Source: https://www.opm.gov./policy-data-oversight/hiring-information/competitive-hiring/
Timestamp: 2019-04-23 13:00:42+00:00

Document:
Examining System (5 CFR Part 337) - Regulatory language that is the basis for examining applicants.
In the competitive service, individual must go through a competitive process (i.e. competitive examining) which is open to all applicants. This process may consist of a written test, an evaluation of the individual's education and experience, and/or an evaluation of other attributes necessary for successful performance in the position to be filled.
Appointments to the Excepted Service are civil service appointments within the Federal Government that do not confer competitive status. There are a number of ways to be appointed to the excepted service such as appointed under an authority defined by the U.S. Office of Personnel Management (OPM) as excepted (e.g. Veterans Recruitment Appointment) or being appointed to a position defined by OPM as excepted (e.g. Attorneys) More information can be found about the excepted service in 5 U.S.C. 2103 and parts 213 and 302 of title 5 of the Code of Federal Regulations.
The Federal Government employs permanent and temporary employees. Permanent employees are generally hired under a career-conditional appointment (Permanent - Career-Conditional Appointment). Normally this is the first career-type of appointment and the appointee must complete a 1-year probationary period and a total of 3 years continuous creditable service to attain a career appointment (Permanent - Career Appointment).
Temporary appointments are defined as appointments expected to last for a specified period not to exceed 1 year (Temporary Appointment - Time limited not to exceed 1 year but could be less) or a specified period of time that is at least more than 1-year but not to exceed 4 years (Term Appointment - Time limited more than one year but not more than 4 years). Neither type of appointment is a permanent one, so they do not give the employee competitive/permanent status.
May 14, 2007 Consideration Under the Veterans Employment Opportunities Act of 1988 (VEOA).
Appointments made by agencies are subject to civil service laws and regulations. This webpage contains the regulatory guidance for hiring job applicants under the competitive examining and hiring process. This regulatory guidance is to ensure fair and open competition, recruitment from all segments of society, and selection on the basis of the applicants' competencies/knowledge, skills, and abilities.
Agency Accountability Systems; OPM Authority to Review Personnel Management Programs (Rule X) - The Office of Personnel Management maintains an oversight program to ensure that agencies, including work that is performed by contractors, are conducted in accordance with the regulatory guidance.
The U.S. Office of Personnel Management (OPM) provides the following list of the primary appointing authorities agencies may use to make career and career-conditional appointments. OPM prepared this list to assist Federal human resources specialists. The list includes citations to applicable law. It also provides the conditions for appointments made under interchange agreements entered into between an agency and OPM. OPM also provides a partial list of statutory appointing authorities outside of title 5, United States Code (5 U.S.C.). OPM does not regulate appointment authorities outside of title 5. For a description of non-title 5 authorities, agencies should consult the cited laws.
Appointments under the authorities listed below may be subject to additional eligibility requirements, such as citizenship, which are not included in this information.
OPM reminds agencies they must report all vacancies to OPM and must give selection priority in hiring as required by the Career Transition Assistance Program for Surplus and Displaced Employees. See title 5, Code of Federal Regulations (5 CFR) Part 330, Subparts F and G.
Using OPM-approved governmentwide or agency specific direct-hire authorities, agencies may appoint candidates to positions without regard to the requirements in title 5 U.S.C. 3309 through 3318. In order for an agency to use direct hire, OPM must determine that there is either a severe shortage of candidates or a critical hiring need for a position or group of positions.
When using the direct-hire authority, agencies must adhere to the public notice requirements in 5 U.S.C. 3327 and 3330, and the displaced employee procedures in 5 CFR part 330, subparts B, F, and G. When documenting appointments using a direct-hire authority, an agency must use two authority codes. The first code is "AYM" and will automatically fill in with "Reg. 337.201." The second authority code will be the individual one associated with the specific direct-hire authority. These codes are listed below along with the information about each direct-hire authority.
GW-006 (VMO) Issued on February 12, 2009 for Veterinary Medical Officer positions at the GS-11 through GS-15 grade levels (or equivalent) nationwide to include overseas territories and commonwealths including Puerto Rico, Guam, and Virgin Islands, may be used indefinitely or until OPM terminates this authority. This authority is based on a severe shortage of candidates. In accordance with 5 CFR 337.206(c), OPM may request information from agencies on their use and implementation of this direct-hire authority. On a periodic basis OPM will determine if continued use is supportable. The legal authority code for SF-50 item 5-E is "BAG."
Competitive examining is the traditional method for making appointments to competitive service positions and requires adherence to title 5's competitive examining requirements. OPM may delegate authority, by agreement, to an agency to examine for all of its competitive service positions (except administrative law judges). Vacancies filled through the competitive examining process are open to the public.
Agencies may appoint current career and career-conditional employees by transfer (Subpart E).
Agencies may appoint former career and career-conditional employees by reinstatement, but certain time limits may apply (Subpart D).
Employees appointed by transfer or reinstatement may be required to compete under the agency's merit promotion program. See 5 CFR Part 335.
Several Governmentwide appointing authorities, listed below, permit or require agencies to noncompetitively convert employees to career or career-conditional appointments from excepted service or temporary appointments. In addition, some agencies may have their own conversion authority(ies) based on specific provisions of law.
Covers employees in salary policy positions (trades and labor positions are not covered). Agreement effective 10/16/57; extended indefinitely.
Agreement effective 10/1/75; extended indefinitely.
Covers employees who occupy medical or medical-related positions and were appointed under 38 U.S.C. 7401(1) or (3) [formerly 38 U.S.C. 4104(1) and (3)]. Agreements effective 10/31/79 and 5/12/87; extended indefinitely.
Agreement effective 2/13/19; expires 12/31/2023.
Agreement effective 9/20/91; extended indefinitely. Also see the paragraph on the portability of benefits for nonappropriated fund employees.
Agreement effective 11/6/97; expires 12/31/19.
Agreement effective 1/22/18; expires 1/31/23.
Agreement effective 03/04/13; expires 03/05/22.
This agreement includes employees assigned to the Office of the Inspector General (OIG).
An agency may noncompetitively appoint an employee covered by an interchange agreement to a career or career-conditional appointment subject to the conditions listed below. Each interchange agreement specifies these conditions. The conditions do not appear in the Code of Federal Regulations. Individuals who do not meet the requirements for appointment under the interchange agreement may apply for a position under competitive examining or other appointment procedures, provided the individual satisfies all applicable eligibility requirements.
A person must be appointed to the competitive service without a break in service of 1 workday, except that a person may be appointed within 1 year after being involuntarily separated from the other merit system. The qualification standards (including internal placement provisions, subject to 5 CFR Part 335) and requirements, appointing documents, and determinations for these appointees are the same as for transfer of employees within the competitive service.
Eligible persons may be considered for appointment to positions in the same manner that other individuals are considered for noncompetitive appointment. The appointments are not subject to the merit promotion provisions of 5 CFR Part 335 unless required by agency policy.
Persons appointed to competitive positions under the interchange agreements will receive career or career-conditional appointments, depending on whether they meet the 3-year service requirement for career tenure or are exempt from it under 5 CFR 315.201(c). Service that begins with a person's current permanent appointment in the other merit system counts toward the 3-year service requirement for career tenure. Interchange agreements do not authorize temporary or term appointments.
Persons appointed under these agreements are not subject to probation under 5 CFR Part 315, Subpart H, but acquire civil service status on appointment. Appointees are subject to the supervisory or managerial probationary period in 5 CFR Part 315, Subpart I, but appropriate service in the other merit system may be considered in determining the applicability of the probationary period and creditable service toward completion of probation.
Interchange agreements provide for two-way movement. This means that career and career-conditional employees are eligible for employment in the other merit systems with which the U.S. Office of Personnel Management has agreements under conditions similar to those described in the preceding section. A career or career-conditional employee who is not eligible for appointment under an interchange agreement may be eligible for appointment consideration under other appointment procedures of the other merit system.
The Portability of Benefits for Nonappropriated Fund Employees Act of 1990 (Pub. L. 101-508) permits service with a nonappropriated fund instrumentality (NAFI) to be considered when establishing pay and benefits of a Department of Defense (DOD) NAFI employee who moves to a civil service appointment within DOD and of a Coast Guard NAFI employee who moves to a civil service appointment within the Coast Guard on or after January 1, 1987--but only if the employee moves between the two appointments without a break in service of more than 3 days. Also, Public Law 104-106 (February 10, 1996) amended the Portability Act to allow certain retirement benefits with a break in service of not more than 1 year. To be covered by these provisions, an appointment may be based on the interchange agreement or any other valid appointing authority.
The following lists some of the more common actions and where instructions can be found on giving credit for NAFI benefits and service. These provisions apply to any agency subject to a particular law. For example, an agency subject to the reduction in force provisions of chapter 35 of title 5, United States Code, would apply the instructions below relating to service credit for reduction in force purposes.
Setting basic pay. See 5 CFR 531.216. Also, a Department of Defense (DOD) Nonappropriated Fund Instrumentality (NAFI) employee moving within DOD and a Coast Guard NAFI employee moving within the Coast Guard, without a break in service of more than 3 days, are NOT eligible for a superior qualifications appointment under 5 CFR 531.212. A NAFI employee moving to civil service employment under any other circumstance (and with a break of at least 90 days since his or her last period of Federal or certain District of Columbia employment) may be considered for a superior qualifications appointment.
Creditable service for a within grade increase. See 5 CFR 531.406(b)(4).
Creditable service for time-in-grade purposes. See 5 CFR 300.605.
Eligibility for grade and pay retention. See 5 CFR Part 536 Subparts B and C, respectively.
Eligibility for severance pay. See 5 CFR 550.705 and 550.708.
Credit for leave accrued in NAFI leave system. See 5 U.S.C. 6308(b).
Service credit for leave purposes. See the U.S. Office of Personnel Management Operating Manual, The Guide to Processing Personnel Actions, Chapter 6, section 1-7c.
Service credit for reduction in force purposes. Public Law 104-106 (February 10, 1996) gives service credit for reduction-in-force (RIF) purposes to employees of Nonappropriated Fund (NAF) instrumentalities who moved, on or after January 1, 1966, without a break in service of more than 3 days, from a position in a NAF instrumentality of the Department of Defense or the Coast Guard to a non-NAF instrumentality position in the Department of Defense or the Coast Guard, respectively.
Retirement coverage. Public Law 104-106 (February 10, 1996) amended the Portability Act to allow certain retirement benefits with a break in service of not more than 1 year. See the implementing regulations published in the Federal Register (FR) on August 9, 1996 (61 FR 41713-41728). This publication amended various provisions of Title 5, Code of Federal Regulation (5 CFR) and added a new 5 CFR Part 847, Elections of Retirement Coverage by Current and Former Employees of Nonappropriated Fund Instrumentalities.
Thrift Savings Plan Coverage. See 5 CFR Part 1620, Subpart G, published by the Federal Retirement Thrift Investment Board in the Federal Register on August 9, 1996 (61 FR 41485-41488).
Agencies may noncompetitively appoint to career or career-conditional appointments current and former Foreign Service employees who meet the criteria under appointment conditions below.
Note: These appointment conditions do not appear in the Code of Federal Regulations (CFR).
Nontemporary Foreign Service appointment means (i) an appointment without condition or limitation or, (ii) a limited appointment that made the employee eligible for an unlimited, career-type appointment without a break in service of a workday between the two appointments.
Substantially continuous service means creditable service without a single break of more than 30 calendar days; except for breaks or other employment specifically defined in 5 CFR 315.201(b)(3).
A career appointment is given to a person who has completed 3 years of substantially continuous service immediately before separation from an unlimited, career-type Foreign Service appointment or who meets a requirement of 5 CFR 315.201(c) for career tenure.
Others appointed under this authority receive a career-conditional appointment. Service that begins with a nontemporary Foreign Service appointment counts toward the 3-year service requirement for career tenure only if the person is appointed under this authority within 30 days after separation from the career-type appointment in the Foreign Service.
Appointees are not subject to a probationary period but acquire civil service status on appointment.
This subpart contains noncompetitive appointing authorities covering a variety of situations and individuals, such as Peace Corps volunteers, former overseas employees, and incumbents of positions brought into the competitive service.
This subpart contains authorities to noncompetitively convert certain current employees from nonpermanent to permanent employment, such as employees formerly appointed via competitive examining and appointments leading to noncompetitive conversion.
Miscellaneous Authorities Not Regulated by U.S. Office of Personnel Management.
What follows is a partial list of appointing authorities authorized by statutes outside of title 5 U.S.C. Because OPM does not regulate these authorities, they do not appear in 5 CFR. For a description of these authorities, agencies should consult the cited statutes.
Using these authorities, an agency may appoint an eligible individual to any position for which the person meets the qualification standard and other requirements governing appointment to the competitive service, except the individual is not required to compete in a competitive examination. Nor is the individual required to compete with career and career-conditional employees under internal merit staffing procedures unless an agency's policies require the individual to do so. The agency must verify applicant eligibility. To determine whether an appointee must serve probation, see 5 CFR Part 315, Subpart H. To determine when an appointee acquires career tenure, see 5 CFR Part 315, Subpart B.
The Presidential Memorandum - Improving the Federal Recruitment and Hiring Process issued on May 11, 2010, requires agencies to use the category rating approach (as authorized by section 3319 of title 5, United States Code) to assess and select job applicants for positions filled through competitive examining. Agencies would evaluate candidates and place them into two or more pre-determined quality categories. For additional guidance on using category rating, please refer to Chapter 5 of the Delegated Examining Operations Handbook.
The purpose of category rating is to increase the number of qualified applicants an agency has to choose from for selection while preserving veterans' preference rights. The category rating approach gives agencies the flexibility to assess and select from among applicants in the highest quality category without regard to the "rule of three."
Yes. The Presidential Memorandum directs agencies to use the category rating approach in place of the "rule of three" approach.
An agency is required to have a category rating policy in place that describes how applicants will be evaluated and placed in two or more quality categories.
The highest quality category definition should not be written in broad terms solely to increase the number of eligible candidates who may be considered for selection. Instead, the highest quality category definition should be written to identify the best qualified individuals for the position.
Example: Agency uses two quality categories: Highly Qualified and Qualified. In filling a Human Resources Specialist, GS-201-14, policy position, the agency might define the Highly Qualified category as experience in a senior level HR position writing regulations or agency policy or providing guidance to an agency on staffing, downsizing, realignment, classification, or compensation. The Qualified category might include senior level HR operations experience in staffing, downsizing, realignments, classification, or compensation. More information on how to define quality categories, including examples, is located in the Delegated Examining Operations Handbook in Chapter 5, Section B, Rating Procedures (Category Rating).
Yes. Agencies may use test scores as part of the job-related criteria used to place candidates into categories, as long as the test assesses job-related KSAs/competencies. When establishing a category definition with numerical scores, agencies must be consistent with the technical standards in the Uniform Guidelines on Employee Selection Procedures (see 29 CFR Part 1607) with respect to the development of any applicant assessment procedure and comply with the laws, regulations, and policies of merit selection (see 5 U.S.C. § 2301 and 5 U.S.C. § 2302).
Agencies make selections from within the highest quality category regardless of the number of candidates (i.e., the rule of three does not apply). However, preference eligibles receive absolute preference within each category. If a preference eligible is in the category, an agency may not select a non-preference eligible unless the agency requests to pass over the preference eligible in accordance with 5 U.S.C. § 3318, and the request is approved.
If there are fewer than three candidates in the highest quality category, agencies may combine the highest category with the next lower category and make selections from the merged category. The newly merged category would then constitute the highest quality category. Preference eligibles must be listed ahead of non-preference eligibles in the newly merged category. Once again, as long as a preference eligible remains in the merged category, an agency may not select a non-preference eligible unless the agency receives approval to pass over the preference eligible in accordance with 5 U.S.C. § 3318.
Veterans' preference applies after the candidates are assessed.
Preference eligibles who meet the qualification requirements are assessed and placed in the appropriate quality categories. Preference eligibles receive veterans' preference by being listed ahead of non-preference eligibles within the same quality category in which they are placed. No preference points, i.e., 5 or 10 points, are added to the preference eligibles' rating. An agency may not select a non-preference eligible if there is a preference eligible in the same category unless the agency receives approval to pass over the preference eligible in accordance with 5 U.S.C. § 3318.
Preference eligibles who meet the qualification requirements for the position and who have a compensable service-connected disability of at least 10 percent must be listed in the highest quality category (except in the case of scientific or professional positions at the GS-9 level or higher). As noted above, an agency may not select a non-preference eligible over a preference eligible in the same category unless the agency receives approval to pass over the preference eligible in accordance with 5 U.S.C. § 3318.
Yes. The procedures used to pass over a preference eligible under category rating are the same as those used in the traditional "rule of three" process. In the traditional and category rating processes, an agency may not select a non-preference eligible over a higher ranked preference eligible or a preference eligible within the same category, respectively, unless the agency receives approval to pass over the preference eligible in accordance with 5 U.S.C. § 3318.
No. The "three consideration" rule that is prescribed in 5 CFR 332.405 does not apply in category rating.
OPM does not require the hiring manager to interview everyone within a category. All candidates within a category are considered equally qualified. The hiring manager may interview one or more applicants. Managers should refer to their agency-specific policy on this issue because it may vary by agency.
Yes. Applicants will have the same right of appeal (reconsideration) on an examination rating as they do now. The agency must explain to the applicant why the applicant was placed in a particular category (see 5 CFR 300.104(b)). Each agency is required to have an appeal/reconsideration procedure in place.
Yes. Agencies who have not already implemented their category rating policy must submit a report to Congress in each of the 3 years following the implementation of their policy.
the way in which managers were trained in the administration of category rating.
The reports are sent to the Speaker of the House and President of the Senate.

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