Delegated Examining Operations Handbook
Delegated Examining Operations Handbook:
A Guide for Federal Agency Examining Offices
U.S. Office of Personnel Management June 2019
Table of Contents
Introduction ..............................................................................................................................i Purpose of the Delegated Examining Operations Handbook (DEOH) ............................................ i Audience............................................................................................................................................ i Materials Needed .............................................................................................................................. i How the DEOH is Organized ........................................................................................................... ii Importance of Delegated Examining................................................................................................ ii Competitive Examining Process Flow Chart .................................................................................. iv
Chapter 1 ? OPM and Agency Responsibilities..................................................................1-1 Section A ? What is Delegated Examining Authority? .................................................................1-1 Section B ? OPM Responsibilities ................................................................................................1-3 Section C ? Agency Responsibilities ............................................................................................1-4 Section D ? Delegated Examining Certification Program...........................................................1-10 Section E ? References ..............................................................................................................1-12
Chapter 2 ? Identify the Job and its Assessments.....................................................................2-1 Section A ? Review Hiring Flexibilities..........................................................................................2-2 Section B ? Conduct a Job Analysis...........................................................................................2-13 Section C ? Identify Assessment Tools ......................................................................................2-17 Section D ? Submit Request to the Delegated Examining Officer .............................................2-35 Section E ? References ..............................................................................................................2-36
Chapter 3 ? Recruit and Announce the Job........................................................................3-1 Section A ? Recruitment ...............................................................................................................3-1 Section B ? What is Public Notice?...............................................................................................3-6 Section C ? Create a Job Opportunity Announcement ..............................................................3-11 Section D ? References ..............................................................................................................3-17
Chapter 4 ? Accept and Review Applications ....................................................................4-1 Section A ? Accepting Applications ..............................................................................................4-1 Section B ? Reviewing Applications............................................................................................4-13 Section C ? References ..............................................................................................................4-28
Chapter 5 ? Assess Applicants ...........................................................................................5-1 Section A ? Requirements for Competitive Employment .............................................................5-1 Section B ? Rating the Applicants.................................................................................................5-3 Section C ? Examining Processes..............................................................................................5-26 Section D ? References ..............................................................................................................5-32
Chapter 6 ? Certify Eligibles ................................................................................................6-1 Section A ? Criteria Outlined in the Job Opportunity Announcement ..........................................6-1 Section B ? Creating a Certificate of Eligibles ............................................................................6-11 Section C ? Auditing a Certificate ...............................................................................................6-25 Section D ? Objections and Pass-Overs ....................................................................................6-34 Section E ? Illegal Selection and Priority Consideration.............................................................6-45 Section F ? Shared Certificates ..................................................................................................6-51 Section G ? References ..............................................................................................................6-54
Chapter 7 ? Reporting and Accountability..........................................................................7-1 Section A ? Safeguarding the Examining Process.......................................................................7-1 Section B ? Freedom of Information and Privacy Acts.................................................................7-4 Section C ? Annual internal Self-Audits........................................................................................7-7 Section D ? OPM Review .............................................................................................................7-8 Section E ? References ................................................................................................................7-9
Glossary.................................................................................................................. Glossary-1 Appendix A ? Sample Interagency Delegated Examining Agreement ............................. A-1 Appendix B ? Vendor Criteria List......................................................................................B-1
Appendix C ? Records Retention and Disposition Schedule ........................................... C-1 Appendix D ? OPM's Job Analysis Methodology ............................................................. D-1
Job Analysis Worksheet for Tasks............................................................................................... D-6 Job Analysis Worksheet for Competencies ................................................................................. D-7 Job Analysis Worksheet for Task and Competency Linkage...................................................... D-8 Accomplishments Worksheet....................................................................................................... D-9 Multiple Choice/Yes-No Rating Schedule Worksheet ............................................................... D-10 Rating Schedule Benchmark Worksheet................................................................................... D-11
Appendix E ? Handbook for Agency Test Administrators and Test Control Officers ... E-1 Appendix F ? Administrative Careers With America Positions........................................ F-1 Appendix G ? Evaluating Delegated Examining Programs .............................................G-1 Appendix H ? CTAP/ICTAP Charts .................................................................................... H-1 Appendix I ? Transmutation Procedures for General Schedule Positions....................... I-1 Appendix J ? Competitor Inventory ...................................................................................J-1 Appendix K ? Professional and Scientific Positions ........................................................ K-1 Appendix L ? Rule of Three Certification and Selection Procedures ............................. L-1 Appendix M ? Random Referral (Tie-Breaking) Instructions ...........................................M-1 Appendix N ? Assessing Applicants with Disabilities ..................................................... N-1
Introduction
Purpose of the Delegated Examining Operations Handbook (DEOH)
The Delegated Examining Operations Handbook (DEOH) is designed to provide assistance to agencies with delegated examining authority granted under section 1104 of title 5, United States Code (U.S.C.).
This DEOH applies to competitive examining only. It does not apply to merit promotion, the excepted service, or the Senior Executive Service (see 5 U.S.C. ? 1104). It provides agencies with guidance, options, and, where necessary, specific operational procedures that are designed to ensure that examining programs comply with merit system laws and regulations.
Audience
Although the Office of Personnel Management (OPM) delegates examining authority at the agency headquarters level, agencies may assign examining responsibilities to subordinate offices, which serve as "delegated examining units" (DEUs).
This DEOH is designed primarily for:
? Delegated examining staff; ? Test Administrators; ? Test Control Officers; and ? Human resources offices.
Hiring managers and appointing officials are encouraged to read this DEOH to better inform themselves about the delegated examining process.
Materials Needed
Use this DEOH in conjunction with:
? Specific authorities cited in the agency's delegation agreement; ? Applicable laws in title 5, U.S.C.; and ? Regulations published in the Code of Federal Regulations (CFR).
While the information in this DEOH is current as of the date of issue, it is not uncommon for there to be changes to law or regulation or new precedents that affect how they should be interpreted. When that occurs, any change to applicable law will supersede the information in
i
this DEOH. To receive automatic electronic updates to the DEOH, register at .
The Chief Human Capital Officers (CHCO) Council advises and coordinates activities of members' agencies on such matters as legislation affecting human resources operations and organizations, modernization of human resources systems, and improved quality of human resources information. You can access transmittals issued by OPM to the CHCOs/Human Resources (HR) Directors at .
The Office of Management and Budget (OMB) has made available a web site for Federal agencies to share information and collaborate with one another. To access the MAX Federal Community, register at .
How the DEOH is Organized
We have organized this DEOH in a manner that corresponds to the examining process, starting with recruitment planning and finishing with issuing and auditing certificates.
To help you understand the examining process and the organization of this DEOH, we have provided a flow chart outlining the major steps of the process (see page iv). The main headings of the flow chart (outlined in red) reflect the major steps of the examining process. These major steps are:
? Identify the job and its assessments (Chapter 2); ? Recruit and announce the job (Chapter 3); ? Accept and review applications (Chapter 4); ? Assess applicants (Chapter 5); and ? Certify eligibles (Chapter 6).
Importance of Delegated Examining
Delegated examining procedures outlined in this Handbook are designed to assist an agency in complying with civil service laws and regulations, providing a fair and open competition, recruiting from all segments of society, and making a selection on the basis of the applicants' competencies or knowledge, skills, and abilities (KSAs), in accordance with applicable rules of selection.
Recognizing the need for additional education and resources, OPM, OMB, and the Presidential Personnel Office (PPO) launched the Hiring Excellence Campaign (HEC), "Connecting with Top Talent," in 2016. The HEC was designed to assist the Federal Government in attracting diverse, talented applicants and hiring highly-qualified candidates through engaged and empowered hiring managers supported by highly-skilled human resources staff. For additional
ii
resources and practical solutions to overcoming the most common barriers to the hiring process, see the joint OPM and OMB memorandum, M 17-03, Institutionalizing Hiring Excellence to Achieve Mission Outcomes, at . As a human resources professional engaged in delegated examining, you have an opportunity to continue the Campaign by engaging hiring managers throughout the hiring process. Fostering collaborative relationships with your hiring manages will improve outreach, recruitment, and hiring outcomes. As depicted on the Competitive Examining Process Flow Chart (see next page), there are many opportunities throughout the process to engage with your hiring managers. A fully engaged hiring manager is the key to recruitment and hiring success. Additionally, OPM has undertaken many hiring reform efforts over the past several years, and you will see references to them throughout this Handbook. One such area is the "Pledge to Applicants." OPM recognizes that a Government's most important asset is its people. To attract talented people to the service of the Nation, we believe the application process should enable rather than deter job seekers. To that end, we will work to provide a hiring process that reflects these principles.
1. A user-friendly application process that is not unduly burdensome or time consuming. 2. Clear, understandable job announcements and instructions for applying. 3. Timely and informed responses to questions about the requirements and the process. 4. Prompt acknowledgement to applicants that their applications have been received. 5. Regular updates on the status of their applications as significant decisions are reached. 6. A timely decision-making process.
iii
Competitive Examining Process Flow Chart*
Identify Job and Assessments
Review Hiring Flexibilities
Conduct/Review Job Analysis to Identify Competencies/KSAs
Identify Assessment Tools
Submit Request to Delegated Examining Unit
Recruit and Announce Job
Recruit
Create/Review a Job Opportunity Announcement
Satisfy Public Notice Requirements
Accept and Review Applications
No
Review for:
Age,
Yes
Citizenship,
ICTAP/CTAP,
Veterans' Preference and
Other Requirements
Notify Applicants** No
Qualifications Review Yes
Assess Applicants
Rate and Rank (Including Veterans' Preference)
Case Examining Competitor Inventory
Certify Eligibles
Put Eligibles in Order of Selection
(Apply Veterans' Preference)
Issue Certificate
Select
Shaded boxes involve hiring manager's participation *Major steps in the competitive examining process are identified in red. **Applicants are notified at four touch-points during the examining process (see Chapter 4).
Audit (Verification)
iv
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