Delegated Examining Operations Handbook - CHCOC
Delegated Examining Operations Handbook:A Guide for Federal Agency Examining OfficesU.S. Office of Personnel ManagementJune 2019
Table of ContentsIntroduction .iPurpose of the Delegated Examining Operations Handbook (DEOH) . iAudience . iMaterials Needed . iHow the DEOH is Organized . iiImportance of Delegated Examining. iiCompetitive Examining Process Flow Chart . ivChapter 1 – OPM and Agency Responsibilities .1-1Section A – What is Delegated Examining Authority? .1-1Section B – OPM Responsibilities .1-3Section C – Agency Responsibilities .1-4Section D – Delegated Examining Certification Program.1-10Section E – References .1-12Chapter 2 – Identify the Job and its Assessments .2-1Section A – Review Hiring Flexibilities .2-2Section B – Conduct a Job Analysis .2-13Section C – Identify Assessment Tools .2-17Section D – Submit Request to the Delegated Examining Officer .2-35Section E – References .2-36Chapter 3 – Recruit and Announce the Job.3-1Section A – Recruitment .3-1Section B – What is Public Notice?.3-6Section C – Create a Job Opportunity Announcement .3-11Section D – References .3-17
Chapter 4 – Accept and Review Applications .4-1Section A – Accepting Applications .4-1Section B – Reviewing Applications.4-13Section C – References .4-28Chapter 5 – Assess Applicants .5-1Section A – Requirements for Competitive Employment .5-1Section B – Rating the Applicants.5-3Section C – Examining Processes.5-26Section D – References .5-32Chapter 6 – Certify Eligibles .6-1Section A – Criteria Outlined in the Job Opportunity Announcement . 6-1Section B – Creating a Certificate of Eligibles .6-11Section C – Auditing a Certificate .6-25Section D – Objections and Pass-Overs .6-34Section E – Illegal Selection and Priority Consideration.6-45Section F – Shared Certificates .6-51Section G – References .6-54Chapter 7 – Reporting and Accountability.7-1Section A – Safeguarding the Examining Process .7-1Section B – Freedom of Information and Privacy Acts .7-4Section C – Annual internal Self-Audits .7-7Section D – OPM Review .7-8Section E – References .7-9Glossary . Glossary-1Appendix A – Sample Interagency Delegated Examining Agreement . A-1Appendix B – Vendor Criteria List. B-1
Appendix C – Records Retention and Disposition Schedule . C-1Appendix D – OPM’s Job Analysis Methodology . D-1Job Analysis Worksheet for Tasks. D-6Job Analysis Worksheet for Competencies . D-7Job Analysis Worksheet for Task and Competency Linkage . D-8Accomplishments Worksheet. D-9Multiple Choice/Yes-No Rating Schedule Worksheet . D-10Rating Schedule Benchmark Worksheet . D-11Appendix E – Handbook for Agency Test Administrators and Test Control Officers . E-1Appendix F – Administrative Careers With America Positions . F-1Appendix G – Evaluating Delegated Examining Programs . G-1Appendix H – CTAP/ICTAP Charts . H-1Appendix I – Transmutation Procedures for General Schedule Positions . I-1Appendix J – Competitor Inventory .J-1Appendix K – Professional and Scientific Positions . K-1Appendix L – Rule of Three Certification and Selection Procedures . L-1Appendix M – Random Referral (Tie-Breaking) Instructions .M-1Appendix N – Assessing Applicants with Disabilities . N-1
IntroductionPurpose of the Delegated Examining Operations Handbook (DEOH)The Delegated Examining Operations Handbook (DEOH) is designed to provide assistance toagencies with delegated examining authority granted under section 1104 of title 5, United StatesCode (U.S.C.).This DEOH applies to competitive examining only. It does not apply to merit promotion, theexcepted service, or the Senior Executive Service (see 5 U.S.C. § 1104). It provides agencieswith guidance, options, and, where necessary, specific operational procedures that are designedto ensure that examining programs comply with merit system laws and regulations.AudienceAlthough the Office of Personnel Management (OPM) delegates examining authority at theagency headquarters level, agencies may assign examining responsibilities to subordinateoffices, which serve as “delegated examining units” (DEUs).This DEOH is designed primarily for: Delegated examining staff;Test Administrators;Test Control Officers; andHuman resources offices.Hiring managers and appointing officials are encouraged to read this DEOH to better informthemselves about the delegated examining process.Materials NeededUse this DEOH in conjunction with: Specific authorities cited in the agency’s delegation agreement;Applicable laws in title 5, U.S.C.; andRegulations 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 forthere to be changes to law or regulation or new precedents that affect how they should beinterpreted. When that occurs, any change to applicable law will supersede the information ini
this DEOH. To receive automatic electronic updates to the DEOH, register athttp://apps.opm.gov/listserv apps/list-sub.cfm?targetlist DEOHInfo.The Chief Human Capital Officers (CHCO) Council advises and coordinates activities ofmembers’ agencies on such matters as legislation affecting human resources operations andorganizations, modernization of human resources systems, and improved quality of humanresources information. You can access transmittals issued by OPM to the CHCOs/HumanResources (HR) Directors at http://www.chcoc.gov/Transmittals/Index.aspx.The Office of Management and Budget (OMB) has made available a web site for Federalagencies to share information and collaborate with one another. To access the MAX FederalCommunity, register at https://max.omb.gov/maxportal/.How the DEOH is OrganizedWe have organized this DEOH in a manner that corresponds to the examining process, startingwith recruitment planning and finishing with issuing and auditing certificates.To help you understand the examining process and the organization of this DEOH, we haveprovided a flow chart outlining the major steps of the process (see page iv). The main headingsof the flow chart (outlined in red) reflect the major steps of the examining process. These majorsteps 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); andCertify eligibles (Chapter 6).Importance of Delegated ExaminingDelegated examining procedures outlined in this Handbook are designed to assist an agency incomplying 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 ofselection.Recognizing the need for additional education and resources, OPM, OMB, and the PresidentialPersonnel Office (PPO) launched the Hiring Excellence Campaign (HEC), “Connecting withTop Talent,” in 2016. The HEC was designed to assist the Federal Government in attractingdiverse, talented applicants and hiring highly-qualified candidates through engaged andempowered hiring managers supported by highly-skilled human resources staff. For additionalii
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 toAchieve Mission Outcomes, at iringexcellence-achieve-mission-outcomes.As a human resources professional engaged in delegated examining, you have an opportunity tocontinue the Campaign by engaging hiring managers throughout the hiring process. Fosteringcollaborative relationships with your hiring manages will improve outreach, recruitment, andhiring outcomes. As depicted on the Competitive Examining Process Flow Chart (see nextpage), there are many opportunities throughout the process to engage with your hiringmanagers. 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, andyou will see references to them throughout this Handbook. One such area is the “Pledge toApplicants.” OPM recognizes that a Government’s most important asset is its people. Toattract talented people to the service of the Nation, we believe the application process shouldenable rather than deter job seekers. To that end, we will work to provide a hiring process thatreflects these principles.1.2.3.4.5.6.A user-friendly application process that is not unduly burdensome or time consuming.Clear, understandable job announcements and instructions for applying.Timely and informed responses to questions about the requirements and the process.Prompt acknowledgement to applicants that their applications have been received.Regular updates on the status of their applications as significant decisions are reached.A timely decision-making process.iii
Competitive Examining Process Flow Chart*Identify Job andAssessmentsRecruit andAnnounce JobReview HiringFlexibilitiesRecruitConduct/Review JobAnalysis to IdentifyCompetencies/KSAsIdentifyAssessment ToolsCreate/Review aJob OpportunityAnnouncementSubmit Request toDelegated Examining UnitSatisfy PublicNotice RequirementsNotify Applicants**NoAccept and ReviewApplicationsAssessApplicantsCertify EligiblesReview for:Age,Citizenship,ICTAP/CTAP,Veterans’ Preference andOther RequirementsRate and Rank(Including Veterans’ Preference)Put Eligibles in Orderof SelectionNoYesQualifications ReviewYesCase ExaminingCompetitor InventoryIssue CertificateSelectAudit(Verification)(Apply Veterans’ Preference)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).iv
Chapter 1 – OPM and Agency ResponsibilitiesThis chapter describes the responsibilities that are typically outlined in Interagency DelegatedExamining Agreements between OPM and agencies. This chapter contains the followingsections:Section ASection BSection CSection DSection EWhat is Delegated Examining Authority?OPM ResponsibilitiesAgency ResponsibilitiesDelegated Examining Certification ProgramReferencesSection A - What is Delegated Examining Authority?What is Delegated Examining Authority?Delegated examining authority is an authority OPM delegates to agencies to fill competitivecivil service jobs through a competitive process open to all U.S. citizens, including currentFederal employees.Appointments made by agencies through delegated examining authority are subject to civilservice laws and regulations. This is to preserve and protect fair and open competition, fosterrecruitment from all segments of society, and selection on the basis of the applicants’competencies or knowledge, skills, and abilities (KSAs) (see 5 U.S.C. § 2301(b)(1)).What Does Delegated Examining Cover?Under 5 U.S.C. § 1104, OPM has delegated to agency heads the authority delegated to OPM bythe President to conduct competitive examinations for positions in the competitive service,except for administrative law judge positions. Note: Executive Order (E.O.) 13843, signedJuly 10, 2018, established Schedule E in the excepted service for the appointment ofadministrative law judges. As of the signing of the E.O., no new appointments ofadministrative law judges to the competitive service may be made.How to Obtain Delegated Examining Authority.To obtain the authority to conduct delegated examining for competitive service positions, youragency must enter into a signed delegated examining agreement with OPM. This agreementpermits OPM to establish appropriate standards and exercise appropriate oversight, as requiredby 5 U.S.C. § 1104. The four steps to obtaining delegated examining authority are:Step 1:The agency headquarters contacts OPM’s Employee Services, Hiring PolicyOffice and requests delegated examining authority.Page 1-1
Step 2:OPM drafts a delegated examining agreement for both parties to sign.Step 3:OPM and the agency HR Director sign the agreement.Step 4:OPM trains and certifies the agency personnel who will operate the delegatedexamining unit(s).How Delegated Examining Authority is Terminated, Suspended, or Revoked.Your agency’s delegated examining agreement may be terminated by either OPM or youragency with 90 days advance notice. OPM may suspend or revoke certification of an agency’sdelegated examining unit at any time, with or without advance notice.For a sample of the standard Interagency Delegated Examining Agreement, see Appendix A.Page 1-2
Section B - OPM ResponsibilitiesTraining, Guidance, and Technical AssistanceOPM is responsible for providing you with: Training, guidance, and oversight in the conduct of delegated examining activities;Certification for the individuals you have identified to conduct examining operations;Periodic recertification; andOperating guidelines and basic technical assistance.Medical and Qualifications ObjectionsNotwithstanding any delegation of authority to your agency, OPM retains exclusive authorityto: Make medical qualifications determinations pertaining to preference eligibles (5 CFR §339.306); andGrant or deny an agency's request to pass over a preference eligible with a compensableservice-connected disability of 30% or more (5 U.S.C. § 3318). See Chapter 6, SectionD for more information on objections and pass-overs.Job InformationOPM provides job seekers with up-to-date information about job opportunities and applicationprocedures through USAJOBS (see www.usajobs.gov).OversightOPM maintains an oversight program to ensure that delegated examining activities, includingany supporting work performed by contractors, are conducted in accordance with applicablelaw, merit system principles, and the standards established under 5 U.S.C. § 1104 (b)(1).If OPM determines that an activity is contrary to any law, rule, or regulation, or is contrary toany standard that OPM establishes for delegated authority, your agency must take anycorrective action that OPM may require (see 5 U.S.C. § 1104 (c)).Page 1-3
Section C - Agency ResponsibilitiesFundamental ResponsibilitiesA delegated examining unit has two fundamental responsibilities:1. To ensure to the maximum extent possible that the agency’s vacant positions are filledwith the best-qualified persons from a sufficient pool of well-qualified eligibles, andtaking into account veterans’ preference requirements; and2. To uphold the laws, regulations, and policies governing competitive examination andselection (see 5 U.S.C. §§ 3304-3319, merit system principles (id. at § 2301), andprohibited personnel practices (id. at § 2302).Assessment InstrumentsAgencies must develop assessment instruments in accordance with 5 CFR part 300 (see Chapter2, Section C).Recruitment and Public NoticeHiring under the merit system requires you to give members of the public an opportunity tocompete for most vacant positions. Therefore, when you are filling a job through delegatedexamining, you must:Recruit enough well-qualified applicants to ensure adequate competition for competitiveservice positions; Provide public notice of the opportunity to compete by listing all job opportunityannouncements on USAJOBS (see 5 U.S.C. §§ 3327 and 3330); Provide a suitable job opportunity announcement and an appropriate open period forreceipt of applications, considering; The nature of the position(s) to be covered by the job opportunity announcement, The promotion potential associated with the position(s), and The characteristics of the relevant labor market; Specify filing instructions and conditions clearly in the job opportunity announcement;and Justify an open period of less than five calendar days by documenting your rationale inthe examination file. For more information about recruitment and public notice, see Chapter 3.Establishing an Agency Policy on Accepting and Processing ApplicationsYour agency headquarters is responsible for establishing agency-wide policies and proceduresfor accepting and processing applications from all applicants, including status applicants, andclearly specifying filing instructions and conditions in the job opportunity announcement (seeChapter 4, Section A).Page 1-4
FormsYou are responsible for acquiring and maintaining adequate supplies of the forms necessary forconducting examining operations. You may order standard and optional forms through yournormal procurement process. They are also available on OPM’s web site atwww.opm.gov/forms.You may also use automated documentation methods in lieu of written documentation, ordesign and print your own forms. However, you must seek approval from the Office ofManagement and Budget (OMB) before using any form that collects information directly fromthe public (see 5 CFR part 1320 and OMB 83-I, Paperwork Reduction Act Submission).Establishing an Agency Category Rating PolicyYour agency headquarters is responsible for establishing a category rating policy that identifies therequirements for implementing category rating in the agency, including such considerations as thetype of assessment tool(s) to be used to evaluate candidates, how “well-qualified” career transitionassistance eligibles will be identified, under what circumstance the agency would refer only veteransin the highest quality category, and procedures on how to decide whether or not to merge categories(see Chapter 5, Section B and Chapter 6, Section B).Rating and Ranking ApplicationsYou are responsible for: Screening for minimum qualifications;Rating applications and determining whether a passing score has been met, ifestablished;Ranking eligibles based on their ratings/category assignments;Adjudicating and applying veterans’ preference; andNotifying the applicants of the status of their applications at four different points in thehiring process.Administering and Scoring Written Tests and Other AssessmentsYou are responsible for administering and scoring written tests. Individuals who administerOPM tests must be trained and certified by OPM. You may enter into an agreement with OPMor a certified contractor to administer and score assessments on a reimbursable basis.If you decide to use a certified contractor, we suggest you look at the "Vendor Criteria List"(see Appendix B). This list provides the types of information you should request from thecontractor before entering into a contractual agreement. The Vendor Criteria List in AppendixB is by no means an exhaustive list of questions; it is simply a starting point for you to considerwhen choosing a contractor.Page 1-5
Adjudicating and Applying Veterans’ PreferenceYou must adjudicate and apply the veterans’ preference provisions of title 5, U.S.C., including: 5 U.S.C. § 2108 (veteran; disabled veteran; preference eligible);5 U.S.C. § 2108a (treatment of certain individuals as veterans, disabled veterans, andpreference eligibles);5 U.S.C. § 3305 (competitive service; examinations; when held);5 U.S.C. § 3309 (preference eligibles; examinations; additional points for);5 U.S.C. § 3310 (preference eligibles; examinations; guards; elevator operators;messengers and custodians);5 U.S.C. § 3311 (preference eligibles; examinations; crediting experience);5 U.S.C. § 3312 (preference eligibles; physical qualifications; waivers);5 U.S.C. § 3313 (competitive service; registers of eligibles);5 U.S.C. § 3314 (registers; preference eligibles who resigned);5 U.S.C. § 3315 (registers; preference eligibles furloughed or separated);5 U.S.C. § 3316 (preference eligibles; reinstatement);5 U.S.C. § 3317 (competitive service; certification using numerical ratings);5 U.S.C. § 3318 (competitive service; selection using numerical ratings);5 U.S.C. § 3319 (competitive service; selection using category rating);5 U.S.C. § 3330 (government-wide list of vacant positions);5 U.S.C. § 3330a (preference eligibles; administrative redress);5 U.S.C. § 3330b (preference eligibles; judicial redress); and5 U.S.C. § 3330c (preference eligibles; remedy).For more information, see OPM’s Federal Employment Policy Handbook: Veterans and theCivil Service (VetGuide) at -services/vetguide-for-hr-professionals/.Other DeterminationsYou are also responsible for making the following determinations: Conversion to career or career-conditional employment (see 5 CFR 315 subpart G);Exceptions to the time-in-grade restriction (see 5 CFR 300 subpart F); andExceptions to the time-after-competitive-appointment restriction (see 5 CFR 330 subpartE).Career Transition AssistanceYou are responsible for recruiting, examining, and referring eligibles in a manner that complieswith your agency’s Career Transition Assistance Plan and the Interagency Career TransitionAssistance Plan (see Chapter 4, Section B).Page 1-6
Requests for Reconsideration (Appeal of Rating)You must establish a procedure through which applicants may request reconsideration (appeal)of their ratings (see 5 CFR part 300). You may want to consider incorporating this procedureinto your agency’s administrative grievance or alternative dispute resolution system.For more detailed information, see Chapter 5, Section C.Issuing CertificatesYou are responsible for issuing Certificates of Eligibles, auditing certificates, and establishingobjection/pass-over procedures.OPM, however, retains exclusive authority to: Make medical determinations pertaining to preference eligibles (5 CFR part 339); andGrant or deny an agency's pass-over request of a preference eligible with a compensableservice-connected disability of 30% or more (5 U.S.C. § 3318).See Chapter 6, Section D for more information on objections and pass-overs.Suitability Determinations and ActionsUnder 5 CFR part 731, OPM has delegated to agencies the authority to make suitabilitydeterminations and take suitability actions (including limited, agency-specific debarments under§ 731.205) with regard to applicants for, and appointees to, competitive service positions,except where the following issues have arisen, in which instance such determinations andactions must be referred to OPM: Material, intentional false statement in examination or appointment,Deception or fraud in examination or appointment, orRefusal to furnish testimony as required by 5 CFR section 5.4.Note: A hiring agency may not make specific inquiries concerning an applicant's criminal orcredit background of the sort asked on the OF-306 or other forms used to conduct suitabilityinvestigations for Federal employment until the hiring agency has made a conditional offer ofemployment to the applicant (unless the agency has requested and received an exception fromOPM). Agencies may make inquiries into an applicant's Selective Service registration, militaryservice, citizenship status, or previous work history, prior to making a conditional offer ofemployment to an applicant. An agency has the latitude to determine what office within theagency will be responsible for adjudicating suitability. This function may be done in theexamining office, but there is no requirement that it be done there. For further informationconcerning suitability determinations refer to 5 CFR part 731.Page 1-7
Training and CertificationIn accordance with its oversight responsibility (5 U.S.C. § 1104), OPM requires agencies toensure that individuals responsible for conducting delegated examining activities, includingthose conducting the annual audits, have completed certification requirements and are currentlycertified to perform these activities (see Chapter 1, Section D).AccountabilityIn accordance with OPM’s general responsibility to ensure compliance with civil service laws(5 U.S.C. § 1103(a)(5)) and its oversight responsibility to ensure that your delegated examiningactivities are in compliance with OPM standards and with merit system principles (see 5 U.S.C.§§ 1104(b)(1) and (2) and 2301), you must: Establish an internal accountability system. This internal accountability system issubject to periodic review by OPM. Conduct annual internal self-audits of your delegated examining activities. Such selfaudits must be performed by non-delegated examining staff who have been trained andcertified by OPM in delegated examining procedures. In satisfying this requirement,you must:- Maintain documentation that the required annual self-audit has been completed.Such documentation will be requested in advance of an OPM or agency-led review.(see Chapter 7); and- Maintain a list of all discrepancies and corrective actions for a period of
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
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