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This directive was reviewed and certified as current and necessary by (Enter Name),
(Enter Title) Director, Office of Management, Budget and Evaluation/Chief Financial Officer, XX-XX-XXXX. |
| U. S. Department of Energy |
ORDER
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HQ 3335.1
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Approved:
3-13-87
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| SUBJECT: MERIT PROMOTION PLAN | |
1. PURPOSE. To set forth the Department of Energy (DOE) Headquarters Merit Pro-
motion Plan.
2. REFERENCES.
a.
b.
c.
d.
e.
f.
9*
h.
i.
DOE 1600.1, FEDERAL WOMEN'S PROGRAM, of 10-14-80, which establishes Depart-
mental policy and objectives of achieving equality of opportunity for
women. .
DOE 1600.4, HISPANIC EMPLOYMENT PROGRAM, of 2-2-82, which establishes
Departmental policy and objectives for achieving equality of opportunity
for Hispanic Americans.
DOE 1600.5, SYSTEM FOR PROCESSING COMPLAINTS OF DISCRIMINATION, of 5-26 -82.,
which establishes procedures for processing complaints of discrimination
submitted by Departmental employees or by applicants for DOE employment.
DOE 3330.1, FEDERAL EQUAL OPPORTUNITY RECRUITMENT PROGRAM, of 8-31-84,
which establishes policy and procedures for ensuring affirmative action in
recruiting to correct underrepresentation of minorities and women.
DOE 3335.1, MERIT PROMOTION, of 8-5-80, which sets forth the Departmental
policy and provides guidance for the development and implementation of
local plans.
DOE 3771.1, GRIEVANCE POLICY AND PROCEDURES, of 7-21-81, which establishes
Departmental policy and requirements for grievance matters.
Federal Personnel Manual (FPM) chapter 308, which states laws and regula-
tions pertaining to youth and student employment programs.
FPM chapter 316, which states laws and regulations pertaining to tempo-
rary employment.
FPM chapter 335 and FPM supplement 335-1, which state laws and regula-
tions pertaining to merit promotion.
DISTRIBUTION: INITIATED BY:
All Headquarters Elements Office of Personnel
2
l.
HQ 3335.1
3-13-87
j.
Office of personnel Management (OPM) Handbook X-118, "Qualification Stand-
ards for positions Under the General Schedule," which establishes criteria
for determining eligibility for various occupations in General Schedule
(GS) positions.
OPM Handbook X-118C, "Job Qualification System for Trades and Labor Occupa-
tions," which establishes criteria for determining eligibility for various
wage grade (WG) positions.
Title 5, Code of Federal Regulations (CFR), part 720, which establishes
regulations for implementing the Federal Equal Opportunity Recruitment
Program.
Title 5, CFR, Part 1613, "Equal Employment Opportunity in the Federal
Government," which provides that any agency will appraise its personnel
operations at regular intervals, to assure their conformity with Federal
policies and programs concerning equal opportunity without regard to race,
color, religion, sex, or national origin.
Title 29, CFR, Part 1607, "Uniform Guidelines on Employee Selection Proce-
dures (1978)," which provides a framework for determining the proper use of
tests and other selection procedures.
3. POLICY
a. All qualified applicants within the scope of this Order will have the
opportunity to receive appropriate consideration for promotion.
b. All standards used and judgments made will be strictly relevant to the re-
quirements of the position and to the merit and fitness of the candidates
to meet the requirements.
c. Merit promotion actions will be taken without regard to political, reli-
gious, or union affiliation or nonaffiliation, marital status, race, color,i
national origin, sex, age, or nondisqualifying physical handicap, nor will
such actions be based upon any personal relationship, patronage, or
nepotism.
d. Management shall have the right to select or nonselect, to fill or not to
fill a position, to select by whatever method or source it chooses, or to
alter its choice of method or source at any time during the selection pro-
cess prior to the extending of an offer to a selectee. In deciding the
method to fill a position, management must consider the pattern of employ-
ment of minorities and women and take affirmative action to utilize those
methods that are likely to attract applicants from groups which are under-
represented.
k.
m.
n.
HQ 3335.1
3-13-87
4. APPLICABILITY.
a. Covered Actions. Except as provided in subparagraphs 4b(l) through (11),
this Order is applicable to all positions GS-1 through GS-15, all Perform-
ance Management" and Recognition System (PMRS) positions, GM-13 through
GM-15, and all wage grade jobs in the competitive service that are filled
by promotion, as well as all of the following:
(1)
(2)
(3)
(4)
(5)
(6)
Reassignment to or change to a lower grade position with more promo-
tion potential than the permanent position currently held (except
under reduction-in-force regulations, but including positions in
upward mobility programs).
Transfer into DOE Headquarters by promotion to a higher grade position
or to a position with known higher promotion potential than the
position currently held.
Reinstatement to a permanent or temporary position at a higher grade
or to a position with known greater promotion potential than the last
nontemporary position previously held in the competitive service (except
for placement through the Priority Placement Plan).
A detail of more than 120 days to either a higher grade position, -
a position that affords qualifying experience for an occupation
different than the detailee's official position of record, or
a position with known promotion potential.
A temporary promotion of more than 120 days (including prior service
under all details to higher grade positions or temporary promotions,
whether competitive or noncompetitive, during the preceding 12 months).
Selection for training which is required in order to be promoted in
certain specialties. (Only those employees who successfully complete
the required training will be considered eligible for promotion.)
b. Exceptions. The following actions are not covered by this plan:
(1) Repromotion to the same grade, or an intervening grade (if eligible)
from which an employee was demoted without personal cause and not
at his or her request. (Acceptance of a change to lower grade i n
lieu of reduction in force is not a demotion at the employee'"
request for this purpose.)
(2) A position change permitted by reduction-in-force regulations.
4.
HQ 3335.1
3-13-87
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(l0)
A promotion resulting from the upgrading of a position without a signif-
icant change in duties and responsibilities due to the issuance of a
new classification standard or to the correction of a classification
error.
A career promotion when, at an earlier stage, the employee was selected
from an office of Personnel Management certificate of eligible candi-
dates or was selected under competitive promotion procedures for a
trainee or developmental position intended to prepare the employee for
a full-performance-level position at a higher grade level. The oppor-
tunity for further promotion must have been made a matter of record,
and the existence of a career ladder in the specialty and organization
must be documented in classification files. A complete listing of
existing career ladder positions in Headquarters organizations will be
updated annually and maintained by the Director of Headquarters Personnel
Operations (MA-205).
A promotion resulting from an employee's position being reclassified at
a higher grade because of additional duties and responsibilities. The
additional duties and responsibilities should have evolved from an
employee's position over a sufficient period of time and be due to such
factors that the supervisor could not reasonably have predicted that
the position had promotion potential at the time the employee entered
it. Such a promotion is permitted only when other employees in the
same organization are not unfairly deprived of an opportunity to com-
pete for promotion.
A position change (reassignment or demotion) from one position having
known promotion potential to another position having no higher potential.
A temporary promotion of 120 days or less.
A detail of 120 days or less to a higher grade position.
A conversion to permanent promotion or reassignment from temporary pro-
motion or detail if:
(a) The detail or temporary promotion initially was made according to
competitive procedures; and
(b) The fact that the position might lead to a permanent promotion or
reassignment was stated in the vacancy announcement.
A career ladder promotion following noncompetitive conversion of a
cooperate education student in accordance with the requirements of
FPM chapter 308.
HQ 3335.1 5
3-13-87
(11)
A promotion resulting from priority consideration and selection of a
candidate who had not been given proper consideration in an earlier
competitive promotion action. This consideration will be extended
one time for a position of the same grade level and type for which
the applicant failed to receive proper consideration. Individuals
eligible for this priority consideration will be referred after re-
promotion candidates and prior to proceeding with competitive pro-
motion procedures.
5. PROCEDURES FOR ANNOUNCING VACANCIES .
a.
b.
c.
General. The Merit Promotion Plan is but one method for filling a vacancy.
Other methods include, but are not limited to, reassignment, change to a
lower grade, transfer, reinstatement, appointment from Office of Personnel
Management certificates of eligible candidates, and special authorities
for excepted appointments. Any of these methods to locate appropriate
candidates may be used. If appropriate, the supervisor of the position
to be filled should confer with the servicing personnel specialist con-
cerning the requirements of the merit promotion selection process as
compared to other methods of filling the vacancy. (The supervisor will
hereafter be referred to as the selecting official).
Requesting the use of Competitive Procedures. When the selecting official
decides to proceed using this plan, he or she must submit to the servicing
personnel operations branch a completed Standard Form (SF)-52, "Request
for Personnel Action," and a narrative position description with a DOE F
3511.1, "Position Description," as the cover sheet. If the position is
one which has formerly been classified, the selecting official should re-
view the position description for accuracy. When the position description
is not changed in any way, a copy of the existing DOE F 3511.1 and two
copies of the existing narrative are submitted; otherwise, five copies of
a revised narrative position description are required in addition to the
cover sheet.
on the
Job Analysis, Ranking Factors, and Rating Schedules. Information provided
SF-52 and on the position description will serve as the basis for
conducting a job analysis of the new or-vacant position, for developing
ranking factors, for preparing a rating schedule or crediting plan for
evaluating candidates, and for preparing the vacancy announcement. The
selecting official shall consult with the personnel specialist to develop
the information needed for these purposes, including the identification of
knowledges, skills, and abilities required for the position, ranking factors,
selective placement factors (if any), and the rating schedule and/or
crediting plan for the Position.
6 HQ 3335.1
3-13-87
d. Conducting the Job Analysis. The basis for effective personnel selection
is thorough and detailed planning that ensures that the qualifications and
experience of each applicant can be evaluated against the realistic require-
ments of a position. When a position description is classified and certified
for a Specific grade level and occupational series, the classification
specialist will identify four or more major functions or responsibilities
of the position. Then, through job analysis, the selecting official and
the servicing personnel specialist will identify relevant knowledge, skills,
and abilities required to accomplish the tasks or carry out the responsibil-
ities of the position. The necessary knowledges, skills and abilities
are then used to develop ranking factors and the rating schedule.
e. Identifyinq Selective Placement and Ranking Factors. There are two types
of factors: (1) those which are absolutely mandatory for eligibility
(Selective placement factors) and (2) those which contribute to successful
performance in the position (ranking factors).
(1) Selective Placement Factors. Selective placement factors comprise the
knowledges, skills, and abilities that are absolutely essential to satis-
factorily perform in a particular position. Examples of appropriate
selective factors are: ability to speak, read, or write a language
other than English; and knowledge or ability in a functional area (for
example, knowledge of reactor safety principles for a nuclear engineering
position concerned specifically with the construction of reactors.) (See
DOE
(a)
(b)
(c)
3335.1 for further information.)
Selective factors must be: job related; reflected in the position
description, job analysts, or position classification standards;
and knowledge, skills, or abilities that a candidate would not
obtain through customary on-the-job training or orientation.
Multiple selective factors should not constitute an unreasonably
high standard for the position , and such factors will not be
honored when it is unreasonable to expect candidates to possess
them all.
Once approved for a position, the same selective factors are used
each time that position is filled in the future. If changes in
the position or in job emphasis occur which dictate revision of
the factors, the position description should be revised, if
appropriate, or the changes in emphasis documented and made a
part of the merit promotion file.
HQ 3335.1
3-13-87
7
(d)
(e)
Selective placement factors must not include requirements that
would eliminate otherwise qualified candidates who need only a
brief period (approximately 90 days) of orientation and training
in order to perform the job successfully.
The need for and wording of any selective placement factor must
be approved by the servicing personnel specialist, after consulta-
tion with the classification specialist, if necessary.
(2) Rankinq Factors. A ranking factor is a knowledge, skill, or ability
which will contribute to successful performance in the position to be
filled. Acceptable ranking factors should allow the ranking panel to
evaluate the overall levels of knowledge, skills, and abilities
possessed by competing candidates, and to identify those candidates who
are best qualified to perform the duties of the position. At least three
ranking factors, but usually not more than six, should be developed for
each position and shall be characterized as follows:
(a)
(b)
(c)
(d)
Job Related. Traits such as "flexible" should be expressed in
terms of specific work behavior, such as "ability to provide guid-
ance for coordinating several projects" simultaneously."
Numerically Weighted. Factors may all have equal weight or specific
factors may be given double or triple weight to reflect their rela-
tive importance to other ranking factors.
Expressed as Specific Knowledge, Skills, and Abilities. These
shall be evaluated by a review of each candidate's experiences
education, training, awards, outside activities, and supervisory
appraisals of performance and potential.
Measurable at More Than One Level. It should be possible to make
distinctions between levels of expertise that the individual will
bring to the job.
f. Preparation of Vacancy Announcements. Vacancy announcements are prepared
by the personnel specialist using the position description, the results of
the job analysis, and appropriate OPM regulations. Announcements must
contain all information pertinent to the requirements of staffing of the
position, including promotion potential, general and specialized experience
requirements, selective placement factors (if any), duties of the job, the
area of consideration, ranking factors, evaluation procedures, supervisory
probation period (if any), an equal opportunity statement, and, if
8
HQ 3335.1
3-13-87
appropriate, a statement that concurrent consideration will be given to
applicants certified by OPM, and to applicants eligible for noncompetitive
appointment under special authorities,
g. Distribution and Posting of Vacancy Announcements.
(1) Vacancy announcements will be distributed to all Headquarters
Elements throughout the area of consideration and posted On bulletin
boards and in other designated prominent locations for the duration
of the open period.
(2) Vacancy announcements will also be distributed to selected other
Federal agencies, to minority and women's organizations, to educational
institutions, to veterans' groups and to other organizations considered
appropriate by the Office of Equal Opportunity.
(3) Vacancies announced nationwide will be open for a minimum of 21 calendar
days. Those announced within the local Commuting area will be open
for a minimum of 14 calendar days. Other (e.g., Headquarters, first-
tier organizations) will be open for a minimum of 8 calendar days.
(4) For certain positions and occupational specialties with frequent
turnover, an open announcement may be posted for an indefinite period,
usually not to exceed 6 months (unless an exception is approved by the
Director of Headquarter Personnel Operations, MA-205). Extensions
of open announcements must be approved by MA-205.
(a)
(b)
(c)
An Initial ranking period will be specified in the open
announcement (e.g., 3 weeks after the opening date). This will
establish the recurring time interval for subsequent groups of
applications to be rated, ranked, and referred to the selecting
official for additional vacancies. The time interval may be
shortened when it is urgent to fill a position after the last
group of applications has been referred for selection.
All applications, including those previously referred, considered,
and returned by the selecting official will be retained and
integrated with the additional applications received in subsequent
ranking periods.
The above ranking, referral, and certification of the best
qualified candidates in each ranking period interval will continue
during the entire open announcement period, or as necessary
to meet the needs of the hiring organization.
HQ 3335.1
3-13-87
9
h. Area of Consideration. This is the geographical or organizational
description of the extent to which Headquarters will make an initial search
for eligible candidates to fill a position covered by this plan. It is
determined by the personnel specialist after consultation with the
selecting official. In their deliberations, the personnel specialist and
the selecting official will consider information on occupations in which
minorities and women are underrepresented, as well as other affirmative
action initiativese
(1) Minimum Areas of Consideration for positions which are to be filled
through competitive procedures are as shown below. For positions in
the bargaining unit
accordance with the
.-the initial area of consideration will be in
provisions of the current agreement with the union.
Grade
GS-7 and below
GS-7 and below
GS-8 through 12
GS-13 and above
GS/GM-13 and above
Position Category Minimum Area
Bargaining unit (BU) Organization with
vacancy
Non-BU All Headquarters
organizations
Both BU & Non-BU All Headquarters
BU organizations
All Headquarters
organizations
Non-BU DOE Nationwide
(2) Extendinq the Area of Consideration.
(a) The minimum area of consideration may be extended when:
1 The selecting official and the personnel specialist
agree that an extended area is desirable in seeking
candidates to fill a particular vacancy because of
past experience or the nature of the position; or
2 The area has failed in the past to produce at least
three qualified candidates and no candidate was selected
from among those applicants who were referred for
consideration.
(b) An extended area of consideration may be one of the following
areas or a combination of these areas:
1 Headquarters;
2 Commuting area (status candidates only);
3 DOE nationwide; or
4 Nationwide (status candidates only).
10 HQ 3335.1
3-13-87
(3)
Reducing the Area of Consideration. Exceptions to the minimum area of
consideration may be requested on a case-by-case basis from the Director
of Personnel (MA-20). Documentation must show that an adequate number
of qualified candidates exists in the reduced area, and that adherence
to the prescribed minimum is administratively impractical. Continuing
exceptions may be granted for a period not to exceed 1 year, providing
the above requirements are met. The following examples represent
possible needs for a limited area of consideration:
(a) Positions are upgraded in an organizational unit due to a higher
level directed reorganization, and all the positions in the unit
are encumbered.
(b) A higher graded position is established as a result of a
realignment of duties within an organizational unit, and factors
such as ceiling controls or hiring freezes prevent the employing
office from adding to its staff.
(c) Details to higher graded positions or temporary promotions are
made under circumstances where consideration of employees
outside the limited area is impractical.
5. RECEIPT AND PROCESSING OF APPLICATIONS.
a. Method of Application.
(1) Applicants must complete and submit an application and al 1 other forms
required by the announcement to be considered for a vacancy. A separate
application must be submitted for each vacancy.
(2) Each application package must include: a current, signed and dated
SF-171, "Application for Federal Employment"; a copy of the current
or most recent appraisal of the applicant's performance in his or
her current or past job; completed appraisal(s) of potential performance
in the vacant position (the form is printed on the vacancy announcement);
and any attachments to the SF-171 and/or documents related to the position
which the applicant wishes to submit.
(3) Only the material submitted by an applicant will be considered in
the qualification and evaluation process. The SF-171 should show the
vacancy announcement number and should include descriptions of the
applicant's experience, training, awards and other activities in
sufficient detail to permit evaluation of the applicant's knowledes,
skills, and abilities in relation to the ranking factors for the position.
(4) Applications must be received by the personnel office designated on
or before the closing date of the vacancy announcement. Late appli-
cations will not be considered.
HQ 3335.1
3-13-87
11
b. Acceptance of Applications.
(1) Applications will be accepted from each candidate within the area of
consideration who meets all legal and regulatory requirements.
(2) Unless stated otherwise in the vacancy announcement, applications
from candidates outside the area of consideration will be accepted.
(3)
(4)
(5)
but will be held until all eligible candidates from within the-area
of consideration have beem rated and ranked. Eligible candidates
from outside the area of consideration will be considered only if the
selecting official and the personnel servicing representative
determine that eligible candidates from within the area are either
too few or are of less than desirable quality. In such cases, the
vacancy must be reannounced with a wider area of consideration to
afford others outside the originally announced area a chance to apply.
Unless stated otherwise in the vacancy announcement, applications
from candidates who do not have civil service status will be accepted,
but will be retained and considerd after all eligible status candidates
have been referred and considered. (Nonstatus applicants are those
with no prior Federal Government civilian career employment, or those
with insufficient prior career service to have been conferred either
limited or indefinite reinstatement rights.) If the selecting official
and the servicing personnel specialist agree that status candidates are
either too few or of questionable quality to make a selection, either
the vacancy will be reannounced with a wider area of consideration,
or a request will be made to the Office of Personnel Management (OPM)
for a certificate of eligible nonstatus candidates, or both. All
applications received from nonstatus candidates will be forwarded
to OPM with the request for a certificate of eligibles.
Nonstatus handicapped employees serving under Schedule A appoint-
ments are not eligible for consideration under the competitive
merit promotion process; however, those who apply and are otherwise
qualified may be referred separately to the selecting official.
If selected, the employee may continue to serve on an excepted
appointment until converted to a career or career-conditional
appointment.
Department of Energy employees within the area of consideration who
are absent for legitimate reasons (e.g., on detail, on leave, at
training courses, in the military service, or serving in public
International organizations or or intergovernmental personnel act
assignments) must receive appropriate consideration for promotion.
Such employees who wish to be considered for vacant positions which
may be filled during their absence may submit a memorandum to the
Director of Headquarters Personnel Operations with a copy of his or
her SF-171 stating the type of position and grade level for which
automatic consideration is desired. As an alternative, absent
employees also may have other employees or supervisors submit
applications for them for specific vacancies.
12
HQ 3335.1
3-13-87
c. Other Sources of Candidates.
(1)
(2)
AS explained above, applications from outside the announced area of
consideration, or from nonstatus applicants, will be considered
only after determining the quantity and quality of eligible status
candidates from within the announced area of consideration. At any
time, the selecting official my request that the area of consideration
be expanded and/or that other recruiting methods be used to attract
candidates from other sources. For example, if it has been
determined that minorities and women are underrepresented in similar
positions in the organization, candidates from outside the Department
should be sought.
The qualifications of nonstatus applicants are reviewed by the servicing
personnel specialist, but their potential for the position is not
formally rated and ranked in competition with merit promotion
candidates or others. The applications may be referred Separately
to the selecting official, but before these candidates can be appointed,
they must be certified by OPM, or be eligible for appointment
under an appropriate special authority such as those available for
handicapped individuals, disabled veterans, or Vietnam veterans.
(3) In the case of unique or unusual situations or positions, the
Director of Headquarters Personnel Operations may request approval
from the Director of Personnel for the use of automatic consideration
of all eligible and qualified employees within the minimum area of
consideration in lieu of advertising the vacancy. This provision is
appropriate in cases such as the following:
(a) The position is so unique (see Federal Personnel Manual chapter
316, subchapter 5, for guidance) that the qualified persons to
be considered are easily identifiable, and there are so few
candidates that it is in the interest of good personnel
administration to consider all who are eligible rather than to
advertise.
(b) The need to fill the position is so critical that time required
for advertisement would unduly delay the selection process and
would adversely affect the mission of the organization. In this
situation, all eligible candidates within the minimum area of
consideration must be readily identifiable and, after rating
and ranking, the best qualified candidates submitted to the
selecting official for further consideration.
HQ 3335.1
3-13-87
13
d. Determining Eligibility for Consideration. To be considered, an applicant
must meet certain basic qualif icatlon requirements, including time in grade,
time after an earlier competitive appointment, and other applicable legal
and regulatory requirements. The servicing personnel Specialist will
carefully examine each application to determine whether the applicant meets
such basic requirements as of the closing date of the vacancy announcement,
or will do so within 30 calendar days of the closing date. If the
qualification requirements are modified after the vacancy is announced,
the vacancy must-be reannounced and all candidates evaluated against the
revised requirements. Those applicants who do not meet the basic require-
ment will be designated as ineligible and the reason will be noted on the
applicant's rating form. Those applicants who meet all basic requirements
will be designated as eligible and further measured against the experience
requirements below:
(1) Minimum Qualification Standards. The servicing personnel specialist
will use Handbooks X-118, X-118C, or other applicable OPM examinations
or standards to determine whether an eligible applicant is generally .
qualified to serve in the occupational series at the grade level
announced for the vacant position.
(2) Selective Placement Factors. In addition, any special job-related
qualification requirements that are absolutely essential to qualify
for the particular vacancy must also be met before the candidate may
be referred for further consideration. (See paragraph 5e(l) above.)
e. Evaluation of Eligible Qualified Candidates. Each candidate will be
evaluated in terms of his or her relative potential for success in the
vacant position.
(1) Evaluation Criteria. Each candidate's experience and potential
must be compared with specific ranking factors derived from the
knowledge, skills, and abilities developed in the job analysis
conducted earlier and announced in the vacancy announcement. (See
paragraph 5e(2) above.) The results of the evaluation of each
candidate are consolidated into a total score or rating using the
rating schedule for the position.
(2) Rating Schedule Indicators. Information on the kind and quality of
the candidate's experience, training, education, and awards or honors,
is obtained from a review of the SF-171 and other material submitted
by each candidate. The evaluation of each Indicator is made in terms
of the degree to which the employee demonstrates experience in or
potential for each ranking factor using the rating schedule. The
length of total service or the amount of related experience may not be
used for rating except as a tie-breaking device when large numbers of
candidates in the higher qualified group cannot be reduced in number
by comparing scores on more meaningful job-related factors or indicators.
14
(a)
(b)
HQ 3335.1
3-13-87
(3) Evaluation of Performance and Potential. Evaluations prepared by
current or past supervisor must be submitted for review and will be
considered in the ranking process. Applications submitted without the
required evaluations or appraisals of potential will be rejected.
(a) Current or last performance appraisals will be Considered to
the extent that the elements rated are pertinent to the elements
or functions of the vacant position.
1 DOE applicants: a copy of the current performance appraisal.
2 Non-DOE applicants: a copy of the current appraisal, or
a statement concerning performance during most recent period
of employnmt.
(b) Supervisory appraisals of potential will cover expected per-
formance levels for specific factors of the position to be
filled. The form for this appraisal is printed on the reverse
side of the vacancy announcement and must be submitted by both
DOE and non-DOE applicants.
f. Rating and Ranking of Eligible Candidates.
(1) Ranking Panels.
Ranking panels must be convened to rate and rank eligible appli-
cants competing for promotion to all positions above grade level
GS-8, if there are more than five applicants deemed qualified
for the position. When there are fewer than five qualified can-
didates, or the position is for a grade level at GS-8 or below,
the servicing personnel specialist may forego convening a panel;
however, the cadidates must be ranked by the Specialist, or
jointly by the specialist and a subject-matter expert requested
by the specialist to assist in the ranking process.
A ranking panel normally will be composed of three members
designated by the servicing personnel specialist with the
assistance of the organizational administrative officer, if
necessary.
1 Each panel member must be a Federal employee serving at or
above the grade level of the vacant position and must have a
good knowledge of the skills and abilities needed to perform
the job in a satisfactory manner.
2 A person who is in the supervisory chain of the vacant
position, or is an applicant for the position, or is
related to any applicant may not serve as a panel member.
HQ 3335.1
3-13-87
15
3 A panel member who declares that he or she cannot be objective
in evaluating candidates because of a personal or professional
relationship with one or more of the candidates may request
to be excused from serving on the panel.
4 The selecting official may be called upon to define and ex-
plain the ranking factors, if deemed necessary-by the panel
members and/or the servicing pesonnel specialist in order to
ensure complete understanding of the requirements and
responsibilities of the vacant position by the panel members.
5 A personnel specialist shall convene each ranking panel and
serve as advisor to the panel to answer questions, assure
that all regulations are followed, and lead discussions to
resolve, if possible, wide deviations in the ranking of a
candidate by panel members.
(2) Panel Ranking Procedures.
(a) Panel members will review the position description for the vacant
position and all information in each qualified candidate's file.
(b)
The panel will evaluate each candidates separately by analyzing
his or her experience, education, training, and other indicators
against the ranking factors established for the position, using
the rating schedule established for the position or the generic
rating schedule. This process should enable the panel members l
to score the relative aptitudes of all candidates for performing
the duties of the position. Ranking factors identified by the
staffing specialist and selecting official as most essential to
successful performance of the duties of the position may be
given more weight than other factors; however, identical weights
must be used for the same ranking factor.
(c) After each panel member has rated each candidate for each factor
and totaled the results, the panel members will compare the scores
given to the candidates, noting the extent of deviation in ratings
of a candidate on the same factor. Discussions should be held
to attempt to reconcile any wide differences in ratings assigned
for the same factor and an attempt should be made to arrive at a
consensus of the panel members regarding the scores given.
(d) The candidates are listed in order of their total scores and a
cut-off score or natural break used to distinguish the highly
qualified candidates from the balance of the rated candidates.
16
7. CANDIDATE REFERRAL AND SELECTION.
HQ 333501
3-13-87
a. Selection Certificate. Generally, the five best qualified candidates,
i.e., those who received the highest scores among all competing candi-
dates, will be listed alphabetically on a selection certificate and
referred to the selecting official. If some of the candidates referred
were among those determined to be highly qualified (see paragraph
6.f(2)(d)), then candidates should be grouped by "highly qualified" and
"qualified" and alphabetized within their respective groups. When there
is no meaningful difference among scores, more than 5, but no more than
10 names may be referred. When there is a wide range in final scores,
only those candidates with the higher scores need be referred, even if
fewer than five. If there are fewer than five eligible and qualified
candidates to be rated and ranked, the total group may be referred to the
selecting official. Certificates with only one candidate are peemitted;
however, the selecting official should be advised that the vacancy can be
readvertised or other sources used to identify additional applicants if
the selecting official feels limited by having only a single individual
to consider.
b. Selection Certificates for Non-Competing Applicants. A separate list of
qualified applicants who could be noncompetitively reassigned, transferred
or reinstated, who have indicated a willingness to accept a lower grade
or who can be appointed under special authorities, will be referred to the
selecting official. The status of each person will be identified on the
list. These applicants are not rated or ranked either within their own
group, with other groups, or with the group competing for promotion.
c. Time Limits on Certificates. Selection certificates of both types auto-
matically expire 30 calendar days after issuance; however, the selecting
official may request an extension for an additional 30 days from the
servicing personnel specialist. In unusual cases, a second 30-day
extension for a maximum time limit of 90 days from the initial date of
issuance may be approved by the servicing personnel office branch chief.
d. Action by the Selecting Official. The selecting official will:
(1)
(2)
Decide which candidates, if any, to interview, in person or by tele-
phone. Although it is generally recommended that interviews be
conducted, especially when there are several highly qualified candi-
dates, interviews are not mandatory.
Check references to assist in making a selection, by contacting
current and former supervisors and, where appropriate, other persons
named by the applicant on his or her SF-171. The servicing personnel
specialist will verify or confirm Federal employment status, appoint-
ment authority, salary, and other regulatory items related to
previous employment.
HQ 3335.1 17
3-13-87
(3)
Select one of the applicants, or return the certificate to the
servicing personnel representative without any selection having been
made. When returned without action, the selecting official must docu-
ment the reasons for not having made a selection and, if appropriate,
request the referral of additional applicants by readvertising the
vacancy or recruiting from other sources. Applicants eligible for
noncompetitive selection and those listed on OPM certificates may be"
considered before, with or after candidates competing for promotion
and referred on selection certificates.
. .
e.
f.
9"
Action After a Selection Is Made. The servicing pesonnel specialist will
extend an official offer of employment to the selectee and arrange for the
individual's entry on duty if the-offer is accepted.
Release of Selected Candidate. Normally, a DOE employee selected for
promotion will be released within 2 to 4 weeks after the date of selection
(to coincide with the date a pay period begins), in order to effect the
promotion as soon as possible. For those cases which do not involve a
promotion for the selectee, the effective date of the appointment or
position change will be arranged as mutually agreed upon by the two
supervisors concerned.
Further Referrals of Previously Certified Candidates. When a new vacancy
occurs, additional certificates may be issued from a group of previously
considered candidates who applied and were ranked for an earlier similar
vacancy announcement, provided:
(1) The second certificate can be issued within 90 days of the closing
date of the earlier vacancy announcement;
(2) The previous vacancy and the new vacancy have the same title,
occupational series, grade, basic qualifications, and ranking factors;
(3) The new vacant position is in the same first-tier organization; and
(4) There is a sufficient number of qualified applicants still available
to give the selecting official an adequate choice for filling the
new vacancy.
8. EMPLOYEE RELATIONS.
a. Distribution. Distribution of this plan will be made to each Headquarters
first-tier organization and should be made available to any employee upon
request. Questions about the plan or its application should be made to
the administrative officer or to the servicing personnel specialist for
each organization.
b. Other Information Concerning Merit Promotion. Information about position
vacancies, job requirements, qualification standards, ranking factors,
promotion potential, and application procedures for any position to be
18
HQ 3335.1
3-13-87
filled under this plan will be provided on the vacancy announcement for
the position and will be made available upon request to the servicing
personnel operations branch.
c. Status of Applications. After the selection to fill a position is final,
all other applicants for that position will be informal of the result of the
competition or other method used to fill the vacancy. Each applicant will
receive a copy of HQ F 3335.1, "Request for Merit Promotion Consideration."
Applicants are entitled to and may request the following information from the
servicing personnel representative:
(1) Whether they were determined to be eligible for the specific vacancy;
(2) Whether they were among the group referred to the selecting official;
(3) The name of the selectee;
(4) The appraisals of their own potential and current performance that
were used in the ranking process; and
(5) The areas in which improving their knowledges, skills, and abilities
would increase their chances for promotion.
d. Career Counseling. Employees are encouraged to discuss their immediate
and long range career goals with supervisors, specialists in the servicing
personnel operations branch, and career counselors in order to prepare
themselves better for promotional opportunities. All of these individuals
should be able to provide assistance and advice concerning career opportu-
nities, education and experience required to advance in a particular career
field, and performance improvements which could enhance potential for
responsibilities at a higher grade level.
e. Employee Complaints.
(1) Nonselection for promotion from a group of properly ranked and
referred candidates is not grievable and is excluded from the grievance
procedures.
(2) Other merit promotion-related complaints must be resolved in accord-
ance with DOE 3771.1 or the appropriate collective bargaining
agreement.
(3) If an employee believes that unlawful discrimination was practiced
in the administration of the Merit Promotion Plan, the employee
may file a discrimination complaint in accordance with the provisions
of DOE 1600.5.
HQ 3335.1
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19
9. MERIT PROMOTION CASE DOCUMENTATION.
a. Separate files will be maintained to document the results of every staff-
ing action initiated under the provisions of this-plan, whether the vacant
position involved was ultimately filled by promotion or by another method.
The purpose of the file iS to permit reconstruction of all aspects of the
staffing action, especially the rating and ranking of candidates by panel
members, if necessary because of allegations of improper processing or a
discrimination complaint.
b. Merit promotion case files are retained for a period of 2 years unless
litigation requires more stringent controls, or the Director of Equal
Opportunity requests that a case file be retained for a longer period.
c. Each
or a
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(l0)
(11)
(12)
merit promotion case file must include the original, if appropriate,
copy of the following documents:
Position description and DOE F 3511.1;
Repromotion priority consideration referrals and results, including
the names of eligibles and reasons for nonelection;
Vacancy announcement, and any reissuances of the announcement;
Job analysis (KSA) worksheets, rating schedule and other documen-
tation showing the development of the ranking factors used;
The SF-171 of each applicant, with any attachments submitted by the
applicant;
The current performance evaluation form for each applicant;
The supervisory appraisal of potential for each applicant;
Eligibility determination worksheet for each applicant;
Candidate evaluation worksheets, the summary rating and ranking work-
sheet, the rating schedule and any other documentation related to the
process used by each panelist in rating each candidate;
A register or list showing the names of all individuals who applied
regardless of any subsequent determination as to eligibility,
qualifications, or acceptance of the applications;
A completed HQ F 3335.1, "Request for Merit Promotion Consideration,
for each applicant; and
selection Certificate(s) referred to the selecting official, showing
action taken, signature and date of selection or decision.
20
HQ 3335.1
3-13-87
10.
ANNUAL REVIEW OF MERIT PROMOTION PLAN. The operation and administration of
this Merit Promotion Plan will be reviewed annually as a special topic of the
Headquarters Personnel Operations internal personnel management evaluation
(PME) program.
a. The annual PME review will be conducted to assure that:
(1) The plan is as effective as possible and is useful to management and
fair to employees and applicants;
(2) Promotion actions are processed properly and in a timely manner;
(3) Merit promotion case files are properly maintained;
(4) Any grievances or other concerns of employees or applicants are
resolved promptly and properly; and
(5) Management's use of promotion actions is effective in encouraging
competent employees to make the best possible use of their skills.
b. A report of the findings of the evaluation, with appropriate recommenda-
tions for improvements to procedures and/or forms, will be made to the
Director of Headquarters Personnel Operations.
HQ 3335.1
3-13-87
Attachment 1
Page 1
SPECIAL PROVISIONS APPLICABLE TO
PROCESSING WAGE GRADE POSITIONS ONLY
1. Evaluation of Qualified/Eligible Candidates. The eligibility determination
for wage grade positions is made by designated subject matter experts simulta-
neously with the ranking procedure.
2. Selecting Position Elements. In most instances, the sets of approved job ele-
ments, identified in Office of Personnel Management Handbook X-118C, can be
made suitable for local needs without change. If a particular knowledge, skill,
or ability is identified as necessary for success on a particular job, it can
usually be made part of the point value description in the crediting plan (see
paragraph 3, below) without creating an additional job element. For each set
of elements, there is a "screen-out element" which rates the overall ability
to do that job.
3. Creaditing Plan.
A crediting plan based on job analysis must be used to ade-
quately estabish a method of measuring each job definition for the different
point designations for each element. Awards, education, and supervisory
appraisal information are described under each point value as deemed appropriate.
The plan must be prepared in advance of the rating process. A copy of the
plan is maintained with the evaluation documents.
4. Rating and Ranking Process.
a. Shortcuts in Rating. When there are very few candidates or fewer candi-
dates than jobs, the rating may be based on passing or failing the screen-.
out element (although in borderline cases it may be necessary to examine
some candidates on all job elements to confirm such a rating). When there
is a large number of candidates, the screen-out element may be rated first
to eliminate those who are obviously ineligible. If a candidate is rated
less than two points on the sreen-out element, he or she will be determined
ineligible and no further rating is necessary. For those candidates WhO
appear to be eligible, final ratings are assigned according to the normal
rating procedures.
b. Normal Rating Procedures. When there are more candidates than jobs and
those who are obvious ineligibles have been screened out, raters will look
at the overall background of each candidate in relation to each element
for the job and then rate the candidates. The screen-out element is a
reflection of all elements to be considered and is rated last to ensure
that all related elements are considered.
(1) If the employee has demonstrated minimal ability in a particular
job element, the first section of the rating sheet is used to show
how good the candidate is in that element; that is, whether the
candidate's performance is superior, satisfactory, or just barely accept-
able for the needs of the job.
Attachment 1
Page 2
HQ 3335.1
3-13-87
(2) If the candidate has nut demonstrated minimal ability in the element
(i.e., the candidate has been unsatisfactory or has not had the
chance to demonstrate the ability), the second-section of the rating
sheet Is used to give an estimate of the candidate's potential for
the new job.
(3) A rating sheet for each candidate must be completed by each panel
member. The sheet is completed by comparing the candidate's overall
background to the crediting plan. The point values of the crediting
plan compare with the rating sheet as follows:
4 points = possesses all necessary knowledges, skills and
abilities to a superior degree
3 points = possesses all necessary knowledges, skills and
abilities
2 points = possesses enough knowledge, skills, and abilities
to perform acceptably
1 points = possesses most knowledge, skills, and abilities
but lacks enough for acceptable performance
O points = does not possess the knowledges, skills and abilities
needed to perform acceptably
c. Assigning the Final Rating.
(1) The point scores will be totaled by each panel member or ranking
official. Where a panel or more than one ranking official is used,
the element point scores are totaled and the element totals added to
determine a final point score.
(2) Next, the panel determines which of the qualified candidates are
highly qualified. Candidates with ratings indicating potentially
superior or demonstrated satisfactory performance will be considered
highly qualified.
(3) The final step is to determine those candidates who will appear on the
promotion certificate by ranking all qualified candidates based on
their score from high to low on a separate sheet of paper. Usually
the five best qualified individuals are listed on the promotion
certificate. Up to 10 candidates may be certified if meaningful
distinctions cannot be made to achieve a smaller number. If tie
scores force the identification of more than 10 candidates, the
total number will be reduced to 10 on the basis of service Computation
date, with those candidates with the least service being eliminated
first.
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