§ 6.1.
APPLICATION ACCEPTANCE PROCEDURES
A.
Acceptable forms. Current OPM instructions on use of employment applications permit applicants to
use résumé, the Optional Application for Federal Employment (OF 612), the old SF-171, or any other
form of an applicant's choosing. They do not permit agencies to design and use their own application
forms for use by the public at large unless OMB approval is obtained. OMB is not likely to approve
them unless the agency has unique, specialized requirements or uses an automated rating system.
Examining Offices may require necessary supplemental documents from applicants, such as college
transcripts, answers to Competencies or Knowledge, Skills, and Abilities (KSA) statements, and copies
of licenses where appropriate. Note that in June 1995, OPM abolished OPM Form 1170/17 and all
other supplemental application forms in the 1170 issuance series. Agencies may no longer require
an 1170 form but may use them if an applicant includes one with his/her application. In addition, OPM
or agencies may provide for electronic filing with special application procedures consistent with
applicable law and regulations.
B.
Agencies may give automatic extensions to persons who request application materials by the closing
date. When extensions are granted, a response due date should be given, and the application packet
should be annotated so that the forms can be identified when returned. One way to do this is to send
a cover form with the application packet that identifies the announcement number, specifies the
deadline date, and requires that the cover form be returned with the completed applications. The
selection must be delayed until either those applications have been received (if the number is known)
or the deadline date has passed.
VI - 2
C.
Agencies must be able to reconstruct the case file to show when applications were received. Typical
methods of documentation include, but are not limited to, date stamping of documents when received,
manual or automated logs or other appropriate methods.
D.
Any application that is postmarked timely but received after the closing date should be appropriately
annotated. Some methods that could be used include the following: the envelope showing the
postmark may be retained with the application, the postmark date can be written on the application
(e.g., PM 02-15-98) and initialed by the reviewer, or an automated log or other source document could
be used.
E.
When an announcement allows for a postmarked application, a certificate should not be issued until
5- work days after the closing date to allow a reasonable period for timely-postmarked applications to
be received.
F.
Accepting late applications. There are certain valid exceptions to the general rule prohibiting late
applications. The following categories of persons may be entitled to apply after the closing date (See
5 CFR 332, Subpart C):
1.
A 10-point preference eligible may file an application at any time for any position for which a
non-temporary appointment has been made in the preceding 3 years from a competitive list of
eligibles or for which a list of eligibles currently exists but is closed to new applicants. (See
Section 6.3. for more detailed instructions.)
2.
A preference eligible is entitled to be entered on an appropriate existing competitor inventory
if he or she applies within 90 days after furlough or separation without delinquency or misconduct
from a career or career-conditional appointment or if found eligible to apply after successfully
appealing a furlough or discharge from career or career-conditional appointment.
3.
A preference eligible is entitled to be reentered on each competitor inventory (or its successor)
where previously listed if he or she applies within 90 days after resignation without delinquency
or misconduct from a career or career-conditional appointment.
4.
A person who was unable to file for an open competitive examination or appear for a test
because of service in the armed forces or hospitalization continuing for up to 1 year following
discharge may file after the closing date if the competitor inventory of eligibles still exists.
5.
A person who was unable to file an application or appear for a written test because of overseas
service with a Federal agency or international organization in which the U. S. Government
participates (e.g., Peace Corps volunteers) is entitled to file an application after the closing date
when there is an existing competitor inventory, or if one is about to be established.
6.
A Federal employee who was unable to file for an open competitive examination or appear for
a test because of active Reserve duty continuing beyond 15 days may file after the closing date.
7.
A person who was on a competitive competitor inventory but lost eligibility for appointment
from that competitor inventory because of active duty in the Armed Forces is entitled to be
restored to the competitor inventory (or its successor) and receive priority consideration when
certain conditions are met. (See 5 CFR 332.322 for more details.)
8.
A person who was unable to compete in open competition under a Civil Service examination due
to serving in the Armed Forces may file an application for any examination which was open while
he/she served in the military. The preference eligible must file within 120 days after discharge
VI - 3
under honorable conditions, regardless of whether he/she is eligible for veteran preference. The
application will be accepted provided a list of eligibles is still in existence.
G.
A person who is currently serving in the Armed Forces may file an early application for any
examination which was open while he/she was in the military. Such a person must file within
120 days prior to discharge under honorable conditions, regardless of whether he/she is eligible
for veteran preference. The application will be accepted provided a list of eligibles is still in
existence.
With competitor inventories, the names of persons who were allowed to file late applications and who
meet qualification eligibility requirements are entered onto the competitor inventory in score and
appropriate veterans preference order.
H.
In case examining situations, applications from persons who are entitled to file late should be accepted
and processed up until the certificate is issued. Once issued, the certificate should not be amended
to include delayed applications, unless so requested by the selecting official. However, any valid late
applications received after the certificate is issued should be retained in the case file. If additional
names are necessary, these applications would be rated and considered.
I.
Procedures for Retaining Applications from 10-point Preference Eligibles in Case Examining
Situations. The procedures for accepting a late application from a 10-point preference eligible are set
in statute (5 U.S.C. 3305) and are different from procedures for persons in categories 2-8 in Paragraph
6.1.F. A 10-point preference eligible is entitled to have his/her application considered for all
immediate vacancies and retained for future vacancies, (procedures described in detail in Section
6.3). This entitlement applies only if the 10-point preference eligible is not added to the
certificate. In case examining situations, other categories of late filers are allowed only to file after
the closing date for the immediate vacancy.
J.
Accepting Applications from Status Candidates. An application from an individual with civil service
status that is filed in an open competitive examination must be accepted and processed under the
competitive examination, even though the applicant may also have filed under a concurrent merit
promotion announcement. In instances when an agency issues two announcements -- a competitive
and a merit promotion -- for the same position, the announcements must contain distinctive
announcement numbers, and candidates should be considered for the specific announcement they
apply under. If an agency is using a single notice to announce joint solicitation of external and internal
applications, it must include language to clarify the appropriate application procedures, e.g., the
necessity to file two applications for dual consideration. In the absence of that clarifying language,
the status candidate must be considered for both processes. (See Section 5.6.G.)
K.
Accepting Concurrent Applications from Preference Eligibles. An application from a preference
eligible that is filed in an open competitive examination must be accepted and processed under the
competitive examination, even though the applicant may also have filed under a concurrent internal
vacancy announcement that is open to persons who are eligible for special hiring programs, such as
Veterans’ Readjustment Appointment (VRA) or 30% or More Disabled Veteran Program (5 U.S.C. §
3112). In instances when an agency issues two announcements -- a competitive and an internal
announcement -- for the same position, the announcements must contain distinctive announcements
numbers, and candidates should be considered for the specific announcement(s) they apply under.
A preference eligible who files one application without specifying which vehicle, should be considered
as a candidate for the open competitive examination. If an agency is using a single notice to
announce joint solicitation of external and internal applications, it must include language to clarify the
appropriate procedures, e.g., the necessity to file two applications for dual consideration. In the
absence of that clarifying language, a preference eligible must be considered for both
processes. Under the competitive (external) process, the veteran is given veterans preference.
VI - 4
However under the merit promotion (internal) process, veterans preference is not used for status
applicants.
L.
Dual Employment During Terminal Leave from Uniformed Services. Members of the uniformed
services who are on terminal leave pending separation from, or release from active duty in, that
service under honorable conditions may accept employment in a civil service position and are entitled
to receive pay for that position in addition to pay and allowances from the uniformed service for the
unexpired portion of the terminal leave (5 U.S.C. 5534a). Therefore, an application received from a
member of the uniformed services who are on terminal leave, must be accepted and processed.
M.
Order of Processing Applications and Use of Early Cut-offs. Cut-off dates should be explained in the
vacancy announcement. Applications may be rated at any time, as long as they are rated in the order
of receipt; that is, all applications received since the open date (or the last rating cut-off date) are rated
at the same time. The applications of agency name requests are not given priority over the processing
of other applications received up to that time.
N.
Incomplete Applications. An application is incomplete if any required form or other material is not
submitted, or if the applicant fails to enter on the form answers to questions which must be answered
before action can be taken, such as, the applicant’s social security number. The Social Security
Number is a required item for processing the application. The application may also be incomplete if
insufficient information concerning education or experience is furnished. Incomplete applications may
be rated based on either the information available or the Examining Office may request the applicant
to furnish the missing information. Whichever option is chosen, it must be applied consistently for all
applicants for any specific position or competitor inventory. The Examining Office has the flexibility
of determining which method will be used for any particular case file or standing competitor inventory.
Applications can be deemed incomplete for many different reasons. In the rating process, care should
be taken to see that an incomplete application is not unduly penalized. The following examples are
typical but not all inclusive:
1.
College Transcript. An applicant fails to attach a college transcript. Although a transcript may
be critical for jobs with a positive education requirement and others at college entry levels, a list
of courses and hours is sufficient at the time of application. An official college transcript is
required at the time of appointment. However, it is not normally a significant factor at higher
grades, for clerical jobs, and other categories of positions. As a rule, a transcript should not be
considered an absolute requirement unless basic qualifications cannot be determined without it.
2.
Veterans’ Preference. The following instructions apply only to veterans who are still on active
duty and therefore cannot obtain a DD Form 214. There is no reason, however, why someone
who has been separated from the military should not be able to produce a DD Form 214 to
document his or her claimed service. At the time of appointment, all candidates must produce
a DD Form 214 documenting that their service was honorable.
a.
Applicants claiming veterans’ preference who are still on active duty will be granted 5-point
tentative preference if their applications show that they have the required military service,
such as service in a war, campaign, or expedition. Applicants claiming receipt of an Armed
Forces Expeditionary Medal (AFEM) are qualified for veterans’ preference. However, the
Armed Forces Service Medal is not qualifying for veterans’ preference. A complete list of
DoD approved campaigns or expeditions is located in the Federal Employment Policy
Handbook: Veterans and the Civil Service (VetGuide) on OPM’s website
(www.opm.gov/veterans).
VI - 5
3.
b.
Applicants claiming 10-point preference on the basis of a disability must include appropriate
documentation from the military service or Department of Veterans Affairs before 10-point
preference can be awarded. When the appropriate documentation for 10- point preference
is absent, Examining Offices should grant the applicant 5-point tentative preference if the
veteran appears to meet the veterans' preference requirements.
c.
Applicants claiming 10-point preference on the basis of receiving a Purple Heart who are
still on active duty will be granted 10-point tentative preference, provided, the preference
eligible submits appropriate documentation. Examples of type of documentation would be:
a copy of the orders awarding the Purple Heart, award citation or some reasonable or
tangible proof that the preference eligible received a Purple Heart. At the time of
appointment, all candidates must produce a DD Form 214 documenting receipt of a Purple
Heart.
d.
Applicants who were discharged from the military service and claiming 10-point preference
on the basis of a disability and failed to include appropriate documentation from the military
service or Department of Veterans Affairs (VA), such as, a letter from the VA dated within
12 months of application, can be granted 5-point tentative preference; provided, he or she
appears to meet the basic veterans’ preference requirements and submits the appropriate
proof of military service.
e.
Applicants normally apply for veterans’ preference by claiming preference and submitting
proof of eligibility at the time of application for a position. Because some applicants will not
be aware of new laws affecting veterans’ preference, i.e. Defense Authorization Act of FY
1998, Examining Offices must take the first step in ensuring that applicants receive the
preference to which they are entitled.
Signature. An applicant fails to sign an application form. Since the suitability form includes a
statement that the applicant has not submitted any erroneous information, a signature is no
longer needed on the application form.
O.
Restriction of Consideration to One Gender. 5 CFR 332.407 generally prohibits an appointing officer
from restricting employment consideration to candidates of one gender. The regulations allow OPM
to make exceptions in unusual circumstances. An Examining Office must contact the appropriate
OPM Service Center before a job is announced if it believes it has an unusual situation that may
warrant such a restriction.
P.
Accepting Recommendations from Members of Congress. Section 315 of Public Law 104-197
(effective October 16, 1996) amends 5 U.S.C. § 3303 to provide that a selecting official may accept
and consider an employment recommendation from a Member of Congress only insofar as it pertains
to the "character and residence of the applicant."
Q.
Accepting Electronically-filed Applications. In 1996, OPM introduced a new electronic method for
applicants to use in filing for examinations announced specifically by OPM Service Centers.
Individuals who access either the USAJOBS web site or electronic bulletin board can file electronically.
They must first retrieve the appropriate Supplemental Qualifications Statement and then use it to
answer the qualifications questions on-line. Applicants who use this option must file electronically by
the closing date and follow up with other required documents. Although this service is available only
when an OPM service center is the Examining Office through a reimbursable contract, Examining
Offices should be aware of it in order to answer questions from applicants.
Agencies may incorporate electronic application filing into their processes by using the on-line résumé
feature available on the USAJOBS web site. Job seekers may use the on-line résumé to create, save
VI - 6
and edit résumés suitable for Federal employment and, for some jobs, submit résumés electronically
to Examining Offices for consideration. Agencies will be able to identify in the job entry process those
announcements for which electronic résumés will be accepted. The opportunity to electronically
submit résumés for specific announcements in the Federal jobs database will only be provided to job
seekers while jobs are open. Agencies will be able to manually process résumés received from the
USAJOBS website or integrate the résumé with automated application receipt and/or processing
systems.
A new application procedure was develop to provide agencies with an additional option for application
receipt to take advantage of current technology. The use of automated systems for the development,
movement and processing of résumés is becoming standard within the human resources field. Rather
than requiring agencies to make individual requests to OMB for the approval of a résumé approach
for Federal employment application, OPM determined it made more sense to move ahead on a
Government wide basis.
As of November 13, 1998, agencies may restrict the application process to résumé when applications
are processed using automation. Agencies must accept résumés created from any source; e.g.,
Online résumé builder; résumé preparation software; word processing software; or typewriter, as long
as the résumé meets the specific agency parameters for format, content and length. Agencies
accepting applications in other formats must be sure that the automated methods for applying are
available and accessible to job seekers.
§ 6.2.
A.
REVIEW OF APPLICATIONS FOR LEGALLY REQUIRED INFORMATION
The elimination of the SF-171 has changed the process of reviewing applications in a competitive
examination. The OF 612 contains less information to review and has shifted the suitability questions
to another form, the Declaration for Federal Employment, OF 306. The intent of the OF 306 is to
move the suitability review out of the examination phase of the hiring process. (See Section 8.12.D,
for more information on suitability issues.)
1.
The following paragraphs cover the adjudication of "legal" issues in the competitive examination
cycle at the time of application.
a.
Date of Birth. For most jobs, age is not a factor, and an applicant's date of birth can be
obtained when he/she is hired. Age is a factor for law enforcement and other positions with
maximum entry ages and for those few jobs where a minimum age (usually 16) might come
into play. In these situations, applications must be screened for date of birth.
b.
Citizenship. OPM's instructions on citizenship (5 CFR 338) prohibit noncitizens from both
competing in a civil service examination and from being appointed to a position in the
competitive service. Therefore, employment applications from noncitizens should not be
accepted. If there is a question about an applicant’s citizenship (e.g., the applicant failed
to answer the question on the automated application form), the application may be accepted
and processed. If the individual is subsequently referred on a certificate, his/her name
should be annotated with instructions to verify citizenship before appointment.
c.
Veterans’ Preference. Agencies should determine at what stage in the hiring process they
will require proof of veterans’ preference. Proof is an absolute necessity: (1) if such
preference is used as a basis for acceptance of an application after the closing date (See
Section 6.1.G); (2) when positions are restricted to preference eligibles (See Section 6.5);
or (3) prior to final selection if the veteran was selected over other candidates based on their
preference.
VI - 7
2.
The following paragraphs cover the adjudication of "legal" issues in the competitive examination
cycle at the time of appointment.
a.
Selective Service Registration. Agencies are required to verify male applicants’ selective
service registration at the time of appointment. A male applicant is required to register with
the Selective Service if he was born after December 31, 1959. (See 5 U.S.C. 3328 and 5
CFR 300.701)
b.
Original Signature. A signature is no longer required on an employment application. The
OF 306 contains a signature block with all of the necessary certifications about accuracy of
information, etc.
c.
Arrest Record, Discharge from Employment, etc.. As indicated previously, the suitability
questions have been shifted to the OF 306 for adjudication during the hiring phase. There
are slight variations in the way the questions are worded in the OF306 from the SF-171. To
avoid confusion, all suitability determinations should be made in the same way. Thus, even
when an individual applies with an SF-171, OPM recommends that the suitability questions
on that form be ignored by the Examining Office. (See OPM's Investigation Service
website: www.opm.gov/extra/investigate for more information.)
Examining Offices have the option of requesting an OF 306 at the time of application for
positions, such as, law enforcement and medical; provided, the announcement clearly states
that: a) the form is required as part of the application package and b) where applicants can
obtain an OF 306.
§ 6.3.
SPECIAL FILING AND CONSIDERATION PROCEDURES FOR 10-POINT PREFERENCE
ELIGIBLES IN CASE EXAMINING SITUATIONS
A.
To implement the provisions of 5 U.S.C. § 3305, OPM has written regulations in 5 CFR 332.311
providing that a 10-point preference eligible (all categories of 10-point preference) may apply for any
job for which he/she qualifies for, for which a non-temporary competitive appointment was made in
the preceding three years. (For the purpose of this section, “non-temporary” includes term
appointments.)
B.
The purpose of the law and regulations is to extend a special employment consideration privilege to
10-point preference eligibles. However, both the law and the regulations were written when the use
of competitor inventories was standard practice. To preserve the intent of the law in case examining
situations, OPM has designed special procedures which Examining Offices must follow. There are
actually two alternative procedures, depending on whether the Examining Office elects to require an
actual application from the 10-point preference eligible, or uses a card file or automated registration
system.
1.
Use of Applications.
a.
Applications from qualified 10-point preference eligibles that are received during an open
filing period or up to the date the certificate is issued, are rated and added to the certificate.
However, any valid late applications received after the certificate is issued should be
retained in the case file. If additional names are necessary, these applications would be
rated and considered.
b.
When an unsolicited (no specific announcement) application is received from a 10-point
preference eligible, the job for which he/she is applying must be checked against available
records to determine if a non-temporary competitive appointment was made in the
VI - 8
preceding three years. (For the purpose of comparing positions, the title, series, grade, and
location should be the same.) If records are inconclusive, the applicant must be given the
benefit of the doubt, and the application accepted.
2.
C.
c.
An agency has the option of accepting any application which meets the 3-year test
described in paragraph 6.3.A. without making a qualifications determination, or checking
for possession of basic qualifications. (Also, see Section 6.1.I.)
d.
If an application does not meet the agency's conditions for retention, it should be returned
to the preference eligible with an explanation.
e.
Agencies may decide for themselves how long to hold applications. Applications need not
be retained for the full period of time necessary to meet the 3-year test. However, if a
shorter retention period is used (e.g., 6 months), applicants must be allowed to request
extensions.
f.
The preference eligible must be notified that his/her application will be retained, for how
long, and what he/she must do to have it extended. There is no limit on the number of
times the preference eligible may extend the retention of the application, so long as the date
of extension continues to meet the 3-year test.
g.
Application files of 10-point preference eligibles must be checked each time an examination
is to be announced. The 10-point candidate must be given the same opportunity to address
job-specific qualification factors as other applicants. That means that if the Examining
Office is using a supplemental application form or encouraging applicants to address
competencies or KSAs, or otherwise using more than a resume or basic application form,
it must send an application packet to each 10-point preference eligible who is potentially
qualified. The Examining Office should either photocopy the individual's basic application
for the case file or request a new one. The basic application itself should be immediately
returned to the special 10-point preference eligible file for continuing consideration for other
vacancies.
h.
The case file must be documented to show that the 10-point file was checked, and the
names of any preference eligible whose applications were pulled from the file and sent
additional material. This annotation will help assure a complete audit trail.
i.
When the established retention period has expired, the Examining Office may dispose of
applications in accordance with records disposition instructions in Appendix G.
Card File or Automated Registration System. In lieu of maintaining applications, an Examining
Office can choose to register 10-point preference eligibles and maintain simplified records on
them. Such a registration system, however, must assure that 10-point preference eligibles
receive the same level of consideration as that discussed above using applications. For
example, whenever an examination is to be announced, the file must be checked to see if any
10-point preference eligibles have been registered. Then application packets are sent to any
registrant with an invitation to file.
An agency may extend more liberal benefits to 10-point preference eligibles than those described in
this section. For example, an agency may find it easier to register an individual for any series and
grade (in the agency's work force) that he/she requests, rather than try to determine whether a
nontemporary competitive appointment had been made in the most recent 3-year period.
VI - 9
§ 6.4.
ADJUDICATION OF VETERANS PREFERENCE
Basic definitions for the application of veterans preference are found in 5 CFR 211. Specific instructions for
adjudicating preference are contained in OPM's Federal Employment Policy Handbook: Veterans and
the Civil Service (VetGuide). The VetGuide is a comprehensive description of the special rights and
privileges that veterans enjoy in Federal employment. This source should be followed in determining
whether to award preference. The paragraphs below are intended to supplement the guidance referenced
above.
A.
Documentation for Tentative Preference (5-point). Prior to the elimination of SF-171, Examining
Offices granted tentative preference (TP) based on statements on the SF-171. The hiring agency was
responsible for verifying that entitlement. Now that applicants may use either a résumé or the OF 612,
they are instructed to attach their DD 214s if they are claiming entitlement to preference. In order to
award 5-point preference, OPM Examining Offices verify entitlement from the DD 214. However, an
Examining Office, may at its option, continue to award 5-point tentative preference to applicants who
submit a SF-171 with no DD 214. (Award of tentative preference to those entitled but still in the
military service and unable to obtain a DD 214 is not optional).
B.
Veterans’ preference codes. The following codes should be used on rating sheets and certificates to
designate the various categories of preference:
* CPS -- 10-point compensable preference based on a service-connected disability of 30% or more;
* CP -- 10-point compensable preference based on a service-connected disability of 10% or more,
but not 30%;
* XP -- 10-point (other) preference; granted to recipients of the Purple Heart, persons with a noncompensable service-connected disability (less than 10%), widow/widower or mother of a
deceased veteran, or spouse or mother of a disabled veteran;
* TP -- 5-point preference;
* NV -- designates a non-veteran. This is an optional code that delegated Examining Offices may
use; a blank space is also used to designate non-veterans.
§ 6.5.
POSITIONS RESTRICTED TO VETERANS
A.
5 U.S.C. § 3310 restricts appointments for positions of Custodian, Messenger, Guard, and Elevator
Operator to preference eligibles, as long as there are qualified preference eligibles available.
B.
For these four types of positions, an Examining Office has the option of (1) restricting competition to
preference eligibles, or (2) accepting applications from non-preference eligibles, but referring them
for employment consideration only in the absence of preference eligibles. Option 1 may be the best
choice if past experience has shown that normal public notice will generate an ample supply of
preference eligible candidates. Option 2 would be preferable if there is a chance that the supply of
preference eligibles may be exhausted before all vacancies are filled.
C.
Public Notice. Public notice for a restricted position must contain a statement explaining whether
applications will be accepted from non-preference eligibles, and if so, that they will not be considered
if veterans are available. (See Section 5.6.F.3.)
D.
Certification Procedures. Certification procedures for positions restricted to preference eligibles are
covered in Section 8.4.C.
VI - 10
§ 6.6.
A.
B.
ISSUING NOTICES OF RESULTS
When an individual's application has been rated, the applicant should be notified of the status of their
application including whether the applicant was found eligible or ineligible for the vacancy. There is
no prescribed way to do this. OPM uses a quasi-form letter called a Notice of Results -- sometimes
called a Notice of Rating -- (NOR) containing pertinent information about the applicant's candidacy.
The NOR, or similar notification letter, is usually the only written notification provided by an Examining
Office to an applicant at any stage in the examining process. Additionally, the written notification
serves as the applicant’s record in case he/she chooses to exercise his/her right to challenge or appeal
a rating(s) or correct any erroneous interpretation or application materials. A written notification
provides a useful "status report" to applicants that may effectively preclude later inquiries. The
following information would be useful to applicants if conveyed in a NOR.
1.
Title, Series, and Grade of the job, plus announcement number or other job identifier;
2.
Whether the candidate has been found eligible or ineligible;
3.
If eligible, the numerical score (if applicable);
4.
If eligible, the level of veterans preference awarded;
5.
Any restrictions on eligibility, such as "subject to meeting education requirements."
6.
If eligible, whether the candidate was referred to the selecting official for employment
consideration;
7.
If ineligible, a brief explanation of the reason; for example, "did not pass the written test," "did not
meet basic experience or education requirements," "did not meet a mandatory selective
placement factor," or "salary of the job was below the minimum acceptable level stated in your
application;"
8.
(For inventories): The length of eligibility and the procedures for extending that eligibility.
When an announcement covers more than one grade level or specialty, one notification may be used
to cover all grade levels and specialties, or separate notifications for each one may be issued.
§ 6.7.
RECONSIDERATION OF RATINGS DECISIONS
A.
Examining decisions by Delegated Examining Offices are subject to reconsideration upon reasonable
demonstration that the review is warranted. The Delegated Examining Office must establish a written
procedure for the processing of requests for rating reconsideration. The procedure must be available
to applicants who wish to challenge an assigned rating. The same procedure may be incorporated into
the agency administrative grievance system and used for agency-employed applicants who grieve an
assigned rating. Sometimes an applicant’s question can be answered informally by telephone.
However, any requests that could result in a rating change must be in writing.
B.
The rating reconsideration procedure should include the following and specify the levels of review
within the agency.
1.
Requests must be made in writing and should indicate why it is believed the original decision was
not proper, what factors were not considered, and any other pertinent information which will
support the request and enable the reviewing office to reevaluate the decision. Any new
VI - 11
experience or education gained after the closing date of the announcement cannot be considered
in the reconsideration process.
2.
Requests for review of original examining decisions are submitted to the office which made the
decision.
3.
The review should be conducted by a qualified staff member other than the person who made
the original decision.
4.
In responding to the request, a full explanation of the reasons for the decision should be provided
without unduly compromising the rating schedule.
5.
Further reviews should be accepted at a higher level within the agency only after the above steps
have been taken and then only based on a written request by the individual. The second level
review is usually final.
C.
Reconsideration based on ineligibility in a standard or group interview is acted upon in the same
manner as reviews of ratings in other types of examinations.
D.
When a request for reconsideration is received from a person entitled to 10-point veteran preference,
processing the request as a quarterly (reopened) examination rather than a reconsideration request
may be to the advantage of the applicant since he/she may have acquired additional experience which
would qualify him/her for a higher rating. If this can be done in accordance with the instructions for
reopening an examination, it should be so handled.
E.
Although there is no time limit for such reviews, reconsideration is normally limited to that period in
which reconstruction of the case is possible, i.e., based on the records disposition schedule. See
Appendix G.
F.
There is no further appeal to OPM.
G.
Case files must be complete enough to reconstruct the decision-making process including all
correspondence, supporting documents and decision letters.
H.
Correction of a changed rating. In case examining situations, if an applicant provides additional
information which the Examining Office is able to accept, and the information results in a changed
rating, the new rating should be reflected on the certificate if the certificate has not been issued. Once
a certificate has been issued, it should not be amended to reflect the new rating, unless the new rating
is "ineligible" or the eligible was improperly awarded a higher type of veterans preference or the error
was the result of the rater/examining office. (See Section 8.8 for additional discussion.)
VII - 1
SECTION 7 - ESTABLISHING & MAINTAINING COMPETITOR INVENTORIES
References:
5 U.S.C. 2301:
5 U.S.C. 3309:
5 U.S.C. 3313:
5 U.S.C. 3317:
5 U.S.C. 3318:
5 CFR 316:
5 CFR 332:
5 CFR 332 Subpart C:
5 CFR 731:
Preference eligibles; examination; additional points
Competitive service; registers of eligibles
Competitive service; certification from registers
Competitive service; selection from certificates
Temporary and Term Employment
Recruitment and Selection through Competitive Examination
Period of Competition and Eligibility
Suitability
www.opm.gov/deu -
As an alternative to case examining, Examining Offices may wish to establish competitor inventories, also
referred to as "standing registers." This section sets forth the procedures which deal solely with competitor
inventories.
§ 7.1.
DEFINITION OF COMPETITOR INVENTORY
A.
Usually a competitor inventory is established when positions in the occupation are frequently filled with
non-status candidates, and it is not efficient to issue a case examination for each vacancy filled. The
competitor inventory provides a list of interested and qualified candidates ready to be certified for
current and future vacancies.
B.
Competitor inventories are of two types:
1.
Pre-rated Competitor Inventory. This is a listing of eligibles in the order in which they are to be
certified, by option and by grade. Applicants are assigned numerical scores upon receipt of their
applications. This type of listing has traditionally been called a register, and applications are
referred to as being prerated or front-end rated.
2.
Deferred-rated Competitor Inventory. This is a listing of applicants in alphabetical or
identification number order. The list also includes options and grades for which the applicants
are to be considered. This type of listing normally is preceded by only a very general screening
of qualifications and is referred to as deferred-rated because applications are rated only when
a certificate is requested for a specific vacancy. The rating received is usually only applicable
for that specific position.
§ 7.2.
A.
ESTABLISHING COMPETITOR INVENTORIES
General Information.
1.
Examining Offices must record and maintain certain basic information with a competitor
inventory. The minimum data that must be readily available to reconstruct the history of the
competitor inventory includes:
VII - 2
B.
a.
Examination title and number;
b.
Position, grade and geographic area covered;
c.
Date the inventory was established; and
d.
Disposition of other competitor inventories which the new one may have superseded.
2.
Examining Offices may find useful for this purpose a form or a hard copy or electronic format
which the Examining Office adopts.
3.
Date of Establishment. A competitor inventory from a vacancy announcement which is open
for a limited period is considered to be established as a whole on the date on which the first
certificate can be issued from it. A competitor inventory from a vacancy announcement that is
to be open continuously is established on the date when the first eligible is entered onto the
inventory. In either case, if the public notice material provides that all those who apply by a
certain date are considered first, then the applicants from the first group are entered onto the
inventory at the same time, and those who apply later are entered as they are rated.
4.
Date of Entry. The date of an applicant's entry onto the competitor inventory must be noted.
This is the date from which the length of the period of consideration is determined. The
Examining Office may choose its own method of recording this date.
5.
Requests for Additional Information Which Could Impact An Individual's Qualifications or Rating.
The competitor inventory could be established without waiting for applicants to respond to
requests for additional information. If this is the case, the Examining Office should make this fact
known to the applicants from whom additional information is being requested. If it appears that
all vacancies will be filled as a result of the first group of certificates issued or that the number
of incomplete forms is very large, selections from the certificate may be delayed until the
additional information has been received or until the deadline for additional information has been
reached.
Procedures for Establishing Pre-rated Competitor Inventories. The competitor inventory must contain
a complete record of applicant eligibility data, such as listed in items 1 - 10 below. Some suggested
methods for retaining this information are the use of a Register Card for each individual in the
inventory, an automated data record, or other non-automated approach. Generally, a separate record
is prepared for each position, grade, and option for which an individual is eligible. This system is
recommended because using one card for several grades and options requires rearranging all cards
each time a certificate is issued. If, however, the inventory is small and is used only occasionally, it
may be feasible to show all grades and options on a single card. The record should contain the
following information:
1.
Eligible's rating, including preference points. If the examination includes a written test, the part
scores may be recorded.
2.
Appropriate veterans preference symbol (CP, CPS, XP, TP) for preference eligibles. A notation
such as "NV" may be made to indicate that no preference has been allowed.
3.
Job Specialty in which rated eligible. If register cards are used and separate cards are made for
each grade, option, or position, the Examining Office may wish to post only rating, grade, etc.,
at the top of the card and note the bottom of the card with the other grades and options for cross
reference purposes.
VII - 3
C.
4.
Examination number. This is the public notice or announcement number.
5.
Identification number. If the applications are to be filed numerically, record the application
number. Record each candidate's social security number if it will be used to break ties.
6.
Date of entry (registration date) onto the competitor inventory.
7.
Other eligibilities. When separate cards are prepared for each option and grade, the Examining
Office may want to list at the bottom of the card all other eligible ratings, grades, options, or
positions resulting from the same application.
8.
Special notations. Any limitations or modifications of eligibility should be noted, e.g., subject
to completion of a 4-year college degree. In a card system, the notation would typically be
placed at the bottom of the card.
9.
If the application was accepted after the closing date, the register card should be noted to show
the reason for acceptance, e.g., "Reopened" or "Delayed."
Order of Eligibles on Pre-rated Competitor Inventories. Title 5 U.S.C. § 3313 prescribes the order of
entry of eligibles on inventories and certificates. 5 CFR 330, Subpart G prescribes the order of
selection when ICTAP eligibles are present. (See Section 4.3.B7)
1.
For professional and scientific positions at grades GS-9 and above.
professional or scientific positions in Section 8.4.B and Appendix E)
(See definition of
Enter in the following order:
a.
ICTAP and other special consideration eligibles. (See Section 4.3.B7)
b.
Eligibles who lost consideration due to erroneous certification. (See Section 8.14)
c.
All other eligibles in score order.
NOTE: Within each of the above groups, eligibles are entered in the order of their numerical
ratings including veterans preference points. (i.e. See paragraph 4 below.)
2.
3.
For other positions, enter in the following order:
a.
b.
Eligibles who lost consideration due to erroneous certification.
c.
All 10-point preference eligibles who have a service-connected disability of 10 percent or
more (CPS and CP).
d.
All remaining eligibles in score order.
For positions which are restricted to veterans, enter in the following order:
a.
b.
Preference eligibles who lost consideration due to erroneous certification.
VII - 4
4.
D.
c.
All 10-point preference eligibles who have a service-connected disability of 10 percent or
more.
d.
All remaining preference eligibles.
e.
All remaining eligibles (if nonveterans were allowed to compete).
Tied ratings. When eligibles within a particular class have identical ratings, the ties are broken
by listing eligibles in the order given below:
a.
Ten-point preference eligibles who have a compensable service-connected disability of 10
percent or more (CP or CPS).
b.
Other 10-point preference eligibles (XP).
c.
Five-point preference eligibles (TP).
d.
Nonpreference eligibles.
Procedures for Establishing Deferred-rated Competitor Inventories. There is no prescribed preprinted
form for establishing this type of inventory. A computer listing may be used or the inventory may be
maintained in an internal computer file. Normally all grades and options are contained in a single entry
following the candidate's name. However, where manual systems are used, separate listings can be
used for each grade or occupational option. The entry should contain:
1.
Options and grades for which the applicant is being considered.
2.
Appropriate preference symbol (CPS, CP, XP, TP) if preference is allowed.
3.
Application number if the qualifications statements are going to be filed numerically.
4.
Examination/announcement number.
5.
Date of entry onto the competitor inventory; and
6.
Special notations. Where appropriate, information which limits or modifies availability should be
listed (e.g., geographic availability, availability for temporary work, willingness to travel, etc.).
Unique notations such as subject to meeting maximum entry age requirements or the authority
for the acceptance of a late application (e.g., "Reopened" or "Delayed") should be noted on the
eligible's application if there is no provision for such in the inventory listing.
E.
Notices of Receipt of Application Under Deferred-rated Competitor Inventories. The notice should
show the title and number of the examination, the name of the issuing office, and the date of issue.
It should also describe how the applicant will receive consideration for the positions, options, and
grades covered by the inventory. The notice should clearly state that it is not a notice of rating and
any determination of eligibility has been deferred. However, some deferred-rated examinations may
provide for a general screening and rating of qualifications. This determination/rating should be
included in the notice of receipt of application.
F.
Replenishing a Competitor Inventory (Reopening) and Recompetition. When an examination for a
suspended competitor inventory is reopened to the receipt of new applications, eligibles are added to
the inventory in the order in which their applications are received and rated.
VII - 5
1.
Reexamination of eligibles. Applicants rated eligible may file again and be reexamined if the
examination is still open unless the frequency of recompetition has been limited.
2.
Reexamination of ineligibles. Applicants who are rated ineligible may reapply and be examined
at any time provided the examination is still open, unless the examination provides otherwise.
3.
Recompetition in a written test. If an applicant competes more than once in a written test, the
highest rating is the official one. Exceptions: 1) when a previous eligibility has expired, the latest
rating is the official one; 2) if an applicant recompetes when Recompetition is restricted, any
resulting rating is disregarded.
4.
Reexamination of 10-point preference applicants. Persons entitled to 10-point preference may
apply for reexamination/reopen for any position or grade covered by a closed announcement.
(See 5 CFR 332.311 and Section 6.3 of this Handbook.)
5.
Multiple applications. One person’s multiple applications will be combined and the ratings
reconciled, if different. Examining Offices may, at their option, return or destroy identical
submissions to conserve filing space.
§ 7.3.
A.
B.
MAINTAINING COMPETITOR INVENTORIES
Period of Consideration. The period of consideration or length of eligibility, may vary by
examinations. It is established in the examination plan and is usually for either 6 months or 1 year,
but may be shorter or longer.
1.
Notice to Applicant. Information on the length of the period of consideration and instructions on
how it may be extended should be included in the notice to the eligible that his/her application
has been entered onto the competitor inventory (Notice of Rating/Notice of Results). Examining
Offices should always clearly tell eligibles when their eligibility expires. Therefore, when an
eligible extends eligibility, a notice will be sent with the new date of expiration of eligibility.
Eligibility is extended for an additional period from the date it was to have expired (not the date
of the communication from the applicant).
2.
Remaining in the Inventory. An eligible may retain eligibility beyond the initial period of
consideration, by updating his/her application at the intervals provided for in the notice of
rating/notice of results. Any communication received from the applicant during the last 2 months
of his/her eligibility, that clearly indicates continued interest in employment should be considered
as a request to extend eligibility (e.g., letter changing address, Congressional inquiry).
3.
Expiration of Period of Consideration. An eligible who does not communicate his/her continued
interest in employment within the prescribed period is removed from consideration and put in the
inactive inventory for a period of one year.
Changes of Name, Address, or Availability. As notices of change in name, address, or availability are
received, appropriate changes are made in the inventory records and on the application. Pen and ink
changes to applicants' records should be clearly initialed and dated by the Examining Office employee
making the changes. Acknowledgment of the receipt of this information is at the discretion of the
Examining Office. The correspondence should be filed with the application for documentation
purposes.
VII - 6
C.
D.
Other Changes.
1.
From eligibles. Notifications may be received from eligibles which will require changes in the
inventory. For example, eligibles may request that their period of consideration be suspended,
or replies about availability may be received in response to a general circularization of the
inventory. Action is taken to suspend, continue, or restore the period of consideration in these
cases in accordance with the information in the eligible's communication. Appropriate notations
are made in the inventory records as necessary. This correspondence should be filed with the
application as supporting documentation.
2.
Notification by appointing official. Changes resulting from appointing officers' communications
with eligibles are made in accordance with instruction in this manual on auditing certificates (See
Section 8.13.H).
Granting or Withdrawal of Veterans Preference.
Change of Veterans Preference. Whenever veterans preference is granted or withdrawn after entry
into the competitor inventory, appropriate changes are made to the competitor's rating and records.
An amended notice should be sent to the applicant informing her/him of the new rating.
E.
F.
Changes Occurring While Eligible Is On A Certificate. Appointing Officers should be notified of
significant changes in an eligible's status which occur while his/her name is on a certificate to them.
The following changes should be reported:
1.
Changes that would Remove the Eligible from Consideration. Include (1) suspension of eligibility;
(2) reevaluation of qualifications resulting in an ineligible rating; and (3) statement from the
eligible that he/she is no longer available.
2.
Changes that would Impact on Further Contact with the Eligible. Include changes of address or
phone number.
3.
Changes that Alter the Eligible's Position on the Certificate. Include revocation of veterans
preference or reduction in veterans preference from a higher type of preference. However, in
order to protect commitments which may have already been made from the certificate, other
changes need not be reported. These include changes in numerical rating and awarding of
higher preference standing.
Updating Qualifications and Rerating Eligibles
1.
When to Accept Additional Qualifications Information. Notices of rating and other information
materials emphasize when up-to-date information may be submitted; e.g. with requests for
extension or consideration during the last 2 months of eligibility. However, eligibles sometimes
submit additional information on a more frequent basis. Whether or not this information may be
accepted depends on whether the examination is open or closed/suspended.
2.
Under Open Examinations. Review the information submitted upon receipt. If it would provide
a significant increase in the candidate's score or chances for referral, Examining Offices should
evaluate it upon receipt rather than holding the information until a request for extension is
received near the end of the eligibility period. If the information would entitle the applicant to
consideration at a higher grade level, it should also be evaluated upon receipt; provided, the
announcement is open at that level. Applicant requests for consideration at higher or lower grade
levels or under different options should be honored at the time of request if the examination is
or was open for the grades and options during the eligible's period of consideration. If the score
VII - 7
or grade level in a previously issued notice of rating changes, a new notice of rating is issued with
a new eligibility period.
3.
G.
Under Closed Examinations. When the examination is closed or suspended to the receipt of new
applications, Examining Offices may choose to allow eligibles to submit for rerate, information
on additional qualifications gained after the closing date, only during the two months prior to the
expiration of their eligibility. The eligible may request consideration under different options and
grade levels at any time if the announcement was open for those options and grades during the
eligible's period of consideration, and the eligible met the qualification requirements at that time
(see c and d below).
a.
Additional education or experience (even that gained after the closing date) can be credited
for the purpose of improving the eligible's score.
b.
The crediting of experience/education gained after the closing date applies only to those
candidates who are eligible as of the closing date. Basic eligibility is not affected.
Therefore, applicants initially rated ineligible would, upon appeal, have to establish that they
were eligible as of the closing date of the announcement. Likewise, under deferred rating
examination, eligibles must have been qualified as of the closing date of the option/level in
question.
c.
The eligible should be rated at a higher grade if the higher grade was opened to the receipt
of applications since the last update, and the eligible would have been rated eligible had
he/she applied during the open period.
d.
If requested, at the time of update, or earlier, the eligible may be rated for a lower grade or
a different option, if these had been open since the last update, and, if the eligible would
have been rated eligible had he/she applied during the open period.
Restoration to the Competitor Inventory
1.
Removal After Selection. Eligibles removed from the inventory after selection may not be
restored to the active inventory without competing in the examination under the same conditions
as all other competitors except as indicated under 3 below. If a written test is required, the
applicant, at the time of recompetition, need not retake the same test if previous test scores are
available. In addition, when an eligible is removed from the inventory after selection, it is only
for positions in that particular series and grade with the same promotion potential. The applicant
is still entitled to eligibility for other series and grade(s) for which he/she has been determined
qualified.
2.
Removal for Failure to Respond to Official Correspondence. Records of eligibles removed from
the inventory for any reason except appointment are placed in the inactive inventory file for a
period of one year. These eligibles are entitled to restoration upon request any time during that
one year period, whether the examination is open or closed.
3.
Special Classes of Applicants. The following classes of applicants are entitled to restoration to
the competitor inventory or its successor upon request whether the inventory is open or closed
to receipt of applications:
a.
A preference eligible who resigns without delinquency or misconduct from career or careerconditional employment if he/she applies within 90 calendar days after separation (5 CFR
332.321); and
VII - 8
b.
4.
§ 7.4.
A.
B.
Employees separated (voluntarily or involuntarily) during probation without delinquency or
misconduct (5 CFR 332.323).
Notification of Restoration. Applicants should be notified of the action taken on their requests for
restoration.
TERMINATING OR COMBINING COMPETITOR INVENTORIES
When to Terminate a Competitor Inventory
1.
Before a new inventory covering the same positions can be established (as when a new
qualification standard or rating schedule is implemented), the old inventory must either be
terminated or combined with an equivalent new inventory.
2.
Old inventories must be terminated if one examination has a written test and the other does not,
unless another procedure has been authorized by OPM.
3.
An existing inventory may be terminated when it is no longer needed to fill vacancies, or when
a case examining approach is better suited to the agency's needs.
Procedure for Terminating a Competitor Inventory
1.
Sufficient information to enable reconstruction of the events should be noted in the inventory
case file, such as listed below. If an OPM Form 3911, or similar form, is used, the information
may be recorded there.
a.
Date of termination of the competitor inventory;
b.
Disposition of the applications on the competitor inventory;
c.
Date of the last appointment from the inventory; and
d.
Whether a successor inventory was established.
2.
Eligibles Entitled to Extended Consideration. If no successor inventory is being established, but
the agency expects to fill future vacancies through case examining, the applications of persons
entitled to extended consideration must be retained in a separate file that is readily accessible
for future vacancies (See Section 8.14). Persons to whom this paragraph applies include 10point preference eligibles and individuals who lost certification opportunities or failed to receive
bona fide consideration.
3.
Notifying Eligibles when Terminating Inventories. Whenever an existing inventory is to be
terminated, all active eligibles must be notified in writing.
4.
a.
If a new examination will be conducted for the purpose of establishing a new inventory,
eligibles should be advised about the upcoming open dates and the procedures to follow if
they wish to apply.
b.
If case examining procedures will be used, competitors should be told how to find out about
future announcements.
Alternative to Termination. When qualification requirements or rating schedules change, the old
inventory is usually terminated. However, an Examining Office has the option to reevaluate the
VII - 9
qualifications of all eligibles on the old inventory under the provisions of the new examination and
enter those that are qualified into the new inventory. Applicants who may not meet the new
requirements must be allowed to submit new application materials, particularly if a period of time
has elapsed in which the applicants could have gained additional education or experience. Under
this option, a new notice is issued if under the new examination an eligible’s score or previous
eligibility has changed from that contained in an earlier notice.
C.
D.
Disposition of Records
1.
Applications are pulled and scheduled for disposal in accordance with the Records Retention and
Disposition Schedule as contained in Appendix G of this Handbook.
2.
Terminated register cards or equivalent records are pulled, attached to the OPM Form 3911 (or
similar form), and scheduled for disposition.
Procedures for Combining Competitor Inventories. When competitor inventories are combined and
there has been no change in the rating procedure, the scores are not changed.
1.
Order of Listing Eligibles. When an existing competitor inventory is combined with a new
inventory, current eligibles on the existing inventory are merged with the new inventory in the
same order as if the list had resulted from one examination. Eligibles entitled to priority
consideration on the old inventory for reasons such as lost consideration or lost certification retain
their preferred standing on the combined inventory.
2.
Period of Consideration. When an existing competitor inventory is combined with a new
inventory, current eligibles on the existing inventory are normally not given a new full period of
consideration, but only remain on the new inventory for their unexpired period of consideration.
If an exception is made, eligibles should be notified of their new period of consideration.
3.
Different Ratings. When a new inventory is combined with an existing one, the name of an
eligible who is on both lists is entered on the combined inventory with the higher rating. However,
eligibles with preferred standing, e..g, erroneous consideration, CTAP/ICTAP, priority referrals,
on the old inventory retain their preferred standing on the combined inventory.
VIII - 1
SECTION 8 - CERTIFICATION PROCEDURES
References:
5 U.S.C. 2301:
.5 U.S.C. 3309:
5 U.S.C. 3313:
5 U.S.C. 3317:
5 U.S.C. 3318:
5 CFR 316:
5 CFR 332:
5 CFR 339.306:
5 CFR 332.404:
5 CFR 332.405:
5 CFR 731:
Additional Points in Examining for Preference Eligibles
Order of Certification
Certification of Names for Appointment.
Selection from Certificates; Rule of Three; Passover of Preference
Eligibles
Temporary and Term Appointments
Recruitment and Selection through Competitive Examination
Processing Medical Eligibility Determinations on Certificates of Eligibles
Order of Selection From Certificates
Three Considerations for Appointment
Objections Based on Suitability
www.opm.gov/deu - OPM Delegated Examining
§ 8.1.
THE CERTIFICATE OF ELIGIBLES
A.
Definition. A certificate is a list of the highest-ranked eligibles in score and veterans preference order,
submitted to an selecting official for appointment consideration in accordance with the competitive
selection laws and regulations.
B.
Numbering the Certificate. The Examining Office should establish an orderly sequential numbering
system for its certificates. The only requirement of the numbering system is that it include either
calendar or fiscal year as part of its scheme. For example, 98-0001 would be the first certificate
issued in FY 98. The unit can use any other expansion or variation of this basic scheme it wishes, so
long as the numbering scheme is applied uniformly to all certificates issued.
The Examining Office may find it useful to assign a certificate number when the initiating SF 39 or
other initiating document is received to facilitate tracking it throughout the examining process.
C.
Information to be Included on the Certificate. The certificate must contain the following information:
1)
2)
3)
4)
5)
6)
certificate number;
title of the job;
series;
grade;
duty location; and
issue date.
Additionally, the certificate must also contain:
7)
8)
9)
the eligibles’ names, and social security numbers;
the rating of each eligible certified, including their veterans’ preference points; and
the appropriate preference symbol of each eligible: CPS, CP, XP, TP or NV. (Use of the NV
code is optional.)
VIII - 2
All eligibles listed on the Certificate of Eligibles must follow the order of certification stated in Title 5
U.S.C. § 3313. (See Section 8.4 below)
Once the selecting official has returned the certificate, the Examining Office must ensure that the case
file is documented to reflect the action taken on each of the competitors who were certified for
selection. Typically this documentation is included on the certificate itself. The reverse side of the
SF 39 contains symbols which OPM has historically used to report actions on competitors. Agencies
should continue to use these symbols.
It is recommended that each eligible's address and available phone numbers (home and work) be
included with his/her name on the certificate. This is mandatory whenever the application or résumé
is not sent with the certificate, e.g., a certificate issued for a temporary position. If the application is
not referred with the certificate, OPM uses the # symbol placed next to the applicant's name, address,
and telephone numbers. The # is footnoted on the certificate to indicate that the application is not
attached. This process is optional to agencies.
§ 8.2.
CERTIFICATION FROM AN INVENTORY
A.
After determining that there is an appropriate inventory, sufficient qualified candidates are identified
from the inventory to enable the appointing officer to consider eligibles for each vacancy. Agencies
may elect to use dual certification (see Section 8.2.D). However, agencies must dual certify when
there is a single vacancy being filled at multiple grade levels to avoid veterans preference violations.
A minimum of three eligibles should be referred for each vacancy (or two more names than the
number of vacancies). If there are fewer than three eligibles per vacancy to be referred, public notice
and recruitment efforts should be reviewed to determine if they were adequate, i.e., was the open
period adequate, should public notice have been expanded to include targeted recruitment, newspaper
ads, etc. If a selection cannot be made from less than three names, management may request
additional recruitment and certification. At the discretion of the certifying office and based on its past
experience, additional names may be certified to compensate for eligibles who may be expected to
decline or fail to respond to an inquiry of availability.
B.
Bona fide Consideration. An eligible is considered to have received bona fide consideration when
his/her name is within reach for an appointment and a legal appointment is made. That is, the agency
did not pass over a preference eligible to select a lower-standing non-preference eligible without
proper approval.
C.
Dual Certification. The names of eligibles who are entered on the certificate may be removed from
the inventory and placed in the temporarily inactive file or they may remain in the inventory and be
dual referred for any number of vacancies. Remember, agencies must dual certify when there is a
single vacancy being filled at multiple grade levels. Because persons whose names are out on
certification are temporarily out of circulation, care should be taken to see that the certificate is
returned as soon as possible. For this reason, where eligibles are not dual referred, a certificate that
is issued from an inventory is valid for only 30 days, but may be extended for valid reasons.
Requests for extensions should be carefully evaluated and only approved for short periods of time.
D.
Multiple Request. If an inventory is being used to fill two or more requests at the same time, it is
usually desirable to divide the eligibles among the requests. To fill two requests at the same time,
eligibles would be divided as follows: the eligible with highest score goes on the first certificate, the
eligible with the second highest score goes on the second certificate, the eligible with the third highest
score goes on the first certificate, and so forth. This results in equitable distribution of the best
qualified eligibles to the selecting officials and also results in those eligibles receiving the earliest
possible consideration.
VIII - 3
E.
F.
Secondary Certification.
1.
2.
F.
In the absence of an inventory that is directly applicable to a vacant position, an Examining
Office may use another inventory that is closely related in series, specialty, grade, and other
appropriate factors like location as a secondary certification source. The use of a secondary
source is strictly optional; the Examining Office may also choose to announce the job, either to
establish an appropriate inventory or under case examining procedures. When used, secondary
sources must meet the following tests:
a.
The qualification requirements of the current vacancy must have enough in common with
the qualification requirements of positions covered by the inventory that there is a likelihood
of finding eligibles on the inventory who would be qualified for the vacancy.
b.
The salary of the current vacancy should be substantially equal to the salaries of positions
covered by the inventory. A difference of approximately 20 percent above or below the
salary of the vacancy is permissible. When a choice exists, the use of a higher-grade
inventory is usually preferred over a lower grade one since better qualified candidates can
be identified.
When a secondary source is used, persons listed on the resulting certificate must be fully
qualified for the vacancy.
Certifying for Temporary Appointments. When certifying from an inventory to fill a temporary job,
eligibles who have stated for the record that they do not wish to be considered for temporary
employment should not be certified. Other eligibles should be certified, including persons who have
not stated a preference either way. (With the use of résumés in lieu of SF-171s, many applicants will
not have addressed the issue of consideration for temporary employment.)
When an inventory is used to fill permanent and temporary positions, the names of persons referred
for temporary appointments must remain in the active inventory so that they will not miss opportunities
for permanent employment.
G.
Certifying for Term Appointments. Term positions are typically considered the same as permanent
positions for the purpose of certification. That is, certification for term appointments is generally topof-the-register, without regard to whether or not an individual is willing to accept less than permanent
appointment. However, if the announcement specifically requested applicants to identify whether or
not they would accept a term appointment, and the applicant stated that they would only consider
permanent positions, the agency does not need to refer those applications for selection for term
positions. If an eligible is certified for a term position, his or her name should remain in the active
inventory for consideration for permanent employment.
H.
Certifying for Interdisciplinary Positions. An interdisciplinary position is a position involving duties and
responsibilities closely related to more than one professional occupation. As a result, the position
could be classified to two or more occupational series. The nature of the work is such that persons
with education and experience in either of two or more professions may be considered equally wellqualified to do the work. Interdisciplinary positions generally fall into one of the following two
categories:
1)
Positions which involve a specific combination of competencies/KSA’s characteristic of two or
more series. Such positions involve the performance of some duties which are characteristic
of one series and other duties which are characteristics of another series. For example, an
agency has a position to be filled involving the development of an experimental drug for patients
with mental disorders. The project may be accomplished by an employee trained in either
VIII - 4
chemistry, pharmacology, psychology, or medicine. Although the position to be filled draws from
a variety of disciplines, the final classification of the position could be General Health Science,
GS-601.
2)
Positions which involve competencies/KSA’s which involve knowledge which is characteristic of
either of two or more series. These positions include work which is substantially identical to work
performed in either the professional occupations or academic disciplines involved. For example,
an agency has a position to be filled performing research work on flood control issues. The
project may be accomplished by an employee trained in either civil engineering or hydrology.
Since both occupations include work which is substantially identical to work performed in either
series, the position could be classified to either the Civil Engineer Series, GS-810 or Hydrology
Series, GS-1315.
In both categories, the position description should show clearly that the position is interdisciplinary and
indicate the various series in which the position is to be classified. The final classification of the
position is determined by the qualifications of the person selected to fill it.
Examining Offices should create and issue only one certificate of eligibles for a single interdisciplinary
position. The first step in creating this certificate is to evaluate all applicants based on the appropriate
qualification standard for the series in which they are applying. The second step is to develop the
rating schedule (crediting plan) using the competencies/KSA’s identified for the position. The next step
is to apply the rating schedule to all eligible applicants regardless of series. Eligible applicants are
rated and ranked on the same competencies/KSA’s. The final step is to issue the certificate as an
interdisciplinary position with all the eligibles ranked in order with the series for which each eligible
qualified noted next to their names.
Examining Offices should not issue multiple certificates for single interdisciplinary positions. It is
OPM’s General Counsel’s opinion (dated May 18, 1998) that issuing multiple certificates violates the
Rule of Three and possibly veterans’ preference if a preference eligible is certified.
I.
§ 8.3.
Certifying for Multiple Grade Levels. When a position is announced at multiple grade levels, eligible
candidates must be certified for the lowest grade or salary he or she is willing to accept to the highest
grade level for which he or she is qualified. For example, an announcement for an Engineering
Technician, GS-802-7/8/9/10, and an applicant is willing to accept a GS-8 salary and the highest grade
level the applicant is qualified is GS-9. The applicant must be referred on the GS-8 and GS-9 grade
level certificates if the ratings are within reach for certification.
NUMBER OF APPLICANTS CERTIFIED UNDER CASE EXAMINING
By definition, case examining procedures involve a one-time-only action. There is no expectation of filling
other vacancies at a later date. Therefore, all eligible competitors may be certified or the minimum number
of eligibles cited in Section 8.2.A or based on past experience with the occupation the number of eligibles
certified is flexible. Also, the time limit for return of the certificate may be longer (90 days is usually
standard).
§ 8.4.
A.
ORDER OF CERTIFICATION
Regular Order of Certification for Most Positions. This instruction covers certification for all jobs,
except (1) professional and scientific positions at GS-9 and higher, and (2) positions restricted to
preference eligibles. After all eligible candidates have been assigned numerical ratings and
preference points, the order of certification is as follows: (Title 5 U.S.C. § 3313 prescribes the order
of entry of eligibles on certificates and 5 CFR 330 Subpart G prescribes the order of selection when
ICTAP eligibles are present.) (See Section 4.3.B7)
VIII - 5
B.
1.
ICTAP Eligibles
2.
District of Columbia Department of Corrections Eligibles (See 5 CFR 330 Subpart K).
3.
Panama Canal Zone Displaced Employee Eligibles (See 5 CFR 330 Subpart L).
4.
Lost Consideration Eligibles are certified at the top of all certificates including those described
below in “B” and “C”. (See Section 8.14)
5.
Eligible 10-point compensably disabled veterans (CPS and CP) go to the top of the certificate,
regardless of numerical rating, ahead of all other candidates. If there is more than one CPS/CP
eligible, they are listed in score order. For this step, there is no difference between CPS and CP
veterans.
6.
All other eligible competitors in score order. If there is a tie in numerical score between eligibles
in different preference categories, the order of precedence is: XP, TP, and then NV. For
example, an individual with a rating of 98 XP is listed ahead of a person with 98 TP, who is listed
ahead of 98 NV.
Order of Certification for Professional and Scientific Positions at GS-9 and above. At grades GS-9
and above, compensably disabled preference eligibles (CPS and CP) are not automatically placed at
the top of certificates in professional or scientific positions. They are certified in score order, including
the 10 preference points. In the event of a tied rating with candidates in other preference categories,
CPS and CP have precedence over all other categories. When ICTAP eligibles are present, see
Section 7.2.C.1 for the order of selection. (See 5 U.S.C. 3313 and 5 CFR 330, Subpart G)
Professional and scientific positions are those in a series identified in the OPM publication Handbook
of Occupational Groups and Series as being professional or scientific. The Handbook is essentially
a compilation of “series definitions” taken from OPM’s classification standards. Therefore, in the
absence of the Handbook, users may also refer to the applicable classification standard. It is very
important to verify the professionalism of a series, since a mis-identification could lead to a violation
of veterans preference law and the invalidation of an appointment. An interim list of professional and
scientific positions can be found in Appendix E. (See Section 8.8. C and 8.14.)
C.
Order of Certification for Positions Restricted to Preference Eligibles (See Section 6.5). CPS and CP
eligibles are certified ahead of other candidates. Then the names of other preference eligibles are
certified in score order. Should a tied score exist, veterans with an XP designation are referred ahead
of those with a TP designation. Non-preference eligibles should be certified only if there is a likelihood
that the supply of preference eligibles will be exhausted before all vacancies have been filled. When
non-veterans are certified, they are listed below the last preference eligible.
D.
Certification of Unrated Eligibles. When the circumstances of a competitive examination produce
three or fewer eligibles, and they are either all nonveterans or all veterans, they need not be rated
and ranked. They can simply be listed randomly on the certificate (See Section 8.5.C.), with a
notation “eligible” (or other agency designation) in lieu of a rating.
§ 8.5.
A.
TIED RATINGS
It is possible that tied ratings will occur among eligible competitors in the same preference category.
When this happens, it will be necessary to use a method for breaking such sub-group ties on a
consistent basis. It is appropriate to use job-related factors provided the factors have not already been
used in the ranking process.
VIII - 6
B.
If ties still exist after job-related factors have been used, and if the requesting agency has a name
request candidate within the tied range, the examining unit may place the name request ahead of other
eligibles with the same rating within the sub-group. The name request tie breaking procedure can also
be applied if a name request candidate is identified after the certificate of eligibles is issued to the
selecting official; provided, the identification of the name request was based on a job related factor,
such as, an interview.
C.
The final procedure to break ties is to do it randomly. OPM recommends using the last digit of
eligibles’ Social Security Numbers in conjunction with a table of random numbers. Those procedures
are explained in Appendix J. Agencies may adopt other methods of randomly breaking ties. Care
must be taken to assure that the method is truly random. Listing eligibles alphabetically, for example,
is not acceptable. Whatever procedure is adopted must be recorded if used to break candidate subgroup ties, and kept with the certificate documentation records. The method of tie-breaking must be
consistently applied in all certification.
§ 8.6.
CERTIFYING NAME REQUESTS
A.
The tie-breaking procedure described in Section 8.5.B may be used.
B.
In deciding how many names to certify, the certifying official may elect to certify all the way down to
the name request. That option would certainly be reasonable in case examining situations. Greater
judgment must be exercised when certifying from registers, because of the fact that persons certified
for one position are temporarily placed in the inactive section for other positions unless dual
certification procedures are used. If reaching the name request would mean adding many names with
little likelihood of reaching the name request, then it would generally make more sense not to certify
the name request, and refer a smaller number of candidates. If, however, dual certification is used,
there is no limit on the names that may be certified since the rule of three still governs.
C.
Once a name request has been certified, he/she must be treated like any other eligible competitor.
§ 8.7.
COMPLETING THE REQUEST FOR CERTIFICATION FORM (e.g., SF-39)
A.
Issue Date. The Examining Office must date the certificate of eligibles on the day the certificate was
issued.
B.
Signature and Date. When issuing a certificate, the issuing official in the examining unit must sign
the certificate request for certification form and the certificate number and date must be recorded.
C.
Return Date. The due date for return of the certificate should be marked on the request for
certification form.
D.
Distributing Copies. The Examining Office should send the original plus one copy of the certificate
and retain one copy. Applications of certified eligibles should accompany the certificate, if available.
§ 8.8.
A.
ADDING NAMES TO (OR REARRANGING NAMES ON) OUTSTANDING CERTIFICATES
Reopened Examinations. Applications from all categories of applicants entitled to reopen
examinations must be accepted, rated, and their names added to the certificate, if received before
the certificate is issued. Once issued, however, the certificate should not be amended to include
delayed applications unless so requested by the selecting official. (See Section 6.1.) However,
Examining Offices should notify the selecting official that additional applicants were received. If a
selecting official chooses to request an amended certificate, care should be taken to include all
eligibles with scores at or above the scores of those eligibles initially referred.
VIII - 7
B.
C.
D.
Changed Rating. Generally, additional information submitted by an applicant should not be used to
amend a certificate that has already been issued. However, there are exceptions. They are as follow:
1.
If the new rating is "ineligible," the applicant must be removed from the certificate.
2.
If the eligible was erroneously awarded a higher type of veterans preference than that to which
he/she was entitled, the rating and preference code must be changed and the eligible must be
moved to the proper position on the certificate.
3.
If the selecting official requests that the amended rating be used, the candidate should be added
to the certificate (or re-positioning on the certificate, whichever is applicable). When adding or
re-positioning an eligible, be sure to include the names of any other eligible candidate who also
may have provided clarifying or additional information which amended his/her score.
Examining Office Error. If, after the certificate has been issued, an Examining Office error is
discovered which would change the order of consideration, the selecting official should immediately
be contacted as to the status of the selection procedure.
1.
If no appointment has been made. The certificate must be corrected before any further agency
action is taken.
2.
If an appointment has been made. It has long been the practice at OPM to consider erroneous
appointments made due to Examining Office error as an “error of the Commission”. In this case
the incumbent is not removed from his/her position and those applicant(s) who lost consideration
will be given priority consideration. The Examining Office must document the error, identify
individuals who are eligible for priority consideration, and document each time the individual is
given priority consideration. (See Section 8.14 on Erroneous Certification.)
Processing a Change to a Certificate. The reasons for any change to a certificate must be supportable
under merit principles and fully documented for the record. The Examining Office must notify the
selecting official clearly identifying the change to be made in writing, including the exact new position
on the certificate of any candidate added or changed.
§ 8.9.
A.
B.
SUPPLEMENTAL CERTIFICATES
Definition. A certificate is identified as a supplement when there is another certificate outstanding and
the following items are the same:
1.
Appointing Officer;
2.
Type of Appointment;
3.
Duty Location; and
4.
Title, Series, Grade, and Qualification Factors (i.e., Selective or Quality Ranking Factors); and
5. Employment Conditions (i.e., travel, part-time vs. full-time, etc.).
Purpose. Supplemental certificates serve to protect commitments made by the appointing officer to
eligibles on the earlier certificate who may happen to stand lower on the inventory than eligibles on
the later certificate.
VIII - 8
C.
D.
A supplemental certificate may be issued when the original results in fewer than three eligibles and
available candidates per vacancy. The need for supplements usually occurs for one of three reasons:
(1) the declination and failure-to-respond rates are higher than anticipated; (2) additional vacancies
materialize in the office of the same supervisory official to whom the original certificate was sent; or
(3) a supervisor in another office (but still under the same appointing officer) has an identical
vacancy.
A supplement can only occur when the original certificate is still outstanding, i.e., has not been audited
by the Examining Office. (When the original certificate has been returned and audited, a request for
more names requires the issuance of a new certificate.) (See Section 8.10.)
E.
When issuing a supplemental certificate, the Examining Office prepares a new SF-39 or other
requesting document, with all of the position-specific information from the original. The original
certificate number is used with a suffix S-# to identify it as a supplement. For example, certificate DF6-0056,S-1 is the first supplement to DF-6-0056.
F.
A supplement contains the highest ranking group of eligible candidates who did not make the original
certificate. Sometimes the eligibles on a supplement follow in score order right behind the lowest
candidates from the original. Sometimes, however, additional eligible candidates have been put into
the pool since the original certificate was issued, resulting in numerical ratings for the supplement that
are higher than the scores of persons who have been selected from the original. To protect those early
selections, the names on a supplement are considered to have a lower standing than eligibles on the
original certificate, and eligibles on a second supplement have lower standing than those on the first,
etc. In other words, ratings from the supplement are not merged with ratings from the original. (If the
selecting official specifically requests to merge all candidates in score order, the Examining Office may
approve the merger. However, once the certificates are merged, the rule of three is applied).
G.
Tie-breaking on Merged Certificates. When a supplement is merged with the original certificate, the
Examining Office is creating a new certificate and it must be audited in accordance with the rule of
three and veterans preference. If tied scores occur between persons on the original certificate and
persons on the supplement (after the application of veterans preference), the Examining Office may
decide for itself how to list the candidates with tied ratings, as long as the procedures in Section 8.5.
are followed. For example, persons from the original could be listed first, followed by those from the
supplement, or tie-breaking procedures could be applied to all same-score candidates on both lists.
§ 8.10.
ADDITIONAL CERTIFICATION
A.
Sometimes a selecting official will return an original certificate to the Examining Office with a request
for additional names. This may occur either because the original certificate resulted in fewer than
three available candidates per vacancy, or because more vacancies developed.
B.
When this occurs, the original certificate must be audited out (See Section 8.13.) before the new one
is prepared. Candidates who have been legitimately removed from consideration from the original,
such as by declination or failure to respond to availability inquiries, are not placed on the new
certificate.
C.
When an "additional certificate" is being produced, the examining office may have to first prepare a
new SF-39 or other requested document. In block 8, Agency Request Number, type in "Furth. Cert.
[enter the number of the original certificate]. This establishes a clear audit trail for the sequence of
events that leads to the new certificate.
D.
A new certificate number is assigned, following the regular sequential numbering scheme established
by the examining unit.
VIII - 9
E.
The new certificate is prepared in regular score order, including the name of any eligible competitor
from the original certificate who was not legitimately removed from consideration.
§ 8.11.
CERTIFICATION BY GEOGRAPHIC AREA
A.
Basic Rule. In the competitive examining process, qualified and available applicants will be considered for referral regardless of residence.
B.
Exceptions:
1.
When an Examining Office is preparing a certificate for temporary and intermittent positions,
consideration may be limited to eligibles who reside within a normal commuting area.
2.
When required by statute, an Examining Office can certify only eligibles who reside within the
area of competition defined by the statute. (These cases are very rare.)
§ 8.12.
A.
Declinations and Failures to Respond. Selecting officials may eliminate from consideration any
eligible who declines or who fails to respond to reasonable attempts to inquire as to his/her availability.
Reporting codes for these actions are shown on the reverse side of SF-39. The official who received
the declination must document these actions adequately, and the Examining Office is responsible for
assuring that documentation is, in fact, proper.
1.
Documenting a Declination. The preferred documentation for a declination is a written statement
from the applicant. If the declination was taken verbally, the official who received the declination
must prepare a written summary of the applicant's decision. Note that declinations must come
from the applicant, not from another individual.
2.
Documenting Failure to Respond (FR). Each eligible should be contacted in writing as to his/her
availability. A copy of the letter is sufficient documentation of reasonable efforts to contact the
candidate, provided, of course, that it was properly addressed and actually sent. Telephone calls
alone are not considered reasonable efforts to reach the individual. Non-selects do not require
written documentation of a failure to respond.
3.
Documenting Failure to Report (FR) for an Interview. If an eligible fails to appear for a preemployment interview, he/she may be treated as an FR (eliminated from consideration) when:
(1) there was a notice to the eligible that failure to appear for an interview would be considered
as unavailability for the position; and (2) the arrangements for interview were reasonable. In
considering such FR actions, the Examining Office will take into account such matters as the
relative importance of the interview to the vacancy, the amount of travel, and the amount of
notice given. (See 5 CFR 572)
4.
B.
ACTING ON THE CERTIFICATE
On the issue of travel for interview, travel should normally not be required outside of the
commuting area, unless the job is above the clerical level (or above the journeyman level in the
skilled trades).
Documenting Communication Returned Unclaimed (CR or CRU). When a properly addressed,
written availability inquiry is returned by the Postal Service because it was undeliverable, the
envelope (preferably unopened) is adequate documentation.
Elimination of Persons Already Employed by the Agency (CE). A certified eligible may be eliminated
from consideration if he or she is already serving under the same appointing officer, in the same type
VIII - 10
position, in the same or higher grade, in the same duty location, and under the same (or preferable)
type of appointment as that for which the certificate was issued.
C.
Three Considerations. When an eligible on a certificate has been within reach for selection three
times in accordance with the rule of three, and three other eligibles were selected instead, the nonselected eligible may be eliminated from further consideration. Considerations given to an eligible
from previous certificates for the same type and grade of position, by the same appointing officer, and
for the same or preferable type of appointment may be counted. (The Examining Office is not
necessarily expected to check for previous non-selections before certifying.)
If a preference eligible was certified and was given three bona fide considerations, the preference
eligibles’ employment consideration may be discontinued. However, the Examining Office must notify
the preference eligible in advance of the discontinuance of certification. (See 5 U.S.C. 3317)
In case examining, if an eligible has been considered and nonselected from a certificate from which
three actual selections were made, he or she may be eliminated from further consideration on that
certificate. Each time a job is announced on a case examining basis, it is treated as a new situation.
An applicant who had filed previously for the very same position may not be removed from
consideration unless there are more than three vacancies on the same announcement. The
Examining Office can, of course, object to applicants on the basis of their qualifications.
Note that a bona fide (official) "consideration" can only occur if there has been a selection made. An
individual who was within the rule of three for selection does not receive a "consideration" if none of
the three candidates is selected.
D.
Objections to Eligibles. When selecting from a certificate of eligibles, an agency appointing official
must select from the three highest ranking eligibles available for appointment (5 CFR 332.404).
Additionally, an appointing official may not pass over a preference eligible to select a lower-ranking
nonpreference eligible (5 CFR 332.406).
On occasion, an appointing official may wish to make a selection outside the above restrictions when
it is felt that one or more of the highest ranking eligibles does not meet the requirements (qualification,
medical, or suitability) for the position to be filled. Rather than afford consideration to such an eligible,
the appointing official may wish to eliminate an applicant from consideration.
A request to remove any eligible from consideration is called an objection. When the objection
requests the removal of a preference eligible that enables a nonpreference eligible to be selected, the
action is called passover. (See Section 8.12.E). Objections requesting disqualification based on
medical grounds and cases involving preference eligibles with a compensable service-connected
disability of 30% or more (CPS), must be processed in accordance with Sections 8.12.D3b and
8.12.D3c respectively.
1.
An Examining Office has the authority to fully adjudicate most types of objections. However, in
some cases OPM retains the authority for adjudication. (Refer to your Delegation Agreement for
specific authority.)
2.
A selecting official has the authority to object to any candidate certified by the Examining Office.
However, the decision must be in accordance with the authority granted in the Delegation
Agreement.
3.
Objections generally fall under three major categories:
VIII - 11
a.
Suitability Disqualifications. An eligible may be disqualified on a suitability issue when
derogatory information becomes known to the Examining Office and raises serious
questions about an applicant's general background and character in terms of integrity,
loyalty, honesty, and reliability.
OPM retains responsibility for adjudicating all adverse suitability determinations, unless
OPM has delegated to the head of the agency authority to adjudicate such determinations
(See 5 CFR 731.202). The Examining Office must submit an SF-62, an OFI 86A, "Request
for Determination or Advisory", and an OF 306, signed and dated by the applicant with full
supporting documentation to OPM's Investigative Service, for approval before removing the
eligible from consideration. (See OPM's website, www.opm.gov/extra/investigate, for more
information.)
b.
Medical Disqualifications. An eligible may be considered medically disqualified when
he/she has a physical or medical (including mental) condition that will prevent him/her from
efficiently and safely performing the duties of the position. In considering whether a
physical or medical condition will have an impact on an eligible’s capacity to perform the job
efficiently and safely, an agency is required to assess whether reasonable accommodation
can be provided to permit performance of the job despite the condition.
OPM retains responsibility for adjudicating all adverse medical determinations of preference
eligibles (See 5 CFR 339.306). The Examining Office must submit an SF-62 or other
comparable documents with full supporting documentation to OPM’s Employment Service,
Staffing Reinvention Office, for approval before removing the eligible from consideration.
c.
Objections Based on Qualifications and Other Grounds. OPM retains responsibility for
making final decisions on all objections based on qualifications which would result in the
passover of a compensable preference (CP) eligible with a disability of 30% or more (See
5 U.S.C. § 3318).
The following list details various grounds for objecting to candidates. The list does not
cover all bases on which objections may be made, nor are the decisions suggested by the
guides necessarily binding under all circumstances. Each case must be decided on its own
merits. The decision should recognize both the needs of the agency and the basic
principles of the merit system.
1)
Affiliations. Any affiliations the applicant may have which could clearly be expected
to present a conflict of interest may constitute a valid objection.
2)
Age. Generally, age alone is not a sufficient basis for eliminating an eligible from
consideration. Agencies, however, may request the elimination of individuals who do
not meet the minimum age requirements for Federal employment or who exceed the
maximum age for positions with established maximum age requirements.
3)
Education. When education is not an absolute minimum requirement for the position
to be filled, lack of education is not a valid basis for an objection.
4)
Experience. Objections based on lack of experience (general, specialized, or selective
factors) may be sustained only when that experience is part of the minimum
requirements for the position.
5)
Performance Rating. An objection based on an unsatisfactory performance rating
assigned in some previous period of Federal employment should be considered under
VIII - 12
the guides for previous service as they relate to unsatisfactory service. The service
resulting in the performance rating is the significant factor, not the rating itself.
6)
Personal Characteristics. Personal characteristics are the most difficult requirements
to measure and evaluate in the certification process. They are usually identified and
assessed during a pre-selection interview or reference check. An objection may be
based on the absence of desirable, or the presence of undesirable, personal qualities
(i.e., mature judgment, tact, objectivity, flexibility, meet and deal ability, temperament,
lack of initiative, unreliability, etc.), if they are essential for satisfactory job
performance. In objecting to an eligible on personality traits, an agency must identify
which elements of a position require the possession of certain personal characteristics
and must demonstrate, through specific examples, how a particular eligible lacks these
desired traits or exhibits undesirable traits.
7)
Religion. Objections to an eligible whose religion prevents working on a day included
in the regular tour of duty may be sustained.
8)
Security clearance. If an agency cannot grant a security clearance to an applicant for
whatever reason, Examining Offices should sustain the agency’s objection to that
applicant. Since the legal responsibility for granting the security clearance is with the
agency, it is not necessary for the agency to provide the service center with the
reasons why an applicant does not meet its security requirements.
9)
Gender. Consideration may be restricted to one gender only in unusual circumstances
and only upon specific approval of OPM (See Section 6.1O.). These cases should
always be resolved before an examination is ever initiated. (See 5 CFR 332.407)
10) Previous Service/Employment. Agency objections on the basis of previous
service/employment with the same or another agency/employer may be sustained
when it can be established that the application would not have been accepted had
complete information been available at the time. In addition, objections to an eligible
based on previous unsatisfactory service may be sustained, regardless of the general
acceptability of the application, when the service was for a length of time sufficient to
be considered a full and fair trial, and the character of the service was such that the
eligible reasonably cannot be expected to complete a satisfactory probation in the new
position. Generally, serious allegations about an employee’s performance would be
reflected in performance appraisals of record. Therefore, when there are such
allegations, Examining Offices should, as a minimum, ask to see these records to
assure the allegations are backed up. This is especially important in cases involving
an agency’s own employee.
4. An objection may be sustained when the selecting official presents information or evidence which
clearly shows the eligible is not qualified for the position. An objection may be sustained even
though there is insufficient basis for general disqualification of the applicant for other types of jobs.
5. The Examining Office must maintain a completely objective point of view in relation to both the
selecting official's case and the rights of the applicant.
6. A selecting official may administer an additional assessment instrument (i.e. work sample test) to
an applicant even though he/she has been determined to meet the basic qualification
requirements of the position and has been certified by the Examining Office. However, the
assessment instrument must have been properly validated and the competencies or KSA’s that
the assessment instrument intends to measure must have been identified in the vacancy
VIII - 13
announcement of the position. If the applicant does not meet the additional assessment
requirements, then a selecting official can object to his/her qualification.
7. An eligible about whom an objection has been filed may be removed from consideration on a
certificate only after the objection has been sustained. Appropriate action codes are explained
on the reverse side of the SF-39.
8. Notification of Eligibles. In accordance with the Privacy Act, an eligible (or his/her designee) is
entitled upon request to (1) a copy of the reasons submitted by the selecting official for objecting,
and (2) a copy of the findings by the Examining Office on the sufficiency of the reasons.
9. Forms. Objections are usually submitted to the appropriate Examining Office on SF-62, Agency
Request to Pass Over a Preference Eligible or Object to an Eligible, although agencies may also
use other comparable documents. A copy of the SF-62 can be found on OPM's website
(www.opm.gov/forms).
E.
Passing over Preference Eligibles. One of the basic rules of competitive hiring (See 5 U.S.C. §
3318(b)) provides that an appointing officer may not pass over a preference eligible to select a lowerranking non-preference eligible, unless he or she submits reasons to the Examining Office that are
sufficient to warrant the passover. (Note that a passover occurs only when a preference eligible is
to be passed over in favor of a non-preference eligible. It is permissible to select a lower standing
preference eligible, even if the selectee has a lesser category of preference. Thus, for example, a TP
veteran may be selected instead of a higher ranking CP veteran as long as it occurs within the Rule
of Three.)
1. The process for passing over a preference eligible is the same as the process for objecting to an
eligible, except that by law [5 U.S.C. § 3318 (b)(2)], OPM retains authority to adjudicate the
proposed passover of a 30 percent compensably disabled veteran (CPS). The reasons given for
a passover must be of a kind that would be considered sufficient to sustain an objection to an
individual.
2. Notification of eligibles. The notification entitlements and procedures for preference eligible
passovers are the same as described above for objections to eligibles--with one exception. A CPS
preference eligible is entitled to advance notice of a proposed passover as described in the
following paragraphs.
a.
b.
The appointing office must notify the CPS veteran of the proposed passover at the same
time the passover request is sent forward to OPM. The notification must include:
1)
Notice of the proposed passover, specifying agency, title/series/and grade of the job,
duty location, and certificate number;
2)
An explanation of the reasons for the proposed passover;
3)
Notice of the right to respond to those reasons to OPM within 15 days of the notice;
4)
Address of the appropriate OPM service center and certificate number; and
5)
A statement that OPM will notify the eligible of its decision.
The CPS veteran has the right to respond to the reasons to OPM within 15 days of the
notification. OPM must consider any response before making its determination.
VIII - 14
F.
Other Actions on a Certificate. After names have legitimately been removed from consideration as
explained above, the only remaining actions that can be taken with respect to eligibles are Appointed
(Action code: A) or Non-Selected (Action code: NS or NN).
G.
Following up on Overdue Certificates. The selecting official is responsible for returning the certificate
by the due date. If actions cannot be completed on time, the selecting official should request an
extension of time. The Examining Office should follow-up on overdue certificates within a few days
after the due date. These steps are particularly crucial for certificates issued from inventories because
eligibles may be losing employment consideration for other openings. (In the case of dual
certification there is more flexibility concerning overdue referrals.)
H.
Returning the Certificate to the Examining Office. When all actions have been completed on a
certificate, the selecting official should return it to the Examining Office promptly.
I.
Prior to audit of the certificate, the certificate must be documented. Documentation must include the
action taken on each of the eligibles certified; including the Enter on Duty (EOD) date (or probable
EOD date) for each appointee. Appropriate documentation must also be included for all applicants
who were removed from consideration (i.e. failure to respond, etc.). Applications of all eligibles,
except for those persons who were appointed, must accompany the certificate.
§ 8.13.
AUDITING ACTIONS ON CERTIFICATES OF ELIGIBLES
A.
Definition. Auditing is the process undertaken by the certifying office to review a completed certificate
for compliance with legal and regulatory selection rules and procedures.
B.
A report or return copy of the Certificate of Eligibles must be signed and dated by the appointing
official as documentation for the file.
C.
The certificate should be audited promptly by the Examining Office. OPM recommends a timestandard of 3 work days after return of a certificate to perform the audit. Timely audit is important for
two reasons. First, if the certificate has been issued from an inventory where dual referral does not
occur, the audit closes it out, and enables non-selected eligibles to be entered back on the inventory.
If the certificate has been worked improperly, any hiring commitments made by the selecting official
may potentially be invalid. A prompt audit will catch these errors early.
D.
The auditing employee has two basic responsibilities:
1. Determine that all applications, except those from selected candidates, have been returned and
that all documentation required for declinations and other removals-from-consideration is in order.
2. Determine that all selections have been made in accordance with the Rule-of-Three and
Veterans’ Preference.
E.
If a name has been removed improperly from consideration, the selecting official's action code must
be changed to NS (Not Selected) before auditing continues.
F.
The following steps should be observed in determining the proper order of selection.:
1. Disregard all candidates who have been legitimately removed from consideration.
2. For the first vacancy, determine who the first 3 available candidates are and place a "1" beside
their names to indicate the group of three from which the first selection can be made. Then
VIII - 15
determine that the first appointee was within the top 3 available candidates, that is, that there are
not 3 NS candidates above him or her. An example may look like this:
1
1
1
A
D
A
NS
FR
NS
A
NS
95.0 TP
93.0
90.0
89.0
89.0
85.0
82.0
82.0
Armstrong
Baker
Carter
Davis
Evans
Farmer
Green
Hamilton
3. Then determine that the first appointee is either (1) a preference eligible, or (2) that there is not
a non-selected preference eligible above him/her on the certificate. If steps 2 and 3 check out,
the first appointment is legal.
4. If there was more than 1 selection made from the certificate, place a "2" beside the names of the
remaining two eligibles who were not selected for the first vacancy and the name of the next
available eligible, working downward on the certificate. Our example will now look like this.
1
2
2
1
1
2
A
D
A
NS
FR
NS
A
NS
95.0 TP
93.0
90.0
89.0
89.0
85.0
82.0
82.0
Armstrong
Baker
Carter
Davis
Evans
Farmer
Green
Hamilton
5. For the second vacancy, determine that the appointee is within the second group of three and that
he/she meets the criteria outlined in 3. above. If so, the second appointment is legal. It is also
apparent that Davis has received two bona fide considerations and is entitled to a third.
6. If there were more than 2 selections made from the certificate, place a "3" beside the names of
the remaining eligible(s) who were not selected for the second vacancy (in our example, Davis and
Farmer) and the name of the next available eligible, working downward on the certificate. Our
example will now look like this.
1
3
3
3
2
2
2
1
1
A
D
A
NS
FR
NS
A
NS
95.0 TP
93.0
90.0
89.0
89.0
85.0
82.0
82.0
Armstrong
Baker
Carter
Davis
Evans
Farmer
Green
Hamilton
VIII - 16
7. For the third vacancy, determine that the appointee is within the third group of three and that
he/she meets the criteria outlined in 3. above. If so, the third appointment is legal. It is also
apparent in our example that Davis has now received three bona fide considerations without being
selected. Davis's name can now be removed from consideration if there is a fourth vacancy to
be filled. His line on the certificate can be shown with a “NS-3" written on the certificate to reflect
the three valid considerations (see below):
3
2
1
NS-3
89.0
Davis
8. Continue following these steps for each additional vacancy over three.
G.
If the certificate will not audit properly, then an illegal selection has been made. The selecting official
must be notified immediately. Corrections must be made before the selected individual enters on
duty. There are several options for correcting a potentially improper appointment, depending on the
circumstances. See Section 8.14 which outlines procedures for correcting improper appointments
that avoid removing the incumbent while giving applicants the consideration they lost.
H.
Changing Inventory Records as a Result of a Closed-out Certificate. When a certificate has been
issued from an inventory and audited upon return, appropriate changes will need to be made to the
records of eligible competitors to reflect actions of the agency's report.
1. Eligibles Reported A (Selected Eligibles) - File in the inactive section of the inventory if the
appointment was career or career-conditional; file in the active section if the appointment was
temporary or term.
2. Eligibles Reported CE (eliminated because they are already employed by the agency) - Career or
Career-Conditional employee already serving under the same appointing officer, in the same type
position, in the same (or higher) grade, at the same duty location, and under the same (or
preferable) type of appointment as that for which this certificate was issued. When these symbols
are used, Title of Position, Grade and Duty Location must be listed as evidence that all of the
above conditions are present.
The applicant's record can usually be filed in the inactive section, unless the Examining Office
may also issue certificates to other appointing officers or for other series, grades, duty location,
promotion potentials, specialities, etc..
3. Eligibles Reported CR or FR (eliminated due to a failure to respond or where communication is
returned unclaimed) - File in the inactive section.
4. Eligibles Reported D ( any declination symbol) - File in the inactive section unless the eligible
indicates availability for future positions.
5. Eligibles Reported as NS or NN (non-selected) - File in the active section unless the eligible
received three bona fide considerations for the same grade, occupation, and agency; then
inactivate record. This would apply to agency-specific inventories.
6. Eligibles on Whom a Objection/Passover Request was Sustained - File the applicant’s application
in the inactive section for those series and grades for which they have been clearly identified as
ineligible and annotate any other files which are used to maintain veterans’ applications.
Decisions about the effect of the objection/passover on future certificates should be made on a
case-by-case basis as the new certificates are prepared.
VIII - 17
I.
When the audit is completed and the report approved, the person auditing the certificate must sign and
date the report copy.
§ 8.14
A.
LOST CERTIFICATION DUE TO ERRONEOUS CERTIFICATION
Basic Concepts
1. This section deals with procedures for giving priority consideration to applicants who have lost
consideration due to erroneous certification. It is important to remember that there is no situation
where an applicant must be selected. A selecting official always has the option of returning the
original certificate unused; however, this does not eliminate the lost consideration eligible(s) from
future positions. Thus, if we were to require an agency to appoint an applicant who has lost
consideration, that would be giving the applicant an absolute right to an appointment that would
not have existed had the action been processed properly. The lost consideration eligible can be
non-selected and such non-selection made within the “rule of three” counts as a legal
consideration.
2. For the purposes of this section, erroneous certification involves the inadvertent misranking,
noncertification, or failure to give bona fide consideration to an eligible in connection with a
competitive certificate of eligibles, whether issued by an agency’s Examining Office or by an OPM
Service Center acting as the examining agent for an agency. The erroneous certification must
be the result of an administrative error for the remedies listed in Sections 8.14.C and 8.14.D to
apply. Cases of knowing or intentional manipulation of the examining system are handled based
on their unique characteristics, but will typically be referred to the Office of Special Counsel.
3. In the case of erroneous certification, agencies always have the option of regularizing the
appointment by removing the incumbent. However, OPM has long worked under the principle that
appointments made from an erroneous certificate that was due to administrative error on the part
of the certifying office constitute an error of the Commission. There is a 1917 Attorney General’s
decision (CIVIL SERVICE -- ERRONEOUS CERTIFICATION, April 19, 1917.31 U.S. Op. Att. Gen.
110, 1917. WL 729 ( U.S.A.G.)), in which the Attorney General concluded that regularizing
appointments from an erroneous certificate was unduly harsh to the appointee and contrary to the
intent of Congress. Agency Examining Offices may also use the error of the Commission
principle.
4. Erroneous certification occurs when an applicant does not appear in the correct place on the
certificate (i.e., was misranked on a certificate or did not appear on the certificate at all) or when
an applicant appeared on the certificate but did not receive appropriate consideration. There are
two principal types of erroneous certification: those that involve a violation of law and those that
do not involve a violation of law.
B.
Erroneous Certification Where There is a Legal Violation (Lost Employment Consideration)
1. Definition. The more serious type of erroneous certification is the case where there is a violation
of law: Title 5 (Rule of Three) and possibly the Veterans Preference Act of 1944. This is known
as Lost Employment Consideration or Loss of Bona Fide Employment Consideration. In order for
there to be a legal violation, the following four conditions (a-d) must be met.
a.
A selection must be made from the erroneous certificate. If no selection is made from the
certificate, there is no legal violation.
b.
When the erroneous certification is corrected, the applicant must move within reach. If the
applicant does not move within reach, there is no legal violation.
VIII - 18
c.
When the erroneous certification is corrected, the selectee must move out of selection
range. If the selectee remains within reach, there is no legal violation.
d.
The misranked/noncertified/nonconsidered applicant must meet all qualification and
suitability requirements for the position. If the applicant does not meet all qualification and
suitability requirements, there is no legal violation.
2. Steps for Correcting Erroneous Certification Where There Has Been a Legal Violation (Lost
Employment Consideration)
a.
If the erroneous certification is discovered before a selection action has occurred, the
selecting official should be contacted immediately and told not to extend any selection offers
until the certificate is amended to add or rerank the eligible.
b.
This step is voluntary on the part of the agency. If the agency determines that an eligible
lost consideration on a Certificate of Eligibles, the agency can noncompetitively appoint the
eligible to a position described in one of the options below if all these criteria are met:
1)
A selection action has occurred;
2)
The misranked/noncertified/nonconsidered eligible is within reach;
3)
The selectee moves out of reach when the eligible is properly shown on the list; and
4)
The applicant meets all qualification and suitability requirements for the position.
OPTIONS
1)
Offer employment to an identical position (same series, same grade, same promotion
potential, same tenure, same geographic location or any location the applicant deems
acceptable).
2)
Offer employment to any equivalent position (same grade, same promotion potential,
and same tenure) for which the applicant qualifies in the same geographic areas in
which the applicant lost consideration or in any geographic area that the applicant
considers acceptable.
If the applicant accepts one of the appointment offers described above or if the applicant
declines one of the appointment offers described above, no further action is necessary.
c.
If either a) the agency declines to make any of the voluntary offers listed above or b) the
applicant declines a position because it is not in either the same location or in one which he
or she indicated was acceptable, then the following step is mandatory.
The applicant must receive priority consideration for the next appropriate position (see
OPTIONS below) announced under competitive procedures. The applicant eligible for
priority consideration would be listed on a certificate of eligibles as the first candidate for
consideration under the “rule of three.”
In case examinations, the number of priority considerations would equal the number of
selections made from the original certificate. In register examinations, the applicant would
continue to receive priority consideration until appointed or until the applicant has received
the number of bona fide employment considerations that he/she would have received had
VIII - 19
the fault not occurred. In cases where it is not possible to determine the exact number of
lost employment consideration opportunities, an appropriate number of priority consideration
opportunities should be given the eligible based on the activity of the inventory, length of
time consideration was lost, and the applicant’s qualifications relative to others on the
register.
In cases where there is an eligible for priority consideration and a well qualified ICTAP
eligible, the agency may select either candidate.
The eligible for priority consideration has received proper consideration only if referred to
a situation where there has been either an appointment within the “rule of three” made from
a certificate or an ICTAP appointment.
OPTIONS The agency has the option of offering either or both of the following. (Note that
for 10-point veterans, only option 1 below would apply.):
C.
1)
Any equivalent position (same grade, same promotion potential, and same tenure)
within the agency for which the applicant is minimally qualified in any geographic
area which the applicant deems acceptable.
2)
Any equivalent position (same grade, same promotion potential, and same tenure)
within the agency for which the applicant is well-qualified in any geographic area
which the applicant deems acceptable.
Erroneous Certification Where There has Been No Legal Violation (Lost Certification)
1. Definition. The type of erroneous certification that does not involve a violation of law (i.e., does
not meet the four criteria in Section 8.14.B) is known as Lost Certification. Lost certification
occurs when an applicant is misranked on, or left off, a certificate but correcting the error would
not give the applicant real employment consideration. The following are examples of lost
certification.
a.
Suppose an eligible was left off a certificate but would not have been within reach for
selection even if he or she had received proper treatment.
b.
Suppose an eligible was misranked on a certificate and is within reach when the error is
corrected. The selectee also stays within reach after the adjustment is made.
2. Steps for correcting erroneous certification where there has been no legal violation (Lost
Certification).
In the case where there has been erroneous certification but no legal violation (i.e., all four criteria
listed in Section 8.14.B were not met), there is no obligation to give the applicant any priority
referral. However, a misranked/noncertified/nonconsidered eligible may be placed at the head
of next certificate for an equivalent position (same grade, same promotion potential, and same
tenure in a geographic area which the applicant deems acceptable) for which the applicant is
qualified. Note that in cases of lost certification, well qualified ICTAP eligibles must be selected
before anyone on the certificate, including the eligible who is receiving priority consideration.
D.
Documentation and Follow-up
In all cases of erroneous certification, the case file should be documented with the facts of the case.
Follow-up action should also be taken (e.g., review of processing procedures and additional staff
VIII - 20
training) to preclude recurrence of the problem. Examining Offices should notify the applicant if
his/her opportunity for consideration was affected, particularly, due to a legal violation. This should
also be part of the documentation materials.
§ 8.15.
A.
CERTIFICATION TIME LIMITS
Time Limit on Selection from a Certificate.
1. An appointing official may select an eligible candidate not originally reported as selected, if the
selection is made within 10 business days after the date of the original report on the certificate.
2. Any other selection made more than 10 business days after the date of the original report on a
certificate must have the prior approval of the certifying office. This approval may only be given
if the proposed appointee is currently within reach on the inventory and would not be blocked by
a preference eligible.
B.
Time Limit on the Use of a Case Examining File. A case examining file can be used 90 days from the
time a certificate is issued to the agency personnel office to select a candidate for a vacant position.
If a selection has not been made within 90 days, the agency would be required to readvertise for
ICTAP. The same list of qualified and available candidates may be used to issue a new certificate for
identical positions without reannouncing at any time during those 90 days. If an announcement
reopens within 90 days of the original closing date, all of the original applicants to the announcement
must be considered. If there is no change in selection criteria from the original announcement,
applicants do not have to reapply. If there is a change in selection criteria from the original
announcement, the original applicants must be contacted and informed of what other materials they
must submit to be considered under the second announcement.
A case examining file and all its pertinent records must be kept for at least 2-years or until the
Delegated Examining Offices’s examining program is audited by OPM’s Office of Merit Systems
Oversight and Effectiveness (OMSOE), whichever comes first. Upon the expiration of the two-year
waiting period or upon completion of an OMSOE Tier 3 review (See Section 9.7), the records may be
disposed of in accordance with the Records Retention and Disposition Schedule in Appendix G.
C.
Time Limit on Appointment After Selection from a Certificate. A selected candidate should normally
be appointed to the position within a reasonable amount of time (30 days) from the date of selection.
However, to accommodate special situations, such as the completion of education, a geographical
move, obligations to current employers, temporary agency hiring restrictions, and processing of
security clearances, an agency may delay appointment up to 6 months from the date of selection. If
an agency exceeds 6 months, they would be required to readvertise for ICTAP.
IX - 1
SECTION 9 - MISCELLANEOUS INFORMATION AND INSTRUCTIONS
References:
5 U.S.C. 552 and 5 CFR 294:
Freedom of Information
5 U.S.C. 552a and 5 CFR 297: Privacy Act
5 U.S.C. 3110 and 5 CFR 310: Employment of Relatives
5 U.S.C. 3318(b):
Competitive Service; Selection from Certificates
5 CFR Part 1320
Controlling Paperwork Burdens on the Public
Agency Delegated Examining Agreement
Delegated Examining Handbook, Appendix G: Records Disposition Schedule
OPM Operating Manual : Guide to Processing Personnel Actions
www.opm.gov/deu -
§ 9.1.
A.
DOCUMENTING SF-50s TO SHOW SELECTION THROUGH DELEGATED EXAMINING
Instructions for documenting the SF-50, Notification of Personnel Action, for persons given career or
career-conditional appointments under delegated examining are covered in Chapter 9, Table 9-A of
the Guide to Processing Personnel Actions (formerly FPM Supplement 296-33.) As this Handbook,
was being revised, OPM had issued interim instructions:
1.
The Authority Code is either:
BWA - when the agency examines under delegation; OR:
ACM - when OPM examined under a reimbursable agreement.
AYM-ABK - use this code to designate the Outstanding Scholar Program.
AYM-ABL - use this code to designate the Bilingual and\or Bicultural Certification.
NOTE: The old BFS code is no longer authorized. On February 26, 1999 (Update 30), the
ACM authority code was eliminated for nonpermanent appointments (temporary and term
appointments) from civil service registers maintained under other than delegated
examining authority. Agencies should be using BWA for the initial appointment. There are
plans to reinstate the ACM code for extensions of nonpermanent appointments only. We
will keep you informed.
2.
§ 9.2.
New legal authorities will be created to distinguish the following: (1) Agency Delegated Examining
Office; (2) OPM examines under a reimbursable agreement with the agency; and (3) another
agency examines under reimbursement.
PROVIDING QUARTERLY WORKLOAD REPORTS TO OPM
OPM's delegation agreement with agencies requires that the Examining Office provide quarterly
workload reports to the servicing OPM Service Center. The required workload items are listed below.
Please note that the following items should not include applications for or hires made under the
IX - 2
Outstanding Scholar hiring authority. Quarterly reports are due 15 work days after the end of the
quarter (i.e., January 15, April 15, July 15, October 15).
1.
Number of applications processed.
2.
Number of selections made.
3.
Number of preference eligibles selected.
4.
Number of certificates audited.
5.
Number of certificates in (4) which had preference eligibles at the top.
6.
Number of certificates in (5) which were used.
7.
Number of certificates in (5) which were unused.
8.
Number of certificates in (7) unused because of CTAP/ICTAP referral.
9.
Number of certificates in (4) which preference eligibles were not at the top.
10. Number of certificates in (9) which were used.
11. Number of certificates in (9) which were unused.
12. Number of certificates in (11) above unused because of CTAP/ICTAP referral.
13. Certification (during the appropriate quarter) that the annual self-audit has been completed; or
other certification as required by an agency’s delegation agreement. (See Section 9.7.)
Count all applications and selections, including those for temporary and term appointments, that were
processed under delegated examining authority. Do not include applications and selections that
occurred under either outside-the-register hiring authority or noncompetitive authority. (See Appendix
K for Instructions in Completing the Delegated Examining Quarterly Report)
§ 9.3.
PROVIDING EXAMINING INFORMATION UNDER THE FREEDOM OF INFORMATION AND
PRIVACY ACTS (Information in this section is advisory only. Each agency is ultimately responsible for decisions
about the release of examining information.)
A.
Regulations. Basic information on release of information under the Freedom of Information and
Privacy Acts is found in 5 CFR Parts 294 and 297.
B.
General policy. As a general policy, Examining Offices should willingly furnish requested information
to applicants or to their designated representatives, as long as, the release does not:
1.
disclose confidential examining material;
2.
interfere with the procedures of the merit system; or
3.
intrude upon the privacy of other individuals.
IX - 3
C.
Material to be Made Available. The following materials prepared by or about the individuals concerned
may be made available for review (or by copying) to applicants who are the subject of the materials or
to their designated representative, when requested under the privacy Act. Delegated Examining
Offices are encouraged to respond to requests, even when erroneously made under the Freedom of
Information Act. However, the response should always state that the records are being released under
the Privacy Act.
1.
Application materials submitted by the requesting individual. Notations made by raters or
reviewers showing earned rating, veterans preference, and final rating may remain, as well as
notations on experience blocks showing qualifying experience or quality level.
2.
Inventory (register) cards or other documentation used.
3.
Certification history - identification of dates, jobs, and agencies for which the eligible's name was
certified.
4.
Certificates of eligibles, provided the names, addresses, social security numbers, phone numbers
and any other personal information on all other eligibles are masked out. (Note: The names of
appointed individuals - but not other personal information about them - are matters of public
record, so those names may remain unmasked on the certificate. Care should be taken to
determine that the individual shown as selected actually entered on duty.)
5.
Availability inquiry responses and position descriptions in the certification file.
6.
Reasons for veterans passover. Title 5 U.S.C. § 3318 (b) requires that upon request, a copy of
the reasons submitted by the appointing authority in support of the proposed passover and the
findings be furnished to the preference eligible or his/her representative.
Note: None of the above information may be made available to a third party unless authorized by the
subject himself/herself in writing.
D.
E.
Exempt Material -Not To Be Made Available. The following materials are generally not shown or copied
for members of the public (including the applicant concerned) when disclosure of the materials would
compromise the objectivity or fairness of the examination process.
1.
Answer keys.
2.
Rating schedules and crediting plans.
3.
Rating sheets.
4.
Test booklets.
5.
Transmutation tables.
Exempt Material - Confidential Disclosure on a Need-to-Know Basis. Agency employees serving as
EEO counselors and individuals from outside the agency serving as EEO investigators, and other
individuals with an official need-to-know, often request to see confidential information, such as
applications and rating schedules. Delegated Examining Offices should use their discretion in deciding
what information to disclose and under what conditions. EEO officials should usually be allowed to
review all documentation, but the Examining Office can, if it wishes, control that review. For example,
the review could take place in the presence of a Delegated Examining Office representative, and
photocopying of documents could be prohibited.
IX - 4
The Examining Office should consider the consequences of releasing confidential information. For
example, although rating schedules are usually not releasable, if their release would not compromise
the objectivity or fairness of the examining process, they could be made public. Such might be the
case for a rating schedule that was prepared for a one-of-a-kind job and will not be used again. OPM
rating schedules are not to be released without our approval.
F.
Denial of Disclosures. Denial of disclosure of information requested under the Freedom of Information
Act must cite the appropriate exemption(s) in the Act, and tell the requester of his/her right to appeal
the decision and to whom. Most denials will deal with the following exemptions:
5 U.S.C. 552(b)(2)
Internal personnel rules and regulations;
5 U.S.C. 552(b)(5)
Interagency or intra-agency memorandums or letters; and/or
5 U.S.C. 552(b)(6)
Personnel and medical files the disclosure of which would constitute a
clearly unwarranted invasion of a third person's privacy.
In the interest of good public relations, the reason(s) for denial should be explained wherever possible.
Questions regarding issues not covered above should be referred to the agency's legal counsel for
decision.
§ 9.4.
MAINTAINING DELEGATED EXAMINING RECORDS
A.
Basis for Recordkeeping Requirements. Title 5 U.S.C. § 1104 requires OPM to maintain an oversight
program to assure that delegated examining activities are operated in accordance with merit system
principles and the standards set by OPM. To this end, agencies are required to keep appropriate
records.
B.
Disposition of Records. Records are to be kept according to the table in Appendix G, Records
Retention and Disposition Schedule of this Handbook. This grouping of records consists of
documents relating to the Government-wide examination and recruitment programs. It supersedes any
previous recordkeeping schedule that may have been furnished to a Delegated Examining Office,
including one attached to a Delegated Examining Agreement.
C.
Retention of Records Pending Audit by OPM. The basic requirement for retaining examining records
is: all Delegated Examining Office records must be kept for at least 2-years or until the Delegated
Examining Office’s examining program is audited by OPM’s Office of Merit Systems Oversight and
Effectiveness (OMSOE), whichever come first. Upon the expiration of the two-year waiting period or
upon completion of an OMSOE Tier 3 review (See Section 9.7), the records may be disposed of in
accordance with the Records Retention and Disposition Schedule in Appendix G.
§ 9.5.
A.
MAINTAINING FORMS NECESSARY FOR EXAMINING OPERATIONS
Agency Examining Offices are responsible for acquiring and maintaining adequate supplies of forms
necessary for examining operations. Standard and optional forms may be ordered through normal
distribution channels. As appropriate, agencies may reprint and stock OPM forms. Agencies may also
use automated documentation methods in lieu of written documentation, or design and print their own
forms, except that forms that collect information directly from the public must be cleared with the Office
of Management and Budget.
IX - 5
§ 9.6.
SAFEGUARDING THE EXAMINING PROCESS
A.
Security of Examining Files and Records. Any examining document that contains information which
would not be releasable under the Freedom of Information Act or the Privacy Act (See Section 9.3.)
should be maintained in a secure environment within the Examining Office. This would include (1)
rating schedules and crediting plans, (2) written test materials and answer sheets, (3) certificates of
eligibles, (4) correspondence files, and (5) applications. Such material should be maintained in locked
filing cabinets, with access restricted to Examining Office employees only. Care must be taken to
assure that restricted materials are secured at night and not left out on desks and work stations.
B.
Security of Computer Access. Access to computerized examining records should be limited through
the use of secure passwords to employees of the Examining Office.
C.
Notification When an Examining Office Employee, Close Relative, or Roommate Intends to Compete.
To preclude the appearance of any impropriety or conflict of interest in the examining process, an
employee of the Examining Office must notify the head of the office in writing if he or she intends to
compete in an examination conducted by the office. The same notification is required if an employee's
close relative, member of household, or roommate intends to compete.
1.
Employees of the Examining Office must be made aware of this responsibility. Periodic reminders
are recommended.
2.
For purposes of this section, close relative is defined as: spouse, child, stepchild, parent, stepparent, brother, sister, step-brother or step-sister, parent-in-law, uncle, or aunt.
3.
For purposes of this section, employee also includes a subject matter expert who participates in
the development of qualification standards or ranking of candidates.
4.
The head of the Examining Office must determine whether the employee would have direct
access to the examining process in such manner that he/she could influence its outcome.
5.
If there is potential for influence, the examiner-in-charge of the Delegated Examining Office
should make arrangements to shield the employee from participating in the examining process.
Special arrangements could include (1) assigning the rating of applications to another employee
or a specialist from outside the Examining Office; (2) ordering special written test material that the
employee has not handled; and (3) letting another clerical employee handle application processing
and certification.
6.
The Examining Office head should state for the record whether special arrangements were
deemed necessary and, if so, what they entailed.
D.
Use of Selecting Officials as Subject Matter Expert Raters. A selecting official may be used as an
SME in the job analysis process. Care should be taken when using an individual who will make or
recommend a selection as an SME to rate applications for the same job.
E.
Removing Race and National Origin (RNO) Forms Applications. Delegated Examining Offices which
request race and national origin background survey forms as part of the application process must
remove the form from the application during initial processing. RNO forms must be filed in a separate
location where they are not available to either rating or selecting officials. Examining Offices are
reminded that forms collecting information directly from the general public must be cleared with the
Office of Management and Budget (OMB). (See 5 CFR Part 1320.)
IX - 6
§ 9.7.
CONDUCTING INTERNAL REVIEWS OF DELEGATED EXAMINING OPERATIONS
A.
Agencies are required to conduct annual reviews of their delegated examining operations using nonDEU staff and certify completing the review to OPM as prescribed by their Interagency Agreement for
Delegated Examining Authority. The Examining Office must maintain a list of all discrepancies and
corrective actions for a period of 3 years after the audit.
B.
The Examining Office must certify annually that the required internal review has been completed. An
outline of points to be covered when conducting an internal review can be found at Appendix M. The
Examining Office must certify to OPM that the required internal review has been completed as
specified on the attached Delegated Examining Quarterly Workload Reporting Form. If OMSOE
has conducted a Tier 3 review during the quarter, that fact should be reported on the form. (See
Interagency Agreement IE2(t).)
C.
OPM has made one exception to the requirement for self-reviews. When OPM’s OMSOE has
conducted a full-scale review of a Examining Office’s operation, that review may substitute for the
annual self-review. Only Examining Office reviews at a Tier 3 level may be substituted for the selfreview. The next self-review may be deferred for 1 year.
D.
OMSOE conducts reviews at three different levels:
!
Tier 1 reviews are designed to ensure that agency responsibilities for internal accountability and
annual self-reviews are being met.
!
Tier 2 reviews cover competitive examining as part of an overall agency personnel operations
review and focus on three critical areas -- veterans preference, qualifications, and CTAP/ICTAP.
!
Tier 3 reviews are intensive reviews of the agency’s exercise of competitive examining delegation
authority. See Appendix M for information on the categories included in Tier 3 oversight review.
§ 9.8.
TERMINATION, SUSPENSION, OR REVOCATION OF DELEGATED EXAMINING AUTHORITY
A.
Delegated Examining Agreement. The Interagency Agreement for Delegated Examining Authority,
Section G, Termination, Suspension or Revocation, states, "the agreement may be terminated at any
time by either party with 90 days advance notice to OPM. In such cases, the agency would not be able
to fill positions using competitive examining procedures. Certification of an individual DEU may be
revoked or suspended at any time by OPM."
B.
Advance Notice. If the agency wishes to terminate a DEU, a 90 days advance notice must be sent to
OPM's Associate Director of Employment Service.
C.
Disposition of Records. The agency must determine where the examining records, e.g., certification
files, applications, etc., will be maintained for the required period according to the Records Retention
and Disposition Schedule (see Appendix G) and notify OPM of the location of the records. The agency
must have the records available for OPM's review(s) during this period.
IX - 7
§ 9.9.
DELEGATED EXAMINING REVIEW SHEETS AND CHECKLISTS
Appendix N of this Handbook contains quick reference sheets for Examining Office use in carrying out their
delegated examining responsibility. For additional information on a specific topic, please check the
Handbook references cited on the sheet. The following review sheets and checklists are contained in
Appendix N:
DE Public Notice Requirements
DE Public Notice Preparation Checklist
Accepting Applications Checklist
Veterans’ Preference Checklist
Records Retention Review Sheet
DE Program Accountability Review Sheet
Glossary - 1
GLOSSARY
Ability. A competence to perform an observable
behavior or a behavior that results in an
observable product.
Administrative Law Judge. An Administrative
Law Judge (ALJ) functions as an independent,
impartial trier of fact in formal hearings. An ALJ is
similar to that of a trial judge conducting civil trials
without a jury. In general, ALJs prepare for and
preside at formal hearings required by statute, to
be held under or in substantial accord with
provisions of the Administrative Procedure Act, in
sections 553-559 of title 5, United States Code.
Appointing Officer. A person having power by
law, or by duly delegated authority, to make
appointments.
Assessment Center. A method of evaluating
candidates through a variety of assessment tools
such as: leaderless group discussions, interviews,
role playing, group discussion and in-basket
exercises.
Augmentation. A procedure to add additional
points to (augment) the ratings of eligibles based
upon an assessment of the quality of the eligibles’
Competencies or KSAs in specific job-related
criteria that were not previously measured.
Auditing. The process in which certificates are
reviewed to ensure compliance with legal and
regulatory selection rules and procedures.
Bilingual/Bicultural Program. A special hiring
program was established under the Luevano
consent decree to hire eligible applicants who meet
the program’s criteria based on the position’s need
for the Spanish language or Hispanic culture and
the candidate’s level of proficiency in the Spanish
language or knowledge of the Hispanic culture.
(See Sections 2.7)
Career Transition Assistance Program (CTAP).
An agency program to actively assist its surplus
and displaced employees. (See Section 4.3 and 5
CFR 330, Subpart F)
Case Examining. An effective technique in filling
a specific position in which the job seeker applies
directly for the position and is rated and ranked
using job-related competencies/KSAs. The DEU
conducts the examination process and issues a
Certificate of Eligibles but does not maintain a
standing inventory except as to the specific
opening.
Certificate. A list of the highest-ranked eligibles in
score and veterans preference order, submitted to
a selecting official for appointment consideration in
accordance with the competitive selection laws
and regulations.
Citizenship.
An applicant applying for a
competitive examination must be a U.S. Citizen or
national of the United States. (See 5 CFR 7.4)
Competency. An observable, measurable pattern
of skills, knowledge, abilities, behaviors, and other
characteristics that an individual needs to perform
work roles or occupational functions successfully.
Competency-based Job Profile. A statement of
the general and technical competencies required
for optimal performance in an occupation or job
family. Competencies identified as critical for a
job provide a basis for developing applicant
assessments and related products. When fully
implemented, the profile approach will replace the
OPM Qualification Standards Operating Manual
that currently describes minimum qualifications for
Federal jobs.
Competitive Appointment. An appointment
based on selection from a competitive examination
or under direct-hire authority. The competitive
examination, which is open to all applicants, may
consist of a written test, an evaluation of an
applicant’s education and experience, and/or an
evaluation of other attributes necessary for
successful performances in the position to be
filled.
Competitive Examining. Competitive examining
is the process used to fill civil service positions
with candidates applying from outside the Federal
workforce. It is also used to enable employees
who do not have civil service status to compete for
a permanent appointment and to enable
employees with civil service status to compete for
other positions.
Glossary - 2
Competitor Inventories. A competitor inventory
is an alternative to case examining. It is usually
used when positions in an occupation are
frequently filled with non-status candidates, and it
is not efficient to issue a case examining certificate
of eligibles for each position filled.
Competitive Status. Competitive status is a
person’s basic eligibility for assignment (for
example, by transfer, promotion, reassignment,
demotion, or reinstatement) to a position in the
competitive service without competing with
members of the general public in an open
competitive examination.
When a vacancy
announcement indicates that status candidates are
eligible to apply, career and career-conditional
employees who have service at least 90 days after
competitive appointment may apply.
Once
acquired, status belongs to the individual, no to a
position. (5 U.S.C. 3304a, 5 CFR 1.3)
Crediting Plan. Also referred to as a rating
schedule. Typically, a crediting plan is identified
as an internal rating schedule.
Cultural Certification.
Cultural certification
provides for the use of cultural factors in
determining the order in which candidates are
referred for employment consideration. Cultural
factors are those knowledges, skills, and abilities
which provide a familiarity with, and an
understanding of, a cultural group’s lifestyle,
customs, traditions, aspirations, and economic and
social problems, and an ability to communicate,
establish rapport and work harmoniously and
efficiently with group members.
Deferred-rated Competitor Inventory. This is a
listing of applicants in alphabetical or identification
number order. The list also includes options and
grades for which the applicants are to be
considered. This type of listing normally is
preceded by only a very general screening of
qualifications and is referred to as deferred-rated
because applications are rated only when a
certificate is requested for a specific vacancy. The
rating received is usually only applicable for that
specific position.
Delegation Agreement.
An Interagency
agreement between the U.S. Office of Personnel
and the head of the Department or agency
authorizing delegated examining authority under
Title 5 U.S.C. § 1104 and amended by Public Law
104-52 dated November 1995. (See Appendix A)
Delegated Examining Examiners/Staff. An
agency representative(s) or staff member(s)
operating under the agency’s delegated examining
authority. These individuals must be trained/
certified by OPM in order to conduct delegated
examining functions as stated in the agency's
delegation examining agreement. (See Appendix
A).
Displaced Employee. Under CTAP, a displaced
employee is a current agency employee serving
under a competitive service appointment, in tenure
group I or II, who has received a specific reduction
in force (RIF) separation notice, or notice of
proposed removal for declining a directed
reassignment or transfer of function outside of the
local commuting area. The employee is still on the
agency rolls.
Documentation. The collection of sufficient
information to enable reconstruction of the action,
such as, position descriptions and job analysis for
developing a rating schedule; or availability
statements in the audit function.
Dual Certification. Concurrent referral to more
than one position from eligibilities established
under a particular application procedure. (See
Section 8.2)
Education/Experience. An evaluation of the
candidate’s competency or knowledge, skill, and
ability accomplished by reviewing the factual
background of a candidate to include position held,
levels of responsibility, accomplishments, and the
education they have received. Example: Rating
Schedule or Crediting Plan.
Full-Time Work Schedule. A full-time work
schedule requires most employees to work 40
hours during the work week.
Interdisciplinary Position. A position involving
duties and responsibilities closely related to more
than one occupation. As a result, the position
could be classifiable to two or more occupational
series. The nature of the work is such that persons
with education and experience in either of two or
more professions or scientific disciplines may be
Glossary - 3
considered equally well qualified to do the work.
(See Section 8.2)
Interagency Career Transition Assistance
Program (ICTAP). A special career transition
assistance program designed to give
reemployment priority to federal employees
affected by Federal downsizing. (See Section 4.3
and 5 CFR 330, Subpart G)
Job Analysis. A systematic method of studying
jobs to identify the tasks performed and the
competencies or the KSAs required to perform the
tasks. Job analysis information is used to develop
employee selection procedures, identify training
needs, define performance standards, and other
uses.
Job-Relatedness. A standard met when the
competencies or knowledge, skills, and abilities
(KSA's) in the rating procedure are shown through
an analysis of the job to be necessary for
successful job performance.
Knowledge. A body of information applied
directly to the performance of a function.
Local Commuting Area. The geographic area
that usually constitutes one area for employment
purposes as determined by the agency.
Lost Consideration (Lost Employment
Consideration or Loss of Bona Fide
Employment Consideration). An eligible who,
though certified, is found by the examining office
not to have received bona fide consideration for
appointment, remains at the head of the inventory
until he/she receives considerations. (See Section
8.14.B)
Lost Certification (Lost Opportunity Through
Fault of the Examining Office). Lost certification
occurs when an applicant is misranked on or left
off a certificate but correcting the error would not
give the applicant real employment consideration.
(See Section 8.14.C)
Luevano Consent Decree. A court decree
entered on November 19, 1981 by the United
States District Court for the District of Columbia in
the civil action known as Luevano v. OPM and
numbered as No. 79-271. The decree became
effective on January 18, 1982. The decree has as
its purpose the elimination of adverse impact, if
any, in the appointment of Blacks and Hispanics to
a variety of positions at GS-05 and GS-07 formerly
covered by the Professional and Administrative
Career Examination (PACE).
Merged Certificates.
A merging of a
supplemental certificate with the original
certificate. Basically, a new certificate is created
as a result of this merger. The new certificate is
audited in accordance with the rule of three and
veterans preference.
Name Request. A means by which Federal
agencies can request that a particular individual(s)
be considered for inclusion on a certificate of
eligibles if within reach for certification.
Noncompetitive Action. An appointment to or
placement in a position in the competitive service
that is not made by selection from an open
competitive examination, and that is usually based
on current or prior Federal service.
A
noncompetitive action includes (1) all of the types
of actions described under inservice placement; (2)
appointments of non-Federal employees whose
public or private enterprise positions are brought
into the competitive service under title 5 CFR
316.701; and (3) appointments and conversions to
career and career-conditional employment made
under special authorities covered in 5 CFR 315,
Subpart F.
Notice of Results. A Notice or Notification Letter
identifying the status of the applicants application.
Objection. A request to remove any eligible from
consideration. (See Section 8.12D)
Objective Test. A series of questions (e.g. truefalse, fill-in-the-blank, matching, and multiple
choice) or exercises designed to measure jobrelated competencies. The word “objective” refers
to the scoring and indicates that there is only one
correct answer.
Order on certificates of eligibles. The names of
eligibles are listed on certificates in score order.
Outstanding Scholar Program. The Outstanding
Scholar Program is a creation of the Luevano
consent decree. This program permits the hiring of
any individual with a baccalaureate degree who
Glossary - 4
has at least a 3.5 grade point average on a 4.0
scale or is in the top 10 percent of his or her
graduating class (or of a major subdivision, such
as a College of Arts and Sciences. (See Sections
1.2 and 2.7)
Outside-the-Register Examining. The process
in which an agency determines whether an
applicant meets the qualification standards issued
by OPM. If the applicant is found to be qualified,
he or she is assigned either an eligible rating or a
numerical score of at least 70 on a scale of 100.
(See Section 2.8 and 4.2 and 5 CFR 333)
Part-Time Work Schedule. A schedule that
requires an employee to work less than full-time,
but for a specific number of hours (usually 16-32
hours per administrative work week) on a
prearranged scheduled tour of duty.
Passover. A request to remove a preference
eligible that enables a nonpreference eligible to be
selected. (See Section 8.12D)
compete in a specific enough manner to enable
them to know where, when, and how to apply for
positions appropriate to their qualifications and job
interests. (See Section 5.2)
Quality Ranking Factor. A knowledge, skill, and
ability that is not essential for satisfactory
performance but would most likely enable the
candidate who possesses it to perform the job in a
superior manner.
Rating Procedure. A single, comprehensive
documented process with specific criteria for
making consistent and job-related determinations
about the relative qualifications of applicants for a
position.
Reinstatement. Noncompetitive reemployment in
the competitive service as a career or careerconditional employee of a person formerly
employed in the competitive service who had a
competitive status or was serving probation when
separated. (See 5 CFR 315, Subpart D)
Preference Eligible. A “preference eligible”
means a veteran, spouse, widow, or mother, who
meet the definition in 5 U.S.C. 2108. Preference
eligibles are entitled to have 5 or 10 points added
to their earned score on a civil service examination
(See 5 U.S.C. 3309). They are also accorded a
higher retention standing in the event of a
reduction-in-force (See 5 U.S.C. 3502).
Preference does not apply, however, to inservice
placement action such as promotions.
Rule of Three. When selecting from a certificate
of eligibles, an appointing officer must, with sole
reference to merit and fitness, make selection for
the first vacancy from the highest three eligibles
available for appointment on the certificate and not
eliminated.
Pre-rated Competitor Inventory. This is a listing
of eligibles in the order in which they are to be
certified, by option and by grade. Applicants are
assigned numerical scores upon receipt of their
applications. This type of listing has traditionally
been called a register, and applications are
referred to as being pre-rated or front-end rated.
Selective Certification. A referral of only those
candidates who meet the special requirements of
the position, competency/knowledge, skill or
ability.
Professional Certification. A certification that is
issued and recognized by a specific general
professional community as a result of satisfaction
of relative requirements being met. Example:
Certified Public Accountant (C.P.A.).
Public Notice. Public notice is the information
dissemination process that assures that persons
seeking Federal employment in the competitive
service will be able to learn of opportunities to
Seasonal Employee. An employee who works on
an annual recurring basis for periods of less than
12 months (2087 hours) each year.
Selective Factor.
A knowledge, skill, ability
without which a candidate could not perform the
duties of a position in a satisfactory manner.
Skill. An observable competence to perform a
learned psychomotor act.
Status Candidates. Refer to Competitive Status.
Structured Interview. A structured interview
consists of questions that are consistently used for
all interviews for a particular job. The questions
are based on job-related competencies critical to
Glossary - 5
job performance.
It may include questions
concerning job knowledge, job samples, work
requirements, and how a candidate would handle
various situations. Structured interviews often
anchor the rating scales used by interviewers with
behaviorally specific examples of what constitutes
good, average or poor answers on a competency.
Subject-Matter Expert (SME). A person with
bona fide expert knowledge about what it takes to
do the job. The first-level supervisor is normally a
good SME. Superior incumbents in the same or
very similar positions and other individuals can
also be used as SMEs if they have current and
thorough knowledge of the job's requirements.
Supplemental Certificate.
A certificate is
identified as a supplement when there are another
certificate outstanding and the appointing officer;
type of appointment; duty location; and title, series,
grade and qualification factors are the same.
Surplus Employee. A current agency employee
serving under an appointment in the competitive
service, in tenure group I or II, who has received a
Certification of Expected Separation or other
official certification issued by the agency indicating
that the position is surplus, for example, a notice of
position abolishment, or a notice stating that the
employee is eligible for Discontinued Service
Retirement. The employee is still on the agency
rolls.
Standing Inventory. An inventory of eligible
competitors who are assigned an numerical rating
upon receipt of their application and certified in
score order by occupation, grade, location, etc.
This is an effective approach when many recurring
vacancies are anticipated over time.
Status Employee. One who has completed their
probationary period under the career-conditional
employment system. Also known as an employee
with competitive status. (See 5 CFR 315.503)
the option of a one-year extension. (See 5 CFR
316, Subpart D)
Tentative Preference (TP) . Tentative Veterans
Preference is given to individuals tentatively until
the preference is verified and documented..
Term Appointment. An appointment to a position
that will last greater than one year but not more
than four years and that is of a project nature
where the job will terminate upon completion of the
project. (See 5 CFR 316, Subpart C)
Three Considerations. When an eligible on a
certificate has been within reach for selection three
times in accordance with the rule of three, and
three other eligibles were selected instead, the
non-selected eligible may be eliminated from
further consideration. (See 8.12C)
Transmutation Table. A transmutation table is a
conversion table from raw scores obtained in the
ranking process to ratings between 70 and 100.
(See Appendix F)
Veterans’ Preference. A category of entitlement
to preference in the Federal service based on
active military service that terminated honorably.
Well-qualified Employee. Under CTAP and
ICTAP, an eligible employee who possesses the
competencies/KSAs which clearly exceed the
minimum qualification requirements for the
position. (See 5 CFR 330.604(k))
Work Sample Assessment.
A method of
systemically evaluating a variety of the candidates
work that would represent the skill of the candidate
in a particular activity. Example: Writing Sample.
Work Schedule. The time basis on which an
employee is paid. A work schedule may be fulltime, part-time, or intermittent.
Task. An activity performed in an occupation.
Temporary Appointment. An appointment made
for a limited period of time and with a specific notto-exceed (NTE) date determined by the authority
under which the appointment is made. Generally,
the initial appointment is for one year or less, with
A-6
APPENDIX A
SAMPLE INTERAGENCY DELEGATED EXAMINING AGREEMENT
Interagency Agreement Number (insert number)
between the
Office of Personnel Management (OPM)
and the
[agency (--- )]
This document is a two-part agreement between the above-named parties which contains a delegation of
examining authority, and which sets forth the terms and conditions for reimbursable services when the
[agency] has requested such services by providing an executed OPM Form 1616 or other funding
document.
I.
THE DELEGATION AGREEMENT
A. AUTHORITY
Under the provision of 5 U.S.C. S 1104, as amended by P.L. No. 104-52 (1995), this Delegation
Agreement authorizes the [agency] to examine applicants for the positions indicated. Any authority
delegated under this agreement can not be contracted out to private or commercial enterprises.
B. POSITIONS COVERED
All series and grade levels nationwide except Administrative Law Judge positions.
C. EFFECTIVE DATE OF THE AGREEMENT
This agreement will become effective upon execution by both parties.
D. APPLICABLE LAWS AND REGULATIONS
All examining activities initiated under this agreement must conform with the requirements of
Federal laws, rules, regulations and of any applicable court orders.
E. RESPONSIBILITIES OF THE PARTIES
The responsibilities of the [agency] and OPM under this agreement are set forth herein and
constitute the entire agreement between the parties. The responsibilities may be met in the following
ways: the [agency] carries out its examining activities through one or more Delegated Examining Units
(hereinafter referred to as DEUs), and/or the [agency] contracts with OPM to carry out its examining
activities. In other words, the [agency] may carry out all its examining activities itself, contract with OPM
to carry out all its examining activities, or carry out some examining activities through its DEU(s) and
contract with OPM to perform other examining activities. The [agency] recognizes that it may, but is not
obligated to, contract with OPM to provide examining activities on a reimbursable basis. Authorities for
such an agreement are 5 U.S.C. S 1304(e)(1) and 31 U.S.C. S 1535.
A-7
1. OPM Responsibilities
OPM shall:
a. Provide operating guidelines and basic technical assistance, to the extent possible, if
requested.
b. Perform initial certification and periodic recertification of DEUs. OPM may suspend or revoke
this delegation if certification requirements are not met.
c.
Provide job seekers with up-to-date information about job opportunities and application
procedures through the government-wide automated employment information systems--the
Career America Connection telephone system, the Federal Job Opportunities Board (FJOB)
computer bulletin board, and the Federal Job Information Computer touch screen kiosk.
d. Make final decisions on:
(i)
Adverse suitability determinations, unless OPM has delegated to the head of the [agency]
authority to adjudicate such determinations, in accordance with OPM's suitability
regulations at 5 CFR Part 731 et seg.
(ii)
All adverse medical determinations of preference eligibles. (5 CFR S 339.306)
(iii) All objections based on qualifications which would result in the passover of a compensable
(CP) eligible with a disability of 30% or more. (5 U.S.C. S 3318)
e. Establish and maintain an oversight program to ensure that activities under any authority
delegated under 5 U.S.C. S 1104(a) are in accordance with the merit system principles and the
standards established under 5 U.S.C. S 1104(b)(1) and support mission accomplishment. Any
actions contrary to any law, rule, regulation, or any OPM established standard shall be corrected
as required by OPM. (5 U.S.C. S 1104(c))
2. Agency Responsibilities
The [Agency] shall:
a. Ensure adequate competition for positions in the competitive service by recruiting adequate
numbers of well-qualified candidates for consideration.
(I)(a) Provide public notice of the opportunity to compete. As required under 5 U.S.C. SS 3327
and 3330, all jobs must be listed in the Federal Jobs Data Base. Jobs, with complete text
vacancy announcements, should be entered directly into the data base through the data entry
program available on the Federal Job Opportunities Board (FJOB). Entry of jobs in OPM’s
Federal Jobs Data Base fulfills the requirement to notify State Employment Services offices of
the vacancy. OPM electronically transmits this information to State Employment offices
nationwide.
(I)(b) Determinations of appropriate public notice areas and length of open periods for receipt
of applications are made by considering the nature of the positions covered by the examination,
their career potential, and the mobility/availability characteristics of the appropriate labor market.
However, announcement open periods must be for a minimum of five business days with
applications being accepted based on their postmark date.
A-8
(II)(c) Public notice should be expanded if it is anticipated that normal recruiting would result
in an insufficient number of quality eligibles. This may be done through longer open periods,
broader areas of publicity, and/or specific recruitment activities designed to positively attract
applicants. This could include paid advertising, commercial recruiting firms, and nonprofit
employment services.
(ii) Distribute application materials to applicants.
b. Respond to correspondence/inquiries including requests for information covered under the
provisions of the Freedom of Information Act and the Privacy Act.
c.
Develop applicant appraisal procedures (rating schedules/job element standards). (5 CFR Part
300, Subpart A.) Technical standards of the Uniform Guidelines on Employee Selection
Procedures must also be met if there is adverse impact as defined in the Guidelines.
(I) Standards in the Operating Handbook, Qualification Standards for General Schedule
Positions, may not be modified without prior OPM approval unless otherwise provided for in the
General Policies and Instructions.
(ii) Personality and similar tests may not be used without prior OPM approval.
d. Develop supplemental qualifications statement forms when necessary. (See item o in this part
for general information on required OMB clearances.) Personally sensitive background
questions, such as those dealing with political affiliations or religious beliefs, shall not be asked.
(5 CFR S 4.2)
e. Rate applications, notify applicants of assigned ratings, and provide a procedure for applicants
to request reconsideration of their ratings. The same procedure may be incorporated into the
agency administrative grievance system or alternative dispute resolution system and used for
agency employed applicants who grieve an assigned rating.
(i) Rating decisions are not appealable to OPM.
(ii) Issues involving ineligibility based upon suitability considerations shall be referred to OPM
for review and final approval, unless OPM has delegated to the head of the [agency] authority
to adjudicate suitability determinations, in accordance with OPM's suitability regulations at 5
CFR Part 731 et sect.
(iii) Ineligible determinations on preference eligibles based on medical considerations must be
referred to OPM for review and final approval.
(iv) Make determinations on veteran preference claims, including claims for spouse or mother
preference based on the service-connected disability of a veteran.
f.
Administer and score written tests.
g. Issue certificates of eligibles, audit certificates, and establish objection/passover
procedures. OPM will retain final approval authority on:
(i) Objections/passovers based on suitability considerations as provided in item e.(ii),
above.
A-9
(ii) Objections/passovers based on medical considerations of preference eligibles (5 CFR S
339.306).
(iii) Objections based on qualifications which would result in the passover of a Compensable
Preference eligible with a disability of 30% or more. (5 U.S.C. 3318)
h. Apply veterans preference provisions of Title 5, United States Code, including:
-
5 U.S.C. S 3305
5 U.S.C. S 3309
5 U.S.C. S 3311
5 U.S.C. S 3313
5 U.S.C. S 3314
5 U.S.C. S 3315
(competitive service; examinations; when held)
(additional points for examinations)
(examining credit for military service)
(register order of eligibles)
(restoration to the register of preference eligibles who resign)
(restoration to the register of preference eligibles who have been
furloughed or separated)
5 U.S.C. S 3317 (certification and selection from top-three register eligibles)
I.
Approve selective and quality-ranking factors.
j.
Make determinations on conversion to career or career- conditional appointment. (5 CFR S
315.703)
k.
Make determinations on exceptions to the time-in-grade restriction when an employee is within
reach on a register for competitive appointment to the position to be filled. (5 CFR S 300.603)
I.
Make determinations on exceptions to time-after- competitive appointment restriction. (5 CFR
S 330.505)
m. Operate its examining activities in conformance with the agency's career transition assistance
plan.
n. Provide for a procedure whereby examining unit employees notify their supervisor in writing
when they intend to apply for a position covered by this agreement. Employees must give
similar notice if they know that a relative, or a member of their household intends to apply. Such
employees should be appropriately monitored or segregated from the examining and
certification process. This includes subject matter experts who participate in the development
of standards or ranking of candidates.
o. Develop and print any forms necessary for examining operations. Forms that collect information
directly from the public must be cleared with the Office of Management and Budget (OMB). (See
5 CFR Part 1320 or Standard Form 83-A.)
p. Ensure that maintenance of the records used to implement the delegation of authority, that are
maintained as a system of records subject to the Privacy Act, is consistent with OPM's
Government-wide system of records (OPM/GOVT-5) and the Privacy Act. Any request for
changes to the OPM system notices or regulations may be submitted, through the agency
headquarters, to the Associate Director for Employment Service, Office of Personnel
Management, Washington, DC, 20415.
q. Adhere to OPM's schedule of records retention/disposition.
A - 10
r.
Provide quarterly reports to OPM on such measures as will be required by OPM to fulfill its
oversight responsibility. At a minimum, these measures include:
(i)
Total applications processed,
(ii)
Total selections, including selections for temporary positions, and
(iii) Certification that the required annual audit has been completed. (See item u below.)
s.
Take such action as OPM may require to correct an action that OPM has found to be contrary
to any law, rule, regulation, or any OPM established standard. (5 U.S.C. S 1104(c))
t.
Conduct annual audits of DEU activities using non-DEU staff and certify completion of the audit
to OPM. The [agency] must maintain a list of all discrepancies and corrective actions for a
period of three years after the audit.
u. Establish and maintain an internal accountability system designed to assure that the use of
delegated examining authorities is in compliance with law and merit system principles. This
system will be subject to regular periodic management review by OPM.
v. Must continue to comply with the data collection and reporting requirements under the Luevano
Consent Decree.
F. CERTIFICATION OF DELEGATED EXAMINING UNITS
1. The [agency] shall provide OPM with the location of its proposed DEU(s) on the attached
certification form. The [agency] must send the certification form to the appropriate OPM service
center. Certification of the DEU by OPM must be completed before the unit begins to function.
2. Employees of the DEU shall be trained by OPM prior to performing their duties as members of the
DEU.
3. If administering OPM written tests, the [agency] test administrators must be trained and certified
by OPM.
4. OPM will recertify the DEUs at regularly scheduled time frames to be determined by OPM.
G. TERMINATION, SUSPENSION OR REVOCATION
1. This agreement may be terminated at any time by either party with 90 days advance notice to OPM.
In such cases, the [agency] would not be able to fill positions using competitive examining
procedures.
2. Certification of an Individual DEU may be revoked or suspended at any time by OPM.
H. AMENDMENT OR MODIFICATION
Any amendment or modification of this agreement must be in writing and agreed to by both OPM
and the [agency]. This agreement will automatically be renewed each fiscal year unless a termination
notice is provided by one party to the other party.
A - 11
II. Terms and Conditions for OPM Providing Examining services and other Staffing Related
Services on a Reimbursable Basis
Should the [agency] request OPM to provide any examining and/or other staffing related services on a
reimbursable basis, the following terms and conditions apply. Signature of this delegation agreement
constitutes agreement with these terms in the event that the [agency] requests OPM to perform
reimbursable services.
A. AUTHORITY
Examining services are authorized under the provision of 5 U.S.C. S 1104, as amended by P.L. No.
104-52 (1995). Other staffing related services are authorized under the provision of 5 U.S.C. S 1304.
1. SERVICES COVERED
Under this agreement OPM agrees to provide examining and/or other staffing-related services as
specified on OPM Form 1616, or other funding document, for the prices listed in the official OPM
Service and Pricing Guide for the current fiscal year.
2. FUNDING FOR THE AGREEMENT
Upon execution of a funding document, an agreed upon dollar amount will be obligated to OPM.
OPM shall notify the [agency] in writing on a monthly or other agreed upon basis of the costs
incurred.
3. DISPUTES AND TERMINATION
In the event the [agency] wishes to terminate the initiation of an action request, it must do so in
writing to the appropriate OPM service center.
Termination of an agreement for reimbursable services by either party must be provided to the other
party in writing 90 days prior to the effective date of the termination. The [agency]'s notice of
termination is to be addressed to the Director, Washington Service Center, OPM, 1900 E Street NW,
Washington, DC 20415. If termination of an agreement is to occur prior to the end of the fiscal year,
OPM will be entitled to retain sufficient funds as necessary to cover the expenses incurred for
terminating the agreement and will provide a final accounting of those expenses to the [agency] 60
days after receipt of the
termination notice. Upon termination of the agreement prior to the end
of the fiscal year, all of the [agency]'s funds not obligated prior to the termination notice will be
returned to the [agency] 30 days after the termination.
A - 12
4. AMENDMENTS OR MODIFICATIONS OF THE AGREEMENT
Any amendments or modifications of the agreement must be in writing and agreed to by both OPM
and the [agency]. If OPM needs to modify the prices agreed upon, then OPM will notify the other
party 90 days in advance of the proposed change. The other party must respond to the proposed
change in writing within 45 days of receipt of the proposed change.
______________________________
(Signature)
Office of Personnel Management
______________________________
(Signature)
[Full agency name]
______________________________
(Date)
______________________________
(Date)
B-1
APPENDIX B
POSITIONS COVERED UNDER THE LUEVANO CONSENT DECREE
(Commonly Referred to as ACWA Positions)
SERIES
POSITION TITLES
0011 Bond Sales Promotion
0018 Safety and Occupational Health
Management
0020 Community Planning*
0023 Outdoor Recreation Planning
0025 Park Ranger
0028 Environmental Protection Specialist
0080 Security Administration
0101 Social Science* **
0105 Social Insurance Administration
0106 Unemployment Insurance
0107 Health Insurance Administration
0110 Economics*
0130 Foreign Affairs*
0131 International Relations*
0132 Intelligence
0140 Manpower Research and Analysis*
0142 Manpower Development
0150 Geography*
0170 History*
0180 Psychology*
0184 Sociology*
0187 Social Services
0190 General Anthropology*
0193 Archeology*
0201 Personnel Management
0205 Military Personnel Management
0212 Personnel Staffing
0221 Position Classification
0222 Occupational Analysis
0223 Salary and Wage Administration
0230 Employee Relations
0233 Labor Relations
0235 Employee Development
0244 Labor Management Relations Examining
0246 Contractor Industrial Relations
0249 Wage and Hour Compliance
0270 Federal Retirement Benefits
0301 Miscellaneous Administration and
Program**
0334 Computer Specialist
(Trainee, Alternative B Qualifications)
0341 Administrative Officer
SERIES
POSITION TITLES
0343 Program Management and Program
Analysis
0346 Logistics Management
0391 Telecommunications Specialist
0501 Financial Administration and Programs**
0526 Tax Technician
0560 Budget Analysis
0570 Financial Institution Examining
0673 Hospital Housekeeping Management
0685 Public Health Program Specialist
0950 Paralegal Specialist
0958 Pension Law Specialist
0962 Contact Representative
0965 Land Law Examining
0967 Passport and Visa Examining
0987 Tax Law Examining
0990 General Claims Examining
0991 Worker's Compensation Claims
Examining
0993 Railroad Retirement Claims Examining
0994 Unemployment Compensation Claims
Examining
0996 Veterans Claims Examining
1001 General Arts and Information**
1015 Museum Management (Curator)*
1035 Public Affairs
1082 Writing and Editing
1083 Technical Writing and Editing
1101 General Business and Industry**
1102 Contracting Series*
1103 Industrial Property Management
1104 Property Disposal
1130 Public Utilities Specialist
1140 Trade Specialist
1145 Agricultural Program Specialist
1146 Agricultural Marketing
1147 Agricultural Market Reporting
1150 Industrial Specialist
1160 Financial Analysis
1163 Insurance Examining
1165 Loan Specialist
1169 Internal Revenue officer
1170 Realty
1171 Appraising
B-2
SERIES
1173
1176
1412
1420
1421
1654
1701
1715
1720
1801
1810
1811
1812
1816
1831
1854
1864
1889
1890
1910
2001
2003
2010
2030
2032
2050
2101
2110
2125
2130
2150
POSITION TITLES
Housing Management Specialist
Building Management
Technical Information Services
Archivist*
Archives Specialist
Printing Management Specialist*
General Education and Training* **
Vocational Rehabilitation
Educational Program*
General Inspection, Investigation, and
Compliance**
[Restricted to following positions and
agencies:
Civil Aviation Security Specialist (FAA
Only)
Center Adjudication Officer (INS Only)
District Adjudication Officer (INS Only)]
General Investigator**
Criminal Investigator**
Game Law Enforcement
Immigration Inspection
Securities Compliance Examining
Alcohol, Tobacco, and Firearms
Inspection
Public Health Quarantine Inspection
Import Specialist
Customs Inspection
Quality Assurance Specialist
General Supply**
Supply Program Management
Inventory Management
Distribution Facilities and Storage
Management
Packaging
Supply Cataloging
Transportation Specialist**
Transportation Industry Analysis
Highway Safety
Traffic Management
Transportation Operations
* Series have specific educational
requirements
**For positions formerly covered under the
Professional and Administrative Careers
Examination.
C-1
APPENDIX C
INSTRUCTIONS FOR COMPLETING COMPETENCY/KSA-BASED
JOB ANALYSIS AND RATING SCHEDULE DEVELOPMENT
There are a number of valid approaches to job analysis. The method described below provides one
model. Agencies are free to choose the specific method they will use, provided that it is consistent with
the Uniform Guidelines on Employee Selection Procedures and applicable laws and regulations.
Job Analysis
Step 1. Rating the Tasks
Use the Job Analysis Worksheet for Tasks to list tasks that are required to perform successfully in the job
based on job information collected and/or SME input, along with the source of that information.
(Note: OPM has collected occupational analysis data on 67 clerical/technical occupations, 105
administrative/professional occupations, and on supervisors, managers, and executives. Included in this
appendix for your use are the tasks, competencies, and lists of occupations covered in these studies.
These sources provide consistent wording on many tasks and competencies/KSAs that are required for
successful performance in many jobs. The Competency-Based Job Profiles, being developed as a
replacement for the Qualifications Standards, will provide information on general and technical
competencies for occupations and job families and will be integrated with the new Job Family
Classification Standards, which will provide the task and work activity information. Together, these
documents will provide valuable information in an integrated format.)
Next, have subject matter experts (SMEs) rate the tasks on the importance and frequency scales. (Note
the scales shown on the worksheets are examples of scales that have been used in past job analyses.
Alternative scales are provided at the end of this appendix.) The SMEs should work independently first to
rate each task on the two scales. Then their ratings should be averaged to produce an overall rating for
each task for each scale. Before averaging the ratings, eliminate tasks that were rated as “Not
Performed” on either the importance or frequency scale by at least half of the SMEs. Of the tasks that
remain, compute an average rating (excluding any “0=Not Performed” ratings from the average) across
SMEs for each task on each scale. Then identify which tasks are critical for the job. This involves
determining cutoffs for both the importance and frequency scales. A recommended cutoff is 3.0 or above
for both scales. (This will vary by the scale used, depending on the anchors associated with each scale
rating.) That is, tasks that, on average, were rated 3.0 or above on both importance and frequency are
considered critical for the job.
Step 2. Rating the KSAs/Competencies
Use the Job Analysis Worksheet for Competencies to list competencies that are required to perform
successfully in the job based on the job information collected and/or SME input, along with the source of
that information.
Competencies should be stated simply and clearly and should embody a single, readily identifiable
characteristic. It is important to avoid stating a competency in ways that confuse competencies and tasks
-- as frequently happens when competency statements begin with a statement such as “Ability to
(perform a task).” It is also a good practice to make the competency definitions behaviorally based so
the extent to which an individual possesses a competency can be assessed through observable,
measurable behaviors. One way to do this is to incorporate action verbs into the competency definitions
C-2
(except for definitions of knowledge areas). Qualifiers such as “Thorough Knowledge, Considerable
Skill, or Basic Understanding” are unnecessary. These qualifiers should not be part of the competency
definition - they do not provide meaningful information to distinguish examples of performance clearly.
The following are examples of well written general and technical competencies:
General Competencies
Interpersonal Skills. Shows understanding, friendliness, courtesy, tact, empathy, concern, and
politeness to others; relates well to people from varied backgrounds and different situations; is
sensitive to cultural diversity, race, gender, and other individual differences in the workforce.
Oral Communication. Expresses ideas and facts to individuals or groups effectively, taking into
account the audience and nature of the information.
Reasoning. Discovers or selects rules, principles, or relationships between facts and other
information; makes correct inferences from available information.
Technical Competencies
Airport Management. Knowledge of airport management principles, practices, and procedures.
Accounting. Knowledge of accounting policies and practices, and the analysis and reporting of
financial data.
Next, have the SMEs rate the competencies on the importance, need at entry, and distinguishing value
scales. (Again, these scales are examples of scales used in past job analyses. Alternative scales are
provided at the end of this appendix.) The SMEs should work independently first to rate each
competency on the three scales. Then their ratings should be averaged to produce an overall rating for
each competency for each scale. Once the SME average ratings are determined, identify which
competencies are critical for the job. This involves determining cutoffs for all three scales.
Recommended cutoffs for the scales shown on the worksheet are 3.0 or above for the importance and
distinguishing value scales, and 2.0 or below on the need at entry scale. (Again, this will vary by the
scale used, depending on the anchors associated with each scale rating.) Competencies that, on
average, meet all three cutoffs are considered critical for the job.
Step 3. Task-Competency Linkages
Use the Worksheet for Task and Competency Linkages to make the linkage ratings. In the Task No.
column, write the numbers of the tasks that were identified as critical in Step 1. Also write the
competency numbers of the critical competencies, identified in Step 2, across the top row. Next, have
each SME work independently to rate the extent to which each competency is important for effective task
performance. Again, SME ratings should be averaged to come up with an overall rating for each taskcompetency linkage. It is recommended that a cutoff of 3.0 be used for this scale to determine which
competencies are linked to each task. (Note, if any tasks/competencies are not linked, the examiner
should reconsider whether all critical tasks and competencies have been considered.) Participants should
then eliminate any tasks not linked to one or more competencies and also competencies that are not
linked to any tasks.
C-3
Rating Schedule Development
Step 4. Identify Competencies for the Rating Schedule
Of the competencies remaining at the end of Step 3, eliminate competencies that cannot be reasonably
assessed via a rating schedule. The resulting competencies would then be considered for assessment.
The next step in the screening process is to review the remaining competencies to determine if any are
so critically important (or critical as determined by one of the other scales) that they should be
considered selective factors, which are essential or mandatory for successful performance of the major
job functions of a position. That is, all applicants considered eligible for the position must possess the
selective factors to be considered eligible for the position and must meet the acceptable level of the
benchmark established for the selective factor in the crediting plan. Competencies identified as quality
ranking factors are important, but may be demonstrated at varying levels of performance. These help to
differentiate the better qualified candidates from the minimally qualified candidates.
Selective factors are determined to be critical to the performance of the job upon entry, and must be
documented. They can also be used as quality ranking factors. If you decide any of the competencies
are so important that they should be deemed selective or quality ranking factors, this must be clearly
documented. A SF-39A, Request and Justification for Selective and Quality Ranking Factors, may be
used for this purpose.
Step 5. Identify Example Accomplishments for Each Competency
Use the Accomplishments Worksheet to record example accomplishments and SME level ratings.
Potential sources of accomplishments include SMEs, job information, past applications, etc.
Accomplishments may come from both work and nonwork related experiences. Next, have SMEs rate
the accomplishments as demonstrating a “high, medium, or low” level of the writing competency, which
is typically done using a 1 to 3 rating. Then average the SME ratings to produce an overall level rating
for each accomplishment. When making these ratings, SMEs should keep in mind that applicants should
possess more in-depth, extensive, varied, and difficult experience at each successive level.
Accomplishments incorporated in rating schedule items or benchmark descriptions should help
differentiate these levels.
Step 6. Write Rating Schedule Items/Benchmarks
If the rating schedule is a closed-ended, automated format, use the Multiple Choice/Yes-No Worksheet
to develop and record rating schedule items for each competency based on the accomplishments
generated in Step 5. If candidates provide written responses to open-ended questions that have to be
manually scored, use the Rating Schedule Benchmark Worksheet to develop and record benchmark
level descriptions and examples for each competency that will be assessed.
Step 7. Scoring
After the rating schedule is developed, the maximum number of points an applicant may receive for
each response must be determined. The SME high/medium/low ratings can be used to help determine
the number of points associated with each item/benchmark level (e.g., You may assign 5 points for a
“high” response, 3 points for a “medium” response, and 1 point for a “low” response. If there are five
competencies and the maximum number of points that can be awarded for each competency is 5, the
maximum number of points an applicant can receive is 25. Therefore, 25 points transmute to a rating of
100.) Appendix F of the Delegated Examining Operations Handbook provides a variety of different
transmutation tables for your use. Determine the raw score and then transmute the raw score to a score
C-4
that falls within 70 to 100 (See CFR 337.101). Appropriate veterans preference points are then added to
those candidates who meet qualification requirements.
C-5
Occupational Analyses Scales
The following scales were developed by OPM for use in MOSAIC surveys. These are examples of
scales that can be used in the job analysis process.
Task Scales
Importance
How important is this task to the job?
Frequency
How often is this task performed?
0
1
2
3
4
5
0
1
2
3
4
5
=
=
=
=
=
=
Not Performed
Not Important
Somewhat Important
Important
Very Important
Extremely Important
=
=
=
=
=
=
Not Performed
Every few months to yearly
Every few weeks to monthly
Every few days to weekly
Every few hours to daily
Hourly to many times each hour
Frequency
Compared to all other tasks you perform,
how much time do you spend performing
this task?
0
1
2
3
4
5
=
=
=
=
=
=
Not Performed
Considerably Less Than Most Tasks
Somewhat Less Than Most Tasks
Same As Most Tasks
Somewhat More Than Most Tasks
Considerably More Than Most Tasks
Competency Scales
Importance
How important is this competency performance?
Distinguishing Value
How valuable is this competency for effective job
distinguishing superior from barely acceptable
employees?
1
2
3
4
5
1
2
3
4
5
=
=
=
=
=
Not Important
Somewhat Important
Important
Very Important
Extremely Important
=
=
=
=
=
Not Valuable
Somewhat Valuable
Valuable
Very Valuable
Extremely Valuable
Need At Entry
When is this competency required for effective
job performance?
Need At Entry
To what extent is it necessary that the employee
possess this competency when entering the job?
1
2
3
4
1 = Essential at Entry because those who do not
possess it will not acquire it through training
or experience
2 = Desirable at Entry because those who
possess it develop competence more readily
3 = Not Need at Entry because it is acquired
through training or experience
=
=
=
=
Needed the first day
Must be acquired within the first 3 months
Must be acquired within the first 4 - 6 months
Must be acquired after the first 6 months
C-6
CLERICAL/TECHNICAL STUDY OCCUPATIONS
CLERICAL
Series
0072
0086
0134
0203
0204
0302
0303
0304
0305
0309
0312
0313
0318
0319
0322
0326
0335
0344
0350
0351
0356
0357
0382
0394
0503
0525
0530
0540
0544
0545
0561
0592
0679
0963
0986
0998
1001
1046
1087
1101
1106
1107
1421
1531
1802
1897
Position Title
Fingerprint Identification
Security Clerical and Assistance
Intelligence Aid and Clerk
Personnel Clerical And Assistance
Military Personnel Clerical and Technician
Messenger
Miscellaneous Clerk and Assistant
Information Receptionist
Mail and File
Correspondence Clerk
Clerk-Stenographer and Reporter
Work Unit Supervising
Secretary
Closed Microphone Reporting
Clerk-Typist
Office Automation Clerical and Assistance
Computer Clerk and Assistant
Management Clerical and Assistance
Equipment Operator
Printing Clerical
Data Transcriber
Coding
Telephone Operating
Communications Clerical
Financial Clerical and Assistance
Accounting Technician
Cash Processing
Voucher Examining
Civilian Pay
Military Pay
Budget Clerical and Assistance
Tax Examining
Medical Clerk
Legal Instruments Examining
Legal Clerk and Technician
Claims Clerical
General Arts and Information
Language Clerical
Editorial Assistance
General Business and Industry
Procurement Clerical and Assistance
Property Disposal Clerical and Technician
Archives Technician
Statistical Assistant
Compliance Inspection and Support
Customs Aid*
Series
2001
2005
2091
2102
2131
2132
2134
2151
Position Title
General Supply
Supply Clerical and Technician
Sales Store Clerical
Transportation Clerk and Assistant
Freight Rate
Travel
Shipment Clerical and Assistance
Dispatching
TECHNICAL
0019
0029
0119
0189
0332
0361
0390
0392
0593
0675
0962
0990
0992
1016
1105
1152
1411
1521
1702
1862
1981
2135
2144
Safety Technician*
Environmental Protection Assistant
Economic Assistant*
Recreation Aid and Assistant*
Computer Operations
Equal Opportunity
Telecommunications Processing
General Telecommunications
Insurance Accounts*
Medical Records Technician
Contact Representative
General Claims Examining
Loss and Damage Claims Examining*
Museum Specialist and Technician
Purchasing
Production Control
Library Technician
Mathematics Technician*
Education and Training Technician
Consumer Safety Inspection*
Agricultural Commodity Aid*
Transportation Loss and Damage Claims
Examining
Cargo Scheduling*
*Data were not analyzed or reported for this
occupation due to an insufficient number of
respondents.
C-7
105 PROFESSIONAL/ADMINISTRATIVE OCCUPATIONS SURVEYED AND ANALYZED
Series
0011
0018
0020
0023
0025
0028
0080
0101
0105
0106
0110
0130
0132
0142
0150
0170
0180
0184
0187
0190
0193
0201
0205
0212
0221
0222
0223
0230
0233
0235
0244
0246
0249
0270
0301
0334
0341
0343
0346
0360
0391
0501
0510
0511
0560
0570
0685
0801
0905
Position Title
Bond Sales Promotion
Safety and Occupational Health Management
Community Planning
Outdoor Recreation Planning
Park Ranger
Environmental Protection Specialist
Security Administration
Social Science
Social Insurance Administration
Unemployment Insurance
Economist
Foreign Affairs
Intelligence
Manpower Development
Geography
History
Psychology
Sociology
Social Services
General Anthropology
Archaeology
Personnel Management
Military Personnel Management
Personnel Staffing
Position Classification
Occupational Analysis
Salary and Wage Administration
Employee Relations
Labor Relations
Employee Development
Labor Management Relations Examining
Contractor Industrial Relations
Wage and Hour Compliance
Civil Service Retirement
Miscellaneous Administration and Programs
Computer Specialist (Trainee)
Administrative Officer
Management Program Analysis
Logistics Management
Equal Opportunity Specialist
Telecommunications
Financial Admin. and Programs
Accountant
Auditor
Budget Analysis
Financial Institution Examining
Public Health Program Specialist
General Engineer
General Attorney
Series
0950
0962
0965
0987
0990
0991
0993
0996
1001
1015
1035
1082
1083
1101
1102
1103
1104
1130
1140
1145
1146
1147
1150
1160
1163
1165
1170
1171
1173
1176
1301
1412
1420
1421
1530
1701
1715
1720
1801
1810
1811
1812
1816
1831
1910
2001
2003
2010
Position Title
Paralegal Specialist
Contact Representative
Land Law Examining
Tax Law Specialist
General Claims Examining
Worker's Compensation Claims Examining
Railroad Retirement Claims Examining
Veterans Claims Examining
General Arts and Information
Museum Curator
Public Affairs
Writing and Editing
Technical Writing and Editing
General Business and Industry
Contract Specialist
Industrial Property Management
Property Disposal
Public Utilities Specialist
Trade Specialist
Agricultural Program Specialist
Agricultural Marketing
Agricultural Market Reporting
Industrial Specialist
Financial Analysis
Insurance Examining
Loan Specialist
Realty
Appraising and Assessing
Housing Management
Building Management
Physical Scientist
Technical Information Services
Archivist
Archives Specialist
Statistician
General Education and Training
Vocational Rehabilitation
Education Program
Civil Aviation Security Specialist
General Investigator
Criminal Investigator
Game Law Enforcement
Immigration Inspection
Securities Compliance Examining
Quality Assurance Specialist
General Supply
Supply Program Management
Inventory Management
C-8
Series
Position Title
2030
Distribution Facilities and Storage
Management
Packaging
Supply Cataloging
Transportation Specialist
Transportation Industry Analysis
Highway Safety Management
Traffic Management
Transportation Operations
2032
2050
2101
2110
2125
2130
2150
C-9
MOSAIC COMPETENCIES: CLERICAL AND TECHNICAL OCCUPATIONS
Applies Technology to Tasks - Selects and understands
procedures, machines, or tools that will produce the
desired results; identifies or solves problems in machines,
computers, or other technologies as they are related to
performing tasks.
Arithmetic/Mathematical Reasoning - Performs
computations such as addition, subtraction, multiplication,
and division correctly; solves practical problems by
choosing appropriately from a variety of mathematical
techniques such as formulas and percentages.
Conscientiousness - Displays a high level of effort and
commitment toward performing work; demonstrates
responsible behavior.
Creative Thinking - Uses imagination to combine ideas
or information in new ways.
Customer Service - Works and communicates with
clients and customers (for example, any individuals who
use or receive the services or products that your work unit
provides, including individuals who work in your agency or
in other agencies or organizations outside the
Government) to satisfy their expectations; committed to
quality services.
Decision Making - Specifies goals and obstacles to
achieving those goals, generates alternatives, considers
risks, and evaluates and chooses the best alternative in
order to make a determination, draw conclusions or solve
a problem.
Eye-Hand Coordination - Accurately coordinates one's
eyes with one's fingers, wrist, or arms to move, carry, or
manipulate objects, or to perform other job-related tasks.
Flexibility - Adapts quickly to changes.
Integrity/Honesty - Displays high standards of ethical
conduct and understands the impact of violating these
standards on an organization, self, and others; chooses an
ethical course of action; is trustworthy.
Interpersonal Skills - Shows understanding, friendliness,
courtesy, tact, empathy, cooperation, concern, and
politeness to others; relates well to different people from
varied backgrounds and different situations.
Memory - Recalls information that has been presented
previously.
Mental Visualization - Sees things in the mind by
mentally organizing and processing symbols, pictures,
graphs, objects, or other information. For example, sees
a building from a blueprint, or sees the flow of work
activities from reading a work plan.
Negotiation - Works with others towards an agreement
that may involve exchanging specific resources or
resolving differences.
Organizational Awareness - Knows how social, political,
organizational, and technological systems work and
operates effectively within them. This includes the
policies, procedures, rules, and regulations of the work
unit or organization.
Perceptual Speed - Sees detail in words, numbers,
pictures, and graphs quickly and accurately.
Physical Strength and Agility - Ability to bend, lift,
climb, stand, and walk for long periods of time; ability to
perform moderately heavy laboring work.
Reading - Learns from written material by determining the
main idea or essential message. Recognizes correct
English grammar, punctuation, and spelling.
Reasoning - Discovers or selects rules, principles, or
relationships between facts and other information.
Self-Esteem - Believes in own self-worth, maintains a
positive view of self, and displays a professional image.
Self-Management - Sets well-defined and realistic
personal goals; monitors progress and is motivated to
achieve; manages own time and deals with stress
effectively.
Speaking - Uses correct English grammar to organize
and communicate ideas in words that are appropriate to
listeners and situations; uses body language appropriately.
Stamina - Performs repetitive tasks effectively over a
long period of time, for example, data entry and coding.
Leadership - Interacts with others to influence, motivate,
and challenge them.
Teaches Others - Helps others learn; identifies training
needs; provides constructive reinforcement; coaches
others on how to perform tasks; acts as a mentor.
Listening - Receives, attends to, interprets, and responds
to verbal messages and other cues such as body
language in ways that are appropriate to listeners and
situations.
Teamwork - Encourages and facilitates cooperation,
pride, trust, and group identity; fosters commitment and
team spirit; works with others to achieve goals.
Manages and Organizes Information - Identifies a need;
gathers, organizes, and maintains information; determines
its importance and accuracy; and communicates it by a
variety of methods.
Manages Human Resources - Plans, distributes, and
monitors work assignments; evaluates work performance
and provides feedback to others on their performance.
Technical Competence - Knowledge of how to perform
one's job. Refers to specialized knowledge that is
acquired through formal training or extensive on-the-job
experience.
Writing - Uses correct English grammar, punctuation, and
spelling to communicate thoughts, ideas, information, and
messages in writing.
Manages Resources - Selects, acquires, stores, and
distributes resources such as materials, equipment, or
money.
C - 10
MOSAIC COMPETENCIES: PROFESSIONAL AND ADMINISTRATIVE OCCUPATIONS
General Competencies
Agility - Bends, stretches, twists, or reaches out with the
body, arms, or legs.
maintains information or information management
systems.
Arithmetic - Performs computations such as addition,
subtraction, multiplication, and division correctly using
whole numbers, fractions, decimals, and percentages.
Integrity/Honesty - Contributes to maintaining the
integrity of the organization; displays high standards of
ethical conduct and understands the impact of violating
these standards on an organization, self, and others; is
trustworthy.
Attention to Detail - Is thorough when performing work
and conscientious about attending to detail.
Conflict Management - Manages and resolves conflicts,
grievances, confrontations, or disagreements in a
constructive manner to minimize negative personal
impact.
Creative Thinking - Uses imagination to develop new
insights into situations and applies innovative solutions to
problems; designs new methods where established
methods and procedures are inapplicable or are
unavailable.
Customer Service - Works with clients and customers
(that is, any individuals who use or receive the services or
products that your work unit produces, including the
general public, individuals who work in the agency, other
agencies, or organizations outside the Government) to
assess their needs, provide information or assistance,
resolve their problems, or satisfy their expectations; knows
about available products and services; is committed to
providing quality products and services.
Decision Making - Makes sound, well-informed, and
objective decisions; perceives the impact and implications
of decisions; commits to action, even in uncertain
situations, to accomplish organizational goals; causes
change.
Depth Perception - Accurately judges which of several
objects is closer or farther away from the observer, or the
distance between an object and the observer.
External Awareness - Identifies and understands
economic, political, and social trends that affect the
organization.
Eye-Hand Coordination - Accurately coordinates one's
eyes with one's fingers, wrists, or arms to perform jobrelated tasks (for example, to move, carry, or manipulate
objects).
Financial Management - Prepares, justifies, and/or
administers the budget for program areas; plans,
administers, and monitors expenditures to ensure costeffective support of programs and policies; assesses
financial condition of an organization.
Flexibility - Is open to change and new information;
adapts behavior or work methods in response to new
information, changing conditions, or unexpected
obstacles; effectively deals with ambiguity.
Influencing/Negotiating - Persuades others to accept
recommendations, cooperate, or change their behavior;
works with others towards an agreement; negotiates to
find mutually acceptable solutions.
Interpersonal Skills - Shows understanding, friendliness,
courtesy, tact, empathy, concern, and politeness to others;
develops and maintains effective relationships with others;
may include effectively dealing with individuals who are
difficult, hostile, or distressed; relates well to people from
varied backgrounds and different situations; is sensitive to
cultural diversity, race, gender, disabilities, and other
individual differences.
Leadership - Influences, motivates, and challenges
others; adapts leadership styles to a variety of situations.
Learning - Uses efficient learning techniques to acquire
and apply new knowledge and skills; uses training,
feedback, or other opportunities for self-learning and
development.
Managing Human Resources - Plans, distributes,
coordinates, and monitors work assignments of others;
evaluates work performance and provides feedback to
others on their performance; ensures that staff are
appropriately selected, utilized, and developed, and that
they are treated in a fair and equitable manner.
Mathematical Reasoning - Solves practical problems by
choosing appropriately from a variety of mathematical and
statistical techniques.
Memory - Recalls information that has been presented
previously.
Mental Visualization - Sees things in the mind by
mentally organizing and processing symbols, pictures,
graphs, objects, or other information (for example, sees a
building from a blueprint, or sees the flow of work
activities from reading a work plan).
Oral Communication - Expresses information (for
example, ideas or facts) to individuals or groups
effectively, taking into account the audience and nature of
the information (for example, technical, sensitive,
controversial); makes clear and convincing oral
presentations; listens to others, attends to nonverbal cues,
and responds appropriately.
Organizational Awareness - Knows the organization’s
mission and functions, and how its social, political, and
technological systems work and operates effectively within
them; this includes the programs, policies, procedures,
rules, and regulations of the organization.
Perceptual Speed - Quickly and accurately sees detail in
words, numbers, pictures, and graphs.
Peripheral Vision - Sees objects or movement of objects
to one’s side when the eyes are focused forward.
Information Management - Identifies a need for and
knows where or how to gather information; organizes and
C - 11
General Competencies (Continued)
Physical Strength - Exerts maximum muscle force to lift,
push, pull, or carry objects; performs moderately laboring
work.
Planning and Evaluating - Organizes work, sets priorities,
and determines resource requirements; determines short- or
long-term goals and strategies to achieve them; coordinates
with other organizations or parts of the organization to
accomplish goals; monitors progress and evaluates
outcomes.
Problem Solving - Identifies problems; determines
accuracy and relevance of information; uses sound
judgment to generate and evaluate alternatives, and to
make recommendations.
Reading - Understands and interprets written material,
including technical material, rules, regulations, instructions,
reports, charts, graphs, or tables; applies what is learned
from written material to specific situations.
Reasoning - Identifies rules, principles, or relationships that
explain facts, data, or other information; analyzes
information and makes correct inferences or draws accurate
conclusions.
Self-Esteem - Believes in own self-worth; maintains a
positive view of self and displays a professional image.
Self-Management - Sets well-defined and realistic personal
goals; displays a high level of initiative, effort, and
commitment towards completing assignments in a timely
manner; works with minimal supervision; is motivated to
achieve; demonstrates responsible behavior.
Spatial Orientation - Knows one’s location in relation to the
environment; determines where other objects are in relation
to one’s self (for example, when using a map).
Stamina - Exerts oneself physically over long periods of
time without tiring (which may include performing repetitive
tasks such as data entry or coding).
Teaching Others - Helps others learn through formal or
informal methods; identifies training needs; provides
constructive feedback; coaches others on how to perform
tasks; acts as a mentor.
Technical Competence - Uses knowledge that is acquired
through formal training or extensive on-the-job experience
to perform one's job; works with, understands, and evaluates
technical information related to the job; advises others on
technical issues.
Teamwork - Encourages and facilitates cooperation, pride,
trust, and group identity; fosters commitment and team
spirit; works with others to achieve goals.
Technology Application - Uses machines, tools, or
equipment effectively; uses computers and computer
applications to analyze and communicate information in the
appropriate format.
Vision - Understands where the organization is headed and
how to make a contribution; takes a long-term view and
recognizes opportunities to help the organization accomplish
its objectives or move toward the vision.
Visual Color Discrimination - Accurately matches or
detects differences between colors, including shades of color
and brightness.
Visual Identification - Accurately identifies people,
animals, or objects based on knowledge of their
characteristics.
Writing - Recognizes or uses correct English grammar,
punctuation, and spelling; communicates information (for
example, facts, ideas, or messages) in a succinct and
organized manner; produces written information, which may
include technical material, that is appropriate for the
intended audience.
Stress Tolerance - Deals calmly and effectively with high
stress situations (for example, tight deadlines, hostile
individuals, emergency situations, dangerous situations).
C - 12
Technical Competencies
Administration and Management - Knowledge of
planning, coordination, and execution of business
functions, resource allocation, and production.
language, including the meaning and spelling of words,
rules of composition, and grammar.
Auditing - Knowledge of generally accepted auditing
standards and procedures for conducting financial and
compliance, economy and efficiency, and program results
audits.
Geography - Knowledge of geographical locations, their
relationships and characteristics.
Biology - Knowledge of the environment, plant and
animal living tissue, cells, organisms, and entities,
including their functions, interdependencies and
interactions with each other and the environment.
Building and Construction - Knowledge of materials,
methods, and the appropriate tools to construct objects,
structures, and buildings.
Chemistry - Knowledge of chemicals, including hazardous
materials, and their uses, interactions, dangers,
production, and disposal.
Clerical - Knowledge of filing, typing, entering data,
maintaining records, taking shorthand, and using and
completing forms.
Communications and Media - Knowledge of the
production, communication and dissemination of
information and ideas to inform and entertain via written,
oral, and visual media.
Computers and Electronics - Knowledge of electric
circuit boards, processors, chips, and computer hardware
and software, including applications and programming.
Contracting/Procurement - Knowledge of various types
of contracts, techniques for contracting or procurement,
and contract negotiation and administration.
History and Archeology - Knowledge of historical events
and their causes, indicators, and impact on particular
civilization and cultures, and of preservation and archival
techniques.
Insurance - Knowledge of various types of insurance,
insurance regulations, claims processing, examination,
adjudication, or adjustment.
Legal, Government and Jurisprudence - Knowledge of
laws, legal codes, court procedures, precedents, legal
practices and documents, government regulations,
executive orders, agency rules, government organization
and functions, and the democratic political process.
Mechanical - Knowledge of machines and tools, including
their designs, uses, benefits, repair, and maintenance.
Medicine and Dentistry - Knowledge of the diagnosis and
treatment of injuries, diseases, and deformities, including
preventive health-care measures.
Personnel and Human Resources - Knowledge of hiring,
classification, benefits, labor relations, negotiation, and
federal, state, and local employment regulations.
Philosophy - Knowledge of different philosophical
systems, including their basic principles, values, ethics,
ways of thinking, customs, religions, and practices, and
their impact on human culture.
Design - Knowledge of developing, producing,
understanding, and using plans, blueprints, models, and
maps, including the use of tools and instruments to
produce precision technical drawings.
Physics - Knowledge and prediction of physical principles,
laws, and applications including air, water, material
dynamics, light, atomic principles, heat, electric theory,
earth formations, and meteorological and related natural
phenomena.
Economics and Accounting - Knowledge of economic
and accounting principles and practices, tax law and
practices, the financial markets, banking, and the analysis
and reporting of financial data.
Production and Processing - Knowledge of inputs,
outputs, raw materials, waste, quality control, costs,
maintaining inventory, and techniques for maximizing the
manufacture and distribution of goods.
Education and Training - Knowledge of teaching,
training, research, making presentations, lecturing, testing,
and other instructional methods.
Psychology - Knowledge of human behavior and
performance in various contexts, mental processes, or the
assessment and treatment of behavioral and affective
disorders.
Engineering and Technology - Knowledge of
engineering concepts, principles, and practices, and of
equipment, tools, mechanical devices, and their uses to
produce motion, light, power, technology, and other
applications.
Fine Arts - Knowledge of theory and techniques required
to produce, compose, and perform works of music, dance,
visual arts, drama, and sculpture.
Food Production - Knowledge of planning, growing, and
harvesting of food for consumption using appropriate
equipment and techniques.
Foreign Language - Knowledge of sign language or of
the structure and content of a foreign (non-English)
Public Planning - Knowledge of functions, principles,
practices, and techniques of public planning, including
those related to community planning, outdoor recreation
planning, and natural resource management, such as
demand forecasting, environmental impact analysis,
financial forecasting, and land use planning and zoning.
Public Safety and Security - Knowledge of the military,
weaponry, and intelligence operations; public safety and
security operations; occupational health and safety;
investigation and inspection techniques; or rules,
regulations, precautions, and prevention techniques for the
protection of people, data, and property.
C - 13
Technical Competencies (Continued)
Sales and Marketing - Knowledge of showing,
promoting, and selling products and services.
Sociology and Anthropology - Knowledge of group
behavior and dynamics, societal trends and influences,
cultures, their history, migrations, ethnicity, and origins.
Telecommunications - Knowledge of transmissions,
broadcasting, switching, control, and operation of
telecommunications systems.
Therapy and Counseling - Knowledge of diagnosis
and treatment of physical and mental ailments, and
career guidance.
Transportation - Knowledge of principles and methods
for moving people or goods by air, rail, sea, or road,
including costs and limits.
Real Estate - Knowledge of real estate principles,
practices, markets, and values.
C - 14
1998 LEADERSHIP COMPETENCIES
LEADING CHANGE
The ability to develop and implement an
organizational vision which integrates key national
and program goals, priorities, values, and other
factors. Inherent to it is the ability to balance
change and continuity -- to continually strive to
improve customer service and program
performance within the basic Government
framework, to create a work environment that
encourages creative thinking, and to maintain
focus, intensity, and persistence, even under
adversity.
Continual Learning - Grasps the essence of new
information; masters new technical and business
knowledge; recognizes own strengths and
weaknesses; pursues self-development; seeks
feedback from others and opportunities to master
new knowledge.
Creativity and Innovation - Develops new
insights into situations and applies innovative
solutions to make organizational improvements;
creates a work environment that encourages
creative thinking and innovation; designs and
implements new or cutting-edge
programs/processes.
External Awareness - Identifies and keeps up to
date on key national and international policies and
economic, political, and social trends that affect
the organization. Understands near-term and
long-range plans and determines how best to be
positioned to achieve a competitive business
advantage in a global economy.
Flexibility - Is open to change and new
information; adapts behavior and work methods in
response to new information, changing conditions,
or unexpected obstacles. Adjusts rapidly to new
situations warranting attention and resolution.
Resilience - Deals effectively with pressure;
maintains focus and intensity and remains
optimistic and persistent, even under adversity.
Recovers quickly from setbacks. Effectively
balances personal life and work.
Service Motivation - Creates and sustains an
organizational culture which encourages others to
provide the quality of service essential to high
performance. Enables others to acquire the tools
and support they need to perform well. Shows a
commitment to public service. Influences others
toward a spirit of service and meaningful
contributions to mission accomplishment.
Strategic Thinking - Formulates effective
strategies consistent with the business and
competitive strategy of the organization in a
global economy. Examines policy issues and
strategic planning with a long-term perspective.
Determines objectives and sets priorities;
anticipates potential threats or opportunities.
Vision - Takes a long-term view and acts as a
catalyst for organizational change; builds a shared
vision with others. Influences others to translate
vision into action.
LEADING PEOPLE
The ability to design and implement strategies
which maximize employee potential and foster
high ethical standards in meeting the
organization’s vision, mission, and goals.
Conflict Management - Identifies and takes steps
to prevent potential situations that could result in
unpleasant confrontations. Manages and resolves
conflicts and disagreements in a positive and
constructive manner to minimize negative impact.
Cultural Awareness - Initiates and manages
cultural change within the organization to impact
organizational effectiveness. Values cultural
diversity and other individual differences in the
workforce. Ensures that the organization builds
on these differences and that employees are
treated in a fair and equitable manner.
Integrity/Honesty - Instills mutual trust and
confidence; creates a culture that fosters high
standards of ethics; behaves in a fair and ethical
manner toward others, and demonstrates a sense
of corporate responsibility and commitment to
public service.
Team Building - Inspires, motivates, and guides
others toward goal accomplishments.
Consistently develops and sustains cooperative
working relationships. Encourages and facilitates
cooperation within the organization and with
customer groups; fosters commitment, team spirit,
pride, trust. Develops leadership in others
through coaching, mentoring, rewarding, and
guiding employees.
RESULTS DRIVEN
The ability to stress accountability and continuous
improvement, to make timely and effective
decisions, and to produce results through strategic
planning and the implementation and evaluation of
programs and policies.
Accountability - Assures that effective controls
are developed and maintained to ensure the
integrity of the organization. Holds self and others
accountable for rules and responsibilities. Can be
relied upon to ensure that projects within areas of
specific responsibility are completed in a timely
manner and within budget. Monitors and
evaluates plans; focuses on results and
measuring attainment of outcomes.
C - 15
1998 LEADERSHIP COMPETENCIES (Continued)
Customer Service - Balancing interests of a
variety of clients; readily readjusts priorities to
respond to pressing and changing client demands.
Anticipates and meets the need of clients;
achieves quality end-products; is committed to
continuous improvement of services.
Decisiveness - Exercises good judgment by
making sound and well-informed decisions;
perceives the impact and implications of
decisions; makes effective and timely decisions,
even when data is limited or solutions produce
unpleasant consequences; is proactive and
achievement oriented.
Entrepreneurship - Identifies opportunities to
develop and market new products and services
within or outside of the organization. Is willing to
take risks; initiates actions that involve a
deliberate risk to achieve a recognized benefit or
advantage.
Problem Solving - Identifies and analyzes
problems; distinguished between relevant and
irrelevant information to make logical decisions;
provides solutions to individual and organizational
problems.
Technical Credibility - Understands and
appropriately applies procedures, requirements,
regulations, and policies related to specialized
expertise. Is able to make sound hiring and
capital resource decisions and to address training
and development needs. Understands linkages
between administrative competencies and mission
needs.
BUSINESS ACUMEN
The ability to acquire and administer human,
financial, material, and information resources in a
manner which instills public trust and
accomplishes the organization’s mission, and to
use new technology to enhance decision making.
Financial Management - Demonstrates broad
understanding of principles of financial
management and marketing expertise necessary
to ensure appropriate funding levels. Prepares,
justifies, and/or administers the budget for the
program area; uses cost-benefit thinking to set
priorities; monitors expenditures in support of
programs and policies. Identifies cost-effective
approaches. Manages procurement and
contracting.
Technology Management - Uses efficient and
cost effective approaches to integrate technology
into the workplace and improve program
effectiveness. Develops strategies using new
technology to enhance decision making.
Understands the impact of technological changes
on the organization.
BUILDING COALITIONS/ COMMUNICATION
The ability to explain, advocate, and express facts
and ideas in a convincing manner, and negotiate
with individuals and groups internally and externally.
It also involves the ability to develop an expansive
professional network with other organizations, and
to identify the internal and external politics that
impact the work of the organization.
Influencing/Negotiating - Persuades others; builds
consensus through give and take; gains cooperation
from others to obtain information and accomplish
goals; facilitates "win-win" situations.
Interpersonal Skills - Considers and responds
appropriately to the needs, feelings, and capabilities
of different people in different situations; is tactful,
compassionate and sensitive, and treats others with
respect.
Oral Communication - Makes clear and convincing
oral presentations to individuals or groups; listens
effectively and clarifies information as needed;
facilitates an open exchange of ideas and fosters an
atmosphere of open communication.
Partnering - Develops networks and builds
alliances, engages in cross-functional activities;
collaborates across boundaries, and finds common
ground with a widening range of stakeholders.
Utilizes contacts to build and strengthen internal
support bases.
Political Savvy - Identifies the internal and external
politics that impact the work of the organization.
Approaches each problem situation with a clear
perception of organizational and political reality;
recognizes the impact of alternative courses of
action.
Written Communication - Expresses facts and
ideas in writing in a clear, convincing and organized
manner.
Human Resources Management - Assesses
current and future staffing needs based on
organizational goals and budget realities. Using
merit principles, ensures staff are appropriately
selected, developed, utilized, appraised, and
rewarded; takes corrective action.
C - 16
TASKS USED IN THE CLERICAL/TECHNICAL STUDY
A. PAPER RECORDS OR FILES
1.
2.
3.
4.
5.
6.
Ensures that paper files are current and complete.
Develops paper filing or record system.
Maintains paper filing or record system.
Assembles and labels information for filing.
Adds, retrieves, or removes information from paper files or records.
Categorizes information for filing.
B. INFORMATION TRANSCRIPTION AND VERIFICATION
7.
8.
9.
Writes down information from one document or record to another.
Verifies accuracy and completeness of information on paper or computer documents or records.
Corrects mistakes in written or computer documents or records.
C. INFORMATION MANAGEMENT
10.
11.
12.
13.
14.
15.
16.
Compiles information.
Classifies or catalogs documents, computer tapes, books, or other information.
Organizes information in tables, charts, or graphs.
Analyzes and interprets routine information.
Analyzes and interprets complex information.
Conducts studies or surveys to obtain information.
Searches files, documents or other sources for information.
D. WRITTEN OR ORAL COMMUNICATION
17.
18.
19.
20.
21.
22.
23.
24.
25.
26.
27.
28.
29.
30.
31.
32.
33.
34.
35.
36.
37.
Composes simple correspondence or other written work.
Composes complex correspondence or other written work.
Writes technical reports.
Explains technical information orally.
Writes letters or other documents requiring specialized knowledge.
Proofreads letters or other documents for spelling or typographical errors.
Proofreads letters or other documents for grammatical errors.
Reviews content of letters or other documents for completeness, correctness or consistency.
Prepares materials for publication according to standards.
Designs forms.
Translates orally from a foreign language to English.
Translates written materials from a foreign language to English.
Gives presentations and/or briefings.
Conducts meetings.
Contacts others orally to obtain information.
Contacts others in writing to obtain information.
Responds orally to inquiries or requests for information.
Responds in writing to inquiries or requests for information.
Publicizes agency programs, policies, or procedures.
Notifies and reminds others of pending appointments or meetings.
Follows instructions to complete assignments.
E. DECISIONS AND RECOMMENDATIONS
38.
39.
40.
41.
42.
43.
Establishes own work priorities.
Approves applications, claims, or requests.
Identifies needs or problems and determines corrective action.
Obtains facts for making decisions or recommendations.
Recommends solutions to routine problems.
Recommends solutions to complex problems.
C - 17
F. OFFICE DUTIES
44.
45.
46.
47.
48.
49.
50.
51.
52.
53.
54.
55.
56.
57.
58.
59.
60.
61.
62.
63.
64.
65.
66.
67.
Makes arrangements for meetings or travel.
Completes forms.
Develops own work schedule.
Maintains own or others' calendar or schedules.
Receives or distributes mail.
Prepares outgoing mail.
Makes or receives telephone calls.
Screens calls and decides to whom the caller should be referred.
Transfers telephone calls.
Attends meetings.
Takes notes at meetings.
Prepares minutes of meetings.
Takes shorthand or dictation.
Transcribes shorthand or dictation.
Delivers messages or documents.
Assembles materials for meetings.
Maintains inventory of supplies or equipment.
Distributes supplies or equipment.
Greets and refers visitors.
Checks records, items, or material for damage or problems.
Monitors working conditions and facilities.
Processes incoming forms, records, or other documents.
Makes copies, collates, and/or binds materials.
Traces transactions from the initial request until items have been received.
G. PLANS POLICIES AND PROCEDURES
68.
69.
70.
71.
72.
73.
74.
75.
76.
Evaluates the effectiveness of methods or procedures.
Revises procedures or methods to comply with requirements.
Revises procedures or methods to improve efficiency.
Develops procedures or methods.
Plans or coordinates work activities, projects, or programs.
Reviews letters or documents to determine if they conform with policies or regulations.
Explains policies or procedures.
Provides guidance or assistance on policies or procedures.
Oversees proper implementation of instructions, policies, or procedures.
H. TECHNICAL ASSISTANCE
77.
78.
79.
80.
81.
82.
83.
84.
I.
Testifies or presents evidence.
Administers tests.
Scores tests.
Develops training materials.
Prepares specialized drawings using paper and pencil.
Prepares specialized drawings using the computer.
Codes or decodes information or data.
Provides technical support.
HUMAN RESOURCES
85. Monitors others' work to ensure deadlines are met.
86. Reviews others' work.
87. Provides feedback on others' performance.
88. Provides feedback on work-related matters.
89. Identifies training needs of staff.
90. Orients new employees.
91. Trains others.
92. Develops others' career goals and objectives.
93. Serves as acting supervisor.
94. Provides guidance and direction to other employees.
95. Establishes work priorities for employees.
96. Motivates subordinates and employees.
97. Serves as mentor and role model to staff.
98. Serves as liaison between personnel (inside and outside your own agency), users, clients, and customers.
99. Projects a professional attitude and appearance.
100. Works with others to resolve differences for the benefit of the team or project.
101. Works cooperatively with others to generate ideas/suggestions.
102. Works with others to complete a project.
C - 18
103. Coordinates with others to accomplish work-related activities.
J. EQUIPMENT USE AND MAINTENANCE
104 .Keeps up with new features in office equipment or technology.
105. Arranges for repair of office equipment.
106. Recommends appropriate office equipment.
107. Performs routine maintenance of office equipment.
108. Operates cash register.
109. Diagnoses equipment failure.
110. Repairs equipment.
111. Sets up recording or audio visual equipment.
112. Operates recording or audio visual equipment.
113. Operates microfilm equipment to record, locate, extract, and/or copy information.
114. Operates mailroom equipment.
115. Operates telecommunications equipment (for example, TeleVideo conferencing, voice mail, conference calls,
speed mail, FTS-2000).
116. Operates standard office equipment (for example, telephone, typewriter, fax, photocopier, calculator).
K. DOCUMENT PREPARATION
117. Uses a keyboard to prepare letters or other documents.
118. Formats letters or other documents (for example, setting margins or line spacing).
L. SECURITY
119. Monitors an area, entrance, or building.
120. Physically controls aggressive or disruptive persons.
121. Talks with aggressive or disruptive persons.
122. Maintains security or confidentiality of records, equipment, or computer access.
M. COMPUTER SYSTEMS
123. Operates a personal computer or computer terminal.
124. Enters data into computer.
125. Monitors computer systems operations to make sure they run properly.
126. Detects computer problems.
127. Sets up computer equipment.
128. Repairs computer equipment.
129. Selects software.
130. Installs software.
131. Configures software.
132. Writes computer programs.
133. Tests computer programs.
134. Debugs computer programs.
135. Uses a computer to process and analyze data.
136. Uses a computer to develop mailing lists or make labels.
137. Uses a computer or word processor to create, edit, print, retrieve, or manipulate files.
138. Uses software to create charts, tables, or graphs.
139. Works with magnetic computer storage tapes.
140. Uses a computer for desktop publishing.
141. Creates and maintains a computerized record system.
N. FINANCIAL FUNCTIONS
142. Performs financial audits.
143. Approves requisitions or payments authorizations.
144. Makes bank deposits or withdrawals.
145. Receives or pays out money.
146. Maintains and processes payroll, including time sheets and attendance records.
147. Processes or records financial transactions or numerical information.
148. Processes vouchers or other financial documents.
149. Fills out vouchers or other financial documents.
150. Monitors expenditures and cash flow.
C - 19
O. ARITHMETIC/MATHEMATICS/STATISTICS
151. Uses addition, subtraction, division, or multiplication.
152. Uses fractions, decimals, percentages, or averages.
153. Uses statistical formulas or methods.
154. Uses prescribed formulas, schedules, or procedures to calculate or check routine values/numbers.
155. Weighs, measures, or records weights or dimensions.
P. CUSTOMER SERVICE
156. Responds to requests or complaints.
157. Determines appropriate services for clients or customers.
158. Follows-up on requests or complaints.
159. Assists in obtaining forms.
160. Assists in completing forms.
161. Sells products or services.
162. Provides information about opportunities, services, or resources.
163. Provides job information.
164. Asks customers for suggestions or feedback on the performance of products or services.
Q. LABORATORY TESTING
165. Collects samples or specimens for laboratory testing.
166. Classifies samples or specimens for laboratory testing.
167. Labels samples or specimens for laboratory testing.
R. PHYSICAL STRENGTH AND AGILITY
168. Stoops, bends and stretches to reach job-related materials.
169. Stands and/or walks for long periods of time.
170. Lifts and moves heavy objects.
C - 20
TASKS USED IN THE PROFESSIONAL AND ADMINISTRATIVE STUDY
Information Management
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.
22.
23.
24.
25.
26.
27.
28.
29.
Develops paper filing, record, or information tracking systems.
Collects, compiles, and organizes information.
Classifies or catalogs information, documents, computer tapes, books, or other items into meaningful groups.
Identifies specimens or objects (for example, artifacts, animals, minerals, art work).
Monitors, maintains, or updates data, records, or other information.
Adds, retrieves, or removes materials from a filing system.
Searches for and extracts information from files, documents, reports, publications, recordings, or other materials.
Writes down information from one document or record to another.
Records information.
Circulates and retrieves files or other materials.
Codes or decodes information or data.
Prepares information for entry into a database.
Controls the circulation of library materials.
Preserves archival records, artifacts, specimens, historical sites, etc.
Restores archival records, artifacts, specimens, historical sites, etc.
Develops methods or materials to obtain information.
Develops methods or materials to disseminate information.
Develops surveys.
Coordinates the administration of surveys to obtain information.
Questions, interviews, or confers with others to obtain or verify information.
Observes individuals, activities, or operations to obtain or verify information.
Conducts evaluations, examinations, or other fact finding studies to obtain or verify information.
Designs or conducts analytical studies, cost-benefit analyses, or other research.
Analyzes or interprets data or other information.
Creates tables, charts, graphs, or diagrams to organize or show information.
Reviews reports, documents, records, data, or other materials to verify completeness, correctness, consistency,
compliance, or authenticity.
Processes forms, records, documents, or other materials.
Refers or assigns cases or claims to another person, office, or organization.
Dictates correspondence, reports, notes, or other documents.
Written and Oral Communication
30.
31.
32.
33.
34.
35.
36.
37.
38.
39.
40.
41.
42.
43.
44.
45.
46.
47.
48.
49.
50.
51.
52.
53.
54.
Reads and understands nontechnical materials (for example, letters, memoranda, electronic mail, simple
instructions).
Reads charts, graphs, diagrams, or tables.
Contacts others orally to obtain information.
Contacts others in writing to obtain information.
Notifies individuals or offices orally of decisions, problems, or further actions needed.
Notifies individuals or offices in writing of decisions, problems, or further actions needed.
Composes simple correspondence or other written work (for example, memoranda, form letters).
Composes complex correspondence or other written work (for example, manuals, books, management or technical
reports, research or contract proposals).
Provides or disseminates information orally (for example, responds to inquiries concerning claims status, provides
job information).
Provides or disseminates information in writing (for example, responds to questions concerning loan applications or
to congressional inquiries).
Discusses results, problems, plans, suggestions, terms, or conditions with others.
Explains nontechnical information orally.
Explains nontechnical information in writing.
Explains technical or other complex information orally.
Explains technical or other complex information in writing.
Explains or justifies decisions, conclusions, findings, or recommendations.
Persuades others to take a particular course of action or to accept findings, recommendations, changes, or
alternative viewpoints.
Serves as a liaison between government personnel (inside and outside the organization), representatives of
business and industry, trade and professional associations, the media, or the public.
Serves as a primary point of contact for a specific subject area.
Initiates and maintains contacts with individuals outside the organization.
Publicizes the organization’s programs, policies, or procedures.
Presents information orally about work of the organization to others (for example, describes the organization’s
programs and services to individuals or groups in the community or to higher management).
Writes news articles, speeches, or press releases.
Writes or edits scripts (for example, scripts for radio, television, motion pictures).
Proofreads and edits letters or other documents for format or grammatical, spelling, or typographical errors.
C - 21
55.
56.
57.
58.
59.
60.
61.
62.
63.
64.
65.
66.
67.
68.
69.
Ensures documents conform to standards (for example, conform to the U.S. Government Printing Office Style
Manual, Chicago Manual of Style).
Ensures that there is a logical arrangement of parts or information in correspondence, reports, articles, or other
materials.
Prepares materials for publication (for example, determines layout and design of materials, selects illustrations,
recommends methods of reproduction or binding).
Issues publications such as forms, orders, standards, or guidelines.
Reviews and updates publications or reports as needed.
Translates occupation-specific terminology (for example, computer, legal, or medical terminology) into language
that is easily understood.
Translates orally between English and a foreign language or sign language.
Translates written materials between English and a foreign language.
Attends briefings, meetings, conferences, or hearings.
Participates in or represents the organization or clients at briefings, meetings, or conferences.
Serves on panels, committees, or task forces as a representative for the organization on technical or professional
issues.
Facilitates group sessions (for example, group feedback sessions, focus groups).
Develops materials for briefings, meetings, or conferences.
Gives presentations or briefings.
Conducts or leads briefings, meetings, or conferences.
Decision Making, Problem Solving, and Negotiation
70.
71.
72.
73.
74.
75.
76.
77.
78.
79.
Reviews and analyzes forms, applications, documents, or other information to make determinations (for example,
authorization, eligibility, or approval or denial of loans, claims, entry documents, entitlements, or requests for
waivers).
Evaluates individuals or organizations to award contracts or grants.
Identifies needs or problems.
Recommends improvements or solutions to problems, or determines appropriate actions.
Gives official approval or disapproval for actions, requests, or recommendations.
Makes improvements, solves problems, or takes corrective action when problems arise.
Negotiates contracts for services or supplies.
Negotiates with individuals or organizations to resolve conflicts, disputes, or grievances.
Negotiates bargaining union agreements.
Negotiates with others to reach an agreement, settlement, compliance, or a solution.
Laws, Regulations, Policies, Standards, and Procedures
80.
81.
82.
83.
84.
85.
86.
87.
88.
89.
Acquires and maintains a working knowledge of relevant laws, regulations, policies, standards, or procedures.
Interprets and applies laws, regulations, policies, standards, or procedures to specific issues.
Develops, amends, or revises laws, regulations, policies, standards, or procedures.
Implements new or revised laws, regulations, policies, standards, or procedures.
Evaluates the impact (for example, costs or benefits) of changes to laws, regulations, policies, standards, or
procedures.
Explains or provides guidance on laws, regulations, policies, standards, or procedures to management, personnel,
or clients.
Evaluates, monitors, or ensures compliance with laws, regulations, policies, standards, or procedures.
Obtains necessary documentation, certification, or approval in support of actions (for example, obtains clearances
or power of attorney).
Evaluates the effectiveness of laws, regulations, policies, standards, or procedures.
Resolves conflicts in laws, regulations, policies, standards, or procedures.
Program Management
90.
Promotes the establishment or use of organizational programs or practices (for example, safety practices, training
or conservation programs).
91. Develops or modifies organizational programs (for example, health, safety, or environmental protection programs).
92. Develops, modifies, or provides input on plans, goals, or objectives for projects, programs, systems, or operations.
93. Establishes organizational strategies, goals, objectives, or priorities.
94. Ensures that activities, services, or products reflect organizational goals and objectives.
95. Implements operational, program, or project plans to meet objectives.
96. Determines resource requirements (for example, staffing, funding, equipment) based on program or project
objectives or operational needs.
97. Allocates resources based on program or project objectives or operational requirements.
98. Implements, monitors, or maintains internal control systems to ensure protection against fraud, waste, and
mismanagement.
99. Monitors programs, projects, operations, or activities.
100. Tracks the progress of work (for example, requisitions, claims, cases, legislation) through an established system.
101. Manages, leads, or administers programs, projects, operations, or activities.
102. Monitors contracts (includes administering, extending, modifying, or terminating contracts).
C - 22
103. Evaluates the efficiency or effectiveness of organizational programs, projects, or operations.
Technical and Specialized Duties
104. Reads and understands technical or other complex materials required for the job.
105. Reviews and provides feedback on the content of complex information (for example, research or contract
proposals, financial, technical, or management reports).
106. Keeps abreast of latest technology, information, research, etc., to maintain knowledge in field of expertise (for
example, reads trade journals, participates in professional/technical associations).
107. Monitors current trends or events (for example, economic, political, social, agricultural, educational, or employment
trends or events) and applies the information as appropriate.
108. Keeps abreast of key organizational activities, policies, and priorities likely to affect operations or the program
area.
109. Develops models or theoretical approaches.
110. Uses models or theoretical approaches in field of expertise (for example, mathematical or engineering models,
economic or psychological theories).
111. Selects the proper tools, equipment, machinery, parts, computer equipment, or software to perform a work activity.
112. Provides technical advice in subject matter area to others.
113. Administers standardized assessment tools, including tests.
114. Interprets results of standardized assessment tools, including tests.
115. Counsels or provides guidance to individuals with specific needs (for example, career counseling, outplacement
counseling, tax counseling, social services).
116. Provides psychological assessment, counseling, or treatment.
117. Provides emergency mental health services.
118. Conducts diagnostic fitness or health evaluations.
119. Diagnoses medical conditions and recommends treatments.
120. Detects the presence of diseases for quarantine or immigration purposes.
121. Administers first aid, including CPR.
122. Conducts job analyses.
123. Develops sampling plans.
124. Classifies jobs.
125. Develops assessment tools (for example, written tests, training evaluations, oral examinations).
126. Validates selection instruments or procedures.
127. Designs training courses or develops instructional materials or activities.
128. Promotes trade or market expansion.
129. Conducts elections.
130. Administers oaths.
131. Designs forms.
132. Uses and interprets maps, navigational charts, or aerial photographs.
133. Uses technical drawings, specifications, or samples to produce objects, materials, or other products.
134. Prepares, revises, or updates maps by hand.
135. Prepares, revises, or updates maps using automated technology.
136. Prepares specialized or technical drawings, sketches, or illustrations by hand.
137. Prepares specialized or technical drawings, sketches, or illustrations using automated technology.
138. Prepares fragile or valuable objects (for example, artifacts, artwork) for transportation or storage.
139. Sets up exhibits (for example, hangs artwork).
140. Determines proper display of artifacts, specimens, artwork, merchandise, etc.
141. Develops interpretive materials (for example, captions) for natural, historical, or cultural programs, publications, or
exhibits.
142. Demonstrates craft-making or other skills related to historical or cultural programs.
143. Conducts tours (for example, tours of facilities, museums, historical houses).
144. Searches for and collects items to add to a collection (for example, artifacts, artwork).
145. Takes or develops photographs.
146. Prepares audio, visual, or audio-visual presentations (for example, radio programs, films, videotapes).
147. Directs audio, visual, or audio-visual productions (for example, provides stage directions or cues).
148. Monitors or preserves the environment (for example, wildlife, land, air, water).
149. Handles, ships, stores, or disposes of hazardous materials.
150. Cleans up or contains spills of hazardous materials.
151. Conducts environmental impact analyses.
152. Fights fires.
153. Excavates or studies archaeological sites or artifacts.
154. Reads and records data obtained from technical or scientific instruments, or indicators.
155. Collects and prepares samples or specimens for laboratory testing.
156. Conducts laboratory tests.
157. Conducts quality checks or inspections to determine quality or condition.
158. Prepares and files legal pleadings or documents (for example, complaints, summonses, warrants, legal motions,
extensions, tax liens, levies).
159. Testifies or presents evidence in court or at administrative proceedings.
160. Prepares cases or testimony for court or administrative proceedings.
C - 23
161.
162.
163.
164.
165.
166.
167.
Litigates in court or at administrative proceedings.
Hears or reviews grievances, charges, or testimony brought to court or to administrative proceedings.
Deals with individuals who are difficult, hostile, or distressed.
Designs or maintains telecommunications systems.
Performs underwater scuba dives.
Builds animal decoys.
Designs electrical, mechanical, or chemical products or systems.
Human Resources/Human Relations
168.
169.
170.
171.
172.
173.
174.
175.
176.
177.
178.
179.
180.
181.
182.
183.
184.
185.
186.
187.
188.
189.
190.
191.
192.
193.
194.
195.
196.
197.
Promotes or develops and maintains good working relationships with key individuals or groups.
Collaborates with others or works on teams to accomplish work-related activities.
Coordinates the activities of individuals inside or outside of the organization.
Motivates others (for example, subordinates, patients, clients, team members).
Reviews others’ work (for example, peers, subordinates, contractors).
Informs supervisor or other official of issues or problems.
Attends classroom training, workshops, or seminars.
Participates in on-the-job training and developmental assignments.
Assesses educational, vocational, or training needs.
Conducts on-the-job training.
Instructs classes or conducts training sessions, workshops, or seminars.
Serves as a mentor to staff.
Serves as acting supervisor.
Schedules work assignments, sets priorities, and coordinates the work of staff.
Controls attendance and leave, including approval of sick and annual leave.
Provides guidance or counseling (for example, career or retirement counseling) to subordinates.
Provides career development opportunities for staff.
Provides technical supervision of program or project work.
Monitors others' work.
Develops position descriptions and performance standards.
Evaluates and provides feedback on others' performance.
Provides recognition and rewards for effective or outstanding performance.
Resolves complaints from employees.
Identifies potential problems in employee behavior or performance and takes appropriate action.
Recruits personnel.
Recruits people other than personnel (for example, students, volunteers, foster parents, mediators, clients).
Selects personnel.
Recommends personnel actions (for example, appointments, promotions, reassignments).
Communicates organizational strategies, goals, objectives, or priorities on a regular basis.
Solicits input or feedback from staff.
Property, Equipment, Supplies, and Logistics
198. Operates standard office equipment other than computers (for example, telephone, typewriter, fax, photocopier,
calculator).
199. Operates specialized equipment other than computers (for example, microfiche, cash register, radar, audio mixing
equipment, oscilloscope).
200. Sets up or installs equipment or systems (for example, computers, security devices, telecommunications systems).
201. Analyzes space requirements, determines space allocations, or designs space layouts.
202. Develops or maintains supply catalogs.
203. Takes orders for services, supplies, or equipment.
204. Purchases or contracts for property, services, supplies, equipment, or other items.
205. Solicits proposals or bids for contracts or property.
206. Distributes supplies, equipment, or materials.
207. Maintains stock of supplies, equipment, or merchandise.
208. Conducts inventories of supplies, equipment, merchandise, property, or other materials.
209. Performs routine maintenance on equipment or vehicles.
210. Maintains or repairs facilities or property, including land.
211. Repairs equipment, other than computers.
212. Repairs vehicles.
213. Oversees or arranges for the maintenance or repair of equipment, facilities, or property, including land.
214. Appraises the value of property or materials.
215. Rents out or leases out property.
216. Sells property or arranges for the disposal of property, supplies, or records.
217. Carries and operates firearms.
218. Operates motor vehicles.
219. Operates boats.
220. Operates power driven equipment.
C - 24
221. Builds or constructs structures or objects.
222. Controls and coordinates the movement of cargo, passengers, or air, land, or water vehicles through transportation
systems.
223. Sets up camp.
Security and Enforcement
224.
225.
226.
227.
228.
229.
230.
231.
232.
233.
234.
235.
236.
237.
238.
239.
240.
241.
Monitors security of an area, entrance, or building.
Conducts security or compliance inspections.
Maintains security of assets or confidentiality of information (for example, equipment, cash, computer access).
Preserves evidence or crime scenes.
Conducts searches or inspections of persons, baggage, vehicles, ships, aircraft, or other materials.
Inspects food.
Screens persons seeking entry into the country.
Protects the health, safety, privacy, or best interest of the public, clients, staff, or others who may be at risk.
Issues summonses, warrants, or subpoenas.
Serves warnings, citations, summonses, warrants, or subpoenas.
Locates or ensures the presence of witnesses.
Recognizes individuals who are the subject of "wanted" or special attention notices, such as known criminals.
Performs policing functions (for example, arresting or detaining persons, or seizing contraband, property, or
assets).
Conducts surveillance of persons or places, such as buildings or cars.
Conducts raids.
Conducts search and rescue missions.
Performs investigative work to obtain information, gather evidence, or verify facts (for example, conducts
background checks or criminal investigations, investigates violations of environmental regulations).
Interviews persons to elicit sensitive information or information they are reluctant to volunteer.
Computer Systems
242. Enters data or other information into computer.
243. Uses computer systems or applications to access, create, edit, print, send, retrieve, or manipulate data, files, or
other information.
244. Develops complex or large-scale computerized databases.
245. Uses a computer for desktop publishing.
246. Processes or analyzes data using computer systems or applications.
247. Writes or debugs computer programs.
248. Develops specifications for the design or modification of computer systems or applications.
249. Develops or modifies computer applications or software.
250. Creates or maintains documentation for computer systems, applications, programs, or databases.
251. Maintains computerized databases or information tracking systems.
252. Installs and configures software.
253. Repairs or upgrades computer hardware.
254. Diagnoses computer hardware, software, or system malfunctions or problems.
255. Designs computer hardware.
256. Designs or maintains computer networks.
257. Evaluates automated systems to ensure they are applied as designed or meet operational requirements.
258. Identifies methods for automating work processes.
259. Confers with users to evaluate effectiveness of, or identify the need for, computer programs or management
systems.
Financial Functions
260. Evaluates financial and credit risk factors involved in granting, guaranteeing, or insuring loans or awarding
contracts.
261. Determines rents, rates, costs, or fees to charge others.
262. Assesses duties, taxes, or other monies owed to the organization.
263. Arranges payment plans for monies owed to the organization.
264. Collects monies (for example, taxes, fees, money owed).
265. Develops short- or long-term financing plans, or identifies funding sources.
266. Forecasts money, material, or staffing needs.
267. Prepares budget or cost estimates for own organization or for projects or activities.
268. Prepares budget requests or justifications for funding.
269. Presents budget estimates or requests to higher management.
270. Reviews and approves, disapproves, or adjusts funding requests.
271. Performs budget administration duties.
272. Authorizes or schedules payment of monies.
C - 25
273.
274.
275.
276.
277.
278.
279.
280.
281.
282.
283.
Processes or records financial transactions or information.
Prepares vouchers or other routine financial documents.
Prepares complex financial statements or reports.
Monitors budgets, including expenditures or cash flow.
Identifies accounting errors and reconciles accounts or other financial records.
Performs various account servicing duties (for example, monitors accounts, adjusts delinquent loan accounts,
administers trust funds).
Prepares or examines tax returns.
Conducts financial audits.
Determines compliance with accounting and auditing requirements.
Analyzes or interprets financial information.
Counsels or advises others on financial matters.
Arithmetic/Mathematics/Statistics
284.
285.
286.
287.
288.
289.
Uses addition, subtraction, division, or multiplication.
Uses fractions, decimals, percentages, or averages.
Uses prescribed formulas, schedules, tables, or procedures to calculate or check values or numbers.
Determines which mathematical or statistical formulas or methods to use.
Uses mathematical or statistical formulas or methods.
Weighs or measures objects or materials.
Office Duties
290.
291.
292.
293.
294.
295.
296.
297.
298.
299.
300.
301.
302.
303.
Types materials.
Makes copies, collates, or binds materials.
Completes forms, documents, or routine reports.
Verifies accuracy of data and reconciles errors or inconsistencies.
Prepares outgoing mail.
Makes arrangements for freight services (for example, aircraft, rail, boat, or material-handling equipment).
Schedules meetings, appointments, activities, etc. (for example, schedules interviews, training sessions, product
distribution).
Receives office telephone calls or visitors.
Admits clients/patients into programs (for example, obtains patient's history, fills child care vacancies).
Makes logistical arrangements for meetings, local transportation, travel, tours, social events, etc.
Plans and coordinates briefings, meetings, conferences, or other events (for example, identifies speakers,
coordinates registration).
Escorts visitors to meetings or special functions.
Takes notes at meetings and prepares minutes.
Travels to other locations to perform own duties.
Customer Service
304.
305.
306.
307.
308.
309.
310.
311.
312.
313.
Determines appropriate products or services for clients or customers.
Directs individuals, problems, questions, or complaints to the proper person or place.
Responds to requests or resolves complaints from customers.
Follows up on requests or complaints.
Provides information about opportunities, services, or resources.
Assists in completing forms.
Sells or promotes products or services.
Displays merchandise.
Asks customers for suggestions or feedback on the performance of products or services.
Modifies products or services based on suggestions or feedback from customers.
Physical Strength and Agility
314.
315.
316.
317.
Participates in physical fitness training programs to maintain required fitness level.
Stoops, bends, or stretches to reach job-related materials
Stands or walks for long periods of time.
Lifts or moves heavy objects.
C - 26
JOB ANALYSIS WORKSHEET FOR TASKS
Task
Source
Importance Scale
Frequency Scale
How often is the task performed?
0
1
2
3
4
5
0
1
2
3
4
5
=
=
=
=
=
=
Not Performed
Not Important
Somewhat Important
Important
Very Important
Extremely Important
=
=
=
=
=
=
Importance
Frequency
Not Performed
Every few months to yearly
Every few weeks to monthly
Every few days to weekly
Every few hours to daily
Hourly to many times each hour
Signature: ________________________________________ Title: ____________________________________________ Date: __________________
C - 27
JOB ANALYSIS WORKSHEET FOR COMPETENCIES
Competency
Source
Importance
Need At
Entry
Distinguishing
Value
Importance Scale
How important is this competency
for effective job performance?
Need At Entry Scale
When is this competency needed
Distinguishing Value Scale
How valuable is this competency for distinguishing
superior from barely acceptable employees?
1
2
3
4
5
1
2
3
4
1
2
3
4
5
=
=
=
=
=
Not Important
Somewhat Important
Important
Very Important
Extremely Important
=
=
=
=
Needed the first day
Must be acquired within the first 3 months
Must be acquired within the first 4 - 6 months
Must be acquired after the first 6 months
=
=
=
=
=
Not Valuable
Somewhat Valuable
Valuable
Very Valuable
Extremely Valuable
Signature: _______________________________ Title: __________________________________ Date: __________________
C - 28
JOB ANALYSIS WORKSHEET FOR TASK AND COMPETENCY LINKAGE
Linkage Scale
How important is this competency for effective task performance?
1 = Not Important
2 = Somewhat Important
3 = Important
4 = Very Important
5 = Extremely Important
Competency Number
Task
Number
C - 29
ACCOMPLISHMENTS WORKSHEET
Competency Title/Definition:
Accomplishments
Level Rating
(High, Medium, Low)
1
2
3
4
5
6
7
8
Signature: ___________________________
Signature: ____________________________
Title: _______________________________
Title: _________________________________
Date: _______________________________
Date: ________________________________
C - 30
MULTIPLE CHOICE/YES-NO RATING SCHEDULE WORKSHEET
1
2
3
4
5
6
7
8
9
10
Signature: ___________________________
Signature: ____________________________
Title: _______________________________
Title: _________________________________
Date: _______________________________
Date: ________________________________
C - 31
RATING SCHEDULE BENCHMARK WORKSHEET
HIGH
Description:
Examples:
MEDIUM
Description:
Examples:
LOW
Description:
Examples:
Signature:
Signature:
Title:
Title:
Date:
Date:
C - 32
SAMPLE JOB ANALYSIS WORKSHEET FOR TASKS
Task
Source
1. Contacts others orally to obtain information.
OPM's MOSAIC Study
2. Reads and understands nontechnical materials (e.g., letters, memoranda, electronic mail,
simple instructions).
OPM's MOSAIC Study
3. Serves as primary point of contact for a specific subject area.
OPM's MOSAIC Study
4. Interprets and applies laws, regulations, policies, standards, or procedures to specific
issues.
Position Description
5. Promotes or develops and maintains good working relationships with key individuals or
groups.
6. Acquires and maintains a working knowledge of relevant laws, regulations, policies,
standards, or procedures.
7. Provides technical advice in subject matter area to others.
Classification Standard
8. Collaborates with others or works on teams to accomplish work-related activities.
9. Uses computer systems or applications to access, create, edit, print, send, retrieve, or
manipulate data, files, or other information.
10. Discusses results, problems, plans, suggestions, terms, or conditions with others.
Subject Matter Experts
11. Uses addition, subtraction, division, or multiplication.
12. Enters data or other information into computer.
Importance Scale
Frequency Scale
How often is the task performed?
0 = Not Performed
1 = Not Important
3 = Important
4 = Very Important
0 = Not Performed
1 = Every few months to yearly
2 = Every few weeks to monthly
3 = Every few days to weekly
4 = Every few hours to daily
5 = Hourly to many times each hour
Importance
Frequency
Signature: ________________________________________ Title: ____________________________________________ Date: __________________
C - 33
SAMPLE JOB ANALYSIS WORKSHEET FOR COMPETENCIES
Competency
Source
1. Reading
OPM's MOSAIC Study
2. Writing
OPM's MOSAIC Study
3. Interpersonal Skills
4. Oral Communication
5. Reasoning
6. Decision Making
7. Customer Service
8. Arithmetic
9. Mathematical Reasoning
10. Personnel and Human Resources
Importance
Need At
Entry
Distinguishing
Value
Importance Scale
Need At Entry Scale
Distinguishing Value Scale
How important is this competency
When is this competency needed
How valuable is this competency for distinguishing
superior from barely acceptable employees?
1 = Not Important
3 = Important
4 = Very Important
1 = Needed the first day
2 = Must be acquired within the first 3 months
3 = Must be acquired within the first 4 - 6 months
4 = Must be acquired after the first 6 months
1 = Not Valuable
2 = Somewhat Valuable
3 = Valuable
4 = Very Valuable
5 = Extremely Valuable
C - 34
SAMPLE JOB ANALYSIS WORKSHEET FOR TASK AND COMPETENCY LINKAGE
Linkage Scale
How important is this competency for effective task performance?
1 = Not Important
3 = Important
4 = Very Important
Competency Number
Task
Number
1
2
3
4
5
6
7
10
1
2
3
4
5
6
7
8
9
10
C - 35
SAMPLE ACCOMPLISHMENTS WORKSHEET
Competency Title/Definition: Writing
Recognizes or uses correct English grammar, punctuation, and spelling; communicates information (for example, facts,
ideas, or messages) in a succinct and organized manner; produces written information, which may include technical
material, that is appropriate for the intended audience.
Accomplishments
Level Rating
(High, Medium, Low)
1. I wrote a resource booklet explaining the rules and regulations on reinstatement after
retirement. I received a lot of positive feedback from customers on the booklet.
High
2
3
4
5
6
7
8
Signature: ___________________________
Signature: ____________________________
Title: _______________________________
Title: _________________________________
Date: _______________________________
Date: ________________________________
C - 36
SAMPLE MULTIPLE CHOICE/YES-NO RATING SCHEDULE WORKSHEET
Recognizes or uses correct English grammar, punctuation, and spelling; communicates information (for example, facts, ideas, or messages) in a succinct and
organized manner; produces written information, which may include technical material, that is appropriate for the intended audience.
1. Have you successfully done work that involved translating technical or complex language (e.g., laws, regulations) into language that was more easily
understood?
2
3
4
5
6
7
8
9
10
Signature: ___________________________
Signature: ____________________________
Title: _______________________________
Title: _________________________________
Date: _______________________________
Date: ________________________________
C - 37
SAMPLE RATING SCHEDULE BENCHMARK WORKSHEET
Recognizes or uses correct English grammar, punctuation, and spelling; communicates information (for example, facts, ideas, or messages) in a succinct and
organized manner; produces written information, which may include technical material, that is appropriate for the intended audience.
HIGH
Description: Composes documents or correspondence involving complex or technical information, and adapts writing to the audience’s level of knowledge.
Proofreads or edits complex or technical writing of others.
Examples:
- Composes complex correspondence or other written work
- Explains, in writing, the application of laws, regulations, precedents, and practices
- Writes and publishes articles on program direction and content.
MEDIUM
Description:
Examples:
LOW
Description:
Examples:
Signature:
Signature:
Title:
Title:
Date:
Date:
D-1
APPENDIX D
A-C-E Rating Procedure
The A-C-E rating procedure and augmentation (assignment of additional points) process are an alternate
approach to the traditional KSA procedure. In the A-C-E rating procedure, an applicant’s qualifying
experience and education/training are assigned to a single quality level. Typically 3 levels are defined.
An example of “A-C-E” quality levels is as follows:
Level A (90 points):
Graduate degree in a field directly related to the position; or experience directly
related to the position being filled which demonstrates ability on all major
aspects of the position.
Level C (80 points):
Graduate education (minimum 36 semester hours/54 quarter hours or two full
years of academic study) in an appropriate field but does not have a degree; or
experience in a related field which would enable a person to carry out
satisfactorily most of the major aspects of the position.
Level E (70 points):
Meets the minimum qualification requirements.
If application of the A-C-E rating instrument results in a large number of applicants with tied scores in the
level(s) being considered for selection, the examiner should refine these scores through the use of an
augmentation process (more refined rating factors). Note: Typically only candidates in Level A and
veterans with augmented scores in the 90s would be considered for selection. However, the examiner
might elect to refer candidates in Level C also if the number of candidates rated in Level A are
determined to be insufficient. The examiner only needs to apply the augmentation procedure to
applications rated in the level(s) being referred for selection.
Rules for augmentation:
Additional points can be added to an applicants rating level score as long as the additional points, with
the exception of veterans’ preference, do not raise the candidate to the next rating level. In our
example above, the levels are 10 points apart (e.g. E = 70; C = 80; A = 90). The maximum number of
points an application could be augmented is 9 points, with the exception of 10 points for Level A.
Veterans’ preference points should be added before augmentation of the additional points.
Augmentation rating criteria must be job related, and used to distinguish among the best qualified
applicants within a quality level.
Augmentation Example:
Candidate must have a knowledge of program analysis concepts, principles, techniques and practices.
9 points:
Direct experience interpreting the principles and practices of requirements analysis and
cost estimating, evaluating program technical status and resource requirements, and
preparing recommendations.
6 points:
Experience interpreting, evaluating, and summarizing program technical performance
and resource status with respect to cost, manpower, and schedule completion.
3 points:
Knowledge of (limited experience in) budget preparation, justification, and execution.
D-2
The following chart depicts applicants rated originally into quality levels, with scores of the “A” quality
level further augmented. Note that veterans’ preference points were added before the augmentation
process and that “Joe” moved from the “C” quality level into the “A” quality level with the addition of
veterans’ preference points.
Name of Eligible
Joe
Sue
Sally
Jim
Bob
Mark
Ann
Quality Level
Score
80+10=90 CPS
90+5= 95 TP
90 NV
90 NV
90 NV
80 NV
80 NV
Augmented
Points
0
3
6
9
9
Not augmented
Not augmented
New Rating
90 CPS
98 TP
96 NV
99 NV
99 NV
80 NV
80 NV
The new (or adjusted) rating score would be used in ordering the certificate for referral. If the
augmentation process had not been used, the quality level scores would have been used in ordering the
certificate. Tie breaking procedures would have been required for all tied scores. Note that 10-point
veterans may float depending on the series and grade of the job.
E- 1
APPENDIX E
PROFESSIONAL AND SCIENTIFIC POSITIONS
SERIES
0020
0060
0095
0101
0110
0130
0131
0135
0140
0150
0170
0180
0184
0185
0190
0193
0401
0403
0405
0406
0408
0410
0413
0414
0415
0430
0434
0435
0436
0437
0440
0454
0457
0460
0470
0471
0475
0480
0482
0485
0486
0487
0493
0510
0511
0512
0601
0602
0610
0630
0631
0633
0635
0637
0638
POSITION TITLES
Community Planning
Chaplain
Foreign Law Specialist
Social Science
Economist
Foreign Affairs
International Relations
Foreign Agricultural Affairs
Manpower Research & Analysis
Geography
History
Psychology
Sociology
Social Work
General Anthropology
Archeology
General Biological Science
Microbiology
Pharmacology
Agricultural Extension
Ecology
Zoology
Physiology
Entomology
Toxicology
Botany
Plant Pathology
Plant Physiology
Plant Protection & Quarantine
Horticulture
Genetics
Range Conservation
Soil Conservation
Forestry
Soil Science
Agronomy
Agricultural Management
General Fish and Wildlife
Administration
Fishery Biology
Wildlife Refuge Management
Wildlife Biology
Animal Science
Home Economics
Accounting
Auditing
Internal Revenue Agent
General Health Science
Medical Officer
Nurse
Dietitian & Nutritionist
Occupational Therapist
Physical Therapist
Corrective Therapist
Manual Arts Therapist
Recreation/Creative Arts Therapist
SERIES
0639
0644
0660
0662
0665
0668
0680
0690
0696
0701
0801
0803
0804
0806
0807
0808
0810
0819
0830
0840
0850
0854
0855
0858
0861
0871
0880
0881
0890
0892
0893
0894
0896
0904
0905
1015
1102
1220
1221
1222
1223
1224
1226
1301
1306
1310
1313
1315
1320
1321
POSITION TITLES
Educational Therapist
Medical Technologist
Pharmacist
Optometrist
Speech Pathology & Audiology
Podiatrist
Dental Officer
Industrial Hygiene
Consumer Safety
Veterinary Medical Science
General Engineering
Safety Engineering
Fire Prevention Engineering
Materials Engineering
Landscape Architecture
Architecture
Civil Engineering
Environmental Engineering
Mechanical Engineering
Nuclear Engineering
Electrical Engineering
Computer Engineering
Electronic Engineering
Biomedical Engineering
Aerospace Engineering
Naval Architecture
Mining Engineering
Petroleum engineering
Agricultural Engineering
Ceramic Engineering
Chemical Engineering
Welding Engineering
Industrial Engineering
Law Clerk
General Attorney
Museum Curator
Contracting1
Patent Administration
Patent Adviser
Patent Attorney
Patent Classifying
Patent Examining
Design Patent Examining
General Physical Science
Health Physics
Physics
Geophysics
Hydrology
Chemistry
Metallurgy
Note: 10-point compensably disabled veterans
continue to float at grade GS-9 and above in the
GS-1102 occupation.
1
E- 2
APPENDIX E (Cont’d)
PROFESSIONAL AND SCIENTIFIC POSITIONS
SERIES POSITION TITLES
1330
1340
1350
1360
1370
1372
1373
1380
1382
1384
1386
1410
1420
1510
1515
1520
1529
1530
1540
1550
1701
1710
1720
1725
1730
1740
1750
Astronomy & Space Science
Meteorology
Geology
Oceanography
Cartography
Geodesy
Land Surveying
Forest Products Technology
Food Technology
Textile Technology
Photographic Technology
Librarian
Archivist
Actuary
Operations Research
Mathematics
Mathematical Statistician
Statistician
Cryptography
Computer Science
General Education & Training
Education and Vocational Training
Education Program
Public Health Educator
Education Research
Education Services
Instructional Systems
F-1
APPENDIX F
TRANSMUTATION TABLES FOR GENERAL SCHEDULE POSITIONS
After the rating schedule has been developed, determine the maximum number of points an applicant
can receive. The first column in each table below represents the number of points. The second column
is the transmuted rating, exclusive of veterans’s preference. Use the transmutation table which begins
with the number matching the maximum number of points. Applicants who meet the OPM qualification
requirements and any selective factors, but show no evidence of possession of any other experience, will
be assigned a transmuted rating of 70.
6 = 100
5 = 95
4 = 90
3 = 85
2 = 80
1 = 75
0 = 70
7 = 100
6 = 96
5 = 91
4 = 87
3 = 83
2 = 79
1 = 74
0 = 70
8 = 100
7 = 96
6 = 92
5 = 89
4 = 85
3 = 81
2 = 77
1 = 74
0 = 70
9 = 100
8 = 97
7 = 93
6 = 90
5 = 87
4 = 83
3 = 80
2 = 77
1 = 73
0 = 70
10 = 100
9 = 97
8 = 94
7 = 91
6 = 88
5 = 85
4 = 82
3 = 79
2 = 76
1 = 73
0 = 70
11 = 100
10 = 97
9 = 95
8 = 92
7 = 89
6 = 87
5 = 84
4 = 81
3 = 78
2 = 76
1 = 73
0 = 70
12 = 100
11 = 98
10 = 95
9 = 93
8 = 90
7 = 88
6 = 85
5 = 83
4 = 80
3 = 78
2 = 75
1 = 73
0 = 70
13 = 100
12 = 98
11 = 95
10 = 93
9 = 91
8 = 89
7 = 86
6 = 84
5 = 82
4 = 79
3 = 77
2 = 75
1 = 72
0 = 70
14 = 100
13 = 98
12 = 96
11 = 94
10 = 91
9 = 89
8 = 87
7 = 85
6 = 83
5 = 81
4 = 79
3 = 76
2 = 74
1 = 72
0 = 70
15 = 100
14 = 98
13 = 96
12 = 94
11 = 92
10 = 90
9 = 88
8 = 86
7 = 84
6 = 82
5 = 80
4 = 78
3 = 76
2 = 74
1 = 72
0 = 70
16 = 100
15 = 98
14 = 96
13 = 94
12 = 93
11 = 91
10 = 89
9 = 87
8 = 85
7 = 83
6 = 81
5 = 79
4 = 78
3 = 76
2 = 74
1 = 72
0 = 70
17 = 100
16 = 98
15 = 96
14 = 95
13 = 93
12 = 91
11 = 89
10 = 87
9 = 86
8 = 84
7 = 82
6 = 80
5 = 78
4 = 77
3 = 75
2 = 73
1 = 71
0 = 70
18 = 100
17 = 98
16 = 97
15 = 95
14 = 93
13 = 92
12 = 90
11 = 88
10 = 87
9 = 85
8 = 83
7 = 82
6 = 80
5 = 78
4 = 77
3 = 75
2 = 73
1 = 72
0 = 70
19 = 100
18 = 98
17 = 97
16 = 95
15 = 94
14 = 92
13 = 90
12 = 89
11 = 87
10 = 86
9 = 84
8 = 82
7 = 81
6 = 79
5 = 78
4 = 76
3 = 74
2 = 73
1 = 71
0 = 70
20 = 100
19 = 99
18 = 97
17 = 96
16 = 94
15 = 92
14 = 91
13 = 90
12 = 88
11 = 87
10 = 85
9 = 84
8 = 82
7 = 81
6 = 79
5 = 78
4 = 76
3 = 75
2 = 73
1 = 72
0 = 70
21 = 100
20 = 99
19 = 97
18 = 96
17 = 94
16 = 93
15 = 91
14 = 90
13 = 89
12 = 87
11 = 86
10 = 84
9 = 83
8 = 81
7 = 80
6 = 79
5 = 77
4 = 76
3 = 74
2 = 73
1 = 71
0 = 70
F-2
22 = 100
21 = 99
20 = 97
19 = 96
18 = 95
17 = 93
16 = 92
15 = 90
14 = 89
13 = 88
12 = 86
11 = 85
10 = 84
9 = 82
8 = 81
7 = 80
6 = 78
5 = 77
4 = 75
3 = 74
2 = 73
1 = 71
0 = 70
23 = 100
22 = 99
21 = 97
20 = 96
19 = 95
18 = 93
17 = 92
16 = 91
15 = 90
14 = 88
13 = 87
12 = 86
11 = 84
10 = 83
9 = 82
8 = 80
7 = 79
6 = 78
5 = 77
4 = 75
3 = 74
2 = 73
1 = 71
0 = 70
24 = 100
23 = 99
22 = 97
21 = 96
20 = 95
19 = 94
18 = 92
17 = 91
16 = 90
15 = 89
14 = 87
13 = 86
12 = 85
11 = 84
10 = 82
9 = 81
8 = 80
7 = 79
6 = 77
5 = 76
4 = 75
3 = 74
2 = 72
1 = 71
0 = 70
25 = 100
24 = 99
23 = 98
22 = 96
21 = 95
20 = 94
19 = 93
18 = 92
17 = 90
16 = 89
15 = 88
14 = 87
13 = 86
12 = 84
11 = 83
10 = 82
9 = 81
8 = 80
7 = 78
6 = 77
5 = 76
4 = 75
3 = 74
2 = 72
1 = 71
0 = 70
26 = 100
25 = 99
24 = 98
23 = 97
22 = 95
21 = 94
20 = 93
19 = 92
18 = 91
17 = 90
16 = 88
15 = 87
14 = 86
13 = 85
12 = 84
11 = 83
10 = 82
9 = 80
8 = 79
7 = 78
6 = 77
5 = 76
4 = 75
3 = 73
2 = 72
1 = 71
0 = 70
27 = 100
26 = 99
25 = 98
24 = 97
23 = 96
22 = 94
21 = 93
20 = 92
19 = 91
18 = 90
17 = 89
16 = 88
15 = 87
14 = 86
13 = 84
12 = 83
11 = 82
10 = 81
9 = 80
8 = 79
7 = 78
6 = 77
5 = 76
4 = 74
3 = 73
2 = 72
1 = 71
0 = 70
28 = 100
27 = 99
26 = 98
25 = 97
24 = 96
23 = 95
22 = 94
21 = 93
20 = 91
19 = 90
18 = 89
17 = 88
16 = 87
15 = 86
14 = 85
13 = 84
12 = 83
11 = 82
10 = 81
9 = 80
8 = 79
7 = 78
6 = 76
5 = 75
4 = 74
3 = 73
2 = 72
1 = 71
0 = 70
30 = 100
29 = 99
28 = 98
27 = 97
26 = 96
25 = 95
24 = 94
23 = 93
22 = 92
21 = 91
20 = 90
19 = 89
18 = 88
17 = 87
16 = 86
15 = 85
14 = 84
13 = 83
12 = 82
11 = 81
10 = 80
9 = 79
8 = 78
7 = 77
6 = 76
5 = 75
4 = 74
3 = 73
2 = 72
1 = 71
0 = 70
29 = 100
28 = 99
27 = 98
26 = 97
25 = 96
24 = 95
23 = 94
22 = 93
21 = 92
20 = 91
19 = 90
18 = 89
17 = 88
16 = 87
15 = 86
14 = 84
13 = 83
12 = 82
11 = 81
10 = 80
9 = 79
8 = 78
7 = 77
6 = 76
5 = 75
4 = 74
3 = 73
2 = 72
1 = 71
0 = 70
G-1
APPENDIX G
RECORDS RETENTION AND DISPOSITION SCHEDULE
This grouping of records consists of documents relating to the Government-wide competitive
examination and recruitment programs.
ITEM
NO.
TITLE & DESCRIPTION OF RECORDS
DISPOSITION
1.
Examining delegation agreements under the
authority of 5 U.S.C. § 1104. (OPM and agency
copies.)
Destroy 3 years after termination
of agreement.
2.
Reports of reviews of delegated examining
operations.
Destroy 3 years after date of
report.
3.
Request for prior approval of personnel actions
taken by agencies on such matters as promotions,
transfer, reinstatement, change in status, etc.
Break annually. Destroy 1 year
after break.
4.
Correspondence between Examining Office and
Members of Congress, the White House, or the
general public concerning applications, eligibles,
certification, and all other examining and recruiting
operations.
after break.
TESTING:
5.
Correspondence relating to the shipment of
examination papers and test material.
after break.
6.
Stock control records of examination test material
including running inventory of test material in
stock.
Destroy when test is superseded
or obsolete.
7.
Written test answer sheets for both eligibles and
ineligibles.
Filed by date of processing.
Destroy 6 months after
processing.
8.
Lost or exposed test material case files showing
the circumstances of loss, nature of the recovery
action, and corrective action.
Break closed files annually.
Destroy 5 years after break.
9.
Correspondence concerning accommodations for
holding examinations.
after break.
REGISTER/STANDING INVENTORY
10.
Certificate Control/Log System consisting of
receipt date, series and grade of position, duty
location, etc. for request of a list of eligibles from a
register/standing inventory.
Retain certificate control/log
system for at least 2 years or
until program is formally
reviewed by OPM’s Office of
Merit System Oversight and
Effectiveness whichever comes
first. Destroy after review.
G-2
11.
Register of eligibles: OPM Form 5001-C or
equivalent document that records eligibility of an
individual for Federal jobs. This may be an
automated or a manual system.
Break records on individuals
with expired eligibility annually.
Destroy 1 year after break.
12.
Examination announcement file consisting of
correspondence regarding the examination
requirements, original drafts of announcement
issued (exclusive of correspondence and other
records concerning qualification standards, job
specifications and their development).
Destroy 1 year after termination
of related register.
13.
Eligible applications:
When entire register is
terminated, destroy 1 year after
termination date.
a. On active register.
Destroy upon termination of the
register (except applications that
may be brought forward to a new
register, if any.)
b. On inactive register.
Retain inactive application for 2
years or until program is
formally audited by OPM’s
Office of Merit System
Oversight and Effectiveness
whichever comes first. Destroy
after review.
14.
Certificate case file consisting of SF-39, Request
for a Referral of Eligibles, SF-39A (or equivalent
documents), position description, and other papers
upon which the certificate was based. This
includes rating schedule, job analysis
documentation, record of selective and quality
ranking factors used, list of eligibles screened for
the vacancy, rating sheet with the assignment of
ratings, availability statements, and other
documentation designated for retention. It is
recommended that both the office copy and
reviewed report copy of the certificate be kept in
this file. The certificate case file should be
arranged to permit reconstruction or validation of
actions taken in the event of appeal or legal action.
Retain certificate case file for 2
years after final action or until
program is formally reviewed by
OPM’s Office of Merit System
after review.
15.
Canceled and ineligible applications including
the application, supplemental forms, and
attachments submitted with the applications.
Retain canceled and ineligible
applications for 2 years after
final action or until program is
formally reviewed by OPM’s
Office of Merit System
after review.
16.
Letters to applicants denying transfer of eligibility.
after break.
17.
Correspondence or notices received from eligibles
indicating a change in name, address, or
availability.
after break. May be filed with
application (optional).
G-3
CASE EXAMINING
18.
Certificate Control/Log System consisting of
request date, series and grade of position, duty
location, etc.
Retain certificate control/log
system for at least 2 years or
until program is formally
reviewed by OPM’s Office of
Merit System Oversight and
Effectiveness whichever comes
first. Destroy after review.
19.
Case examining file consisting of SF-39, Request
for a Referral of Eligibles and SF-39A (or
equivalent documents); vacancy announcement
with Supplemental Qualifications Statement (if
applicable); public notice documentation (for
example, a printed copy of the job listing from the
Federal Job database); position description; rating
schedule developed with a record of selective and
quality ranking factors used; job analysis
documentation; list of eligibles screened for the
vacancy; rating sheet with eligible’s assigned
ratings; processing documents (such as OPM Form
1203-AW- Form C); availability statements, and
other documentation upon which the certificate was
based. It is recommended that both the office file
copy and reviewed report copy of the certificate be
kept in this file. The certificate case file should be
arranged to permit reconstruction or validation of
actions taken in the event of appeal or legal action.
Retain case examining file for 2
program is formally audited by
after audit.
20.
Eligible applications consisting of SF-171,
resume, or equivalent are sent with the Certificate
of Eligibles. OPM Form 1203-AW’s (Form C) are
included in the case examining file. Eligible
applications not referred to the agency remain with
the case examining file.
after review.
21.
Ineligible applications consisting of SF-171,
resume, or equivalent and OPM Form 1203-AW
(Form C) with rating sheet are included in the case
examining file.
after review.
22.
Incomplete applications consisting of application,
supplemental forms or attachments submitted with
the application are included in the case examining
file.
after review.
NOTE: Examinations under litigation must
retain all documents, such as, vacancy
announcement files, applications,
supplemental forms, certificate case files, etc.
until instructed by OPM’s Office of the General
Counsel.
H-1
APPENDIX H
SAMPLE VACANCY ANNOUNCEMENT LANGUAGE TO EXPLAIN CTAP and ICTAP
This appendix contains two sets of sample vacancy announcement language to explain CTAP and
ICTAP: a longer version and a shorter version.
I.
Longer Version
SPECIAL SELECTION PRIORITY PROVISIONS FOR SURPLUS OR DISPLACED FEDERAL
EMPLOYEES UNDER A CAREER TRANSITION ASSISTANCE PLAN (CTAP)
A. CTAP (for Non - DoD Agencies Only)
If you are currently an employee who has received a Reduction in Force (RIF) separation notice, a
Certificate of Expected Separation (CES), or notice of proposed separation for declining a directed
reassignment or transfer of function outside of the local commuting area or other appropriate agency
certification of surplus status, you may be entitled to special selection priority under the Career
Transition Assistance Plan (CTAP). To receive this priority consideration you must:
1.
Be a current [Insert Agency Name] career or career-conditional (tenure group I or II)
competitive service employee who has received a RIF separation notice, a Certificate of
Expected Separation (CES), or notice of proposed separation for declining a directed
reassignment or transfer of function outside of the local commuting area, and you are still
on the rolls of [Insert Agency Name]. You must submit a copy of the RIF notice, CES, or
notice of proposed separation with your application.
2.
Be applying for a position that is at or below the grade level of the position from which you
are being separated. The position must not have a greater promotion potential than the
position from which you are being separated.
3.
Have a current (or last) performance rating of record of at least fully successful or
equivalent. This must be submitted with your application package.
4.
Be currently employed by [Insert Agency Name] in the same commuting area of the
position for which you are requesting selection priority.
5.
File your application by the closing date of the vacancy announcement and meet all the
application criteria (e.g., submit all required documentation, etc.).
6.
Be rated well-qualified for the position. To be rated "well-qualified," CTAP applicants must
attain an eligibility rating on this examination of [
] or higher, not including
points for veterans’ preference.
B. ICTAP (for all Federal Agencies)
SPECIAL SELECTION PRIORITY PROVISIONS FOR DISPLACED FEDERAL EMPLOYEES UNDER
THE INTERAGENCY CAREER TRANSITION ASSISTANCE PLAN (ICTAP)
If you are a displaced Federal employee or are otherwise eligible, you may be entitled to receive
special selection priority under the Interagency Career Transition Assistance Plan (ICTAP). To
receive this priority you must:
1.
Be a displaced Federal employee. You must submit with your application a copy of the
appropriate documentation, such as a RIF separation notice, a Standard Form 50
reflecting your RIF separation, or a notice of proposed removal for declining a directed
reassignment or transfer of function to another commuting area. The following categories
of persons are considered displaced employees:
a. Current or former career or career-conditional (Tenure group I or II) competitive
service employees who:
H-2
1)
Received a specific RIF separation notice; or
2)
Separated because of a compensable injury or illness, whose compensation has
been terminated, and whose former agency certifies that it is unable to place; or
3)
Retired with a disability and whose disability annuity has been or is being
terminated; or
4)
Upon receipt of a RIF separation notice, retired on the effective date of the RIF
and submits a Standard Form 50 that indicates "Retirement in lieu of RIF," or
retired under the discontinued service retirement option; or
5)
Received a notice of proposed removal for declining a directed reassignment or
a transfer of function or directed reassignment to another commuting area.
OR
b. Former Military Reserve or National Guard Technicians who are receiving a special
OPM disability retirement annuity under Section §8337(H) or § 8456 of Title 5 United
States Code.
II.
2.
Be applying for a position at or below the grade level of the position from which you have
been separated. The position must not have a greater promotion potential than the
position from which you were separated.
3.
Have a current (or last) performance rating of record of at least fully successful or the
equivalent. You must submit a copy of this performance rating with your application
package. (This requirement does not apply to candidates who are eligible due to
compensable injury or disability retirement.)
4.
Occupy or be displaced from a position in the same local commuting area of the position
for which you are requesting selection priority.
5.
File your application by the closing date of the vacancy announcement and meet all of the
application criteria (e.g., submit all required documentation, etc.)
6.
Be rated well-qualified for the position. To be rated "well-qualified," ICTAP applicants
must attain an eligibility rating on this examination of [
] or higher, not including
points for veterans’'s preference.
Shorter Version
Individuals who have special priority selection rights under the Agency Career Transition Assistance
Program (CTAP) or the Interagency Career Transition Assistance Program (ICTAP) must be well
qualified for the position to receive consideration for special priority selection. CTAP and ICTAP
eligibles will be considered well qualified if (insert definition of well qualified).
Federal employees seeking CTAP/ICTAP eligibility must submit proof that they meet the requirements of
5 CFR 330.605 (a) for CTAP and 5 CFR 330.704 for ICTAP. This includes a copy of the agency notice,
a copy of their most recent Performance Rating and a copy of their most recent SF-50 noting current
position, grade level, and duty location. Please annotate your application to reflect that you are applying
as a CTAP or ICTAP eligible.
I-1
APPENDIX I
PERSONNEL ACTIONS SUBJECT TO PUBLIC NOTICE REQUIREMENTS
To assist Examining Offices in determining whether public notice is required, this appendix contains the
list of personnel actions and legal authority codes subject to public notice requirements that OPM’s
Office of Merit Systems Oversight and Effective included in their special study report, Opportunity Lost:
Openness in the Employment Process, March 1999. This study can be obtained on OPM's Website at
www.opm.gov/studies.
Generally, the personnel actions identified on the list by the combinations of Nature of Action Codes
(NOACs) and Legal Authority Codes (LACs) require that the vacancies filled by those types of placement
actions be announced on the USAJOBS system to meet public notice and/or ICTAP notice requirements.
However, the types of placement actions listed do not always require that the vacancies be announced
on USAJOBS. Specific circumstances may eliminate the announcement requirements, such as the
reemployment of former injured employees who have been determined restored to earning capacity by
the Office of Workers’ Compensation Programs.
Conversely, this list does not contain all types of placement actions that require announcement on
USAJOBS. The types of actions listed are the types of placement actions made in FY 1997 to the
competitive service that were identified to be included in the Study. Therefore, this list should be used
with caution. It is not intended to be a definitive source of information regarding vacancy announcement
requirements but simply as an aid to Examining Offices in making such determinations.
I-2
Personnel Actions Subject to Public Notice Requirements
2
NOAC
LA1
By Nature of Action Code and Legal Authority Codes
LA2
NOAC
LA1
LA2
NOAC
LA1
LA2
100
ACM
100
BNP
101
ZJK
100
LHM
100
BWA
101
ABK
100
BWM
100
BWA
ACM
101
BWM
AYM
100
BWA
BWM
101
ZLM
ZLM
101
ZSP
100
ABK
100
ACA
100
BWA
100
ACM
100
BWM
101
ABK
100
ACM
100
K1M
101
ABK
AYM
100
AYM
100
LEM
101
ABK
BWM
100
AYM
ABK
100
LHM
101
ABK
ZLM
100
AYM
ABL
100
LJM
101
ACA
100
AYM
ZLM
100
LKM
101
ACA
100
AYM
ZSP
100
LKP
101
ACM
100
A2M
100
VHM
101
ACM
ABK
100
BBM
100
VJM
101
ACM
ABL
100
BDN
100
V8L
101
ACM
ABM
100
BFS
100
ZLM
101
ACM
BWA
100
BFS
BWM
100
ZQM
101
ACM
BWM
100
BFS
ZLM
100
ZQM
101
ACM
ZLM
100
BKM
100
ZTU
101
ACM
ZSK
100
BLM
101
ALM
100
BNM
101
ACM
101
AYM
100
BNN
101
BWA
101
AYM
ABK
100
BNN
101
LHM
101
AYM
ABL
ZLM
ZLM
ZLM
ABK
2
Based on personnel actions entered into CPDF in FY-97
I-3
NOAC
LA1
LA2
NOAC
LA1
LA2
NOAC
LA1
LA2
101
AYM
ABM
101
BWA
BWM
101
ZLM
ZLM
101
AYM
ACM
101
BWA
ZLM
101
ZLM
ZSK
101
AYM
BWM
101
BWA
ZSP
101
ZQM
101
AYM
ZLM
101
BWM
101
ZTU
101
AYM
ZSP
101
BWM
ABK
101
A2M
101
BWM
ABM
108
ACM
101
BBM
101
BWM
ZLM
108
BWA
101
BDN
101
BYM
108
BWM
101
BEA
101
K1M
108
ZLM
101
BFS
101
LEM
108
ACM
101
BFS
ACM
101
LHM
108
ACM
ABL
101
BFS
BWM
101
LJM
108
ACM
ABM
101
BFS
ZLM
101
LKP
108
ACM
ACM
101
BLM
101
LKP
108
ACM
ZLM
101
BNE
101
V8L
108
AYM
101
BNE
101
V8L
108
AYM
ABK
101
BNM
101
ZJK
108
AYM
BWM
101
BNN
101
ZJK
ZLM
108
AYM
ZLM
101
BNN
101
ZJK
ZSK
108
AYM
ZSP
101
BNP
101
ZJM
108
BFS
101
BWA
101
ZLM
108
BFS
BWM
101
BWA
ABK
101
ZLM
ACM
108
BFS
ZLM
101
BWA
ABL
101
ZLM
BFS
108
BWA
101
BWA
ABM
101
ZLM
BWA
108
BWA
ABL
101
BWA
ACM
101
ZLM
ZJK
108
BWA
BWM
BWM
ZSK
ZLM
BWA
I-4
NOAC
LA1
LA2
NOAC
LA1
LA2
NOAC
LA1
108
BWA
ZLM
112
MAM
AYM
115
BWA
108
BWA
ZSP
112
MBM
115
BWA
ACM
108
BWM
112
MBM
115
BWA
BWM
108
MCM
112
ZLM
115
BWA
ZLM
108
MCM
ABK
115
BWM
108
MCM
ACM
115
ACM
115
CTM
108
MCM
BWA
115
AYM
115
KLM
108
MCM
ZLM
115
KLM
115
MXM
108
MEM
115
MXM
115
MXM
CTM
108
MEM
BWM
115
NAM
115
MXM
NEM
108
MEM
ZSP
115
ZJK
115
MXM
ZLM
108
MGM
115
BWM
115
MXM
ZSK
108
MGM
115
ZLM
115
M6M
108
MJM
115
M6M
M6M
108
MJM
ZSP
108
ZLM
ZLM
115
ACM
115
ACM
ABL
115
M6M
MLL
115
ACM
BWA
115
M8M
108
MLM
115
ACM
ZLM
115
NAM
108
MMM
115
AYM
115
NCM
108
VJM
115
AYM
ABK
115
NCM
108
V8L
115
AYM
ZSP
115
NEL
108
ZJK
115
BFS
115
NEM
108
ZLM
115
BFS
ABL
115
SZX
108
ZTM
115
BFS
ACM
115
SZX
115
BFS
BWM
115
V8L
115
BFS
ZLM
115
ZJK
112
MAM
ZLM
LA2
ZLM
ABM
I-5
*By Nature of Action Code and Legal Authority Codes
NOAC
LA1
LA2
115
ZJK
ZLM
115
ZLM
140
115
ZTM
140
KQM
140
KQM
140
120
HNM
NOAC
LA1
NOAC
LA1
190
ACM
190
ACM
190
AYM
ABL
190
BWA
KQM
ABM
190
MXM
140
KQM
BWM
190
MXM
140
KQM
ZSP
190
M6M
140
SZW
190
M8M
190
NCM
190
NEM
190
ZJK
190
ZLM
KQM
122
HNM
122
HNM
122
HRM
140
ZLM
122
H3M
140
ZLM
3
130
ZLM
KTM
141
ABS
130
KVM
141
KQM
130
KXM
141
KQM
141
ZLM
130
KTM
130
KTM
130
KVM
130
KVM
130
KXM
130
KXM
130
KXM
130
SZT
LA2
ZSP
BWM
BWM
LA2
CTM
500
500
LHM
500
ACA
500
ACM
500
ACM
ABL
500
ACM
ZSK
KXM
500
AYM
ZSP
500
AYM
ZSP
ABK
3
Excluding transfers within DoD
I-6
NOAC
LA1
LA2
NOAC
LA1
500
AYM
ABL
500
500
AYM
ZSP
500
A2M
500
BBM
500
BDN
501
500
BFS
500
BFS
NOAC
LA1
LA2
ZLM
501
BFS
BWM
500
ZQM
501
BFS
ZLM
500
ZTU
501
BLM
501
BLM
ZJK
501
BNM
501
BWM
501
BNM
501
ZLM
501
BNN
500
BLM
501
ABK
AYM
501
BNN
500
BNM
501
ACA
501
BWA
500
BNM
501
ACA
501
BWA
ABL
500
BNN
501
ACM
501
BWA
ACM
500
BWA
501
ACM
ABL
501
BWA
BWM
500
BWA
BWM
501
ACM
ABM
501
BWA
ZLM
500
BWA
ZLM
501
ACM
BWA
501
BWA
ZSP
500
BWA
ZSP
501
ACM
ZLM
501
BWM
500
BWM
501
ACM
ZSK
501
BWM
500
BWM
501
AYM
501
BYM
500
BYM
501
AYM
ABK
501
K1M
500
K1M
501
AYM
ABL
501
LEM
500
LHM
501
AYM
BWM
501
LHM
500
LJM
501
AYM
ZLM
501
LJM
500
LKM
501
AYM
ZSP
501
LSM
500
LSM
501
BDN
501
LSM
ACM
500
VHM
501
BFS
501
LSM
BWA
500
VJM
501
BFS
BWM
ZLM
ZLM
ACM
LA2
ABL
BWA
ZSK
ZLM
ZLM
ACM
I-7
NOAC
LA1
501
ZJK
501
ZJK
501
ZLM
501
ZLM
501
ZLM
501
ZQM
LA2
NOAC
LA1
508
MCM
508
MCM
508
BWA
ZSK
ZLM
LA2
NOAC
LA1
LA2
515
BWM
ABK
515
ZSK
MCM
BWM
515
ACM
508
MCM
ZLM
515
AYM
508
MEM
515
AYM
508
MEM
ABL
515
BFS
508
MEM
ZLM
515
BFS
ACM
515
BFS
BWM
ZSP
508
BWM
508
MGM
508
ZLM
508
MGM
BWM
515
BWA
508
MGM
ZLM
515
BWA
ACM
508
ACM
508
ACM
ABL
508
MJM
515
BWA
BWM
508
ACM
BWA
508
MLK
515
BWA
ZLM
508
ACM
MCM
508
MLL
515
MXM
508
ACM
ZLM
508
MLM
515
MXM
ABM
508
AYM
508
MMM
515
MXM
CTM
508
AYM
ABK
508
VJM
515
MXM
ZLM
508
AYM
ZLM
508
ZJK
515
M6M
508
AYM
ZSP
508
VJK
515
M6M
508
BFS
508
ZLM
515
M8M
508
BFS
508
ZLM
515
NAM
508
BWA
515
NAM
508
BWA
BWM
512
MAM
515
NCM
508
BWA
ZLM
512
MAM
515
NCM
NEM
508
BWM
512
MBM
515
NCM
ZLM
BWM
ABL
ZLM
AYM
ZLM
ABM
I-8
NOAC
LA1
515
NOAC
LA1
LA2
NEM
590
ACM
ZLM
515
SZX
590
AYM
515
SZX
590
MXM
515
VJM
590
MXM
515
ZJK
590
M6M
515
ZJK
ABM
590
M8M
515
ZJK
ZLM
590
NCM
515
ZLM
590
NEM
590
ZLM
520
HNM
520
HRM
522
HNM
522
HNM
522
HRM
522
H3M
540
LA2
ABM
NOAC
LA1
LA2
CTM
ZLM
KQM
540
KQM
540
KQM
540
ZLM
541
KQM
541
ZLM
ZSP
J-1
APPENDIX J
RANDOM REFERRAL INSTRUCTIONS
This procedure is used when all job-related methods for breaking ties have been exhausted. It is
used to rank tied eligibles by matching the last digit of the identification number such as the
Social Security Number, against a randomly chosen number sequence which is changed daily.
A Random Number List is used to find the starting point for the number sequence used to break
ties on a certain day. There is a space on the list opposite the number to enter the date
certificates or supplemental certificates were issued using that number as a starting point for
breaking ties. Thus, on the first day an area office used the list, the starting point would be "0,"
because "0" is the first number of this list; on the second day "3," etc. Once the starting point
has been determined, the remainder of the sequence follows in logical numerical order. In the
example where "0" is the first number, the sequence would be 0123456789. If "3" were the first
number, the sequence would be 3456789012.
The basic rule is that within a tied-rating group, the last digits of the identification numbers
involved are compared to the 10-number sequence, based on the number selected from the
Random Number List, and eligibles are certified in the order of the sequence.
As an example, assume that this is the 10th day an area office has used the random referral
procedure for certification. Opposite the 10th number, "9," the Staffing Clerk writes in the date.
Because "9" is the first number in the random number sequence, the entire sequence used to
break ties that day is 9012345678.
Example: random number sequence = 9012345678
tied eligibles: 970863
415239
954416
067112
order of certification: 415239
067112
970863
954416
All tied eligibles with applicant numbers ending in 9 would be certified first; those ending
in 0, second; those ending in 1, third; etc.
Note: Dates entered in the Random Number List should be only those dates on which at least
one certificate was issued. Thus, for example, if a certificate was issued on October 9, 1995,
and the next one was not issued until October 13, 1995, those dates would follow in sequence on
the List. Intervening dates of the 10th, 11th, and 12th would not be written in.
If more than one applicant number in a tied rating group ends in the same digit, the same
procedure is applied to the next to the last digits and so on until the necessary ties are broken.
Each digit (next to the last, second to the last, etc.) is compared to the first number in the
sequence, and so on until all necessary eligibles are ranked.
Example: random number sequence = 9012345678
tied eligibles: 431800
894671
914000
872149
934800
505000
391741
371112
order of certification: 872149
914000
505000
431800
934800
391741
894671
371112
In the example given, 9 is the first number in the random sequence; therefore, any identification
number ending in 9 goes first. The next number is 0. There are four identification numbers in
the example that end in 0, which means that the next to the last digit in the identification
numbers will be used to rank the eligibles. When a new digit in the identification number must
be used for tie-breaking, the Staffing Clerk starts at the beginning of the random number
sequence again (i.e., 9's first, 0's second, 1's third, etc.) Three identification numbers in the
example have a next-to-last digit of 0, so that next-to-last digit must be used for breaking ties.
When all identification numbers ending in 0 have been ranked, all those ending in 1 are ranked.
Continue the procedure until enough eligibles have been ranked to fill the requests.
J-2
Each Staffing Clerk may maintain one Random Number List for all certificates for which he/she
is responsible, or the office may wish to maintain one list to be used by the entire office.
Whichever procedure is followed, a new random number sequence is used for each day that
certificates are issued. When all the numbers on the Random Number List have been used,
start over at the beginning of the list.
Automated competitor inventory random numbers are system-generated, and the manual list
should not be used.
The office may make copies of the list for internal use, but the random number material is to be
treated as confidential and should not be released to agencies or the general public.
J-3
RANDOM NUMBER LIST
Date
Number
0
3
1
6
2
4
8
7
5
9
7
3
2
6
0
8
1
5
9
4
3
6
7
9
8
2
4
1
0
5
2
7
8
5
6
4
3
1
9
0
Date
Number
Date
Number
0
4
3
7
9
1
5
6
2
8
2
8
3
0
7
6
1
5
4
9
5
4
7
2
9
3
8
6
1
0
7
5
3
9
1
8
6
2
4
0
1
5
6
3
2
8
9
0
4
7
1
5
7
3
4
8
2
6
9
0
5
9
4
1
8
3
0
7
2
6
0
9
5
7
1
2
8
3
6
4
Date
Number
2
7
3
4
9
8
6
1
5
0
6
2
0
5
8
4
9
7
3
1
9
2
0
4
8
6
3
7
1
5
6
5
0
7
9
3
4
8
2
1
Date
Number
8
2
9
7
4
0
1
3
5
6
7
4
5
1
9
3
2
0
8
4
4
7
9
6
5
2
3
1
0
8
3
5
0
6
1
2
4
8
7
9
* From Statistical Analysis for Managerial Decisions, John C. G. Boot and Edwin B. Cox, 1970.
K-1
Appendix K
Instructions for Completing the Delegated Examining
Quarterly Workload Report Form
Under the delegated examining agreement with OPM, agencies agreed to report their delegated
examining activities on a quarterly basis. The Delegated Examining Quarterly Workload Report
helps agencies in meeting this requirement. This report is due 15 work days after the end of the
quarter (i.e., January 15, April 15, July 15, and October 15.) If your delegated examining unit
(DEU) did not have any delegated examining activities for the quarter, you must still submit a
negative report. However, if your DEU had delegated examining activities for the quarter,
instructions for completing the Delegated Examining Quarterly Workload Report form are below.
These reports must be submitted to the OPM Service Center having jurisdiction over your DEU.
The following instructions explain “what and how” should be reported. When completing the
Quarterly Workload Reporting form on page K-3, count all applications and selections, including
those for temporary and term appointment, that were processed under delegated examining
authority. Count only the workload actually produced by the DEU, including work accomplished for
another Federal agency.
Do not include:
a) applications and selections that occurred under either Outside-the-Register hiring authority or
noncompetitive authority;
b) applications collected or selections made under the Outstanding Scholar hiring authority; or
c) work produced by OPM under a reimbursable contract or by another Federal agency.
COMPLETING THE QUARTERLY WORKLOAD REPORTING FORM:
Name & Location of Examining Office. Please indicate the name of the agency/subagency and
address. For example, Department of Treasury-Internal Revenue Service, Department of the ArmyArmy Corps of Engineers.
Contact Person Preparing Report. Please indicate the staff member responsible for completing
the delegated examining quarterly report.
Phone Number. Please indicate the telephone number where the contact person can be reached.
FY and Quarter. Please indicate the fiscal year and quarter in which the delegated examining
work was completed.
Line 1:
Number of applications processed.
Count the total number of applications, eligibles and ineligibles, processed during the
reporting quarter.
Line 2:
Number of selections made.
Count the total number of selections made from certificates audited during the reporting
quarter. How many selections were made on the audited certificates shown on Line 4?
Line 3:
Number of preference eligibles selected.
Count the total number of preference eligibles selected of the number of selections
reported on Line 2. How many of the selectees on Line 2 were preference eligibles?
Line 4:
Number of certificates audited.
Count the total number of certificates audited during the reporting quarter. These are
certificates that were audited (returned by the selecting official and closed out by the
Examining Office) during the quarter, rather than the number of certificates that were
issued.
K-2
LINES 5 THROUGH 12 REFER TO CERTIFICATES AUDITED DURING THE REPORTING
QUARTER.
Line 5:
Number of certificates in (4) which had preference eligibles at the top.
Total number of audited certificates on Line 4 which had preference eligible(s) at the top
of list. “At the top” refers to the first three eligibles listed on a certificate of eligible.
Line 6:
Number of certificates in (5) which were used.
Total number of audited certificates on Line 5 which had one or more selections reported.
Line 7:
Number of certificates in (5) which were unused.
Total number of audited certificates on Line 5 in which no selection was made.
NOTE: THE NUMBERS REPORTED ON LINE 6 PLUS LINE 7 MUST EQUAL LINE 5.
Line 8:
Number of certificates in (7) unused because of CTAP/ICTAP referral.
Total number of audited certificates on Line 7 in which the selecting official reported
making no selection because of CTAP/ICTAP referral(s).
Line 9:
Number of certificates in (4) which preference eligibles were not at the top.
Total number of audited certificates on Line 4 in which no preference eligible(s) was within
the first three eligibles on the list. This includes all the remaining certificates audited
during the reporting quarter not reported on Line 5.
Line 10: Number of certificates in (9) which were used.
Total number of audited certificates on Line 9 which had one or more selections reported.
Line 11: Number of certificates in (9) which were unused.
Total number of audited certificates on Line 9 in which no selection was made.
Line 12: Number of certificates in (11) above unused because of CTAP/ICTAP referral:
Total number of audited certificates on Line 11 in which the selecting official reported
making no selection because of CTAP/ICTAP referral(s).
Line 13: Internal self-evaluation of delegated examining operations.
Fill in the date your annual internal delegated examining operations self-evaluation was
completed. Complete Line 13 only for the fiscal quarter during which the self-evaluation
was completed.
K-3
DELEGATED EXAMINING
QUARTERLY WORKLOAD REPORTING FORM (11/4/97)
Agency Delegated Examining Offices should reproduce this form locally in order to provide
workload information to their local OPM service centers. Reports should cover examining activity
for the previous fiscal quarter and are due to OPM by the 15th of the month following the end of the
quarter (example: the report for the 1st quarter -- October 1 through December 31 -- will be due on
January 15.)
Count only workload items, including those for temporary and term appointments, that were
processed under delegated examining authority. Do not include workload that occurred under
outside-the-register hiring authority, merit promotion or other noncompetitive authority, or excepted
service hiring procedures.
Count only the workload actually produced by the Examining Office, including work accomplished
for another Federal agency. Do not count work produced by OPM under a reimbursable contract, or
by another Federal agency.
Delegated Examining Offices are responsible for collecting the reasons for not using the
certificates they issue, analyzing the reasons provided, and looking for trends of non-use.
Name & Location of Examining
Office_______________________________________________________________________
Contact Person Preparing Report _______________________________________________
Phone Number__________________________
FY ________ Quarter ________
(1)
Number of applications processed: _______________
(2)
Number of selections made: _______________
(3)
Number of preference eligibles selected: _______________
(4)
Number of certificates audited4: _______________
(5)
(9)
No. of certificates in (4) which had preference eligibles at the top: _____________
(6)
No. of certificates in (5) which were used: ___________
(7)
No. of certificates in (5) which were unused: ___________
(8)
No. of certificates in (7) unused because of CTAP/ICTAP referral: _________
No. of certificates in (4) which preference eligibles were not at the top:
__________
(10) No. of certificates in (9) which were used: ___________
(11) No. of certificates in (9) which were unused: ___________
(12) No. of certificates in (11) above unused because of CTAP/ICTAP referral:
________
(13)5 We certify that an internal self-evaluation of our delegated examining operations
was completed on __________________________
(enter date)
4
5
Count certificates that were audited (returned by the selecting official and closed out by the EO) during
the quarter, rather than the number of certificates that were issued.
Complete Line 13 only for the fiscal quarter during which the self-evaluation was completed.
L-1
APPENDIX L
MODEL AGENCY-BASED ACCOUNTABILITY AGENDA
Merit System Principle or Law
Expected Results
“Recruitment should be:
Selectees are qualified.
(1) from qualified individuals;
Recruitment activities yield a
balanced pool of quality
applicants.
(2) from appropriate sources;
(3) in an endeavor to achieve a
work force from all segments of
society; and,
(4) selection and advancement
should be determined solely on
the basis of relative ability,
knowledge, and skills, after
(5) fair and open competition
which assures that all receive
equal opportunity.”
Extent Expected Results
Met and How Determined
Issues of diversity, manifest
imbalance in the work force or
(past) applicant pools are
considered in planning
recruitment.
Valid selection criteria are
documented and applied to
each recruitment action.
Competition is open: the
application process complies
with Merit System Principles
and other related legal
requirements.
Qualification requirements used
are job-related and are applied
equitably.
Applicants with comparable
qualifications receive
comparable treatment; the
examining process does not
introduce or reinforce
inappropriate biases in rating,
referral, selection, placement,
or compensation.
Application acceptance,
candidate referral, and interview
and placement practices are
“neutral”—they do not arbitrarily
favor or disfavor specific
candidates or type of
applicants.
Agency policies and procedures
for accepting late applications
are in accordance with 5 USC
3305 and 5 CFR 332, Subpart
C.
Applicants entitled to file late
applications are identified and
given appropriate opportunities
and considerations.
Late applications received from
10 point veterans for case
exams are maintained, and
appropriate notification is
provided for future case
examinations.
L-2
Merit System Principle or Law
Expected Results
Veterans’ Preference Act of
1944 (as amended)
Determinations regarding
eligibility for veterans’
preference (VP) are properly
made, and individuals with VP
are afforded their legal rights in
recruitment, referral,
consideration, and selection.
“All employees and applicants
for employment should receive
fair and equitable treatment in
all aspects of personnel
management without regard to
political affiliation, race, color,
religion, national origin, sex,
marital status, age, or
handicapping condition, and
with proper regard for their
privacy and constitutional
rights.”
Information is released under
the Freedom of Information and
Privacy Acts in a way that does
not violate the privacy of any
employee or applicant.
“The Federal work force should
be used efficiently and
effectively.”
The delegated examining
process produces quality
candidates in a timely manner
at a reasonable cost.
Extent Expected Results
Met and How Determined
Information is maintained in a
way that does not violate the
privacy of any employee or
applicant.
Delegated examining activities
support public policy on
placement of surplus and
displaced employees.
L-3
Merit Principle Assessment
(To be used in conjunction with the Agency-Based Accountability Agenda)
Determine whether the examining system provides for the following. Does the action reviewed
indicate adherence to Merit System Principles and law?
Merit Principle: Recruitment is from qualified individuals, from appropriate sources
a.
b.
c.
Is recruitment appropriately targeted (e.g., toward under-represented groups and/or
veterans)?
Does recruitment produce a sufficient number of high quality applicants?
Do appointees/selectees meet appropriate qualification requirements?
Merit Principle: Fair and open competition
d.
e.
f.
g.
h.
I.
Is the area of consideration appropriate for the position being filled?
Does the length of the open period provide applicants a reasonable opportunity to
compete, considering such factors as the volume of applications expected and the area
of publicity?
Are jobs publicized through OPM’s USAJOBS?
Can applicants readily obtain sufficiently detailed information on application
procedures/materials, qualifications, and job requirements?
Are procedures in place to insure that applicants entitled to file late applications receive
appropriate consideration?
Are late applications from 10 point veterans preference eligibles appropriately
maintained for positions filled under case examining procedures?
Merit Principle: Selections are based on relative ability, knowledge, and skills
j.
k.
Are selection criteria resulting in selections of high quality?
Are KSAs and crediting plans based on job requirements, and appropriate to the level of
competition?
Merit Principle: Employees and applicants receive fair and equitable treatment
l.
Does correspondence indicate that the agency responds to Freedom of Information Act
requests and inquiries in a timely and open manner, while insuring the privacy of
applicants and employees?
Merit Principle: Efficient and effective use of the Federal work force
m.
n.
o.
p.
q.
Were sufficient numbers of eligibles referred on this certificate for the number of
vacancies (considering possible failure to reply, lack of interest, and candidate
unavailability)?
Was this certificate issued in a timely manner?
Is there appropriate use of automation?
Is “well-qualified” defined to provide opportunities for surplus and displaced employees?
Are CTAP/ICTAP candidates receiving proper consideration for all appropriate
vacancies?
Veterans’ Preference Act of 1944 (as amended) and other laws and regulations
r.
s.
t.
Were eligibles listed in the correct order, by score, veterans’ preference, etc.?
If there were any objections or passover requests, were they properly handled?
Is the selection consistent with the correct certification?
M-1
APPENDIX M
OVERSIGHT REVIEW GUIDE FOR TIER 3 REVIEWS
I.
II.
Organization and Jurisdiction
-
Identify examining coverage: position titles, grades, and geographic jurisdiction.
-
If the agency has published procedures covering DE operations, are they in compliance
with legislation, OPM regulations and instructions?
-
Is the agency furnishing the quarterly reports on selections and applications processed
as required by the delegated examining agreement?
-
Is the agency adhering to the records retention/disposal schedule in accordance with
OPM requirements?
-
Is competitive examining only being conducted by installation staff trained and certified
by an OPM Service Center?
-
Has the installation implemented its internal accountability system as required by the
delegation agreement?
-
Did the installation conduct the required annual review of DEU operations utilizing nonDEU staff? Did the report of the annual review reflect significant deficiencies in
operations? Was a copy of the report sent to the local OPM Service Center?
Recruitment
-
Are jobs publicized through OPM’s USAJOBS?
-
Does the public notice indicate: specific job(s), and qualifications required, including
experience, education, selective and/or quality ranking factors?
-
Is there reasonable opportunity to compete based on: length of open periods, areas of
publicity, and use of productive recruitment sources?
-
Are application procedures clear regarding qualifications required, bases for rating, and
identification of application forms and filing address?
-
Do vacancy announcements contain required notifications to CTAP/ICTAP eligibles and
definition of well-qualified?
-
Are replies to inquiries accurate, responsive, and timely (written and verbal)?
-
Is recruitment appropriately targeted (toward under-represented groups, veterans)?
-
Does recruitment produce a sufficient number of high quality applicants?
III. Application Processing
-
Are applications from persons entitled to file late applications processed appropriately?
-
Are KSAs and crediting plans based on job requirements, and appropriate to the level of
competition? Are KSAs and crediting plans consistently applied?
-
Has the agency established a formal rating reconsideration procedure? If so, review the
procedure and the levels of review provided.
-
Review a sampling of rated and processed applications (eligible and ineligible). Is the
date of receipt (or postmark) indicated? Does application meet criteria for receipt
(exam open)? Is the rating correct? Was veteran preference correctly awarded and
recorded? Were reconsiderations processed according to
procedures/documented/applicant notified?
M-2
-
How are incomplete applications treated? Are all incomplete applications processed the
same?
-
Is there evidence of non-merit factors such as unwarranted consideration of name
requests, conversions of temporary and/or excepted employees without open
competition, etc.?
-
Is there documentation supporting determinations than an otherwise eligible
CTAP/ICTAP candidate is not well-qualified?
IV. Certification/Selection
-
Review a sampling of audited certificates for technical accuracy.
-
Were eligibles selected from the appropriate register for certification?*
-
Were eligibles listed in the correct order, by score, veterans’ preference, etc.?
-
Were objections or passover requests, if any, handled properly?
-
Is the selection within the “rule of three”?
-
Does the selection meet CTAP/ICTAP regulatory requirements?
-
Assess whether veterans are receiving bona fide consideration (review patterns of nonuse of certificates and objections/passovers).
-
Are certification procedures uniform for all eligibles?
-
Were applicants who were not selected appropriately returned to the register?* (assess
whether register eligibles lose consideration due to untimely or inaccurate return of
eligibles to registers.)
-
Are changes requested by register eligibles made quickly and accurately?* (Assess
whether requested changes are delayed in such a manner that applicants lose
consideration.)
-
Are selecting officials satisfied with the quality and timeliness of certificates?
* Register based examining only.
N-1
Appendix N
Delegated Examining Checklists
DE Public Notice Requirements
Requirement: All competitive service positions that are expected to last more than 120 days and
for which applications will be accepted from outside the agency’s workforce must be placed in
USAJOBS.
[5 U.S.C. 3327 (b)] & [5 CFR 330.707]
Length of public notice (PN) period:
Policy: Delegated Examining Operations Handbook Section 5.2. [DEOH 5.2]
!
Five business days - applications postmarked by closing date accepted
!
Ten business days - applications may be required to be received by the closing date
Expanded Public Notice: Agencies are encouraged to expand the length of their public notice in
order to support recruiting initiatives. Issues that affect how long to keep vacancy announcements
open include: [DEOH 5.2]
!
historic data on recruitment (i.e., low response to prior public notice, few highly qualified
applicants, no local source of candidates, etc.)
!
coordination with agency recruiting efforts
< recruitment prior to public notice and/or during public notice
< special events such as job fairs or professional/occupational conferences
< paid advertising in newspapers, and professional/occupational journals
Shortened Public Notice (SPN) and Numeric Cutoffs (NC) : Most delegation agreements limit
minimum notice periods to those stated under Policy Minimums. However, there may be cases
when shorter public notice periods are appropriate (i.e., when excessively large numbers of
applications are reasonably expected.) The justification for truncating public notice periods must be
clearly documented, even if your agency’s delegation agreement specifically allows for shorter
public notice periods than stated in the above policy. Also agencies may suspend the receipt of
applications once a specified number of applications has been received by establishing an numeric
cutoff rather than establishing a fixed received by date. This allows the agency more flexibility in
ensuring it receives a sufficient number of applications. [DEOH 5.2]
Early Cut-off Dates (ECD): ECDs allow eligibles to be certified while announcements are still open.
[DEOH 6.1.M]
!
ECDs are not required on open vacancy announcements for standing registers.
!
For long case announcements, ECDs that do not shorten the PN period to less than the policy
guidance on the minimum length of public notice, do not have to be justified, but the dates
should appear in the PN.
!
ECDs that are less than the policy minimums must be justified. If the ECD has the same
practical effect as SPN, it should meet the same criteria for justification as a SPN.
Vacancy Announcement Content:
!
Position information
<
<
<
Description of position duties [5 U.S.C. 3330]
title, series, grade, tenure, duty station, and rate of pay for position [5 U.S.C. 3330], and
type of appointment, e.g., permanent, temporary, term [DEOH 5.6.E]
promotion potential
N-2
!
Qualifications required
<
<
<
<
<
!
length and description of the general experience required (if any), and the specialized or
professional experience required (This should be tailored to the requirements of the specific
position being filled) [5 CFR 330.707]
selective factors which the applicants must possess [5 CFR 330.707]
quality ranking factors and other KSAs, or a written test on which ratings will be based [5
CFR 330.707]
any additional items, such as, assessing the ability to meet and deal during a mandatory
interview, maximum entry age, physical requirements, etc. [DEOH 5.6.F]
well qualified criteria for CTAP/ICTAP eligibles [5 CFR 330.707]
Special Comments and Notices
<
Application procedures - Includes required forms, how to obtain them, how to get additional
information [5 U.S.C. 3330] and, if the announcement is opened both internally and
externally are separate applications required for competitive (DEU), noncompetitive (status)
and special [VRA (GS-11 and below), 30% Disabled Veterans, etc.] appointing authorities.
[DEOH 5.6.G]
< Announcement Number, open/close dates, early cutoff dates, numeric cutoffs [5 CFR
330.707]
< Treatment of applications received after an early cutoff date or numeric cutoff. If there is a
possibility that the agency may have to fill additional vacancies, or need to offset high rates
of declinations or an unexpectedly large ineligible applicants by using “late” applications,
this fact should be clear in the public notice.
< How to claim veterans’ preference [5 CFR 330.707]
< Special requirements for CTAP/ICTAP eligibles [5 CFR 330.707]
< Special Conditions of Employment (ie., Relocation agreement, severe working conditions,
random drug testing, etc.) [DEOH 5.6.F]
< Information regarding eligibility
C
Register - Length of time application will receive consideration
C
Case Examination - Application may be considered for identical positions for up to 90
days.
< For positions limited to veterans’ preference eligibles (custodian, evaluator operator, guard,
and messenger), whether or not nonpreference eligibles may apply. [DEOH 6.5.C]
< Equal Employment Opportunity statement [5 CFR 330.707]
N-3
DE Public Notice Preparation Checklist
9
Public Notice Period and Distribution
Note: Announcements soliciting applications from outside the agency’s workforce for
competitive service positions expected to last more than 120 days must be placed on
USAJOBS
______ Justification for Shortened Public Notice/Numeric Cutoff placed in Examination File
______ Justification for Early Cut-off Date (if necessary) placed in Examination File
______ Applications will be accepted from ___ Nonstatus, ___ Status, ___Excepted service
(VRA, Selective placement), ___ other noncompetitive (Peace Corps, 30% DAV)
______ Line managers and supervisors, Special Emphasis Program Managers, and
Servicing Personnelists advised of opportunity to coordinate recruitment activities
with public notice for vacancy
______ Special recruitment/announcement distribution:
9
Position Information
______ Description of Duties accurately reflects position to be filled
______ Description of general and/or specialized (professional) experience requirements
are appropriate the grade of the position
______ Selective and Quality Ranking Factors are clearly identified and described and/or
notice of required written test provided
______ “Well Qualified” criteria for CTAP/ICTAP eligibles
______ Name of issuing agency, duty location, tenure, title, series, grade, salary, tour of
duty, and promotion potential
______ Statement for positions limited to veterans’ preference eligibles (as necessary)
9
Special Notices and Comments
______ Application procedures for CTAP/ICTAP eligibles
______ How to claim veterans’ preference
______ How to obtain application forms and apply for the position
______ How to obtain additional information
9
USAJOBS - Position Entered
Date Opened
:__________
Dated Closed:_________
Early Cutoff(s)
:____________/__________/__________/__________
Numeric Cutoff(s)
:____________/__________/__________/__________
Date(s) Modified*
:___________/___________/__________/__________
Modification(s) made:
______ Download and print copy of USAJOBS announcement and place in the examination
folder
N-4
Accepting Applications Checklist
Various options on procedures applicable organizing and controlling the acceptance of applications
are detailed in the Delegated Examining Operations Handbook [DEOH Section 6.1]. While this is
generally a procedurally intensive process, it is important for staff to understand that it is
accomplished correctly in order to ensure that the merit system principles regarding fair and open
competition [Title 5 2301(b) (1) and (2)] are upheld, and that actions are not taken that provide an
applicant an advantage not authorized by law, rule, or regulation [Title 5 2302(b) (6)].
DE staff tasked with accepting applications must ensure that their activities conform to the following:
G
Penalty Mail, Government franked envelopes are not used by applicants [18 U.S.C. 1719].
G
The application acceptance procedures used for a specific examination are determined by the
information provided to the applicants in the agency’s public notice regarding how they are to
apply for the position.
G
Time frames stated in public notice materials for the submission of application materials are
consistently applied.
G
Applications are date stamped and/or postmarks are annotated. (It is best to keep the
envelope.)
G
In cases where extensions are granted to applicants who request application materials by
closing date, the materials must be received by the response date and date stamped or
annotated as above.
G
Applications are screened for completeness and those that are incomplete are processed in
accordance with the options provided in [DEOH 6.1 N].
G
Applications from persons entitled to file after the closing date of an announcement are
processed in accordance with [DEOH 6.1 F, G, and H].
G
Special consideration afforded to 10-point preference eligibles under Title 5 U.S.C. § 3305 and
5 CFR 332.331 is provided in accordance with [DEOH § 6.3]. Title 5 U.S.C. § 2302 (b) (11) (A)
and (B) make certain violations of veterans preference requirements a prohibited personnel
practice. Title 5 U.S.C. § 2302 (e) (1) (G) provides definitions for the term “veterans’
preference requirement” under Title 5 U.S.C. § 2302 (b) (11) (A) and (B).
The manner in which Delegated Examining Operation personnel accept and process the
applications they receive, either in response to public notice or without solicitation, affects the
operation’s conformance with applicable Merit Systems Principles. Processing applications
inconsistently, whether it is for a case announcement or a register-based examination, lends
credibility to complaints regarding violations of fair and open competition, and makes it more
difficult to defend disputed actions before a third party (EEOC or MSPB) review. If MSPB
determines that such an inconsistent action was taken specifically to help or hinder an applicant’s
chances for employment consideration, it could rule that a prohibited personnel practice was
committed and hold the staff involved personally responsible for their actions.
N-5
Veterans’ Preference Checklist
VRA Eligibility
* Applicant Must Meet All 5 Requirements
to be VRA Eligible
1. ~ Initial appointment will be no higher than
a GS-11 or equivalent. (May have
higher promotion potential.)
duty or until December 31, 1999-whichever is later.
OR
~ Has a service-connected disability of 30
percent or more.
~ Candidate is VRA eligible
** NOTE:
2.
~
Served on active duty on or after
February 28, 1961.
3. ~ Served a period of more than 180 days
active duty,
If applicant is selected,
please forward
application/SF-52 to Special
Programs Coordinator for
review/signature
~ Candidate is NOT VRA eligible.
OR
~ Separated from active duty because of a
service connected disability,
OR
~ Was a reserve or guard member who
served on active duty during a period of
war, such as the Persian Gulf War, or in
a military operation for which a
campaign or expeditionary medal is
authorized. ("Six months" reservist or
National Guard trainees are excluded
from VRA appointments.)
4. ~ Separated with other than a
dishonorable discharge.
5. ~ Served on active duty in the Republic of
Vietnam between February 28, 1961
and May 7, 1975 AND it’s no later than
10 years after the last discharge date
from active duty.
OR
~ Served on active duty between August
5, 1964 and May 7, 1975 AND it’s no
later than 10 years after the last
discharge date from active duty.
OR
~ First entered active duty after May 7,
1975 AND it’s no later than 10 years
after the last discharge date from active
Veteran Preference
Note: Veterans who retired or plan to retire
at or above the rank of major or lieutenant
commander, cannot receive preference
unless the veteran is disabled or retired
from the active military Reserve. To
receive preference, separation from active
duty must have been under honorable
conditions, i.e., honorable or general
discharge.
5 Point Preference --To qualify, you must
meet one of the following:
1. ~ Served on active duty anytime between
December 7, 1941 and July 1, 1955 (If
a Reservist called to active duty
between February 1, 1955 and July 1,
1955, you must meet condition 2,
below.)
OR
2. ~ Served on active duty any part of which
was between July 2, 1955, and October
14, 1976
OR
~ A Reservist called to active duty
between February 1, 1955 and October
14, 1976 and who served for more than
180 days
N-6
OR
3. ~ Entered on active duty between
October 15, 1976 and September 7,
1980
OR
~ A Reservist who entered on active duty
between October 15, 1976 and
October 13, 1982 and received a
Campaign Badge or Expeditionary
Medal
10 Point Preference--(Refer to SF 15 for
required documentation.)
~ Compensably Disabled (30% or more)
(CPS)
~ Compensably Disabled (less than 30%)
(CP)
~ Noncompensably disabled or Purple Heart
Recipient (XP)
~ Spouse, widow(er) or mother of a deceased
or disabled veteran (XP)
OR
~ Are a disabled veteran
OR
_____
Point Preference eligibility (Certify
application & SF 15)
4. ~ Enlisted in the Armed Forces after
September 7, 1980, or
~ Entered active duty other than by
enlistment on or after October 14, 1982,
and
a) completed 24 months of continuous
active duty or the full period called
or ordered to active duty, or
were discharged under 10 U.S.C.
1171, or
for hardship under 10 U.S.C. 1173
and received, or were entitled to
receive, a Campaign Badge or
Expeditionary Medal, or
b) are a disabled veteran
OR
5. ~ Served on active duty anytime between
August 2, 1990 and January 2, 1992,
and
a) completed 24 months of continuous
active duty or the full period called
or ordered to active duty, or
were discharged under 10 U.S.C.
1171 or
for hardship under 10 U.S.C. 1173
or
b) are a disabled veteran
N-7
N-8
Records Retention Review Sheet
Documentation of competitive examining activities facilitates consistent approaches to examining
within an agency’s examining program, and creates a chain of accountability enabling an agency’s
responsible officials and the Office of Personnel Management to assess both the effectiveness of a
Delegated Examining Operation and its conformance with Merit Systems Principles. Agencies must
ensure that the records used to implement the delegation of authority are maintained in a system of
records subject to the Privacy Act and consistent with OPM’s Government-wide system of records
(OPM/GOVT-5) [Interagency Agreement I.E.2.q.]
The Interagency Agreements covering the delegation of competitive examining authority require
that agencies adhere to OPM’s schedule of records retention/disposition. [Interagency Agreement
I.E.2.r.]
Requirements:
!
A delegated examining operation must maintain examining records in totality for at least two
(2) years or until a Tier 3 review is conducted by OPM’s Office of Merit Systems Oversight,
which ever comes first. [Delegated Examination Operation Handbook (DEOH), 9.4] If a DE
review is a Tier 3 review, it will be clearly stated in the scheduling letter and the subsequent
report.
!
With certain exceptions , once the two years has past or the delegated examining operation
has received a Tier 3 review, the agency should dispose of the records in accordance with the
schedule in the [DEOH, Appendix G]. Exceptions:
<
<
Records that are subject to a longer retention time frame specified in an agency’s
administrative appeal or grievance process
Records pertaining to examinations under litigation MUST be retained until instructed by
OPM’s Office of the General Counsel that they are no longer needed.
Proper and timely disposition of records is an important housekeeping function. Adherence to the
disposition schedule insures the examining office conforms to the agency’s and OPM’s
accountability requirements, and can properly respond to legitimate requests made under the
Freedom of Information Act and the Privacy Act (FOIA/PA). In addition to reducing the agency’s
storage burden, timely disposition precludes the agency from having to release records requested
under FOIA/PA that should have already been destroyed.
N-9
DE Program Accountability Review Sheet
An effective delegated examining accountability program serves to provide managers at all levels
with information regarding the effectiveness of delegated examining operations in supporting their
organization’s mission goals. It also ensures that responsible officials can identify and correct
examining practices that are ineffective, or could undermine the government’s high standards of
integrity, conduct, and concern for the public interest.
!
Agency line and staff managers can be assured that recruitment activities conducted on their
behalf under delegated examining:
< yield a balanced pool of quality applicants, i.e., a recruitment program that ensures equal
employment opportunity for all candidates without discrimination [5 CFR 720.204]
< produce sufficient numbers of high quality applicants in a timely manner
< are consistent with the Merit System Principles (MSP’s) [Title 5 U.S.C. 2301] and avoid the
Prohibited Personnel Practices [Title 5 U.S.C. 2302]
Agencies have broad latitude in establishing and administering accountability systems to meet the
unique aspects of their organizational structures and mission goals. However, all accountability
systems should have the attributes of (1) ensuring subordinate organizations and staff are properly
prepared to execute and administer their assigned portions of the delegated competitive examining
process; and (2) provide meaningful feedback to senior management regarding effectiveness of
delegated examining operations and compliance with civil service laws and MSP’s. An effective
accountability system alerts managers to practices that should be shared as exemplary practices, as
well as ones that may suggest the need for corrective action or additional training.
An effective accountability system will keep successive levels of management appraised of how
subordinates are carrying out their delegated examining duties. The items below focus on some of
the more important activities for which managers and staff engaged in delegated examining
operations should be held accountable by higher authority. The OPM Delegated Examining
Operations Handbook (DEOH), Appendices G and H also describe specific accountability issues
within the context of the MSPs.
!
The agency official with signatory authority for the Delegated Examining Agreement with OPM
has:
<
implemented an internal accountability system [Delegation Agreement (DA, I.E.2.u. and
I.E.2.v.)]
< designated installation(s) as a delegated examining site(s)
< directed the development of operating procedures that comply with relevant laws, OPM
regulations and instructions, and are consistent with the MSP’s [DA, I.E.2.a]
!
The official responsible for delegated examining activities at the installation ensures that :
< the staff conducting delegated competitive examining has been trained and certified by
OPM [DA, I.E.1b.]
< annual (or other specified period) audits have been completed using non-DEU staff*
[DEOH, 9.7]
< Quarterly Workload Reports have been submitted to the appropriate OPM Service Center
[DEOH, 9.2 and Appendix K]
< written procedures exist for reconsideration of examining decisions* [DEOH, 3.9]
< installation-developed procedures comply with relevant laws, OPM regulations and
instructions, and are consistent with the MSPs [DA, I.E.2.a]
< procedures established for releasing information under the Freedom of Information and
Privacy Acts protect individual privacy.* [DEOH, 9.3]
< staff is aware of which applicants are entitled to file after the closing dates of
announcements and special procedures for processing applications received from 10-point
preference eligibles in case examining situations* [DEOH, 6.3]
< Records retention/disposal practices meet established requirements* [DEOH, 9.4 and
Appendix G]
!
The installation staff involved in delegated examining activities:
< adjudicates and administers veterans’ preference in accordance with applicable laws
< executes agency and local delegated examining procedures in a manner consistent with
personnel laws and the MSPs
< maintains workload statistics and work flow information in accordance with agency/local
policies
Check lists and procedures are no substitute for the thoughtful application of relevant laws,
regulations, policies, sound personnel practices, and the MSPs by well trained staff.

Delegated Examining Operations Handbook, A - Beatley

Transcription

Similar documents

The Myers-Briggs Type Indicator and Medicine

How to Print Map from MapQuest: • Go to mapquest.com • Click Get

10/26/1878 - Atlantic County Library System

2010 年度後期英語アカデミック・コミュニケーション力養成

What We`ve Seen in Q2 2015

The Lottery and Educational Opportunities for South Carolinians

PrimeFilm 1800 AFL Low-Cost 35mm Slide/Film Scanning Through

The value of business travel time savings

PlayStation Official Magazine - June 2016 UK