RD Instruction 2045-C

TITLE - 7 AGRICULTURE

SUBCHAPTER S - PERSONNEL

PART 2045 - General

SUBPART C - MERIT PROMOTION PROGRAM

## TABLE OF CONTENTS

[Sec]{.underline}. [Page]{.underline}

2045.101 General. 1

2045.102 Policy. 1

2045.103 Competitive procedures. 3

2045.104 Exceptions to merit staffing procedures. 4

2045.105 Mandatory pre-recruitment actions. 7

2045.106 Applicant search. 8

\(a\) Area of consideration. 8

\(b\) Developing evaluation criteria. 10

\(c\) Vacancy announcement procedures. 10

\(d\) Duration of vacancy announcements. 10

\(e\) Methods of locating applicants. 11

\(f\) Registers. 11

2045.107 Application procedures. 11

\(a\) General. 11

\(b\) Requirements for accepting applications. 12

2045.108 Evaluation of employees for promotion

and internal placement. 13

2045.109 Promotion panel membership. 14

2045.110 Referral and selection. 15

2045.111 Selection procedures. 16

2045.112 Release of employees and effective dates. 17

2045.113 Prohibited practices. 17

\(a\) Employment or advocacy of relatives. 17

\(b\) Supervision of relatives. 18

\(c\) Discrimination. 18

2045.114 Records. 19

2045.115 Information to employees. 19

2045.116 - 2045.150 (Reserved) 20

(09-26-90) PN 146

RD Instruction 2045-C

Table of Contents

Page 2

Exhibit A - \"Definition of Terms\"

Exhibit B - \"Reclassification, Accretion of Duties\"

Exhibit C - \"Priority Placement Procedures\"

Exhibit D - \"Vacancy Announcement Procedures and Forms\"

Exhibit E - \"Evaluation Method A\"

Exhibit F - \"Evaluation Method B\"

Exhibit G - \"DPM 335 Promotion and internal Placement\
Appendix C - Developing Evaluation Criteria for\
Merit Promotion\"

Exhibit H - \"Job Analysis\"

Exhibit I - \"Developing Rating Schedules\"

Exhibit J - \"Rural Development Merit Promotion Action Checklist\"

RD Instruction 2045-C

PART 2045 - GENERAL

SUBPART C - Merit Promotion Program

§2045.101 [General]{.underline}.

\(a\) This Instruction provides policies and procedures in accordance
with Federal Personnel Manual (FPM) 335 and the U.S. Department of
Agriculture (USDA) Merit Promotion Plan for the Merit Promotion Program
for Rural Development. This Instruction supplements information
contained in FPM 335 and USDA, Merit Promotion Plan.

\(b\) If there is any item in the Merit Promotion Plan which conflicts
with any negotiated Union Agreement, the Union Agreement will take
precedence over the Merit Promotion Plan item during the life of the
present negotiated Union Agreement.

\(c\) This Instruction governs the staffing of all competitive positions
(i.e., General Schedule, General Merit, and Federal Wage System) through
the grade of GM-15. This Instruction does not apply to positions in the
excepted service or the Senior Executive Service.

§2045.l02 [Policy]{.underline}.

\(a\) It is the policy of Rural Development to fill positions
efficiently and on the basis of merit without regard to political,
religious, or labor organization affiliation or non-affiliation, marital
status, race, color, sex, national origin, non-disqualifying handicap,
or age.

\(b\) The objective of both the USDA and Rural Development in the area
of merit promotion is: (l) bring the best qualified candidates to the
attention of management; (2) give employees an opportunity to receive
fair, equitable, and appropriate consideration for higher level jobs;
(3) provide an incentive for employees to improve their performance and
develop their knowledges, skills, and abilities; and (4) provide career
opportunities for employees.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

DISTRIBUTION: WSDC and All Personnel

Employees General

## 1

(09-26-90) PN 146

RD Instruction 2045-C

§2045.102 (con.)

\(c\) The policy does not guarantee that employees will be promoted, nor
does it require that a vacancy be filled by promotion. Merit promotion
is but one means to fill a position. When fully qualified candidates for
positions can be obtained through other means of recruitment (i.e.,
reassignment, transfer, reinstatement, Office of Personnel Management
(OPM) register of eligibles, special appointing authorities, direct
hire, change to lower grade, etc.), these methods may be properly used
concurrently with, or to the exclusion of, the merit promotion process.
Once initiated, the merit promotion process may be cancelled at any time
management elects to fill the position(s) through other recruitment
source(s). Management may cancel the merit promotion process if they
chose not to fill the position.

\(d\) The following officials are responsible for the administration and
operation of this program in their jurisdictional areas:

\(1\) [Director, Personnel Division]{.underline}

\(i\) Positions in the National Office;

\(ii\) GM-14 and above positions in the Finance Office;

\(iii\) GM-13 and above positions in State Offices;

\(iv\) All State Administrative Officers; and,

\(v\) All Personnel Management Specialists - This may be redelegated in
certain situations.

\(2\) [State Directors]{.underline} - All State, District, and County
Office positions (except as cited above) under his/her jurisdiction.

\(3\) [Assistant Administrator, Finance Office]{.underline} - All
positions in the Finance Office at the GM-13 level and below.

## 2 

RD Instruction 2045-C

§2045.l03 [Competitive procedures]{.underline}.

The competitive procedures established by this plan apply to the
following placement actions:

\(a\) Temporary promotions of more than 120 days (prior service under
all temporary promotions and details to higher-graded positions during
the previous l2 months count toward this limitation). If competitive
temporary promotions do not become permanent and are terminated,
employees will be returned to the position and pay level held prior to
the temporary promotions.

\(b\) Details of more than 120 days to either a higher-graded position
or to a position with known promotion potential (prior service under all
temporary promotions and details to higher graded positions during the
previous 12 months count toward this limitation). Details in excess of
30 days to Program Chief, District Director, and Administrative Officer
positions must be approved in the National Office by the appropriate
Deputy Administrator.

\(c\) Transfer from another Federal agency to a higher grade position
than the position currently held, or to a position with known promotion
potential over and above the promotion potential of the position
currently held.

\(d\) Reassignment or demotion to a position with more promotion
potential than the position last held in the competitive service (except
as permitted by Reduction-in-Force (RIF) regulations).

\(e\) Reinstatement to a permanent or temporary position at a higher
grade than the person last held in a non-temporary position in the
competitive service.

\(f\) Training which is part of an authorized training agreement, part
of a promotion program, or required before an employee is qualified for
reassignment to a different occupational series or considered for a
promotion.

\(g\) Term promotions that are in excess of 2 years but not more than 4
years in duration.

## 3

(09-26-90) PN 146

RD Instruction 2045-C

§2045.l04 [Exceptions to merit staffing procedures]{.underline}.

\(a\) Career promotion within a classification series if competition was
held at an earlier stage; that is, the employee was selected from an OPM
register or selected for a position advertised as having promotion
potential to the next higher grade. Noncompetitive promotions can be
made in this situation only if all the following conditions exist:

\(1\) The employee was originally selected from an OPM register or by
competitive promotion procedures. Conversion to a career-conditional
appointment under the Veterans Readjustment, Cooperative Education
Program, Handicapped Program, Employment Program, or other OPM approved
special emphasis conversion authority meets this requirement.

\(2\) At the time of competition, all applicants were made aware that
the initial selection could lead to a promotion. Vacancy announcements
for internal actions and Form OF-5 (Inquiry as to Availability) for
selection from OPM register, which are sent to all applicants, are to
indicate the full performance level and any occupational series changes
that are planned. Vacancy announcements and Form OF-5 document the
noncompetitive action.

\(3\) The employee is in a classification series in which grade-building
experience is acquired and promotion is determined by demonstrated
knowledges, skills, and abilities required to perform at the higher
grade level, and a fully successful or higher performance rating. This
determination is to be made by the immediate supervisor in consultation
with the second level supervisor. After a careful review is made, the
decision is documented in Part D, of the Standard Form SF-52, \"Request
for Personnel Action.\"

\(4\) If a group of employees is to be considered for career promotion,
there must be a sufficient number of positions at the next higher level
for all employees in the group. If there are not enough positions to
promote all applicants who

## 4 

RD Instruction 2045-C

§2045.104 (a) (4) (Con.)

meet time-in-grade requirements and who have demonstrated ability to
perform at the next higher level, competitive procedures must be used.

\(5\) The applicant meets X-ll8 qualifications and time-in-grade
requirements.

\(6\) Repromotion of an employee who was separated through RIF and
reinstated at a lower grade than that held prior to separation.

\(b\) Promotion based on reclassification when:

\(l\) No significant change occurs in duties or responsibilities and the
position is upgraded due to issuance of a new classification standard or
the correction of a classification error.

\(2\) The position is upgraded due to the accretion of duties and
responsibilities and all of the following provisions are met:

\(i\) The employee continues to perform the same basic function;

\(ii\) The major duties of former position are absorbed into the new
position;

\(iii\) The new position has no further promotion potential;

\(iv\) No other positions within the organizational unit are adversely
affected;

\(v\) The new position is not a reclassification from nonsupervisory to
supervisory; and

\(vi\) There is no other employee qualified or in direct line for a
promotion to the position within the organizational unit.

\(3\) See Exhibit B of this Instruction for procedural steps for
securing approval of non-competitive reclassification actions based on
accretion of duties.

## 5

(09-26-90) PN 146

RD Instruction 2045-C

§2045.104 (b) (Con.)

\(4\) An individual may not be given a promotion from a one-grade
interval series to a two-grade interval series through an accretion of
duties promotion.

\(c\) Competitive appointment from an OPM or Special Examining Unit
(SEU) certificate of eligibles or under direct hire authority.

\(d\) Reinstatement to a position with no more promotion potential than
the last grade held in a nontemporary position under competitive
procedures.

\(e\) The reassignment, demotion, or promotion of any Federal permanent
employee from a position having known promotion potential to a position
having no higher potential.

\(f\) Selection from the Reemployment Priority List (RPL) to the same or
lower grade level than the position from which the candidate was
separated or demoted. Noncompetitive selection from the RPL
automatically removes the individual from the RPL.

\(g\) Transfer of employees of other Federal agencies to the same or
lower grade level with no higher promotion potential than their
currently held position.

\(h\) A temporary promotion of 120 days or less.

\(i\) An action taken as a remedy for failure to receive proper
consideration in a competitive promotion action.

\(j\) Permanent promotion to a position held under temporary promotion
when:

\(1\) The assignment was originally made under competitive procedures;
and

\(2\) It was made known under competitive procedures to all competitors
at the time that it might lead to a permanent promotion.

\(k\) Placement as a result of a RIF is covered under FPM Chapter 35l.

## 6 

RD Instruction 2045-C

§2045.104 (Con.

\(l\) Repromotion to a grade or position from which an employee was
demoted within the Department without personal cause and not at his/her
request (i.e., acceptance of a lower grade level position in lieu of RIF
separation or acceptance of a lower grade level position when their
organization is relocated as a result of a transfer of function).
Competitive procedures of the promotion plan will not be used before
noncompetitive consideration of these employees.

\(m\) A detail to a higher grade of l20 days or less.

§2045.l05 [Mandatory pre-recruitment actions]{.underline}.

Before taking any action to fill a vacancy, either competitively or
noncompetitively, the servicing personnel office is responsible for
ensuring the requirements pertaining to priority consideration are
adhered to.

\(a\) The order of preference for employees entitled to priority
consideration is:

\(1\) Employees downgraded through no fault of their own. These
employees are entitled to priority consideration for a period of 2 years
from the date he/she is notified of his/her priority placement rights.

\(2\) Employees entitled to priority consideration whenever
reconstruction of a promotion action shows that, except for some error,
(i.e., wrong qualification determination, failure to consider, improper
rating, failure to follow competitive procedures, etc.), the employee
would have appeared on a selection certificate. The employee shall be
entitled to one bonafide consideration for the type of position
previously applied for, under competitive procedures, for a period of 1
year.

\(b\) Selecting officials considering nonselection of the referred
priority consideration employee shall provide written justification,
which is to be submitted to the Administrator for prior approval.

\(c\) The process for placement of employees downgraded through no fault
of their own, for National, Finance, and State Offices, is discussed in
Exhibit C of this Instruction.

## 7

(09-26-90) PN 146

RD Instruction 2045-C

§2045.106 [Applicant search]{.underline}.

All announcements will be placed in an area that is accessible to all
employees; however, there are times an employee is absent for legitimate
reasons, e.g. on details, on leave, at training courses, in the
military, serving as jurors, etc. In these instances it is the
responsibility of the employee\'s supervisor to make a reasonable effort
to notify the employee of the announcements.

\(a\) [Area of consideration]{.underline}.

\(l\) The area of consideration (AOC) refers to the
geographical/organizational area in which it is expected sufficient high
quality applicants may be located. Equal Employment Opportunity (EEO)
Affirmative Action goals should be considered in setting the AOC. The
minimum AOC is as follows:

\(i\) The minimum AOC for GS-12 and below positions in the State,
District, and County Offices will be State-wide. Recruitment may be
extended to either Rural Development-wide, USDA-wide, or Government-wide
by the State Director. Written justification signed by the State
Director will be filed in the Merit Promotion File as a permanent
document.

\(ii\) The minimum AOC for GS-12 and below positions in the National
Office will be Rural Development-metro. Recruitment may be extended to
either Rural Development-wide, USDA-wide, or Government-wide. Written
justification will be filed in the Merit Promotion File as a permanent
document.

\(iii\) The minimum AOC for GS-12 and below positions in the Finance
Office will be in the Finance Office, St. Louis area. Recruitment may be
extended to either Rural Development-wide, USDA-wide, or
Government-wide. Written justification will be filed in the Merit
Promotion File as a permanent document.

\(iv\) The minimum AOC for GM-l3 and above positions in the National
Office will be Rural Development-wide. Recruitment may be extended
Government-wide. In the Finance Office, the

## 8 

RD Instruction 2045-C

§2045.106 (a) (1) (iv) (Con.)

minimum AOC for GM-13 and above positions will be St. Louis area
Government-wide. Written justification will be filed in the Merit
Promotion File as a permanent document.

\(v\) The minimum AOC for Program Chiefs at the GM-13, and District
Directors at the GS-12/GM-13 will be Rural Development Nationwide and
will be advertised by the National Office. Recruitment may be extended
to USDA-wide or Government-wide. Written justification will be filed in
the Merit Promotion File as a permanent document.

\(vi\) The minimum AOC for Administrative Officers at the GS-11, or
GS-11/12, or GS-12/GM-l3 will be Government-wide and will be advertised
by the National Office.

\(vii\) The minimum AOC for Personnel Management Specialists will be
Government-wide and will be advertised by the National Office. This may
be redelegated in certain instances.

\(2\) Voluntary applications from Rural Development employees outside
the minimum AOC must be considered. The AOC may not be used as a basis
for refusing to consider applicants who are outside the area, but who
are [not]{.underline} required to compete under this plan (e.g.
reinstatement, reassignment, transfer, etc.). Each State will establish
their own internal system on acceptance and maintenance of a voluntary
applicant file for employees in Rural Development.

\(3\) When a position is advertised Rural Development-wide or less,
voluntary applications from persons outside the Agency will be accepted
and basic qualifications and eligibility will be determined. If less
than ten (10) basically qualified, eligible promotional applicants from
[within]{.underline} the advertised AOC are available, the selecting
official may elect, on a discretionary basis, to have voluntary
promotion applicants from outside the area receive further
consideration. If ten (10) or more basically qualified eligible

## 9

(09-26-90) PN 146

RD Instruction 2045-C

§2045.106 (a) (3) (Con.)

promotion applicants are available from within the AOC voluntary
promotion applicants from outside the area will receive no further
consideration.

\(4\) Voluntary applications received from employees of USDA agencies
other than Rural Development will be treated in the same manner as other
voluntary applicants. No distinction will be made between USDA employees
and other Government employees.

\(5\) The area of consideration may be broadened by readvertising the
position and extending the area of consideration.

\(b\) [Developing evaluation criteria]{.underline}. Upon receipt of the
SF-52, the personnel specialist, as a minimum, will discuss with the
supervisor distinguishing features of the job being filled, and enlist
his/her assistance and input in developing evaluation criteria. The use
of other subject matter experts is strongly encouraged. The evaluation
criteria will be developed through a Job Analysis. For additional
information refer to Exhibit G, H, and I of this Instruction.

\(c\) [Vacancy announcement procedures]{.underline}.

\(1\) Vacancy announcements for all appropriate positions under
recruitment will be prepared. The announcement will contain all required
information or will advise applicants where information can be obtained.
(See Exhibit D of this Instruction.)

\(2\) Each Rural Development office issuing announcements will maintain
a master file of all current open announcements, which will be made
available for review by an interested applicant.

\(d\) [Duration of vacancy announcements]{.underline}. As a minimum,
announcements will be open for 2 weeks (l4 calendar days).
Government-wide, USDA-wide, and Rural Development-wide announcements
will be open for 30 calendar days. The duration of an announcement may
vary depending on the circumstances, as documented.

## 10 

RD Instruction 2045-C

§2045.106 (con.)

\(e\) [Methods of locating applicants]{.underline}. Management officials
may, at any point in the staffing process, select or not select from a
promotion certificate or from any other appropriate source of
applicants, and may consider, in any sequence, different sources of
eligible applicants. The following applicant sources are illustrative,
but not all inclusive: individual vacancy announcements, open continuous
registers, direct hire, OPM certificates, reinstatement eligibles,
Veterans Readjustment Appointment (VRA) appointments, 30 percent or more
disabled veterans, severely handicapped eligibles, change to lower
grade, reassignment, etc.

\(f\) [Registers]{.underline}. Open continuous registers may be
established, as needed, for frequently filled positions, and promotion
certificates may be prepared as vacancies occur. Procedures for
registers are the same as for other merit promotion cases, except that
the same rating schedule will be used to rank all applicants. If changes
occur in the position which require changes in the rating schedule,
previous applicants must be re-rated against the new plan rating
schedule. Multi-rating schedules are required for multi-grade
announcements.

§2045.107 [Application procedures]{.underline}.

\(a\) [General]{.underline}.

\(1\) All applicants for announced vacancies must provide the following:

\(i\) An SF-l7l, \"Application for Federal Employment,\" with an
original signature;

\(ii\) The most recent ([within l8 months]{.underline}) performance
appraisal. A written justification will be required if none has been
received in the last l8 months;

\(iii\) Reinstatement/non-Rural Development applicants must submit a
copy of his/her latest SF-50, \"Notification of Personnel Action,\";
and,

\(iv\) Specific documentation of experience and/or training for each
knowledge, skill, and ability (KSA).

## 11

(09-26-90) PN 146

RD Instruction 2045-C

§2045.107 (a) (Con.)

\(2\) Applications received without information requested in paragraphs
(a)(l)(i) through (iv) of this section will disqualify the applicant
from consideration for the position. A separate application package,
including all required documents, must be submitted for each vacancy for
which application is made. The personnel office will retain all
documents submitted in response to a vacancy announcement. Copies of
application packages will not be provided to applicants. Applicants will
be notified of ineligibility and/or non-selection as soon as the
selection is made and/or an announcement is cancelled.

\(3\) Supervisors and managers must notify eligible employees in their
offices, who qualify, of announcements advertised during their temporary
absence (e.g., on detail, leave, at training courses, 2-week active duty
for employees in the Military Reserves, or other similar reasons), which
have a closing date prior to their return to the office.

\(b\) [Requirements for accepting applications]{.underline}.

\(1\) Applications will be accepted from all eligible employees within
the announced area of consideration.

\(2\) Applications must be received in the personnel office by close of
business on the closing date on the announcement.

\(3\) Applications will be accepted from qualified applicants with
handicapped conditions who are eligible for appointments under Section
2l3.3l02(t) or (u) of Schedule A, and from applicants who are 30 percent
or more disabled veterans who have been certified by authorized
agencies. If qualified, these applicants will be referred on a separate
certificate to the selecting official.

\(4\) Applicants must meet time-in-grade and other qualifications
requirements within 30 days from the closing date of the announcement or
30 days from each cutoff date for Open Continuous Registers.

## 12 

RD Instruction 2045-C

§2045.107 (b) (Con.)

\(5\) Applications may be accepted from noncompetitive eligibles and
those eligible for concurrent consideration who are outside the area of
consideration. Applications for specific announcements from
noncompetitive eligibles will not be accepted after the closing date of
the announcement.

\(6\) The application must include enough information on which to make
eligibility and/or qualifications determination, and must be legible and
accurate.

\(7\) Applications will not be considered unless the SF-171 has an
original signature, a most recent performance appraisal attached, and a
separate sheet addressing the evaluation criteria.

§2045.l08 [Evaluation of employees for promotion and internal
placement]{.underline}.

\(a\) To be considered basically qualified for the position, applicant
must meet the minimum qualification standard prescribed by OPM,
time-in-grade, time-after-competitive appointment within 30 days after
the closing date of the announcement, or 30 days after each cutoff date
for Open Continuous Registers.

\(b\) Selective factors must be used in determining eligibility when
they are essential to successful performance in the position to be
filled, and cannot be expected to be acquired during the training period
customary for the position being filled. As such, they constitute a part
of the minimum requirements for the position.

\(c\) Procedures outlined in the Job Qualification System for Trades and
Labor Occupations (Handbook X-ll8C) will be used for Federal Wage System
positions. Applicants must receive a score of two or more points on the
screen-out element to meet basic eligibility requirements.

## 13

(09-26-90) PN 146

RD Instruction 2045-C

§2045.108 (Con.)

\(d\) Evaluation of basically qualified applicants.

\(1\) When there are six or more qualified applicants, the method shown
in Exhibit E of this instruction must be used to determine the best
qualified.

\(2\) When there are five or fewer qualified applicants eligible for
consideration, the alternate method shown in Exhibit F of this
instruction may be used to determine the best qualified. While it is
still necessary to identify evaluation criteria based on job analysis
and to evaluate applicants against this criteria, it is not necessary to
apply a rating schedule using the alternate method in Exhibit F.

§2045.l09 [Promotion panel membership]{.underline}.

\(a\) For announcements which have six or more basically qualified
applicants, a panel will be convened to rate the basically qualified
applicants utilizing a rating schedule. The panel will have a minimum of
three panel members whose role is to evaluate applicant credentials
against a rating schedule developed by subject matter expert(s) for the
position being filled. Each three member panel will consist of at least
two subject matter experts, e.g., personnel specialists for personnel
specialist positions. If a larger panel is used, a majority will be
subject matter experts. One of the panel members will be designated as
the Chairman. In the Finance Office, the Assistant Administrator will
designate a Chairperson from the panel members prior to the panel
convening. In the State Offices, the State Director will designate a
Chairperson from the panel members prior to the panel convening. In the
National Office, the Director and/or Deputy Director of the Personnel
Division will designate a Chairperson prior to the panel convening.
There will be one facilitator. The role of the facilitator is to ensure
compliance with the requirements of merit promotion procedures and
expedite the process. **The facilitator will emphasize, at the
beginning, to the panel members that the ratings of the applicants and
the panel members\' discussions during**

## 14 

RD Instruction 2045-C

§2045.109 (a) (Con.)

**the panel process are confidential. The ratings of the applicants and
panel members\' discussions will not be discussed with anyone outside of
the panel members and facilitator**. The contribution of the facilitator
is based on knowledge of merit promotion principles. This person does
not serve as a panel member. A personnel representative may serve on
panels at Agency option, either as a facilitator or a panel member, but
one may not be a panel member and facilitator simultaneously.

\(b\) Panel members should be at or above the grade level of the journey
level of the position being filled.

\(c\) To the extent possible, all merit promotion panels will have
ethnic and racial balance, and include members of both sexes.
Participation of an EEO representative as a non-voting observer is
optional, but encouraged.

\(d\) Selecting officials or others participating in the final selection
process by recommending or advising on final selection, may not serve as
members of the promotion panel, but may serve as subject-matter experts
in the job analysis process to develop KSA\'s important for the
position.

§2045.110 [Referral and selection]{.underline}.

\(a\) All certified promotional applicants will be referred to the
selecting official in alphabetical order, unless otherwise stipulated by
a union contract, within the grade level group for which referral is
made, on \"Promotion Certificate\" Form RD 2045-3. Certificates will be
valid for 30 days from the date of issue. However, if the selection
certificate cannot be returned within 30 days, the personnel office will
be contacted by telephone to request an extension. Extensions may be
granted in 30-day increments; however, the total length of a
certificate, including extensions, will not exceed l20 days.

\(b\) Noncompetitive eligibles will be referred on a separate
certificate from promotional applicants. Selecting officials shall be
asked if they want noncompetitive eligibles to be paneled with

## 15

(09-26-90) PN 146

RD Instruction 2045-C

§2045.110 (b) (Con.)

competitive eligibles. If the selecting official says yes, then the
noncompetitive eligibles will be paneled with competitive eligibles.
Selecting officials may request a certificate of applicants who are
eligible for noncompetitive referral after the close of the vacancy
announcement.

\(c\) If the date of an initial certificate issued is less than l20 days
old and another position (same grade, series, and location) becomes
vacant, another selection may be made from the original list without
advertisement. For example, a GS-1101-5, County Office Assistant in
Berkley, South Carolina, is advertised and a promotion list is prepared.
If, within 120 days from the date the initial certificate is issued,
another GS-1101-5, County Office Assistant in Berkley, South Carolina,
becomes vacant, a selection for the second vacancy may be made from the
original list.

\(d\) Only the best qualified applicants will be certified to the
selecting official. A reasonable number of best qualified applicants
(normally 3 to l0) may be certified. If only one or two of the
applicants are best qualified, the selecting official may make a
selection or request that the area of consideration be extended.

\(e\) The selecting official must be provided with the applications and
other related material of the best qualified applicants used by the
panel in evaluating them (i.e., performance appraisals, awards, etc.).

§2045.111 [Selection procedures]{.underline}.

\(a\) The selecting official is entitled to make the selection from any
of the applicants on a selection certificate. Selecting officials must
base their selection on one or more legitimate job-related reasons as to
why the selectee may be expected to perform the job most successfully.
If one applicant is interviewed on the selection certificate, all must
be interviewed. On lateral reassignment eligibles, the selecting
official may interview all or as many as he/she chooses after reviewing
the applications. If necessary, interviews may be conducted by
telephone. The interview is an important part of the selection process
and is encouraged.

## 16 

RD Instruction 2045-C

§2045.111 (Con.)

\(b\) The selecting official is not required to select someone from the
selection certificate. The selecting official may select from any
appropriate source, such as reemployment priority lists, reinstatement,
transfer, severely handicapped referrals, OPM certificates, or open
competitive registers issued by the Agency under OPM delegated
authority, VRA eligibles, or 30 percent or more disabled veteran
eligibles, reassignments, changes to lower grade, etc.

\(c\) If management elects not to make a selection from the certified
applicants, the personnel office may be consulted to help determine the
best course of action to fill the position. If it is determined that
there are an insufficient number of qualified applicants, the servicing
personnel office should be consulted to discuss various recruitment
options.

§2045.112 [Release of employees and effective dates]{.underline}.

Employees selected under the provisions of this Instruction, whether for
promotion, reassignment, demotion (voluntary change to lower grade), or
detail, must be released by the losing supervisor. An employee selected
should normally be released between 2 weeks and 30 days. This timeframe
may vary depending upon the circumstances, e.g., relocation and/or
transfer. Release dates should be coordinated between the gaining and
receiving personnel units. If a dispute arises, the decision of when to
release will be made by a senior management official (i.e., Assistant
Administrator or above for the National Office; State Director for the
States; and Assistant Administrator for the Finance Office) who has the
authority to determine if the proposed action is in the best interest of
Rural Development.

§2045.ll3 [Prohibited practices]{.underline}.

\(a\) [Employment or advocacy of relatives by public
officials]{.underline}. A public official (See Exhibit A of this
Instruction for definition of terms) in Rural Development may not
appoint, employ, reassign, promote, or advance any relative (See Exhibit
A of this Instruction) to the unit over which that official exercises
jurisdiction or control. A public official also may not advocate a
relative\'s appointment, employment, promotion, or advancement

## 17

(09-26-90) PN 146

RD Instruction 2045-C

§2045.113 (a) (Con.)

anywhere in Rural Development. A public official may not appoint,
employ, reassign, promote, or advance the relative of any other public
official in the USDA, if that official has advocated the action.

\(b\) [Supervision of relatives]{.underline}. Rural Development
employees may not supervise a relative either directly or indirectly.
Direct supervision includes assigning responsibilities, granting leave,
evaluating performance, approving training, evaluating for promotion,
and taking or recommending adverse action. Indirect supervision involves
sharing supervisory activities with the immediate supervisor of an
employee by participating in a substantive way with the immediate
supervisor in such activities as making work assignments, monitoring
performance, and participating in promotion evaluation of the employee.
Any instance of direct or indirect supervision of an employee by a
relative shall be eliminated at the first reasonable opportunity (DPM
3l0, Subchapter l, Section l-3).

\(c\) [Discrimination]{.underline}. Selection, and all procedures
leading to selection, must be made without discrimination for any
nonmerit reasons such as race, color, religion, sex, national origin,
political affiliation, marital status, nondisqualifying physical
handicap, age, or membership/nonmembership in a labor organization.
Discrimination for any of these reasons is a serious disciplinary
offense. Each manager and supervisor has the obligation to ensure all
candidates receive full consideration and should take no action which
would either discourage or give the appearance of discouraging potential
candidates from applying for a position. Supervisors and selecting
officials will avoid practices that give employees the impression that a
person was preselected for a job or that a selection was based on
favoritism.

## 18 

RD Instruction 2045-C

§2045.ll4 [Records]{.underline}.

Personnel offices must maintain a record of each selection made under
the plan for 2 years. This 2-year retention period will be extended if
there is a formal grievance and/or EEO complaint filed. The record of
the merit promotion case will be maintained by an appropriate employment
officer/official until the grievance and/or EEO complaint is finalized.
The record must contain sufficient information to allow complete
reconstruction of the promotion action (See Exhibit J of this
Instruction). All applications constitute a part of the merit staffing
case file and will not be returned.

§2045.ll5 [Information to employees]{.underline}.

\(a\) The Personnel Office is responsible for ensuring that each
employee is given a copy of the USDA Merit Promotion Plan along with a
copy of this Instruction.

\(b\) Employees will be reminded periodically about the existence and
availability of the Merit Promotion Plan.

\(c\) Employees may request the following additional information from
their personnel offices:

\(1\) [About the plan]{.underline}.

\(i\) Explanations of any part of the Plan.

\(ii\) Details of supporting regulations.

\(iii\) The qualifications required for a

position.

\(iv\) Details of the evaluation process.

\(2\) [About a specification]{.underline}.

\(i\) Whether he/she was considered for promotion, and if so, whether
he/she was found eligible on the basis of the minimum qualification
requirements for the position

## 19

(09-26-90) PN 146

RD Instruction 2045-C

§2045.115 (c) (2) (Con.)

\(ii\) If he/she was grouped among the best qualified.

\(iii\) Who was selected.

\(iv\) In what areas, if any, the employee should improve to increase
chances for future promotion.

§§2045.116 - 2045.150 (Reserved)

Attachments: Exhibits A, B, C, D, E, F, G, H, I, and J

## oOo

## 20 

RD Instruction 2045-C

Exhibit A

Page 1

## [DEFINITION OF TERMS]{.underline}

l\. [Adverse Impact]{.underline} - a substantially different rate of
selection in hiring, promoting, or other employment decision which works
to the disadvantage of members of a race, sex, or ethnic group.

2\. [Area of consideration]{.underline} - the area in which the Agency
makes an intensive search for eligible candidates in a specific
promotion action. The minimum area of consideration is the area
designated by the Promotion Plan in which the Agency should reasonably
expect to locate enough high quality candidates, as determined by the
Agency, to fill vacancies in the positions covered by the Plan. (When
the minimum area of consideration produces enough high quality
candidates and the Agency does not find it necessary to make a broader
search, the minimum area of consideration and the area of consideration
is the same.)

3\. [Best qualified candidates]{.underline} - are qualified candidates
who rank at the top when compared with other eligible candidates for a
position and are referred for consideration.

4\. [Career Ladder]{.underline} - the range of grades in an occupational
series or specialization within an organization which represents the
levels at which all employees are given grade-building experience and to
which they may be noncompetitively promoted. There must be enough work
classifiable at the highest grade so that there is a reasonable
expectation that all employees in the given organization and
occupational series or specialization can progress to that grade.

5\. [Certificate of Best Qualified/Selection Certificate]{.underline} -
a list of candidates who received the highest scores in an evaluation
process and whose qualifications clearly distinguish them from other
candidates.

6\. [Demotion]{.underline} - the change of an employee to a lower grade
when both the old and new positions are under the GS, GM, or any similar
pay schedule, or under the same wage grade schedule, or a position with
a lower rate of basic pay when both the old and new positions are under
the same type ungraded schedule or in different pay-method categories.

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit A

Page 2

7\. [Job Analysis]{.underline} - a systematic, documented review of the
job to be filled to determine what knowledges, skills, abilities, and
other characteristics the worker must bring to the job to perform
successfully in a reasonable period of time.

8\. [Position change]{.underline} - a promotion, demotion, or
reassignment made during an employee\'s continuous service within the
Department. A position change by any of these methods may also involve a
change of official headquarters or post of duty within the U.S.
Department of Agriculture (USDA).

9\. [Priority consideration]{.underline} - special consideration given
to an employee as the result of his/her failure to receive proper
consideration on a previous Merit Promotion action. This means that an
aggrieved employee will be considered first for a Merit Promotion
activity before other candidates. If the selecting official declines to
select the aggrieved employee, documentation must be presented showing
legitimate job-related reasons for the nonselection.

l0. [Promotion]{.underline} - a change of an employee while serving
continuously within USDA;

a\. To a higher grade when both the old and new positions are under the
GS, GM, or the same type graded wage schedule; or

b\. To a position with a higher rate of pay when the old and the new
positions are under the same type ungraded wage schedule or in different
pay method categories.

11\. [Promotion panel]{.underline} - a permanent or ad hoc committee of
subject matter experts established to evaluate, compare, and rank
employees for promotion.

l2. [Public Official]{.underline} - anyone who, by law, rule, regulation
or delegation has appointment or promotion authority, or authority to
recommend employees for appointment or promotion.

l3. [Qualified candidates]{.underline} - those candidates who meet
established qualification requirements for the position.

RD Instruction 2045-C

Exhibit A

Page 3

l4. [Rating schedule]{.underline} - a scaled set of training, education
and experience examples used to assign POINT values to portions of
applicant\'s background that demonstrate possession of the required
knowledge, skills, or abilities (KSA).

l5. [Reassignment]{.underline} - the change of an employee from one
position to another without promotion or demotion while serving
continuously with USDA.

l6. [Reinstatement]{.underline} - the noncompetitive reemployment as a
career or career-conditional employee of a person formerly employed in
the competitive service who had competitive status or was serving a
probation when he/she was separated from service within the last 3 years
following the date of their separation.

l7. [Relative]{.underline} - Aunt, brother, brother-in-law, daughter,
daughter-in-law, father, father-in-law, first cousin, half brother, half
sister, husband, mother, mother-in-law, nephew, niece, sister,
sister-in-law, son, son-in-law, stepbrother, stepdaughter, stepfather,
stepmother, stepsister, stepson, uncle, wife. Strict legal definition is
applied to all of these terms; excluding spouses of nieces, spouses of
uncles, spouses of sisters-in-law, etc.

l8. [Selective factors]{.underline} - are KSA\'s essential for
satisfactory performance on the job which represent an addition to the
basic standard for a position. The following are examples of appropriate
selective factors for determining eligibility when the factors are
essential for successful job performance:

a\. Ability to speak, read, and/or write a language\
other than English;

b\. Knowledges and abilities pertaining to a certain\
program or mission, when these cannot readily be\
acquired after promotion; and

c\. Ability in a functional area (for example, ability\
to evaluate alternative Automated Data Processing\
systems).

l9. [Term promotion]{.underline} - a promotion that is in excess of 2
years but not more than 4 years in duration.

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit A

Page 4

20\. [Transfer]{.underline} - a change of an employee from a position in
USDA to a position in another Government Agency or a change from a
position in another Government Agency to USDA.

2l. [Validation]{.underline} - the demonstration of the job relatedness
of a selection procedure.

22\. [Work behavior]{.underline} - a job-duty, task or activity
expressed in operational terms, (e.g. writes technical reports; types
statistical charts).

## oOo 

RD Instruction 2045-C

Exhibit B

Page 1

## [RECLASSIFICATION]{.underline}

## [ACCRETION OF DUTIES]{.underline}

The following steps must be taken in order to process a promotion
resulting from an employee\'s position being reclassified at a higher
grade because of additional duties and responsibilities:

l\. National, Finance, and State Officials must submit the following
documentation to the National Office, Director, Personnel Division, for
approval prior to noncompetitively promoting the incumbent:

a\. A statement is to be prepared, signed, and dated by the supervisor
which outlines all changes in duties and responsibilities which have
occurred and the reason for those changes.

b\. Documentation as to how these additional duties came to be assigned
to one particular employee and not to another; or, why duties were not
assigned among employees on a rotational basis.

c\. An audit (desk audit, questionnaire, or telephone audit) of the
position which reflects that the employee is performing at the higher
grade level and not merely that the higher grade level duties are
present or projected.

d\. An analysis, which must address issues outlined in paragraph 2 (c),
(d), and (e) of this exhibit must be completed by the Administrative
Officer (AO)/Personnel Management Specialist (PMS) with a summary
indicating why the changes are not considered to be the result of
planned management action.

2\. The State Director should also consider the following factors prior
to submission of the request to noncompetitively promote an employee
based on accretion of duties:

a\. Length of time an incumbent has been performing the higher level
duties and the likelihood these duties will continue to be assigned to
this position in the future.

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit B

Page 2

b\. A review of X-ll8 qualification standards to ensure that the
incumbent can qualify for the higher grade level. This review should be
in writing and should be retained by the Personnel Office for a period
of 2 years after the accretion is approved.

c\. The nature of the work assigned to others in the office and the
continuance of good position management principles in work organization.

d\. Management\'s knowledge of impact of additional duties on the grade
of the position. If it can be reasonably assumed that the supervisor
knowingly assigned additional duties which he/she knew were of a higher
grade level, competitive procedures should be used.

e\. To what extent the previous duties were absorbed into the new one.
If the position is entirely new and not an extension of the previous
position, it is difficult to assume absence of planned management
action.

## oOo 

RD Instruction 2045-C

Exhibit C

Page 1

##  [PRIORITY PLACEMENT PROCEDURES]{.underline}

l\. The primary responsibility for placement of employees downgraded
through no fault of their own is with the affected employee\'s Agency.
The following are the priority procedures for employees downgraded
through no fault of their own to facilitate their repromotion and, when
necessary, provide training and developmental assignments to enhance
repromotion opportunities. The same procedures apply in the National,
Finance, and State Offices.

a\. In the Washington, D.C., Metropolitan Area:

\(l\) An employee, who has been placed in a lower graded position
through no fault of his or her own as a result of one of the following
actions: A) an error in the prior classification of position; B) a
change in classification standards without a change in duties and
responsibilities; C) a change in the duties and responsibilities caused
by a gradual erosion or by management action; or D) any other action
that led to down-grading as a result of reduction-in-force procedures,
has repromotion placement rights within his/her own agency for 2 years.
Other agencies may consider this employee, but do not have to give the
employee priority consideration. The total period of priority
consideration entitlement is 2 years from the date the employee is
notified of his/her priority placement rights.

\(2\) The Personnel Division, Operations Branch, shall maintain a
priority placement list of all Rural Development downgraded employees in
the National Office.

\(3\) The Personnel Division, Operations Branch, will establish a
priority placement file for each employee containing an SF-l7l,
\"Application for Federal Employment\" and current performance
evaluation, plus documentation of all considerations of the employee
within Farmers Home Administration and through referral to other U.S.
Department of Agriculture agencies. Records of considerations must be
retained for 2 years or until a Departmental Personnel Management
Evaluation, whichever is first.

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit C

Page 2

\(4\) Qualified downgraded employees must first be considered for
vacancies before undertaking to staff the position by any other means.

\(5\) If there are job-related reasons for not placing a downgraded
employee in the vacancy, these reasons must be fully documented and
retained in the priority placement file.

\(6\) Repromotion job offers must be made in writing allowing the
employee a reasonable time to respond (no less than three working days).

\(7\) Downgraded employees who refuse repromotion to a position, the
grade or pay of which is equal to or greater than his/her retained grade
and pay in their commuting area, are to be removed from the priority
placement list and their benefits under grade and pay retention
terminated. Employees must be notified in writing of this action.

b\. The State and Finance Offices\' priority placement plan will operate
in the same manner as the Washington, D.C., metropolitan area, except:

\(l\) The area where the downgraded employee has priority placement
rights shall be the commuting area; and

\(2\) The downgraded employee\'s personnel office will be responsible
for establishing priority placement lists and sending an SF-l7l to other
USDA agencies in the commuting area.

2\. Rural Development activities in placing employees downgraded through
no fault of their own will be subject to regular and recurring reviews
by the USDA Office of Personnel. Where it is determined that employees
have been improperly denied promotion, they shall have mandatory
repromotion rights within Rural Development. Selecting officials
considering denying repromotion to a basically qualified downgraded
employee are cautioned to do so only for the most compelling job-related
reasons. Written justification to bypass a downgraded employee must be
submitted to the Deputy Administrator for Management for prior approval.

## oOo 

RD Instruction 2045-C

Exhibit D

Page 1

## [VACANCY ANNOUNCEMENT]{.underline}

## [PROCEDURES AND FORMS]{.underline}

l\. At a minimum, a vacancy announcement must contain the following
information:

a\. Name of Agency and announcement number.

b\. Position title, series and grade (number of positions if filling
more than one position). If the position is other than full-time
permanent, state the type (i.e., part-time, number of hours under the
part-time schedule, intermittent, temporary appointment, etc.). If the
announcement is for a temporary promotion, state this fact.

c\. Promotion potential, if any.

d\. Location of position.

e\. Area of consideration.

f\. Opening and closing dates.

g\. Statement of duties and qualification requirements (including
evaluation criteria). When advertising a position at multi-grades,
evaluation criteria for each grade level must be outlined in the vacancy
announcement. The announcement should also require candidates to specify
the lowest grade they will accept.

h\. If a supervisory or managerial position, indicate that person must
serve a probationary period if he/she has not held a supervisory
position in the past that fully meets the requirements outlined in FPM
Chapter 3l5, subchapter 9.

i\. Address, phone number, and contact person for making application.

j\. Equal Employment Opportunity Statement: Candidates will be
considered without discrimination for any nonmerit reasons such as race,
religion, sex, national origin, marital status, politics, physical
handicap, age, or membership or nonmembership in an employee
organization.

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit D

Page 2

k\. To be eligible for consideration for a competitive promotion,
applicants must meet OPM Handbook X-ll8 or X-ll8C requirements,
time-in-grade restrictions, and time-after-competitive appointment, if
applicable, within 30 days after the closing date of the vacancy
announcement or 30 days after each cutoff date on Open Continuous
Registers.

l\. Identify KSA\'s (knowledges, skills, and abilities) to be used in
the evaluative process.

m\. Provide a statement that applications must be received in the
Personnel Office no later than close of business on the closing date in
order to be considered under the announcement.

n\. Submit an SF-l7l, \"Application for Federal Employment\" with
original signature, the most recent (within l8 months) performance
appraisal (a written justification will be required if none has been
received in the last l8 months); a reinstatement/non-Rural Development
applicant must submit a copy of his/her latest SF-50, \"Notification of
Personnel Action,\"; specific documentation of experience and/or
training for each KSA. Applications received without the above
information will eliminate the applicant from consideration for the
position.

o\. A statement that a security clearance is required and state the
type, if applicable.

p\. A statement that travel is a requirement of the position and
identify the percentage of travel time, if applicable.

q\. A statement that a mobility agreement is required, if applicable.

r\. A statement that use of government franked envelopes to mail
applications is prohibited by Federal laws and regulations. Applications
submitted in government franked envelopes will not be accepted.

s\. Supervisors and managers must notify eligible employees in their
offices, who qualify, of announcements advertised during their temporary
absence (e.g., on

RD Instruction 2045-C

Exhibit D

Page 3

detail, leave, at training courses, 2 week active duty for employees in
the Military Reserves, or other similar reasons), which have a closing
date prior to their return to the office.

t\. Applicants are requested to complete a \"Background Survey
Questionnaire\" (Form AD-l007) and submit it with each application.
Completion of this form, however, is voluntary. It should be noted that
this information is used only for statistical purposes and is not
provided to selecting officials nor is it maintained as a permanent part
of the promotion file.

u\. Male applicants born after December 3l, l959, will have to certify
prior to, or at the time of, appointment that they have registered with
the Selective Service System.

2\. Form AD-4ll, \"Vacancy Announcement,\" shall be used to announce
vacancies. A copy of a completed Vacancy Announcement is provided under
Attachment 1 of this exhibit.

## oOo

(09-26-90) PN 146

Exhibit D, Attachment 1 is not automated see Manual.

RD Instruction 2045-C

Exhibit E

Page 1

## [EVALUATION METHOD A]{.underline}

The identified subject matter expert(s) will define three level
definitions for knowledges, skills, and abilities (KSA) identified in
the announcement. The three levels will be Superior, Satisfactory, and
Minimally Acceptable. These levels will be assigned individual point
values. The following is an example for \"ABILITY TO COMMUNICATE
ORALLY\":

5 points - [Superior Level]{.underline}: Experience in: (a) oral

communication with

Program/Administrative

Officials for the purpose of

persuading or negotiating on

complex and controversial

issues; and (b) giving oral

presentations to high-level

groups of Agency personnel

to justify or explain

complex issues.

3 points - [Satisfactory]{.underline} Experience in: (a) oral

[Level]{.underline} : communication with Program/

Administrative Officials

and/or Agency employees to

discuss concerns or issues

that may be of a technical

nature; and (b) presenting

information at staff

meetings. Equivalent

training may be substituted,

such as formal course work

in presentation techniques,

public speaking, etc.

1 point - [Minimally]{.underline} Experience in oral

[Acceptable]{.underline} communication for the

[Level]{.underline} : purpose of obtaining or

providing facts/information

which may be routine or non-

controversial. Such

communications are limited

to the candidate\'s own

internal organization.

Equivalent training may be

substituted, such as

training in speech or

presentation techniques.

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit E

Page 2

The \"Best Qualified\" group will be determined by the following steps:

l\. The panel members will use the established rating schedule developed
by a subject matter expert(s) to individually rate each applicant\'s
package. A single point value will be assigned to each KSA.

2\. Once the individual rating is accomplished for each KSA, each panel
member will add the point value assigned to each KSA to obtain a total
score of the KSAs for that individual applicant. After each panel member
evaluates the first 3 applicants on the evaluation list, the panel
members will discuss their point values with each other. The Chairman
will facilitate the discussion. The discussion is to ensure that there
is not a wide disparity between panel members point value assigned (For
Example: Panel Member #l - 3, l, 3; Panel Member #2 - 5, 5, 5; Panel
Member #3 - 3, 3, l). This process should be continued throughout the
panel process. After the discussion, the Chairman will verify all
applicants\' total rating scores. The Chairman will combine the three
panel members\' total scores, by applicant, and divide each individual
applicants\' overall total rating score by the number of panel members.
An example of a rating for Applicant B, based on five KSAs would be as
follows:

a\. Panel Member l - Total Rating Score of l5.

b\. Panel Member 2 - Total Rating Score of 25.

c\. Panel Member 3 - Total Rating Score of 2l.

d\. Total Rating Scores of all three panel members are added: l5 + 25 +
2l = 6l. This is the overall rating, 6l.

e\. Divide the overall rating score of the three panel members, for
Applicant B, which is 6l by the number of panel members, which is 3,
(Example: 6l divided by 3 = 20.3. If .5 or more, round to the next whole
number). The averaged score for Applicant B is 20.

f\. Repeat this process for each Applicant rated.

g\. Each individual\'s averaged score is then recorded on the final
rating sheet.

RD Instruction 2045-C

Exhibit E

Page 3

h\. The applicants\' averaged score will be utilized for determining the
\"Best Qualified\".

3\. The \"Best Qualified\" group will be determined by a natural break
point. The natural break point will be defined as a division in number
which will clearly separate the \"Best Qualified\" group from the
\"Qualified\" group and provide l0 or less applicants to certify to the
selecting official. An example of a natural break point would be as
follows: there are two applicants with a score of 25, one with 23, one
with 2l and one with l5. There are 2-point intervals between each score
down to 2l, and a 6-point interval between 2l and l5; therefore, the
natural break-point would be 2l, which clearly separates the \"Best
Qualified\" from the \"Qualified\".

EXAMPLE: 25

23

[21]{.underline} NATURAL BREAK POINT

15

In cases where the Natural Break Point is not as clearly identified as
in the above example, the Chairman should discuss the issue with the
facilitator. The Chairman and the facilitator will make the
determination what number will be the Natural Break Point.

## oOo

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit F

Page 1

## [EVALUATION METHOD B]{.underline}

This procedure must be applied to all positions for which there are 5 or
fewer basically qualified applicants:

l\. Basically qualified determination. Basic qualifications will be
accomplished by the servicing personnel specialist.

2\. Evaluation. When using evaluation Method B, it is not necessary to
convene a panel of subject matter experts. A personnel specialist may
evaluate the applicants while determining basic qualifications. However,
it is still necessary to evaluate the applicants against the evaluation
criteria (knowledges, skills, and abilities) but it is not necessary to
apply a rating schedule. If the personnel specialist cannot determine
whether the experience, education, or training relates to the evaluation
criteria, technical advice should be obtained from a subject matter
expert. If this is done, the promotion record should reflect the basis
of any decisions made.

3\. Best qualified determination under this method. In order to have
their names forwarded for consideration, applicants must have the
following:

a\. A summary performance rating of \"fully successful\" or higher; and

b\. Related experience, education, or training in all of the evaluation
criteria (KSA\'s). This determination should be made through a review of
the applicant\'s SF-l7l, \"Application for Federal Employment,\" and
response to the individual KSA\'s. If it is determined that an applicant
does not possess a particular KSA, the file should contain a statement
explaining how this determination was made.

Any candidate not meeting the above will not be considered as best
qualified.

## oOo

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit G

Page 1

## DPM 335 PROMOTION AND INTERNAL PLACEMENT

## [APPENDIX C]{.underline} - DEVELOPING EVALUATION CRITERIA FOR MERIT 

## PROMOTION

[INTRODUCTION]{.underline}

In developing evaluation criteria for use in merit promotion actions,
agencies must fulfill both Merit System principles and the requirements
of the Uniform Guidelines on Employee Selection Procedures. This
Appendix contains a discussion of the Guidelines as they apply to the
merit promotion process.

A. [THE UNIFORM GUIDELINES - GENERAL]{.underline}

The Uniform Guidelines on Employee Selection Procedures, (FPM Supplement
335-l, Appendix A), are a set of principles to assist employers in
making employment decisions that comply with equal employment
opportunity requirements of Federal law with respect to race, color,
religion, sex, and national origin. They are designed to provide a
framework for determining the proper use of tests and other selection
procedures consistent with equal opportunity requirements. According to
the Uniform Guidelines, a selection procedure that has an adverse impact
on the employment opportunities of a race, sex, or ethnic group is
unlawfully discriminatory unless the selection procedure can be
justified on grounds of business necessity and properly validated. (See
Appendix B, Section l of the Department Merit Promotion Plan). While the
Uniform Guidelines do not require validation of selection procedures
that produce no adverse impact, the Department strongly recommends that
agencies develop and use only those selection procedures that are based
on job analysis and that can be supported by appropriate validity
studies.

B. [VALIDATION PROCESSES]{.underline}

Selection procedures and job analysis methodologies can be supported by
three different validation strategies: content validity,
criterion-related validity, and construct validity. Content validity
demonstrates that the content of a selection procedure is a
representative sample of important aspects of job performance.
Criterion-related studies statistically demonstrate a correlation
between scores on a selection procedure and the job performance of a
sample population of employees. Construct validity proves that a
selection procedure measures a construct (defined as an underlying human
trait or characteristic) that is

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit G

Page 2

important for successful job performance. The Uniform Guidelines include
the technical standards which govern each of these validation
strategies.

Any one of these strategies can be used to defend a selection procedure
when the existence of adverse impact makes validation necessary.
Criterion-related studies, however, require sophisticated statistical
research based on the collection and correlation of both selection and
job performance data. Construct validation is a relatively new and
complex process that has not yet been widely applied to selection
practices. Therefore, content validity seems the most appropriate
validation method for use in the Department.

C. [CONTENT VALIDITY]{.underline}

Content validity demonstrates that the content of a selection procedure
is representative of the content of a job. Content validity can justify
selection procedures which measure knowledges, skills, and abilities
(KSA\'s) when those KSA\'s are directly linked to successful job
performance. A knowledge, therefore, should be operationally defined as
a body of learned information which the employee must use to perform
some observable work behavior. Skills and abilities should also be
operationally defined in terms of observable aspects of work behaviors.
Content validity cannot, however, support selection procedures which
rely on inferences about mental processes, or measure traits and
constructs (e.g., intelligence, aptitude, personality, common sense,
judgment, and leadership). (See FPM 335-l, Appendix A-6 and A-37.)

D. [DOCUMENTATION REQUIRED FOR CONTENT VALIDATION]{.underline}

Content validity studies conducted in defense of selection procedures
should contain the following information:

1\. User(s), location(s), and date(s) of study (including the date(s)
and location(s) of the job analysis).

2\. Problem and setting. The report should define the purpose(s) of the
study and the circumstances in which it was conducted. A description of
existing selection procedures, and cutoff scores, if any, should be
provided.

RD Instruction 2045-C

Exhibit G

Page 3

3\. Job analysis - Content of the job. The description of the method
used to analyze the job should include:

a\. The work behaviors, tasks, and work products, if any;

b\. Measures of the importance of the work behaviors and the method used
to establish these measures;

c\. The KSA\'s identified by the job analysis, and

\(1\) An operational definition of each knowledge in terms of a body of
information;

\(2\) An operational definition of each skill and ability in terms of
observable behaviors and outcomes;

\(3\) The relationship between each KSA\'s and the work behaviors;

\(4\) The method used to determine these relationships; and

d\. A description of the work situation specifying

\(1\) The setting in which the work behaviors are performed;

\(2\) The manner in which the KSA\'s are used; and

\(3\) The difficulty and complexity of the KSA\'s used on the job.

4\. Selection procedure and its content. A complete description of the
selection procedure should be provided.

This description should:

a\. Specify the work behaviors measured by the selection procedure, and

b\. Support the procedure\'s claim to measure KSA\'s.

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit G

Page 4

5\. Relationship between the selection procedure and the job. The report
should demonstrate that the selection procedure is:

a\. A representative work sample;

b\. A representative sample of the work behaviors; or

c\. A representative sample of KSA\'s necessary for the performance of
specific work behaviors.

For paragraphs (a) and (b) above, the manner, setting, and level of
complexity of the selection procedure and the work situation should be
compared. Time limits, if any, should be explained and justified in
terms of job requirements. The report should describe any modifications
in the content or administration of the selection procedures that were
made for the purpose of reducing adverse impact.

6\. Alternative procedures investigated. The report should identify the
alternative selection procedures investigated, provide evidence of their
impact, and describe in detail the scope and method of the investigation
as well as the findings and conclusions.

7\. Users and applications. A description of the operational uses of the
selection procedure (e.g., ranking, screening, cutoff score, etc.) and
their impact should be included. The report should explain the rationale
behind the operational use chosen for the selection procedure, provide
validity evidence for the selection procedure in terms of its
operational use, and define the personnel decisions which the procedure
will support (e.g., promotion, score(s) - the user must show how the
score(s) was determined). When the selection procedure supports ranking,
the report must prove that a higher score on the selection procedure
will predict better job performance.

8\. Contact person. The name, address, and phone number of a person who
can supply further information about the validity study should be
provided.

9\. Accuracy and completeness. The report should describe the steps
taken to ensure its accuracy and completeness.

## oOo 

RD Instruction 2045-C

Exhibit H

Page 1

## [JOB ANALYSIS]{.underline}

A Job Analysis is a structured approach that analyzes the primary
knowledges, skills, and abilities (KSA\'s) required to successfully
perform a job. There are 8 steps involved in the Job Analysis process.
The 8 steps are as follows:

1\. Identify major duties (usually 4 or 5).

2\. Identify associated KSA\'s.

3\. Determine whether each KSA is essential to perform the duties of the
position.

4\. Combine similar KSA\'s.

5\. Determine KSA\'s that are measurable (i.e., KSA\'s for which a
rating schedule can be developed that distinguishes superior from
minimally acceptable).

6\. Document measurement tool(s).

7\. Develop operational definition.

8\. Develop level definitions (Rating Schedule).

Each step in the Job Analysis process is explained below.

1\. Step 1. Identify major duties (usually 4 or 5).

The following sources, if available, should be taken into consideration
when listing the major duties of a position:

a\. The official position description and classification evaluation
statement;

b\. X-ll8 Qualification Standards;

c\. Position Classification Standards;

d\. Performance Elements and Standards;

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit H

Page 2

e\. Mission and function statements and organization charts; and

f\. Any occupational literature available.

Write down each major duty in a short, direct statement, using active
verbs (refer to Worksheet No. 1 of this exhibit).

[Example]{.underline}:

1\. Advises management on all aspects of position management and
position classification.

2\. Classifies a variety of technical, clerical, and professional
positions.

3\. Maintains position audit program.

4\. Maintains position management program for the Agency.

5\. Reviews and comments on new or revised position classification
standards.

2\. [Step 2]{.underline}. [Identify Associated KSA\'s]{.underline}.

Identify the actual KSA\'s necessary to accomplish each of the major
duties. All KSA\'s must relate directly to a major duty. There is no
limit on the number of KSA\'s that can be identified (some KSA\'s may
apply to more than one major duty). (Refer to Worksheet No. 1.)

3\. [Step 3]{.underline}. [Determine whether each KSA is
essential]{.underline} [to perform]{.underline}

[duties of the position]{.underline}.

Identify each KSA that is necessary in order to perform the duties of
the position. Eliminate any KSA\'s that are highly desirable but are not
really necessary, or that can be learned \"on the job\" in a reasonable
period of time, usually 90 days (refer to Worksheet No. 2 of this
exhibit).

4\. [Step 4]{.underline}. [Combine similar KSA\'s]{.underline}.

Combine those KSA\'s which are similar. For example:

7\. Ability to research and analyze.

8\. Ability to analyze organizational structure.

RD Instruction 2045-C

Exhibit H

Page 3

9\. Ability to obtain, evaluate, and interpret information.

Combine 8 and 9 with 7, KSA: Ability to research and analyze (refer to
Worksheet No. 2, Column 3).

5\. [Step 5]{.underline}. [Determine KSA\'s that are
measurable]{.underline} (normally 3 to 7).

Determine whether KSA\'s can be measured to distinguish a range from
superior to minimally acceptable performance by using available
measurement tools. Those KSA\'s that can be measured will be used as the
evaluation criteria (refer to Worksheet No. 2, Column 4).

6\. [Step 6]{.underline}. [Document measurement tool(s)]{.underline}.

The measurement tools to be taken into consideration in evaluating the
KSA\'s will be an SF-l7l, Performance Appraisal, and information
provided by the candidate for each KSA. If a KSA cannot be measured by
these documents, then the KSA should not be used. If the KSA\'s can be
measured by these documents, then the KSA\'s should be used (refer to
Worksheet No. 2, Column 5).

7\. [Step 7]{.underline}. [Develop operational definition]{.underline}.

Develop a concise statement that describes what is expected in terms of
a KSA in a particular job. An operational definition may be described in
one of two ways:

Example:

KSA: Ability to communicate in writing

\(1\) Describe as a separate statement: This element includes the
ability to document the objective, the source, the analytical process,
and the conclusion of a project or study.

\(2\) Describe as part of the KSA: Ability to communicate in writing in
order to document the objective, the source, the analytical process, and
the conclusion of a project or study.

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit H

Page 4

8\. [Step 8]{.underline}. [Develop level definitions (Rating
Schedule)]{.underline}.

Define KSA\'s at 3 (or 4) levels by citing examples of what would be
indicative of superior, satisfactory, and minimally acceptable
performance for each KSA. Assign point values to these levels. This
information will serve as the Rating Schedule that will be used to
determine best qualified candidates.

[Example]{.underline}: KSA: Ability to communicate orally

[Superior level]{.underline}: Experience in: (a) oral communication with
Program/Administrative Officials for the purpose of persuading or
negotiating on complex and controversial issues, and (b) giving oral
presentations to high-level groups of Agency personnel to justify or
explain complex issues.

[Satisfactory level]{.underline}: Experience in: (a) oral communication
with Program/Administrative Officials and/or Agency employees to discuss
concerns or issues that may be of a technical nature, and (b) presenting
information at staff meetings. Equivalent training may be substituted,
such as formal course work in presentation techniques, public speaking,
etc.

[Minimally acceptable level]{.underline}: Experience in oral
communication for the purpose of obtaining or providing
facts/information which may be routine or noncontroversial.

Such communications are limited to the candidate\'s own internal
organization. Equivalent training may be substituted, such as training
in speech or presentation techniques.

The [level definitions]{.underline} of the [job analysis
package]{.underline} is equivalent to the [answer key]{.underline} on an
[examination]{.underline}, it must be kept [confidential]{.underline}.

At this point, the job analysis is completed. The vacancy announcement
is then prepared with KSA\'s listed as the evaluation criteria (see
Worksheet No. 3 of this exhibit).

RD Instruction 2045-C

Exhibit H

Page 5

## [SAMPLE JOB ANALYSIS WORKSHEET #1]{.underline}

## 

## 

## JOB TITLE: Position Classification Specialist

## PAY PLAN, SERIES, AND GRADE: GS-221-12\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

## SIGNATURE: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

##  DATE: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ 

JOB ANALYSIS INTERVIEW

COLUMN 1 COLUMN 2

A. What are the four or B. For each duty, what

five major duties to be KSA\'s are required to

performed on this job? perform this?

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

1\. Advises management on all 1. Ability to communicate

aspects of position orally.

management and position Ability to communicate in

classification. writing.

Ability to negotiate/

persuade.

Ability to meet and deal

with people.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2\. Classifies a variety of 2. Ability to communicate in

technical, clerical, and writing.

professional positions. Ability to communicate

orally.

Ability to research and

analyze.

Knowledge of classifica-

tion principles/

practices.

Knowledge of the Position

Classification Stan-

dards, FPM, DPM, and

Agency Instructions.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3\. Maintains position audit 3. Ability to communicate

program for the Agency. orally.

Ability to conduct desk

audits.

Ability to research and

analyze.

Knowledge of classifica-

tion principles and

practices.

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit H

Page 6

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4\. Maintains position man- 4. Knowledge of position

agement program for the management principles

Agency. and practices.

Ability to analyze agency

organizational structure. Ability to provide guidance and advice.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5\. Reviews and comments on 5. Ability to evaluate and

new or revised position interpret information.

classification standards. Ability to analyze.

Knowledge of Position

Classification Stan-

dards.

Ability to obtain, evalu-

ate, and interpret

information.

Ability to communicate in

writing.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

RD Instruction 2045-C

Exhibit H

Page 7

## SAMPLE JOB ANALYSIS WORKSHEET #2

## [KSA DETERMINATION SHEET]{.underline}

[Column 1 Column 2 Column 3 Column 4 Column 5]{.underline}

Knowledges, Essential KSA Combi- Distin- Measure-

skills, and nation guishes ment Tool

abilities Superior

from

Minimally

acceptable

1\. Knowledge of

classifica-

tion princi- Trg & Exp

ples/practices X X Perf Appr

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2\. Knowledge of

position

classification

standards, FPM,

DPM & Agency Combine

instructions X with 1

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3\. Ability to

communicate Trg & Exp

orally X X Perf Appr

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4\. Ability to Trg & Exp

communicate Perf Appr

in writing X X work samp

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5\. Ability to Eliminate

conduct can be

desk audits learned

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

6\. Knowledge of

position

management

principles/ Combine

practices with 1

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit H

Page 8

7\. Ability to

research and

analyze X

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8\. Ability to

analyze or-

ganizational Combine Experience

structure X with 7 X Perf Appr

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

9\. Ability to

obtain,

evaluate,

and interpret Combine

information X with 7

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

10\. Ability to pro-

vide guidance Combine

and advice X with 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

11\. Ability to

negotiate/ Combine

persuade X with 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

12\. Ability to Combine

meet and deal X with 3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

SIGNATURE\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
DATE\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

RD Instruction 2045-C

Exhibit H

Page 9

## SAMPLE WORKSHEET 3 - Supplement

## 

## POSITION CLASSIFICATION SPECIALIST

## 

## GS-221-12

Below is an example of what the final evaluation criteria that would be
published in the vacancy announcement may look like:

1\. [Ability to research and analyze]{.underline} in order to obtain and

interpret information pertaining to organizational

structures, position management, and position

classification.

2\. [Ability to communicate in writing]{.underline} in order to provide

documentation of classification evaluation, and findings

and recommendation on organizational studies and

position management issues.

3\. [Knowledge of classification principles and practices]{.underline}
in

order to conduct desk audits and organizational studies

and classify positions.

4\. [Ability to communicate orally]{.underline} in order to provide

information, advice and guidance to administrative and

program officials; persuade; and provide/obtain

information from agency employees on a variety of

controversial or complex issues.

NOTE: The portion of the evaluation criteria that is

underscored is the knowledge, skill or ability, and the

remaining phrase is the operational definition.

## oOo

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit I

Page 1

## [DEVELOPING RATING SCHEDULES]{.underline}

1\. In developing rating level definitions, remember that a knowledge,
skill, or ability (KSA) should identify one simple, readily identifiable
KSA to which a candidate can respond with a specific description of
his/her experience, training, awards, performance evaluations, etc.,
that a promotion panel can review and evaluate.

[EXAMPLE]{.underline}: KSA - Ability to communicate in writing.

2\. In developing level definitions, consider possible job accommodation
provisions in order that handicapped employees are not unnecessarily
excluded.

3\. In documenting evidence of a level of performance, begin level
definitions with \"experience in\" or \"training in\".

4\. Express KSA\'s in a general way so as not to restrict applicability
to a specific or narrow interpretation of what is required for
satisfactory performance of the position.

[EXAMPLE]{.underline}:

[Use]{.underline} - Knowledge of budgeting techniques, principles,

and procedures.

[Not]{.underline} - Knowledge of revolving accounts and

industrial-type funding.

[Not]{.underline} - Knowledge of Farmers Home Administration

budgeting and accounting procedures.

5\. Avoid the following in developing rating schedules for a position:

a\. Describing work performance in specific settings

when the KSA is measuring a basic skill or ability.

[EXAMPLE]{.underline}: KSA - Ability to maintain records.

Superior Levels -

Experience or education which shows that

the candidate maintained detailed progress

notes and case histories in an alcohol

rehabilitation setting.

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit I

Page 2

Experience or education which shows that

candidate maintained detailed reports and

records in an international trade setting.

These level descriptions for this KSA reflect an

ability to maintain complex records, but performing

that activity in an alcohol rehabilitation setting,

or maintaining reports and records in an

international trade setting can probably be learned

in a reasonable period of time by someone who has the

basic ability, which implies that the specific

setting is not important to consider for selection.

b\. Using length of experience in relationship to ability

to perform a job.

[EXAMPLE]{.underline}: One candidate may have worked in a

particular job for 5 years at a minimally acceptable

level, but would receive more credit than an

applicant who had performed the same job for only two

years at a superior level.

c\. Establishing differentiating level definitions based

on breadth of knowledge when the intent is to measure

the quality of a basic ability.

[EXAMPLE]{.underline}: KSA - Ability to administer an organization

which manages personnel, budget, and procurement for

an Agency installation.

Superior Level -

Experience in all three areas mentioned

above.

Satisfactory Level -

Experience in two of the three areas

mentioned above.

Minimally acceptable Level -

Experience in one of the three areas

mentioned above.

Although variety of experience may be a legitimate

requirement for this job, it has been used here to

create level definitions which have little or no

relationship to an applicant\'s administrative

abilities. In the example, the administrative

ability should have been evaluated, not the specific

areas of responsibility.

RD Instruction 2045-C

Exhibit I

Page 3

d\. Artificial level evidence which has little

relationship to performance of the job.

[EXAMPLE]{.underline}: KSA - Ability to perform mathematical

calculations such as addition,

multiplication, division, percentages, and

simple algebra.

Superior Level -

Three semester hours of college calculus.

Satisfactory Level -

Three semester hours of college math.

Minimally acceptable Level -

One semester hour of college math.

The additional mathematical ability demonstrated by

passing a calculus course adds little to the

applicant\'s ability to perform basic mathematical

calculations.

e\. The use of job titles as sample evidence of

performance because titles alone do not provide enough

information to the rater to give appropriate credit to

such important variables as:

\- how well the person performed

\- what he/she actually did in the job

\- special assignments they may have received

\- latitude allowed in carrying out proposals or

recommendations made.

[EXAMPLE]{.underline}: KSA - Ability to motivate, train, and

evaluate both clerical and professional

subordinate employees.

Superior Level -

Experience as a Division Chief.

Satisfactory Level -

Experience as a Branch Chief.

Minimally acceptable level -

Experience as a Section Head.

Highlight actual work behaviors to insure that

proper credit is assigned.

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit I

Page 4

f\. Using qualifiers or descriptive words or phrases to

describe a KSA.

[EXAMPLES]{.underline}:

\- \"thorough\" knowledge of \...

\- \"above average\" skill in \...

\- \"sound\" knowledge of \...

\- \"good judgment\" in \...

\- \"basic\" knowledge of \...

g\. Developing more level definitions than necessary,

especially if the end result is an exaggeration or an

almost identical level to one already developed. For

example, if a 4 or 5 level system results in artificial

distinctions, consider using 3 levels. It is

recommended that at least 3 levels be used to permit a

range of scores. The following 2 levels are essentially

the same and should be combined.

[EXAMPLE]{.underline}: KSA - Knowledge of concepts, principles,

practices, and techniques applicable to

one or more major communication fields in

order to manage and control nationwide

Agency telecommunications.

Outstanding - Experience participating in

planning the development of a major

communications program.

Superior - Experience assisting in the

planning and development of a major

communications program.

h\. Using Agency or program-specific KSA and level

definitions when it is determined by the job

analysis that the Agency or program-specific KSA can be

learned within a reasonable time.

[EXAMPLE]{.underline}: KSA - Ability to research, analyze, and

interpret Farmers Home Administration

regulations, policies, and procedures

pertaining to administrative management.

RD Instruction 2045-C

Exhibit I

Page 5

i\. Using qualifiers or descriptive phrases to describe

supervisory controls as they are difficult to measure.

[EXAMPLE]{.underline}:

\- \"with general guidance\"\...

\- \"independently researches material\"\...

j\. Establishing a KSA that is so general that it places

a tremendous burden of interpretation on the rater.

[EXAMPLE]{.underline}:

[Use]{.underline} - Ability to understand and apply

regulations, principles, and concepts.

[Not]{.underline} - Ability to use \"good judgment\".

6\. Review the final product before it is used to ensure that the
evaluation criteria (KSA and level definitions) are job related.

## oOo

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit J

Page 1

## [Rural Development MERIT PROMOTION ACTION CHECKLIST]{.underline}

POSITION (TITLE, SERIES AND GRADE):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

(If a target position, identify entry and full performance level.)

LOCATION OF THE POSITION:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

PMS, PA/C, AND/OR AO:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

SELECTED CANDIDATE\'S NAME:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

EFFECTIVE DATE OF SELECTEE\'S ACTION:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_ Copy of SF-52, \"Request for Personnel Action,\"

requesting position be filled.

\_\_\_ Copy of AD-734, \"Request for Candidates\". State what

Qualification Standard was used. Identify panel

members.

\_\_\_ Documentation on SF-52 that Repromotion and Priority

Consideration eligibles were checked and cleared prior

to proceeding under merit promotion.

\_\_\_ Copy of Position Description.

\_\_\_ Job Analysis documentation.

\_\_\_ Evaluative Method identified to be used and a copy of

Evaluative Measurement Tool (rating schedule).

\_\_\_ Copy of Announcement and/or Announcements, if

readvertised.

\_\_\_ Evaluations of Candidates by Panel Member(s).

Must have specific written documentation that supports

ratings above or below those directly related to

rating schedule.

\_\_\_ Copy of AD-735, \"Evaluation of Candidates\". Should

depict: a) the consolidated scores of the panel and the

method for consolidation; and b) each panel member\'s

individual ratings.

\_\_\_ Promotion Certificate(s) (Competitive and Non-

Competitive Certificates, if both used).

(09-26-90) PN 146

RD Instruction 2045-C

Exhibit J

Page 2

\_\_\_ Copy of selected candidates\' SF-l7l, \"Application for Federal

Employment\" and related documentation submitted by candidate. Copy of

selection notification letter sent.

\_\_\_ Copy of other best qualified and/or qualified

candidates\' SF-l7l and related documentation submitted

by candidates. Copy of nonselect letters sent.

\_\_\_ Copy of ineligible candidates\' SF-l7l and related

documentation submitted by candidate. Copy of

ineligible notification letters sent.

Explanation of any missing items:

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature of Personnel Specialist/Administrative Officer,\
and the Personnel Assistant/Personnel Clerk.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date the file was closed out

## oOo