**NASA Procedural Requirements**

NPR 3335.1G

**Effective Date: July 18, 2005**

**Expiration Date: July 18, 2010**

**Internal Placement of NASA Employees**

###### 

Responsible Office: Office of Human Capital Management

**TABLE OF CONTENTS**

**Cover**

####### **Preface**

**P.1 PURPOSE\
P.2 APPLICABILITY**

**P.3 AUTHORITY**

**P.4 REFERENCES**

**P.5 CANCELLATION**

**PART I: NASA COMPETITIVE PLACEMENT PLAN**

**[CHAPTER 1]{.underline}**. Responsibility

####### **CHAPTER 2**. General Provisions 

2.1 Applicant Selection

2.2 Bilateral Consultation and Collective Bargaining

####### **CHAPTER 3.** Competitive Procedures 

3.1 When Competitive Procedures Are Required

3.2 When Competitive Procedures Are Not Required

3.3 Special Considerations

3.4 Area of Consideration

3.5 Announcements

3.6 Application Period

3.7 Application Procedures

3.8 Concurrent Consideration of Outside Applicants

3.9 Determining Basic Qualifications

3.10 Evaluation of Candidates

3.11 Competitive Placement Certificates

3.12 Interviews

3.13 Release

3.14 Timeliness

####### **CHAPTER 4.** Other Provisions

4.1 Information to Candidates

4.2 Employee Grievances

####### **CHAPTER 5.** Responsibility for Implementation 

5.1 Human Resources Officers

5.2 Supervisors

5.3 Employees

**[Appendices]{.underline}**

A.  Information Required for Competitive Placement Plan Records

B.  Definitions

**PART II: THE UPWARD MOBILITY PROGRAM**

####### **CHAPTER 1**. General Provisions 

1.  Program Definitions

2.  NASAwide Upward Mobility Program Objectives

####### **CHAPTER 2**. Planning the Program 

2.1 Initial Planning

2.2 Identifying Positions

####### **CHAPTER 3.** Career Counseling 

####### **CHAPTER 4.** Program Implementation 

4.1 Source of Eligibles

4.2 Area of Consideration

4.3 Qualification Requirements

4.4 Announcing the Position

4.5 Application Procedures

####### **CHAPTER 5.** The Selection Process 

5.1 Evaluation of Applicants

5.2 The Rating and Ranking Process

5.3 Selection

5.4 Release

**[CHAPTER 6.]{.underline}** Training Agreements

[**CHAPTER 7.**]{.underline} Individual Development Plans

**[CHAPTER 8.]{.underline}** Employee Evaluation

**[CHAPTER 9.]{.underline}** Program Evaluation

**[CHAPTER 10]{.underline}.** Required Reports

####### **CHAPTER 11.** Key Roles and Responsibilities 

11.1 Human Resources Officers

11.2 Upward Mobility Coordinators

11.3 Equal Opportunity Program Directors

11.4 Training Directors

11.5 Managers and Supervisors

11.6 Interested and Participating Employees

**Preface**

**P.1. PURPOSE**

PART I: NASA Competitive Placement Plan

a\. This NPR provides Agency direction to be used in conjunction with
the referenced statutory and regulatory requirements. Center Human
Resources Offices should be consulted for further information and
guidance.

b\. The NASA Competitive Placement Plan establishes minimum Agency
procedures for filling positions, except positions in the Office of the
Inspector General, with current or former Federal employees with
competitive status at and below the GS-15 level (including trades and
labor positions) through competition and on the basis of merit. It also
covers term employees with conversion eligibility as authorized in the
NASA Flexibility Act of 2004.

c\. Selections will be made without regard to political, religious, or
labor organization affiliation or nonaffiliation; marital status; race;
color; sex; national origin; nondisqualifying disability; age; sexual
orientation; or status as a parent.

d\. This Plan does not guarantee promotion but rather ensures that all
qualified available candidates receive fair and equitable consideration
for positions filled under these competitive procedures.

e\. Announcing a vacancy under this Plan is only one method of locating
applicants for a position and can be used in conjunction with other
methods. Subject to applicable law and regulations, selection of an
individual to fill a position is the decision of management, as is the
decision regarding the method(s) to be used in identifying candidates.

PART II: The Upward Mobility Program

a\. In addition to the Competitive Placement Plan and various training
programs, a formal Upward Mobility Program will be maintained. Within
budget and personnel ceiling limitations, upward mobility positions will
be established to offer specific career opportunities to lower level
employees (GS-9 and below or equivalent).

b\. The Upward Mobility Program will be used to enhance NASA\'s ability
to meet its affirmative employment goals and to help eliminate
underrepresentation in targeted positions.

#### P.2. APPLICABILITY

a\. This NPR is applicable to NASA Headquarters and NASA Centers,
including Component Facilities. Unless otherwise indicated, use of the
word Center(s) in the text of this NPR includes NASA Headquarters and
any reference to Center Director(s) includes the Associate Administrator
for Infrastructure and Administration.

b\. Negotiated Collective Bargaining Agreements that contain procedures
that differ from the provisions of this Plan remain in effect until
renegotiated, except where such agreements are specifically superseded
by applicable laws or regulations.

c\. This NPR does not apply to the Office of the Inspector General.

#### P.3. AUTHORITY

#### 

a\. 5 U.S.C. 7101 et. al., The Civil Service Reform Act of 1978, as
amended.

b\. 42 U.S.C. 2000, The Civil Rights Act of 1964, as amended.

c\. 5 U.S.C. 9812 et. al., The NASA Flexibility Act of 2004.

d\. 5 U.S.C. 2101, Veterans Employment Opportunities Act of 1998.

e\. 5 CFR Part 335, Promotion and Internal Placement.

 

f\. 5 CFR Part 536, Grade and Pay Retention. 

 

g\. E.O. 11478, Equal Employment Opportunity in the Federal Government,
August 12, 1969.

#### 

#### P.4. REFERENCES

a.  NPD 3000.1, Management of Human Resources.

b.  NPR 3300.1, Appointment of Personnel To/From NASA, Chapter 9 Term
    Appointment Authority.

c.  NPR 1441.1D, NASA Records Retention Schedule.

d.  NPD 1382.17G, NASA Privacy Policy.

#### P.5. CANCELLATION

#### 

NPR 3335.1F, Internal Placement of NASA Employees, dated June 16, 2003.

/S/\
James L. Jennings

Associate Administrator for

Institutions and Management

DISTRIBUTION:

NODIS

**PART I: NASA COMPETITIVE PLACEMENT PLAN**

**CHAPTER 1. Responsibility**

The Human Resources Officer at each NASA Center is responsible for the
following:

1.1 Implementing and administering the Competitive Placement Plan.
Unless expressly prohibited, all authorities and responsibilities may be
redelegated.

1.2 Publicizing the Competitive Placement Plan\'s provisions to current
employees and to new employees upon entrance on duty. The location and
availability of this Plan, for review and reference, will be posted
where information about competitive opportunities is publicized to
employees.

1.3 Ensuring that actions are fully documented to include all
appropriate metrics.

#### PART I. CHAPTER 2. General Provisions

**2.1 APPLICANT SELECTION**

Announcing a vacancy under this Plan is only one method of locating
applicants for a position and can be used in conjunction with other
methods. Subject to applicable law and regulations, selection of an
individual to fill a position is the decision of management, as is the
decision regarding the method(s) to be used in identifying candidates.

**2.2 BILATERAL CONSULTATION AND COLLECTIVE BARGAINING**

Negotiated labor agreements and other local policy issuances may
augment, but cannot be inconsistent with, applicable laws.

#### PART I. CHAPTER 3. Competitive Procedures

**3.1 WHEN COMPETITIVE PROCEDURES ARE REQUIRED**

3.1.1 For selections of all the following actions and all other
promotions not excluded in paragraph 3.2:

a\. Temporary promotions over 120 days. In computing the 120 days, prior
service under all noncompetitive details to higher graded positions or
noncompetitive temporary promotions during the preceding 12 months is
included. If appropriate, the option to make these promotions permanent,
without additional competition, must be in the announcement. (Note:
Competition is not required if the individual has previously held, or
successfully competed for, the higher grade on a permanent basis.)

b\. Details of more than 120 days to a higher graded position or to a
position with greater promotion potential. If appropriate, the option of
extending the detail without additional competition must be stated in
the announcement. (Note: Competition is not required if the individual
has previously held, or successfully competed for, the higher grade on a
permanent basis.)

c\. Training that is required for promotion.

d\. Reassignment, or change to a lower grade, to a nontemporary position
with more promotion potential than a nontemporary position previously
held (except when permitted by reduction-in-force regulations).

3.1.2 Term employees who meet conversion requirements under the NASA
Flexibility Act of 2004 may be selected for permanent appointment under
competitive placement procedures.

3.1.2.1 To be eligible for conversion, an employee must meet the
following criteria:

a\. The employee must have been selected for a term position under a
competitive announcement stating that the individual(s) selected might
be converted to permanent appointment.

b\. The employee must have at least 2 years of continuous service under
a term appointment in the competitive service. The service need not have
been performed entirely at NASA.

c\. The employee's performance must be fully successful or better for
the 2-year period preceding conversion. Documentation of level of
performance is required prior to effecting the conversion. (Note: Under
the NASA performance system, the employee must have a rating of at least
"meets or exceeds expectations.")

3.1.2.2 Employees meeting the criteria for competitive conversion may be
considered equally with NASA permanent employees for any positions for
which they qualify. (See Section 3.2.11 for criteria for noncompetitive
conversion.)

**3.2 WHEN COMPETITIVE PROCEDURES ARE NOT REQUIRED**

3.2.1 Promotion resulting from reclassification of a position (without
significant change in duties and responsibilities) on the basis of
either issuance of a new classification standard or the correction of a
classification error.

3.2.2 A position change permitted by reduction-in-force regulations.

3.2.3 Any action including a promotion, directed by an individual or
organization with authority that supersedes this Plan. These include,
but are not limited to, actions as a result of discrimination complaint
decisions, court decisions, settlement of judicial or administrative
cases, or arbitrators\' decisions.

3.2.4 A career promotion, when:

a\. The employee's position is reclassified because of additional duties
and responsibilities.

b\. Competition was held at an earlier stage (e.g., Office of Personnel
Management (OPM) register, NASA Competitive Placement Plan, or other
approved competitive process such as direct hire or delegated examining
authorities) and the promotion is to a grade at or below the full
performance level of the position.

c\. Promotion following noncompetitive conversion of a Cooperative
Education student, a Veteran\'s Readjustment Act (VRA) appointee,
Federal Career Intern, or other such authorized actions.

3.2.5 Selection of current or former Federal employees from another
competitive staffing authority, such as Direct Hire.

3.2.6 Movement to a position having the same (or lower) potential than a
current or prior position held on a nontemporary basis.

3.2.7 Temporary promotions for periods of 120 days or fewer.

3.2.8 Details for 120 days or fewer to higher graded positions or
positions with promotion potential.

3.2.9 Repromotion, transfer, or reinstatement up to the highest grade
previously held on a permanent basis under a career or
career-conditional appointment, unless demoted for personal cause or
unacceptable performance.

3.2.10 Selection of a candidate from the Reemployment Priority List.

3.2.11 Term employees may be noncompetitively converted to a career or
career-conditional appointment under the following circumstances:

a\. The employee must have been selected for a term position under a
competitive announcement stating that the individual(s) selected might
be converted to permanent appointment.

b\. The individual must have at least 2 years of continuous service
under a term appointment in the competitive service. The service need
not have been performed entirely at NASA.

c\. The individual's performance must be fully successful or better for
the 2-year period preceding conversion. Documentation of level of
performance is required prior to effecting the conversion. (Note: Under
the NASA performance system, the employee must have a rating of at least
"meets or exceeds expectations.")

d\. The position for which the individual is competing is in the same
geographic location, and is in the same occupational series, and has no
greater promotion potential that the term position currently held.
(Note: If all of the criteria in this paragraph are not met, the
employee may be eligible under competitive conversion procedures. See
Section 3.1.2.)

**3.3 SPECIAL CONSIDERATIONS**

3.3.1 Special Consideration for Repromotion or Reassignment

3.3.1.1 Employees who have been demoted in NASA without personal cause
are entitled to special consideration for repromotion or reassignment.

3.3.1.2 This special consideration applies to positions at the
employee\'s former grade or any intervening grades that are to be filled
under this Plan.

3.3.1.3 The right to special consideration does not apply to any
position with a projected promotion potential higher than the retained
grade or the grade held at the time the change to lower grade was
effected.

3.3.1.4 This special consideration is to be given at the NASA Center
where the employee was demoted and is currently employed.

3.3.1.5 The entitlement to special consideration will begin as of the
effective date of the action on which the eligibility is based and will
continue for a 2-year period, unless the employee declines a reasonable
offer of a position as defined in OPM regulations. If an employee
accepts an equivalent position within the 2-year period, eligibility
ends with the effective date of the action.

3.3.2 Correction of Procedural Error

3.3.2.1 An employee who was not afforded proper consideration, due to a
harmful procedural error in a previous competitive placement action,
must be given priority consideration for the next appropriate (i.e.,
similar) vacancy filled under this Plan. \"Appropriate\" vacancy is
defined in Appendix B.

3.3.2.2 Priority consideration means that the employee must be referred
to the selecting official for consideration before other candidates are
considered under these competitive procedures. If selected on the basis
of the priority consideration, the employee may be promoted or
reassigned as an exception to the competitive procedures of this Plan.

3.3.2.3 When an employee is referred for priority consideration but is
not selected, this decision must be documented in the Competitive
Placement Record.

**3.4 AREA OF CONSIDERATION**

3.4.1 The minimum area of consideration for positions advertised under
this Plan will be NASAwide, unless otherwise specified in the
announcement. The basis for a decision to use a smaller minimum area
must be documented in the Competitive Placement Record.

3.4.2 When the minimum area of consideration fails to identify
sufficient high-quality and diverse candidates, the area may be
extended.

**3.5 ANNOUNCEMENTS**

3.5.1. Announcements will conform to the requirements of the NASA STARS
vacancy builder. In addition to minimum Federal information
requirements, announcements will also include:

a\. A statement concerning payment or nonpayment of relocation
allowances must be included in the announcement if the area of
consideration extends beyond the local commuting area

b\. In accordance with the Agency's Plan for a Drug-Free Workplace, the
announcement must indicate whenever the vacancy is for a Testing
Designated Position.

c\. A statement regarding the need for a security clearance must be
included if the position designation is other than nonsensitive.

3.5.2 For positions filled under this Plan, an announcement must be
posted on a publicized web site or other location available to Center
employees.

**3.6 APPLICATION PERIOD**

3.6.1 Specific Vacancies

3.6.1.1 Announcements shall generally remain open for at least 5
workdays. A shorter open period may be used if large numbers of
qualified and diverse applicants are anticipated and the case file is
documented as to the rationale for the reduced open period.

3.6.1.2 Employees shall be advised at least annually where vacancy
announcements for other Centers can be reviewed.

3.6.2 Recurring Vacancies. Vacancy announcements with closing dates of
up to 1 year from the initial opening date, i.e., "open continuous," may
be used to advertise recurring vacancies. All employees who file under
such announcements will be automatically considered for all covered
vacancies filled after the submission of their application, providing
they comply with all instructions in the vacancy announcement.

3.6.3 Like Vacancies. A selection certificate may be reissued to fill
like vacancies if the selection(s) can be made within 90 days of
issuance of the original certificate. A "like vacancy" is considered to
be one with the same title, series, grade, promotion potential, and duty
location; the primary duties of the position are similar and require
possession of the same knowledge, skills, and abilities (KSAs) or
competencies.

**3.7 APPLICATION PROCEDURES**

3.7.1 General Procedures

3.7.1.1 A résumé is required for all positions filled under NASA\'s
automated Staffing and Recruitment System (NASA STARS). Optional
application forms, such as the Optional Application for Federal
Employment (OF 612) will not be accepted under NASA STARS.

3.7.1.2 Applicants are responsible for ensuring that their résumés are
up to date and properly reflect current employment status and
qualifications.

3.7.2 Acceptance of Applications

3.7.2.1 Electronic résumés must be received by midnight, central time,
on the closing date of the announcement. Hard-copy résumés must be
received by close of business on the closing date.

3.7.2.2 The Center\'s Human Resources Officer (or designee) may grant an
extension of the application deadline if circumstances warrant. All
applicants who are known to be in like circumstances must be granted the
extension. All decisions to extend the closing date must be documented
in the Competitive Placement Record.

3.7.2.3 It is the applicants\' obligation to present their
qualifications for the position. Individuals who submit some, but not
all, required information will be ineligible for consideration for the
position.

3.7.3 Supervisory Referrals

Upon an employee\'s written request (e-mail or hard copy), the
supervisor must submit the employee\'s name for appropriate vacancies
announced during an employee\'s absence. Prior to making the request,
the employee must ensure that she/he has completed a résumé. The
employee's written request must provide the supervisor with all of the
information necessary to use the designated application process.

**3.8 CONCURRENT CONSIDERATION OF OUTSIDE APPLICANTS**

3.8.1 Applicants who are eligible for transfer or reinstatement may, at
the option of the Center, be given concurrent consideration with NASA
employees under this Plan. Such applicants will be evaluated using the
same criteria as NASA employees and compete with NASA employees for
consideration.

3.8.2 Applicants who are neither current Federal employees nor transfer
or reinstatement eligibles do not compete under the provisions of this
Plan, except for veterans eligible for consideration under the Veterans
Employment Opportunity Authority (VEOA). Veterans eligible under the
VEOA may compete under this Plan only when positions are open to
applicants outside of the Agency. (Note: If an announcement is open to
the acceptance of applications under this Plan and also from external
candidates, VEOA provisions do not apply. Such individuals shall compete
as external candidates.)

**3.9 DETERMINING BASIC QUALIFICATIONS**

3.9.1 The minimum qualification standards prescribed or approved by OPM
(including any required written tests and selective factors) will be
used to determine basic eligibility of candidates for competitive
consideration. These standards are to be available in the Center\'s
Human Resources Office for review by candidates.

3.9.2 Selective factors (i.e., KSAs or competencies essential for
satisfactory performance in the position to be filled) are part of the
minimum qualification standards. Justification for use of selective
factors will be recorded in the Competitive Placement Record. Vacancy
announcements will identify the minimum qualification standards
(including selective factors).

3.9.3 Applicants must meet time-in-grade and
time-after-competitive-appointment requirements by the closing date of
the vacancy announcement to be eligible for consideration for selection.

**3.10 EVALUATION OF CANDIDATES**

3.10.1 General Information

3.10.1.1 Candidates eligible for noncompetitive selection need not be
rated or referred under this Plan, but may be referred separately,
outside of competitive procedures, to the selecting official.

3.10.1.2 Selections made under this Plan will be made from among the
best available qualified candidates based upon job-related evaluation
criteria.

3.10.2 Methods of Evaluation

3.10.2.1 The skills or competencies used in evaluating candidates for
competitive placement will be identified on the basis of a job analysis
and must be supported by the position description.

3.10.2.2 The skills or competencies and the rating criteria must be
developed jointly by the Center\'s Human Resources Officer and the
selecting official (or their designees). The basis of rating and
specific duties required for successful performance on the position must
be included in the announcement.

3.10.2.3 The degree to which applicants possess the skills or
competencies will be determined through an evaluation of pertinent
information such as experience, education and training, awards, and
performance appraisals. The evaluation process will consist of the use
of an automated rating process and further evaluation by the selecting
official (or designee).

3.10.3 Ranking and Selection

3.10.3.1 The ranking process is intended to identify the relative degree
to which applicants possess the specified skills or competencies. The
Center\'s Human Resources Officer (or designee), after consultation with
the selecting official, may waive the normal ranking process if there
are 10 or fewer qualified applicants at a given grade level. In such
cases, the qualified applicants will be further screened against
job-related criteria. Applicants who are minimally qualified and possess
the additional job-related criteria will be eligible for selection
consideration.

3.10.3.2 When ranking is performed, applicants who meet the minimum
qualifications of the position will be rated on either a numerical scale
(e.g., 70, 80, and 90) or a nominal scale (e.g., Qualified, Highly
Qualified, Exceptionally Qualified). The rating process must measure all
applicants against the same job criteria (skills) or competencies.

3.10.3.3 In cases where there are a large number of candidates in the
top evaluation group, applicants may be further evaluated by identifying
those who possess the skills determined to be most important for
successful performance.

3.10.3.4 Once applicants are rated, they will be ranked in order. The
Center\'s Human Resources Officer (or designee) will consult the
selecting official (or designee) to determine the point in this order
above which all candidates will be referred. This will be the point at
which there is some meaningful distinction between the candidates above
and below that point.

**3.11 COMPETITIVE PLACEMENT CERTIFICATES**

Candidates will be listed on the certificate in alphabetical order. Any
employee listed on the certificate is eligible for selection. If no
selection has been made within 30 days of the date the certificate was
issued, the certificate will be canceled unless the Center\'s Human
Resources Officer (or designee) approves an extension. With appropriate
justification, the selecting official may have up to two 30-day
extensions. In no case will the certificate be extended beyond

90 days.

**3.12 INTERVIEWS**

The selecting official and/or designee(s) may conduct interviews
(including telephone interviews) of some, all, or none of the
candidates.

**3.13 RELEASE**

The Center\'s Human Resources Officer (or designee) will arrange for the
expeditious release of the selectee from his or her current position.

**3.14 TIMELINESS**

Each Center will determine appropriate procedures to ensure the
timeliness of all activities associated with this Plan.

#### PART I. CHAPTER 4. Other Provisions

**4.1 INFORMATION TO CANDIDATES**

4.1.1 Applicants will be promptly notified of the successful submission
of their applications and of the status of vacancy announcements for
which they have applied; e.g., when a selection is made.

4.1.2 Upon specific request to the Center\'s Human Resources Office, any
applicant considered for a vacancy under the NASA Competitive Placement
Plan procedures (or a properly designated representative) will be
furnished the following:

a\. The name of the individual selected.

b\. Whether the applicant was found to be qualified.

c\. Whether the applicant\'s name was on the certificate from which
selection was made.

**4.2 EMPLOYEE GRIEVANCES**

4.2.1 If an employee has a question or complaint about the Competitive
Placement Plan or a specific competitive action, the employee (or
designated representative) should discuss it with the Center\'s Human
Resources Office.

4.2.2 Formal grievances concerning Competitive Placement Plan actions
will be processed through the NASA Grievance System or other grievance
procedures negotiated with recognized bargaining units, as appropriate.

4.2.3 Not being selected from a properly ranked certificate is not a
sufficient basis for a grievance.

#### PART I. CHAPTER 5. Responsibility for Implementation

**5.1 HUMAN RESOURCES OFFICERS**

5.1.1 Each NASA Center\'s Human Resources Officer and his or her staff
are responsible for implementing and administering this Competitive
Placement Plan. Unless expressly prohibited, all authorities and
responsibilities vested by this Plan in the Human Resources Officer may
be re-delegated.

5.1.2 Specific responsibilities include, but are not limited to, the
following:

a\. Determining the minimum area of consideration, approving job
analysis (including selective factors), participating in the development
of rating criteria, and publicizing vacancies within the area of
consideration.

b\. Screening applicants and evaluating their qualifications in
accordance with this Plan.

c\. Ensuring that selections are made in accordance with this Plan and
documented as required. This includes information necessary to manage
and monitor staffing and recruitment metrics.

d\. Ensuring that necessary files and records are maintained,
controlled, and protected in accordance with NPR 1441.1, NASA Records
Retention Schedules, and any other appropriate laws and regulations.

e\. Ensuring that applicants are notified promptly of the outcome of the
consideration accorded them.

f\. Ensuring that repromotion and special placement eligibles are
properly considered.

g\. Ensuring that any employee not afforded proper consideration in a
competitive action is given priority consideration for the next
appropriate vacancy.

h\. Keeping employees informed of the provisions of this Plan and
providing specific information on these provisions at least annually.

**5.2 SUPERVISORS**

Supervisors are responsible for the following:

a\. Anticipating personnel needs and, if the position is to be filled
through competitive procedures, initiating action in sufficient time to
allow for proper selection in accordance with this Plan.

b\. Serving as subject-matter experts in supporting the job-analysis
process.

c\. Releasing subordinates to serve as subject-matter experts in the
job-analysis process or when using interview panels.

d\. Identifying and providing documented justification for the use and
importance of selective factors (and other KSAs) in the evaluation
process.

e\. Making timely selections from certificates.

f\. Ensuring that subordinates are considered for advancement
opportunities arising during their temporary absences for leave, travel,
detail, or training, when such assistance is properly requested in
writing by the subordinate.

g\. Ensuring that employees temporarily absent for military service,
service with public international organizations, on worker\'s
compensation, or on Intergovernmental Personnel Act assignments are
properly accorded advancement consideration.

**5.3 EMPLOYEES**

Employees are responsible for the following:

a\. Being aware of the provisions of this Plan and complying with its
requirements.

b\. Properly presenting their qualifications for positions for which the
employee chooses to apply.

c\. Advising their supervisor in writing (hard copy or e-mail), if they
want to be considered for appropriate vacancies that may occur during
their temporary absence for leave, travel, detail, or training. In such
situations employees must have completed and submitted a résumé of
record in the NASA STARS system.

d\. Serving as subject-matter experts when called upon.

#### Appendix A: Information Required for Competitive Placement Plan Records

At a minimum, the following information is to be maintained for each
Competitive Placement Plan action, in accordance with NPR 1441.1, NASA
Records Retention Schedules, for a period of 2-years from the closing
date of the action. Closing date means the effective date of the
resulting personnel action or the cancellation of the Competitive
Placement Plan action. In the case of a complaint of discrimination or
grievance, the Competitive Placement Record becomes a part of the
complaint or other appropriate file, and its destruction or scheduled
disposal is modified accordingly. Case files are normally maintained
electronically, and there is no requirement to maintain a hard copy
record.

a\. A description of the position.

b\. The vacancy announcement.

c\. Identification of repromotion, special placement consideration,
and/or other required priority considerations.

d\. Qualification standard(s) used (by reference) and justification for
any selective factors.

e\. A description of the job-analysis process that was used to identify
the skills or competencies and the names and titles of those
participating in it.

f\. A listing of the skills or competencies (and relative importance)
and a description of the way in which these were used to evaluate
candidates.

g\. The documents used in evaluating candidates.

h\. Names of the applicants as they appeared in the final ranking.

i\. The selection certificate(s).

j\. Names of those selected.

k\. Any other information necessary to reconstruct the action
completely.

#### Appendix B: Definitions 

B.1 Area of Consideration. The organizational and/or geographical area
within which an intensive search is made and qualified candidates are
considered.

B.2 Promotion. The change of an employee to a position of one of the
following:

a\. At a higher grade level within the same job classification system
and pay schedule.

b\. With a higher rate of basic pay in a different job classification
system and pay schedule.

B.3 Position with Promotion Potential. A position from which a career
promotion may be made because adequate competition was held at an
earlier stage which includes, among others, the following:

a\. Apprentice positions.

b\. Career ladder positions.

c\. Trainee positions.

d\. Understudy positions.

e\. Positions filled at a grade level below the established or
anticipated grade. The target position or full performance level of the
position being filled must be documented.

B.4 Minimally Qualified Candidates. Those who meet the OPM\'s
qualification standards and any selective factors applicable to the
position.

B.5 Screening. The process of identifying those candidates who meet
minimum qualification, legal, and regulatory requirements for the
position to be filled.

B.6 Evaluation. The process of assessing the degree to which each
applicant possesses the skills or competencies essential for
satisfactory performance in the position.

B.7 Rating. The end product of evaluation. A rating reflects the degree
to which the candidate\'s qualifications meet the skills or competencies
identified in the vacancy announcement.

B.8 Ranking. The process of arranging eligible candidates in order of
rating scores or relative standing.

B.9 Best Available Candidates. Those who are referred to the selecting
official on a competitive placement certificate.

B.10 Competitive Placement Certificate. A list of the best available
candidates identified through competitive placement procedures.

B.11 Selecting Official. A NASA employee with authority to select an
individual for assignment to a position.

B.12 Appropriate Vacancy for Priority Consideration to Correct
Procedural Violations. A vacancy to be filled through the following
competitive placement procedures:

a\. For which an employee meets the minimum qualification requirements.

b\. Which is in the same grade and in a similar (although not
necessarily identical) occupational group to the position for which the
violation occurred.

c\. Is in the same geographic area.

d\. Under the same appointing office as the position for which the
employee was denied proper consideration.

B.13 Job-Analysis. The systematic process of gathering, analyzing, and
documenting information about a position in order to determine minimum
qualification requirements and identify the skills or competencies to be
used in further evaluating qualified candidates.

B.14 Competitive Placement Record. A record, retained for 2 years, of
the Competitive Placement Plan action that contains sufficient
information to allow reconstruction of an action.

**PART II: THE UPWARD MOBILITY PROGRAM**

**CHAPTER 1. General Provisions**

**1.1 PROGRAM DEFINITIONS**

1.1.1 Upward mobility is a systematic management effort that focuses
Federal personnel policy and practice on the development and
implementation of specific career opportunities for lower level
employees \[General Schedule (GS)-9 and below or equivalent (normally
Wage Grade 1-9 and Wage Leader 1-7)\] who are in positions or
occupational series that do not permit further advancement.

1.1.2 The Growth Opportunity (GO) covers paraprofessional, technical, or
administrative positions normally classified at one-grade intervals.

1.1.3 The Specialty Training for Entry Professionals (STEP) component
covers administrative or technical positions, normally classified at
two-grade intervals, which do not have a positive education requirement.

**1.2 NASAWIDE UPWARD MOBILITY PROGRAM OBJECTIVES**

1.2.1 More effective use of the capabilities, talents, and interests of
NASA employees.

1.2.2 Enhanced career opportunities for lower graded (GS-9 and below or
equivalent) employees who have demonstrated the ability and interest to
assume greater responsibility but whose current positions do not offer
opportunities for further development or advancement.

1.2.3 Enhancement of NASA\'s ability to meet its affirmative action
goals and to help eliminate underrepresentation in targeted positions.

#### PART II. CHAPTER 2. Planning the Program

**2.1 INITIAL PLANNING**

For the program to work effectively and for it to be accepted and
understood by both management and employees, the program must be a
"systematic management effort" that is well defined, well planned, and
well publicized with meaningful objectives and strategies. Adequate
initial and continual planning includes the following:

a\. Knowledge of workforce skill levels and educational levels.

b\. Knowledge of positions (e.g., dead-ended vs. high-career potential),
overlapping skill areas, and Federal Equal Opportunity Recruitment
Program (FEORP) target positions.

c\. Knowledge of staffing patterns\--which positions are easily filled
under the Competitive Placement Plan; which most often require outside
recruitment; and which suffer frequent turnover or attrition rates.

**2.2 IDENTIFYING POSITIONS**

2.2.1 The identification of target positions is an essential ingredient
of the Upward Mobility Program. The target position is the specific
position to be filled through the Upward Mobility Program. The selection
of target positions should be preceded by a careful analysis of
workforce and staffing requirements and affirmative employment goals.
Positions that are easily filled under the Competitive Placement Plan or
positions in which under-representation of minorities, women, or persons
with disabilities is not present need not be filled through the Upward
Mobility Program.

2.2.2 Entry levels for Upward Mobility Program positions must be
established with care. Knowledge of the target population grade levels
and skill levels, as well as organizational knowledge, is necessary to
decide the entry level that will meet the needs of both the target
population and the organization in which the target position is located.

2.2.3 Each target position has three levels: entry level, target level,
and full performance level. Upward Mobility Program applicants will be
selected for the entry level and will receive subsequent training to
enable them to meet the qualifications for promotion to the target
level. Normally, the target level will be one or two grades above the
entry level, depending on whether the target position is in a one- or
two-grade interval series. Upon promotion to the target level, the
employee will generally have completed the Upward Mobility Program.
However, further training may be provided, and future promotions in the
career ladder may be made noncompetitively up to the full performance
level.

#### PART II. CHAPTER 3. Career Counseling 

3.1 Career counseling is that aspect of the Upward Mobility Program
designed to help employees realistically assess their strengths,
weaknesses, interests, and aptitudes in relation to the Center\'s
mainstream occupations or other likely upward mobility positions.
Through career counseling, lower level employees interested in
advancement will be able to better prepare themselves for future upward
mobility opportunities.

3.2 The scope of a Center\'s career counseling services will largely
depend on the skills and expertise of the designated career counselor.
At a minimum, the counseling services must include assistance to
employees in the following:

a\. Assessing their skills, abilities, interests, and aptitudes on the
basis of past education and training, supervisory evaluations, work
accomplishments, and self-appraisals.

b\. Determining qualifications required for occupations at the Center
and, in general, within the career system. The counselor should assist
the employee in understanding the ways these requirements relate to
individual capabilities.

c\. Defining career goals and developing plans for reaching the goals.

d\. Identifying career ladders and programs that provide opportunities.

e\. Identifying and assessing education and training opportunities and
clarifying enrollment procedures.

f\. Identifying factors that may impair career development.

g\. Learning about resources, inside or outside the Agency, in which
additional assistance is available.

3.3 Communication between the career counselor and the Upward Mobility
Program Manager is essential. An exchange of information between the two
will reveal the skill level and interests of likely upward mobility
applicants and the most likely job opportunities to be announced under
the Upward Mobility Program. This exchange of information may be
accomplished informally or at regularly scheduled meetings involving all
those engaged in the Upward Mobility Program operation.

#### PART II. CHAPTER 4. Program Implementation

**4.1 SOURCE OF ELIGIBLES**

NASA employees in grade levels GS-9 and below or equivalent, who are
serving under the following appointments, are eligible:

a\. Career or career-conditional appointments.

b\. Term appointments, where the employee meets the requirements for
conversion under the NASA Flexibility Act of 2004.

c\. Veterans Readjustment Appointments (VRA) - If selected, the
appointee will remain on the VRA, but the initial training plan will be
terminated, and a new upward mobility training plan will be developed at
the time of selections. The appointee will remain on the VRA until
completion of the required 2 years of service necessary for conversion
to competitive status.

d\. Excepted appointments under Schedule A 213.3102(u) (severely
handicapped) and (t) (mentally retarded) and Schedule A 213.3102 (gg)
(persons with psychiatric disabilities) - If selected, employees will
remain under the Schedule A appointment until they have completed the
required 2 years of service necessary for conversion to competitive
service.

**4.2 AREA OF CONSIDERATION**

The minimum area of consideration for positions advertised under this
program will be NASAwide, unless otherwise specified in the
announcement. The basis for a decision to use a smaller minimum area
must be documented in the case file.

**4.3 QUALIFICATION REQUIREMENTS**

Office of Personnel Management (OPM) general and specialized experience
requirements will be waived for entry-level upward mobility positions.
However, applicants must meet time-in-grade and time-after-competitive
appointment requirements. Applicants will be evaluated on their
possession of the competencies as described in the major duties portion
on the announcement. Selected employees will be laterally reassigned to
the position as announced or must accept a downgrade (with highest
previous rate protection or retained pay as appropriate).

**4.4 ANNOUNCING THE POSITION**

4.4.1 All positions to be filled under the Upward Mobility Program will
be announced on a case-by-case basis. Like positions requiring the same
skills or competencies and being filled at the same grade level may be
advertised and filled using the same announcement.

4.4.2 Each Upward Mobility Program announcement must identify the Upward
Mobility Program component (STEP/GO), the area of consideration, and the
eligibility requirements. In addition, each announcement will state that
all OPM general and specialized experience requirements will be waived
for entry into the entry-level position and will identify the
competencies within the duty statement on the announcement against which
the applicant will be rated. Also included will be the duties and
location of the position, identification of the target level and full
performance level of the position, and whether or not promotion to the
full performance level will be made noncompetitively.

4.4.3 The announcement should be posted in a location known and
available to employees and for a sufficient length of time to allow
employees to apply.

**4.5 APPLICATION PROCEDURES**

4.5.1 General Procedures

4.5.1.1 A résumé is required for all positions filled under NASA STARS.
Optional application forms, such as the Optional Application for Federal
Employment (OF-612) will not be accepted under NASA STARS.

4.5.1.2 Applicants should indicate their performance rating of record on
their résumé under the "Additional Information" section of the Resume
Builder.

4.5.1.3 In accordance with NASA STARS procedures, applicants are
strongly encouraged to electronically submit their résumés, but may
submit a hard copy if electronic access is not available.

4.5.2 Acceptance of Applications

4.5.2.1 Résumés must be received by midnight, central time, on the
closing date of the announcement.

4.5.2.2 The Center's Human Resources Officer (or designee) may grant an
extension of the application deadline if circumstances warrant. All
applicants who are known to be in like circumstances must be granted the
extension. All decisions to extend the closing date must be documented
in the case file.

4.5.2.3 It is the applicants' obligation to present their qualifications
for the position. Individuals who submit some, but not all, required
information will be ineligible for consideration for the position.

#### PART II. CHAPTER 5. The Selection Process

**5.1 EVALUATION OF APPLICANTS**

5.1.1 Applicants must be evaluated and ranked against job-related
criteria (skills) or competencies to identify the best applicants from
among the pool of eligible employees. The job-related skills or
competencies will be identified using job analysis, and must be
supported by the position description and the environment in which the
duties of the position will be performed. The Center Human Resources
Officer or designee must review and concur with the skills or
competencies and the rating criteria. The job duties against which the
applicants will be evaluated also must be included in the vacancy
announcement.

5.1.2 Applicants for upward mobility positions are not required to meet
the OPM qualification requirements for the position or to have
experience in the career field of the position; neither are they
required to have a college degree or extensive education. Therefore, the
evaluation system will not rely solely on these traditional evidences of
ability to do the job. No particular coursework or specific work
experience is required. The evaluation process will provide for the
crediting of nontraditional and off-the-job experiences that have
provided the candidates with the KSAs or competencies necessary to
perform the duties of the entry-level position.

**5.2 THE RATING AND RANKING PROCESS**

5.2.1 All Upward Mobility Program applications will be evaluated by NASA
STARS.

5.2.2 To screen out those applicants who are not eligible, applications
will be reviewed by the personnel office before submission to the
selecting official. Applicants who fail to provide the information
requested on the announcement will not receive consideration for the
position.

5.2.3 Applicants will be rated on a numerical scale. The rating process
must measure all applicants against the same job-related criteria (i.e.,
skills) or competencies. Once applicants are assigned a numerical score,
they will be ranked in numerical order. The Human Resources Officer (or
designee) and selecting official will determine the point in this
numerical order above which all applicants will be referred. This will
normally be the point at which there is some meaningful distinction
between the applicants above and below that point. Generally, at least
the five best applicants will be referred to the selecting official for
consideration. If there is no meaningful distinction among the
applicants, the number of applicants referred may be expanded to a
maximum of 10. When more than one candidate has the lowest score to be
referred, all such candidates with that score will be referred.

**5.3 SELECTION**

5.3.1 Because of the nature of the Upward Mobility Program and the fact
that the selected applicant may be exposed to several different
supervisors over the course of the training, where practical, selection
should be accomplished by the highest ranking official in the target
career field in the organization in which the position is located. This
official is ultimately responsible for the success of the training
program and for ensuring that the selected applicant will fully meet the
qualifications necessary for promotion to the target level.

5.3.2 An alphabetical listing of the best applicants for the upward
mobility position will be referred to the selecting official, along with
the résumé of each referred applicant. All referred applicants should be
interviewed, and if one applicant is interviewed, all others must be
interviewed. Any employee referred is eligible for selection. After the
selection, every applicant will be notified of the selection. If no
selection is made within 30 days of the date of the referral list, the
list becomes void, and no selection may be made from it. If the
selecting official provides acceptable reasons the Human Resources
Officer or designee may approve up to two 30-day extensions to the
certificate.

**5.4 RELEASE**

The Center's Human Resources Officer or designee will arrange for the
release of the selectee from his or her current position. Every effort
will be made to arrange an expeditious release of the selected employee.

#### PART II. CHAPTER 6. Training Agreements 

6.1 All NASA Centers have the authority to develop and implement
training agreements when they want to authorize the following:

a\. Waive qualification requirements for trainee positions to permit
employees to enter a training program.

b\. Credit time spent in training at an accelerated rate for
qualifications.

c\. Credit, as specialized experience, rotational assignments outside
the target occupation.

6.2 Although training agreements may also be used to authorize a waiver
of time-in-grade requirements, training agreements of this type must be
approved by the Agency's Director of Human Resources. In most instances,
upward mobility positions will not meet the criteria necessary for
justifying such a waiver.

6.3 When Centers wish to use a training agreement to substitute
intensive accelerated training for a portion of the normal qualification
requirements, the employee's training period must be at least as long as
the difference between the qualifications which that employee already
possesses and the qualifications required by the position.

6.4 The training agreement may be the basis of crediting training at an
accelerated rate only when making assignments to the specific target
position. An employee who fails to complete the training program,
therefore, will not receive accelerated credit for that portion of the
training he/she completed when being considered for another position. In
addition, an employee may be promoted a maximum of two grades (or
equivalent) in 1 year solely on the basis of a training agreement or
series of training agreements.

#### PART II. CHAPTER 7. INDIVIDUAL DEVELOPMENT PLANS

7.1 Whether or not Centers use a training agreement, all Upward Mobility
Program trainees must have an Individual Development Plan (IDP). This
plan is a detailed outline of the KSAs or competencies that are
necessary to perform the target position and the training assignments
(classroom or on-the-job training) that will be used to prepare the
trainee for the position. Since each trainee will enter the program with
a unique background and degree of preparation for the target position,
IDPs must be written on an individual basis.

7.2 The IDP should be written within the first 30 days after the
employee\'s selection. The IDP should state specific training objectives
and the tasks that will be assigned to accomplish these objectives. The
person(s) or organization responsible for each task should also be
stated, as well as target dates for completion. A copy of the IDP must
be given to the employee.

#### PART II. CHAPTER 8. Employee Evaluation

8.1 The IDP should clearly state the method of evaluation that will be
used and at what intervals the trainee will be evaluated on his/her
progress towards meeting the training objectives. Each evaluation must
be discussed with the employee and reviewed by the Upward Mobility
Program Coordinator.

8.2 If at any time during the training program the employee fails to
meet the requirements, or wishes to voluntarily withdraw from the
program, he/she may be reassigned to the position held immediately prior
to entry into the program or one of like grade of which he/she meets the
minimum qualification requirements.

#### PART II. CHAPTER 9. Program Evaluation

9.1 Upward Mobility Program objectives are included in each Center\'s
yearly Affirmative Employment Plan. Meeting these objectives is
dependent upon comprehensive planning, effective management, and the
acceptance of the program by both management and employees. However,
equally important to the program\'s success and improvement is an
overall periodic evaluation. Although last in chronological sequence,
the program evaluation is the first step in the planning and
establishment of Upward Mobility Program objectives for the following
year.

9.2 The evaluation of the Upward Mobility Program should include not
only a measurement of how well the stated objectives were met, but also
include an evaluation of the systematic operation of the program. The
evaluation should not rely solely on statistical data, but also include
information gathered through the use of feedback from program
participants and nonparticipants, management officials, EEO officials,
and other personnel specialists. Where barriers to program
accomplishments are found, the evaluation should include suggested
remedies or solutions.

#### PART II. CHAPTER 10. Required Reports

10.1 The NASA Office of Diversity and Equal Opportunity will furnish the
Agency Upward Mobility Program Coordinator with a copy of each Center's
Upward Mobility Program objectives, as included in their Affirmative
Employment Plan.

10.2 As requested, the Center's Upward Mobility Program Coordinator will
furnish the Center's EEO Officer data indicating Upward Mobility Program
accomplishments.

10.3 Periodically, due to congressional or other special inquiries,
Centers may be required to furnish data to the Agency Upward Mobility
Program Coordinator on short notice.

#### PART II. CHAPTER 11. Key Roles and Responsibilities

**11.1 HUMAN RESOURCES OFFICERS**

The Center Human Resources Officer is responsible for implementing,
administering, and evaluating the Upward Mobility Program. Specific
responsibilities include, but are not limited to, the following:

a\. Designating an Upward Mobility Program Coordinator who has a working
knowledge of staffing, employee development, and affirmative employment
principles.

b\. Allocating sufficient additional personnel resources as necessary to
implement, administer, and evaluate the program.

c\. Ensuring that the Center's Upward Mobility Program objectives are
consistent with the Center's staffing needs and the FEORP Plan.

d\. Providing workforce data as needed.

e\. Ensuring necessary files and records are maintained, in accordance
with NPR 1441.1, NASA Records Retention Schedules, to permit the
reconstruction of actions at a later date and to respond to inquiries.

**11.2 UPWARD MOBILITY COORDINATORS**

As with other special emphasis program managers, the Upward Mobility
Program Coordinator has the lead role in planning, implementing,
coordinating, monitoring, and evaluating the program. Specific
responsibilities include, but are not limited to, the following:

a\. Developing clearly defined Center Upward Mobility Program
objectives.

b\. Maintaining liaison and ensuring cooperation among staffing,
training, and EEO Personnel, and other interested people, as
appropriate.

c\. Ensuring full and effective publicity for the program.

d\. Providing information to and enlisting the support of management and
supervisors.

e\. Coordinating and ensuring that the selection process operates
smoothly and effectively according to merit-based principles.

f\. Ensuring that all Upward Mobility Program participants are
periodically evaluated and advised of their progress.

g\. Developing any special forms or orientation or instructional
pamphlets necessary for the overall operation of the program.

h\. Annually evaluating the Upward Mobility Program and monitoring its
progress.

i\. Advising the Agency Upward Mobility Program Coordinator of problems
and suggesting program improvements.

j\. Providing periodic reports as required.

**11.3 EQUAL OPPORTUNITY PROGRAM DIRECTORS**

The Upward Mobility Program is a part of each Center\'s affirmative
employment program. As such, the specific responsibilities of the Equal
Opportunity Program Directors include, but are not limited to, the
following:

a\. Assisting in the overall planning, implementation, and evaluation of
the program.

b\. Ensuring that overall program objectives are consistent with
affirmative employment and FEORP goals.

c\. Analyzing workforce data and assisting in identifying target
occupations.

d\. Assisting in publicizing the program to eligible employees and in
soliciting the support of management and supervisors.

**11.4 TRAINING DIRECTORS**

Specific responsibilities of the Training Directors include, but are not
limited to, the following:

a\. Assisting in the preparation of training agreements and IDPs.

b\. Ensuring that training records of participating employees are
maintained and include IDPs, employee evaluations, and other pertinent
documentation.

c\. Ensuring that career-counseling services are made available to all
interested employees.

d\. Providing information regarding training courses and developmental
assignments appropriate to upward mobility target positions.

**11.5 MANAGERS AND SUPERVISORS**

Specific responsibilities of managers and supervisors include, but are
not limited to, the following:

a\. Periodically reviewing their organizational structure and staffing
patterns to assess and improve upward mobility opportunities within
their organization.

b\. Assisting in the selection and training process by identifying
skills or competencies, serving on selection panels, and establishing
performance standards.

c\. Assisting in the establishment of IDPs and ensuring that the plans
are carried out.

d\. Evaluating participants\' progress and providing feedback to
participants and the Upward Mobility Program Manager at regular
intervals.

e\. Assisting in publicizing the program and encouraging other managers
and supervisors to participate.

f\. Assisting in attaining of equal opportunity and diversity management
goals.

**11.6 INTERESTED AND PARTICIPATING EMPLOYEES**

Specific responsibilities of employees include, but are not limited to,
the following:

a\. Participating in career counseling activities.

b\. Keeping informed regarding the eligibility requirements, selection
process, and limitations of the Upward Mobility Program.

c\. If selected, assisting in the preparation of the IDP and actively
participating in the evaluation process.

d\. Assisting in publicizing the program and encouraging others to
participate.

e\. Assisting in the overall evaluation of the program.