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&EPA
Classification No.:
Approval Date:
3115
3/8/91
Addressee
MERIT PROMOTION MANUAL
1. EXPLANATION. This Transmittal provides a new version of the
Merit Promotion Manual.
2. EXPLANATION. This Manual establishes the Agency's policy for
promoting employees on a fair and equitable manner and for assuring
that competitive selections in the Agency are based solely on merit
and job-related criteria.
3. SUPERSESSION. 1984 Edition of the Merit Promotion Manual.
4. FILING INSTRUCTIONS. Post receipt of this Transmittal on the
Checklist in front of the Manual.
Robert A. English./ Chief
Agency Management Analysis Branch
Originator
EPA Form 1315-12 (5-86)
Office of Human Resources Management, Office of
Administration and Resources Management
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CHECKLIST OF EPA TRANSM1TTALS
TITLE.
Meirife g8»®feiQin Program Manual
When kept current, this checklist permits the user to see at a glance which transmittals have been filed.
SERIES
NUMBER
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DATE
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INI-
TIAL
SER1ES
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DATE
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SERIES
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INI-
TIAL.
EPA Form 1315-4 (Rev. 7-73)
PREVIOUS EDITIONS ARE OBSOLETE.
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PREFACE
One of our highest priorities is to make EPA the "Employer of Choice" in
the minds of prospective employees. As we move toward the year 2000, we face
many new challenges in attracting and retaining a highly skilled, motivated and
effective workforce. Consequently, we must ensure that EPA remains at the
forefront of new and emerging recruitment trends and techniques to effectively
meet these challenges. To achieve this result, it is most critical that recruitment
policies be as flexible, user-friendly, equitable and customer-oriented as possible.
The Merit Promotion Program is one of our primary sources for
recruiting candidates to meet the Agency's needs. In conjunction with our
emphasis on Total Quality Management, this manual shifts the emphasis in our
merit promotion process from centralization to decentralization and the
empowerment of its users. As a result, servicing Human Resources Offices will
have more discretion to implement procedures which will meet the diverse and
changing needs at the local level.
All of our customers—managers, supervisors, employees, and applicants,
in addition to human resources, equal employment opportunity and union
officials—have an important role to play in ensuring that our merit promotion
process works efficiently and effectively. Let us work together to ensure that
EPA becomes the "Employer of Choice" as we meet the many challenges which
lie ahead.
Kenneth F. Dawsey
Director, Office of Human
Resources Management
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EPA MERIT PROMOTION PROGRAM 3115 1991 Ed.
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TABLE OF CONTENTS PAGE
INTRODUCTION. 1
COVERAGE. 1
IMPLEMENTATION. . 2
WHEN COMPETITION IS REQUIRED 2
WHEN COMPETITION IS NOT REQUIRED . 3
AREAS OF PUBLICITY. . 5
METHODS OF LOCATING CANDIDATES 6
PRIORITY CONSIDERATION. 6
APPLICATION PROCEDURES. 8
ELIGIBILITY REQUIREMENTS 8
DISTINGUISHING BETWEEN CANDIDATES. 9
EVALUATION OF CANDIDATES. 9
RANKING AND REFERRAL OF CANDIDATES. 10
INTERVIEWS AND SELECTIONS. 11
RELEASE AND NOTIFICATION OF APPLICANTS. 11
DISCLOSURE OF INFORMATION. 11
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EMPLOYEE COMPLAINTS. 12
NEPOTISM. 12
MAINTAINING RECORDS. .'. 12
PROGRAM EVALUATION. . 12
APPENDIX 1 .Evaluating and Selecting
Managerial/Supervisory Candidates
APPENDIX 2 Responsibilities
APPENDIX 3 ..Definitions
APPENDIX 4. .....Guidance for the Selection
of High Quality Managers
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1. INTRODUCTION
This manual establishes the Agency's policy for ensuring a systematic
means of promoting employees on a fair and equitable basis. The objective of
the program is to ensure that all competitive selections in the Agency are based
solely on merit and job-related criteria, and without regard to such factors as
candidates' race, color, sex, religious, political or labor organization affiliation,
marital status, national origin, age or handicapping condition. It is EPA's policy
to select the best qualified candidates according to merit and to ensure that all
candidates are provided fair consideration for promotional opportunities.
It is the inherent responsibility of managers to seek the best qualified
individuals available for each position. To this end, merit promotion is but one
means of filling a vacancy. In the exercise of this responsibility and through an
assessment of the needs of the organization, managers may elect to fill positions
by recruitment alternatives other than merit promotion. Recruitment
alternatives include obtaining eligibles by reassignment, change to lower grade,
transfers from other agencies, reinstatement, Office of Personnel Management
(OPM) registers, EPA delegated examining registers, direct-hire eligibles,
appointment of persons with disabilities, veterans readjustment appointments
(including disabled veterans who have compensable service connected disability
of 30% or more), employees granted priority consideration for placement and
reemployment priority list registrants.
When fully-qualified candidates for a position can be found via other
means of recruitment, these methods may be properly utilized to the exclusion
of the merit promotion process. In all cases, selections should be predicated
upon management's needs, as well as the productivity and total objectives of the
organization, including affirmative action and equal opportunity goals.
2. COVERAGE. This Manual applies to all EPA organizations and covers all
competitive service positions at grades GS-1 through GS/GM-15. Non-
bargaining unit positions in the competitive service are immediately covered by
these instructions. Bargaining unit positions may be covered once a negotiated
agreement has been reached with appropriate union officials. Until such time
that a negotiated agreement is reached, bargaining unit employees will be
covered under their current negotiated agreements. Excepted service positions
may be covered at the discretion of the servicing Human Resources Office
(HRO).
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3. IMPLEMENTATION
a. Each servicing Human Resources Office (HRO) will develop a
supplemental promotion plan which complies with this manual and FPM
Chapter 335. Supplemental plans will provide local guidelines and
implementing procedures. Specifically, supplemental plans should include
guidelines on rating and ranking candidates; when and how methods of locating
candidates will be used; and any other procedures the HRO determines to be
necessary. Union negotiations for supplemental plans will be carried out at the
local level, where applicable.
b. A copy of each supplemental plan must be sent to the Director,
Policy Research and Development Division, OHRM for review prior to
implementation.
4. WHEN COMPETITION IS REQUIRED, Competition is required for the
following actions:
a. Promotion or transfer to a higher grade (unless excluded in section 5
below);
b. Temporary promotion for more than 120 days, except as provided in
section 5.d. below. Any prior details to higher graded positions or temporary
promotions during the preceding 12 months (whether competitive or non-
competitive) must be included when calculating the number of days;
c. Term promotion;
d. Selection for detail for more than 120 days to a higher graded
position or to a position with known promotion potential;
e. Selection for training which is part of an authorized training
agreement, part of a promotion program, or required before an employee may
be considered for a promotion;
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f. Reassignment, demotion, reinstatement or transfer to a position with
more promotion potential than a position the employee previously held in the
competitive service (except when a reassignment or demotion is made to place
an employee affected by RDF or in lieu of disability retirement); and,
g. Reinstatement to a higher grade than any grade held in a permanent
position in the competitive service.
5. WHEN COMPETITION IS NOT REQUIRED. Competition is not required for:
a. CAREER LADDER PROMOTIONS. Career ladder promotions are permitted
when an employee is appointed or assigned to any grade level below the
established full performance level of the position (i.e., the position has a
documented career ladder and promotion potential). These promotions may be
made noncompetitively for any employee who entered the career ladder by:
(1) competitive promotion procedures;
(2) competitive appointment from a certificate of eligibles (through
OPM or delegated examining authority) or under direct hire authority; or
(3) non-competitive appointment under a special authority, e.g.,
conversion of a cooperative education or Federal Junior Fellowship Program
student, appointment of former ACTION Volunteers or Peace Corps personnel,
conversion of a VRA appointee and Presidential Management Intern.
b. PROMOTION BASED ON RECLASSIFICATION WHEN:
(1) no significant change occurs in the duties or responsibilities
and the position is upgraded due to issuance of a new classification standard,
an updated Agencywide classification policy or the correction of a classification
error, or
(2) the position is upgraded due to accretion of additional duties
and responsibilities and all of the following provisions are met:
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(a) the employee continues to perform the same basic
functions of the former position, the duties of the former position are absorbed
into the new position, and the former one is cancelled;
(b) the new position has no known promotion potential; and
(c) the addition of the duties and responsibilities does not
adversely affect another employee.
c. PERMANENT PROMOTION to a position held under a temporary or term
promotion or detail when:
(1) the assignment was originally made under competitive
procedures; and
(2) it was known to all competitors at the time that the assignment
may lead to a permanent promotion.
d. TEMPORARY PROMOTION of an employee for less than 120 days; or for
more than 120 days to a grade level previously held on a permanent basis,
unless the employee was demoted for reasons related to performance or
conduct.
e. PLACEMENT AS A RESULT OF PRIOR CONSIDERATION when the referral is a
remedy for candidates not given proper consideration in a competitive
promotion action.
f. REDUCTION IN FORCE PLACEMENTS which result in an employee
receiving a position with higher promotion potential.
g. REPROMOTION OR TRANSFER TO A GRADE PREVIOUSLY HELD on a
permanent basis in the competitive service, except when the employee was
demoted for reasons related to performance or conduct.
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h. REASSIGNMENT, PROMOTION. DEMOTION. TRANSFER OR REINSTATEMENT TO
A POSITION HAVING NO HIGHER PROMOTION POTENTIAL than that held or previously
held on a permanent basis in the competitive service.
i. PROMOTION RESULTING FROM SUCCESSFUL COMPLETION OF A TRAINING
program for which the employee was competitively selected.
j. SELECTION FROM THE REEMPLOYMENT PRIORITY LIST at the same or lower
grade level than the position from which separated.
k. REINSTATEMENT TO ANY POSITION of a career or career-conditional
employee who served under a career SES appointment.
6. AREAS OF PUBLICITY (AOP)
a. An area of publicity (AOP) is the geographic and/or organizational
area in which the program or activity directs its search for candidates and from
which a reasonable number of high quality candidates can be found to make a
selection.
b. Since the AOP targets the group of candidates who will be considered
for competitive selection, it is important that it be as broad as practicable in
order to uphold the basic merit principles of open competition, equal
employment opportunity (EEO) and identification of the best qualified. The
AOP is not intended to limit competition. HRO's should consider any
appropriate sources which are likely to help EPA meet its mission and EEO
objectives, and contribute fresh ideas and new viewpoints to the organization
when establishing the AOP.
c. The area of publicity may be either designated in supplemental plans
or established for each vacancy. Supplemental plans must specify how the area
of publicity will be determined.
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7. METHODS OF LOCATING CANDIDATES. Candidates may be located using
a wide range of methods which may vary with each vacancy depending upon the
area of publicity, the type of position, and other similar considerations. HRO's
will advise management on the appropriate method to use. These methods
include:
a. VACANCY LISTINGS - A brief summary of multiple positions open to
competition under the merit promotion procedures.
b. INDIVIDUAL VACANCY ANNOUNCEMENTS - Posted notices which advertise one
or more positions open to competition under the merit promotion procedures.
c. OPEN CONTINUOUS ANNOUNCEMENTS - Posted notices through which
applications may be accepted and referred to selecting officials on a continuing
basis. They may be used when there is a continuous need for candidates in a
particular occupation or group of occupations.
d. AUTOMATIC IDENTIFICATION OF CANDIDATES (AIC) - HRO's may refer all
promotion eligibles within a defined area of publicity when a determination is
made that there is a sufficient number of candidates to ensure competition.
Promotion eligibles under the AIC method would include all employees in the
defined AOP who are serving at the next lower grade or the same grade level
with less promotion potential than the position being filled, and meet
qualification and time-in-grade requirements. A manual or automated listing of
all promotion eligibles within the defined AOP will be referred to the selecting
official for consideration. Vacancy announcements are not required under this
procedure.
8. PRIORITY CONSIDERATION. The referral of individuals who by law,
regulation, settlement agreement or final decision in a grievance or a
discrimination complaint must be considered before other candidates.
Management must show that the employee received priority consideration for
placement. Types of priority consideration include:
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a. REPROMOTION CONSIDERATION ELIGIBLES. Employees demoted in the Agency
without personal cause and are on grade/pay retention are entitled to priority
consideration for any vacancies for which they qualify in their local commuting
area. Repromotion eligibles are entitled to priority consideration for 2 years,
unless they are repromoted to their former grade or decline a position of equal
grade, whichever occurs first. Candidates may receive consideration only at the
grade level in which consideration was lost.
b- CANDIDATES WHO DID NOT RECEIVE PROPER CONSIDERATION IN A PREVIOUS MERIT
PROMOTION ACTION DUE TO A PROCEDURAL. REGULATORY OR PROGRAM VIOLATION. These
candidates will receive priority consideration for the next appropriate vacancy in
the geographic location where proper consideration was denied. The following
conditions must be met before priority consideration under this provision may
be granted:
(1) the vacancy occurs within one year of the determination that
the employee was not afforded proper consideration;
(2) it is a similar type position in the same pay system as the
position for which the employee failed to receive proper consideration;
(3) the employee is qualified for and would have been in the best
qualified group; and
(4) the vacancy is at the same grade level with no higher potential
than the position for which consideration was lost.
c- EMPLOYEES WHO RECEIVE PRIORITY CONSIDERATION BASED ON AN EEO
COMPLAINT. These employees must be given priority consideration if it is either
the agreed upon resolution to settle the complaint or the remedial action
ordered in the final decision of a discrimination complaint.
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9. APPLICATION PROCEDURES
a. GENERAL. Unless otherwise specified in individual vacancy
announcements or vacancy listings, interested persons must submit an
APPLICATION FOR FEDERAL EMPLOYMENT (SF-171) and a copy of the
most recent performance appraisal. HROs may use alternative, streamlined
application forms.
b. ACCEPTING APPLICATIONS. Unless otherwise specified, applications
will be accepted from all promotion-eligible candidates whose applications are
received in the Human Resources Office by the closing date. Applications may
be accepted at any time from noncompetitive eligibles, qualified persons with
disabilities, 30% or more compensable disabled veterans, Veterans
Readjustment Act (VRA) eligibles, and Public Health
Service (PHS) Officers. Employees within the area of publicity who are absent
for legitimate reasons, such as leave, official travel, detail, Intergovernmental
Personnel Act (IPA) assignment, training or military service, may furnish copies
of their application to another employee or their supervisor and request that
they be submitted for vacancies.
10. ELIGIBILITY REQUIREMENTS
a. GENERAL. Applicants must meet OPM qualification requirements and
any selective placement factors by the closing date of the announcement. Other
legal and regulatory requirements (i.e. time-in-grade, time-after-competitive
appointment, etc.) must be met within 30 days of the closing date of the
vacancy announcement. Applicants responding to open continuous announce-
ments must meet the eligibility requirements at the time the application is
submitted to the HRO.
b. MINIMUM QUALIFICATION STANDARDS: Minimum qualification standards
will be those described or approved by OPM for the particular position
involved, plus any selective placement factors. Selective placement factors must
be supportable in the position description as a qualification of the position
being filled.
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11. DISTINGUISHING BETWEEN CANDIDATES
a. Candidates who meet eligibility requirements will be divided into two
categories:
(1) PROMOTION ELIGIBLES - those applicants who must compete in
order to be placed in the position; and
(2) NONCOMPETITIVE ELIGIBLES - those applicants who are eligible
for reinstatement, reassignment, change to lower grade, special appointing
authority (i.e., persons with disabilities, disabled veterans, etc.) or other action
where competition is not required for placement in the position.
b. Applicants in the promotion-eligible category will be evaluated in
accordance with the provisions below. Noncompetitive eligibles will referred
without being rated and ranked. Such referrals may be made any time during
the recruitment, evaluation and selection process.
12. EVALUATION OF CANDIDATES
a. Applications may be evaluated by a subject matter expert, a rating
panel or a personnel specialist. Regardless of the evaluator, ratings must be
based solely on the application material submitted by the applicant.
b. When there are more than ten (10) promotion eligibles for a vacancy,
all basically qualified candidates must be evaluated on job-related criteria that
distinguishes among them (i.e., work experience, education and training,
performance appraisals, awards, outside activities, etc.). Evaluation methods
should include an analysis of the job to determine pertinent knowledges, skills
and abilities (KSA's) that are important for successful performance. The
streamlined evaluation method described in paragraph 13.a. below may be used
when there are ten (10) or fewer qualified promotion eligibles for a vacancy.
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c. Managerial and supervisory vacancies must be evaluated in accordance
with the procedures outlined in Appendix 1 of this manual.
a. REFERRAL OF TEN OR FEWER CANDIDATES. When there are ten (10) or
fewer qualified candidates for a vacancy, candidates who meet basic eligibility
requirements may be referred to the selecting official without being rated by
subject matter experts, panels or personnel specialists. All eligible candidates
will be referred alphabetically on a certificate to the selecting official as best
qualified candidates.
b. RANKING AND REFERRAL OF CANDIDATES. Candidates assigned the
highest scores in the evaluation process will be ranked at the top in highest
point score order. The "Best-qualified" candidates will normally be determined
based on the most logical break (natural break) in scores, as determined by the
evaluator. "Best-qualified" candidates will have a score above the "natural
break" within the scores of qualified candidates. However, when there is no
"natural break" in the scores, all candidates (even if there are more than ten)
may be certified to the selecting official on the Merit Promotion Certificate in
alphabetical order without reference to the candidates' numerical rank.
Similarly, when best qualified candidates are identified, they will also be
referred to the selecting official in alphabetical order without reference to the
candidates' numerical rank.
c. USE OF CERTIFICATES FOR ADDITIONAL POSITIONS. Certificates may be
used to fill additional vacancies for similar positions up to six months.
d. REFERRAL OF NON-STATUS APPLICANTS. Applicants who do not have
status in the competitive service may be considered at the discretion of the
selecting official. The HRO representative will advise the selecting official on
hiring such candidates through direct-hire authorities or OPM registers. Noil-
status applicants will be referred separately from promotional candidates.
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14. INTERVIEWS AND SELECTIONS
a. Interviews may be conducted at the discretion of the selecting official.
Depending on the local supplemental plan and/or negotiated agreement, the
selecting official may interview all, some or none of the referred candidates.
In implementing this provision, HRO's should include procedures in their
supplemental plans which will ensure that all candidates are treated in a fair
and equitable manner.
b. The selection process is a management prerogative involving the
exercise of informed judgement coupled with responsibility. Each selecting
official should choose the person(s) who will best fulfill their needs and the
objectives of the organization, taking into consideration the Agency's affirmative
action goals. Selecting officials are free to select any candidate on the
certificate of eligibles or to non-select any and all candidates.
15. RELEASE AND NOTIFICATION OF APPLICANTS. HRO's may work with
program officials to establish mutually agreeable release dates based on mission
and program requirements. However, selectees will normally be released one
complete pay period following the selection. All applicants will be notified of
the outcome of announced vacancies.
16. DISCLOSURE OF INFORMATION
a. Disclosure of merit promotion information will follow guidance
contained in the Privacy and Freedom of Information Acts, FPM Chapter 335
and appropriate supplements. All candidates must have equal access to
information on the merit promotion process and procedures.
b. Applicants will receive the following information, upon request:
(1) Whether they were found eligible;
(2) Whether they were referred to the selecting official;
(3) Who was selected;
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(4) Whether the vacancy announcement was cancelled;
(5) Areas, if any, they should improve to increase their chances for
future promotions; and
(6) The applicant's own rating assigned in the evaluation process.
17. EMPLOYEE COMPLAINTS. When an employee has a question about a
Merit Promotion Program action, the employee should discuss it with a
representative of the Human Resources Office. An employee must follow
appropriate timeframes and procedures to raise concerns in either the Agency
or negotiated grievance procedures or the discrimination complaint process.
18. NEPOTISM. Supervisors and public officials as defined in Federal
Personnel Manual 310 are prohibited from participating in any portion of any
selection process if a relative is under consideration. Within this context,
relative is defined as a father, mother, son, daughter, brother, sister, uncle, aunt,
first cousin, nephew, niece, husband, wife, father-in-law, mother-in-law, etc.,
stepfather, stepmother, etc., half brother or sister. Neither supervisors nor
public officials may advocate the selection of a relative. If a relative of the
selecting official is among the candidates certified for selection, he/she must
disqualify himself/herself and the selection authority should be exercised at a
higher level in the chain-of-command.
19. MAINTAINING RECORDS. Each servicing Human Resources Office is
responsible for maintaining a complete record on each merit promotion case for
two (2) years or until an OPM evaluation, whichever occurs first. Each record >
should contain sufficient information to allow reconstruction of the personnel
action, including documentation on how candidates were rated and ranked.
20. PROGRAM EVALUATION. Servicing HRO's will be periodically evaluated
by the Agency's Quality Assurance and Evaluation Staff for compliance with
this manual and supplemental promotion plans.
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EVALUATING AND SELECTING MANAGERIAL/SUPERVISORY CANDIDATES
a. BACKGROUND. EPA has become increasingly aware of the need for a
special mix of managerial and supervisory skills if our Agency managers and
supervisors are to effectively meet the diverse environmental and work force
challenges which lie ahead. Consequently, the Agency has developed a
comprehensive management development program which focuses on three areas
aimed at ensuring a highly skilled and diverse corps of managers and
supervisors—i.e., recruitment and selection, training and development, and
appraisals and awards. This Appendix focuses on the process to be used in
evaluating and selecting managerial and supervisory candidates under the merit
promotion process. Detailed instructions are provided in the "Guidance for the
Selection of High Quality Managers" in Appendix 4.
b. BALANCE OF SKILLS/BROAD-BASED BACKGROUND. The best qualified
candidates for managerial and supervisory positions should have a balance of
managerial skills, technical competence and a broad-based background.
Supplemental merit promotion plans developed by the servicing HRO must
address local procedures for ensuring this balance in filling all managerial and
supervisory positions.
Since all candidates must meet basic qualifications requirements which
would give them the required technical competence to perform the job, these
procedures primarily cover evaluation of managerial skills and broad-based
experience.
(1) MANAGEMENT EXCELLENCE CRITERIA. HRO's must ensure
that candidates applying for managerial and supervisory positions are evaluated
on appropriate management excellence criteria listed below. Although the
HRO has the flexibility in determining how to factor the criteria in the
evaluation process, at least two of the criteria must be included on each
supervisory/managerial vacancy announcement/listing; and applicants must
address the criteria in accordance with local HRO procedures. HRO's may
APPENDIX 1
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EVALUATING MANAGERS/SUPERVISORS. CONT'D
choose the appropriate management excellence criteria based on the position
being filled. Further guidance on the appropriate criteria to use for "managers"
versus "supervisors" is provided in Appendix 4.
COMPETENCIES (WHAT MANAGERS DO) EFFECTIVENESS CHARACTERISTICS (HOW)
* Human Resources Management * Communication
* Supervision * Interpersonal Awareness
* Work Unit Guidance/ Monitoring * Leadership
* Coordination * Rexibility
* Work Unit Planning * Action Orientation
* Budgeting * Results Focus
* Contracts/Resources Administration * Broad Perspective
* Program Evaluation * Strategic View
* External Awareness * Organizational Sensitivity
* Interpretation
* Representation
The criteria may be assessed through quality ranking factors or other
appropriate methods developed by the HRO. Many of the "Effectiveness
Characteristics" can be best assessed during the interview process. Sample
interview questions have been developed and are listed in Appendix 4.
(2) BROAD-BASED BACKGROUND. Servicing HRO's should also
ensure that candidates for managerial positions are assessed on their broad base
of experience. HRO's may use discretion in deciding how this assessment will
be made, but should give strong consideration to the guidance in Appendix 4.
The following are examples of the types of experiences which provide such a
background:
* Headquarters Regional or field experience
* Policy and operations experience
* Staff and line experience
* Experience in more than one environmental program
* Experience in more than one administrative field (budget, finance,
human resources)
APPENDIX 1
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* Experience in more than one organization, Agency or state/local
government
* Participation in Agencywide task forces or committees
* Education, training, or experience with professional associations
APPENDIX 1
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RESPONSIBILITIES
a. THE ADMINISTRATOR is responsible for the Agencywide operation of a
sound Merit Promotion Program which conforms with Federal Merit Promotion
Policy and requirements.
b. THE DIRECTOR. OFFICE OF HUMAN RESOURCES MANAGEMENT is responsible
for establishing and administering a sound Agencywide Merit Promotion
Program that assures that all employees in the competitive service are covered
by an appropriate promotion plan.
c. THE DIRECTOR. POLICY. RESEARCH AND DEVELOPMENT DIVISION is
responsible for: (1) Developing and issuing promotion policies, requirements,
and guidelines; (2) Reviewing supplemental promotion plans developed by
HRO's to insure that they comply with Federal merit promotion policy and
requirements; and (3) In cooperation with the Director, Office of Civil Rights,
assuring that the Agency's merit promotion program supports and advances
equal employment opportunity objectives.
d. MANAGEMENT/SELECTING OFFICIALS at all levels are responsible for
applying merit principles, including the principle of equal employment
opportunity, in filling vacancies and supporting and upholding the integrity of
the Merit Promotion Program.
e. SERVICING HUMAN RESOURCES OFFICERS are responsible for:
(1) Implementing promotion plans and ensuring their full and
equitable application to all affected employees and positions;
(2) Providing technical assistance and guidance to both
management officials and employees on all promotion matters;
(3) Taking appropriate action to make sure the best qualified
candidates are referred to selecting officials on a timely basis;
APPENDIX 2
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RESPONSIBILITIES CONT'D
(4) Locating and referring high quality candidates to the selecting
official;
(5) Informing candidates and supervisors in a timely manner of the
status of pending actions;
(6) Maintaining promotion records as detailed in FPM Chapter
335, Requirement 5;
(7) Ensuring that managers and supervisors effectively use and
fully understand supplemental promotion plans; and
(8) Informing employees of the policies and procedures in the
Agency's and Supplemental Merit Promotion Plans;
(9) Developing supplemental Merit Promotion Plans.
f. EMPLOYEES are responsible for demonstrating that they have the
knowledge, skills, abilities, and personal qualifications necessary to qualify for
positions for which they desire consideration; for submitting completed forms
indicated when applying for vacancies when automatic identification of eligibles
is not provided; and for performing the duties of their current positions in a
manner which shows that they are ready to be considered for advancement to
more difficult work and greater responsibility.
APPENDIX 2
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DEFINITIONS
a. CANDIDATES
(1) QUALIFIED. An eligible candidate who meets the qualification
criteria in OPM Handbook X-118 or X-118C and when used, selective
placement factors for the position being filled.
(2) BEST QUALIFIED. Candidates whose experience, training and
past performance rank at the top when compared with all other qualified
candidates and who are normally referred to the selecting official on a merit
promotion certificate.
b. CAREER LADDER PROMOTION. The noncompetitive promotion of an
employee who competed an earlier date and was appointed to an entry level or
intermediate position designed to prepare the employees for the full
performance level of the position.
c. CAREER-CONDITIONAL APPOINTMENTS. Permanent appointment of a
person to the competitive service who has not yet completed three continuous
creditable years of Federal service.
d. CAREER APPOINTMENT. Permanent appointment in the competitive
service given to an employee who has completed three creditable years of
Federal service.
e. MERIT PROMOTION CERTIFICATE. A list of the "Best Qualified"
candidates referred to the selecting official for a selection.
f. COMPETITIVE SERVICE. An appointment to a position in the Federal
government which is not specifically excepted from Civil Service laws by
Executive Order or OPM regulations.
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DEFINITIONS CONT'D
g. COMPETITIVE STATUS. Status obtained by an employee based on prior
service under a career or career-conditional appointment.
h. DEMOTION. The movement of an employee while serving continuously
within the same agency, to a position at a lower grade level within the same job
classification system and pay schedule, or to a position with a lower rate of
basic pay in a different job classification system and pay schedule.
i. DETAIL. The temporary assignment of an employee to a different
position for a specified period with no change in pay. Normally the employee
will return to his/her regular duties at the end of the detail period.
j. EVALUATION CRITERIA. Knowledge, skills, abilities and other criteria
(KSAs) essential for successful performance in a position and used to
distinguish among qualified candidates.
k. FULL PERFORMANCE LEVEL. The grade level designated by management
and established by the application of the appropriate classification standard(s),
which depicts the highest level of duties and responsibilities normally performed
in a particular position.
1. JOB ANALYSIS. The process of systematically collecting, analyzing and
interpreting information about a position to provide a job-related basis for
evaluation and selection.
m. NON-COMPETITIVE ELIGIBLES. Candidates with or without competitive
status for whom competition is not required (for example, certain reassignment,
demotion, and transfer eligibles; as well as persons with disabilities, 30%
disabled veterans, VRA's and outstanding scholars).
n. NON-STATUS CANDIDATES. Applicants who do not have career or
career-conditional service and whose selection is subject to certification through
an appropriate OPM or Agency competitive examining process.
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DEFINITIONS CONT'D
o. PROMOTION. The change of an employee to a position at a higher
grade level or to a position with a higher rate of basic pay
p. POSITIONS WITH KNOWN PROMOTION POTENTIAL. Positions at grade levels
below the full-performance level from which career promotions may be made
because adequate competition was held at an earlier stage. These include:
career ladder positions; apprentice positions; trainee positions; understudy
positions; and many upward mobility positions.
q. REASSIGNMENT. The change of an employee from one position to
another without promotion or demotion.
r. Reinstatement. The reemployment of a former career employee (or
career-conditional veteran's preference eligible) any time after separation from
Federal employment or of a former career-conditional non-veteran within three
years after separation.
s. SELECTING OFFICIAL. An individual authorized to make a selection for
the position to be filled. The selecting official is usually the first or second
level supervisor over the position, but may be a higher level official in the chain
of command. When several positions are to be filled, more than one selecting
official may be designated.
t. SELECTIVE PLACEMENT FACTORS. Knowledge, skills and abilities not
contained in the OPM Handbook X-118 qualification standards that are so
essential for satisfactory performance in a particular position that they become
part of the qualification requirements in addition to those outlined in the X-
118. Selective placement factors are determined by appropriate management
officials and are readily identifiable from the position descriptions.
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GUIDANCE FOR THE SELECTION OF HIGH-QUALITY MANAGERS
PURPOSE. This guidance establishes specific selection criteria that should be
utilized when filling supervisory, managerial and executive positions in EPA, and
outlines methods for incorporating the criteria into Merit Promotion
Announcements. This guidance is part of EPA's continuing effort to foster
management excellence throughout the organization.
BACKGROUND. EPA has a comprehensive management development program
which focuses on the three systems that directly impact the quality of the
Agency's supervisors, managers and executives:
0 Recruitment and Selection
0 Training and Development
0 Appraisals and Awards
This program is based upon extensive studies of thousands of successful
supervisors, managers and executives in the federal government and many hours
of hard work by a cross-section of EPA employees concerned about
management excellence. These efforts have led to the identification of a set of
consistent criteria most important for success at each management level.
These criteria, hereafter referred to as "Management Excellence Criteria",
reflect the Agency's position that a balance of technical and management skills
is necessary fof effective management at EPA. This mix of skills incorporates
"what" functions a manager performs, "how" they are effectively accomplished,
and the background and experience needed to have a broad perspective.
OBJECTIVE. Our objective is to institutionalize a more consistent approach to
identifying and selecting supervisors, managers and executives with the skills
needed to manage a complex, technical, decentralized federal agency.
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WHAT IS A MANAGER?
A manager is someone who gets work done through others, which is very
different from doing the work oneself as a technical analyst. Managing people
involves a set of skills distinct from those required to do the programmatic work
of the organization. An effective manager must perform competently in major
functional areas such as supervision, representation and monitoring; must use
certain characteristics to perform these functions effectively such as
communication, interpersonal awareness and results focus; and finally must
have varied experiences to have a broad perspective and strategic view.
As general guidance, there are three levels of management identifiable in
EPA:
SK/;erasw--generally first line - team, unit, section or equivalent level
organizations. A supervisor needs technical competence to review the work of
the group; and communication skills for motivating, coaching, counseling and
keeping work relationships running smoothly.
Mid-Level Manager—someone who directs subordinate supervisors - usually
Branch Chief or Deputy Division Director level. In addition to the skills of a
supervisor, a manager must demonstrate leadership and flexibility in planning
and coordinating the work products of several organizations.
Executive-Division Directors and above - an executive at EPA must have a
broad perspective of various environmental and management issues, be able to
represent his or her organization inside and outside the Agency, and show the
ability to balance a variety of legislative and technical concerns in making policy
and programmatic decisions.
NOTE: The generic term "manager" is used when referring to supervisors, mid-
level managers and executives as a group.
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DISTINCTIONS BETWEEN MANAGEMENT LEVELS
The concept of different levels of management with distinct functions and
skills is the basis for the Management Excellence Criteria presented below. It
is important to note, however, that these distinctions between the three
management levels should not be used in a rigid fashion. They are based on a
study of thousands of federal managers across government, and therefore must
be applied to the requirements of each specific management position in EPA.
For example, although in general the representation function (i.e.,
presenting, explaining, selling the work unit's activities to management in the
agency, and/or persons outside the agency) is more important at the executive
level than the supervisory level, a particular supervisory job in EPA may have
representation as a critical function.
The distinctions are useful as general guidance, but they do not preclude
the need to carefully analyze the particular functions and skills required for
each management position.
MANAGEMENT EXCELLENCE CRITERIA
a. THE "WHAT" AND "HOW" OF MANAGEMENT. There are twelve
criteria which reflect the "what" or functional responsibilities of management
positions, and nine criteria describing "how" managers are effective in
performing these roles.
As a guide, the list below represents each of the criteria, and
identifies those which have been found to be most important at each level, i.e.,
(S) for supervisors, (M) for mid-level managers, and (E) for executives.
"WHAT" MANAGERS Do "How" MANAGERS ARE EFFECTIVE
Human Resources Management (E,M,S) Communication (E,M,S,)
Supervision (E,M,S) Interpersonal Awareness (E,M,S)
Work Unit Guidance (E,M,S) Leadership (E,M)
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"WHAT" MANAGERS Do (CONT'D) "How" MANAGERS ARE EFFECTIVE rCoNT'p^
Work Unit Monitoring (E,M,S) Flexibility (E,M)
Coordination (E,M) Action Orientation (E,M)
Work Unit Planning (E,M) Results Focus (E,M)
Budgeting (E,M) Broad Perspective (E)
Contracts/Resources Strategic Review (E)
Administration (E,M) Organizational Sensitivity (E)
Program Evaluation (E,M)
External Awareness (E)
Interpretation (E)
Representation (E)
b. BROAD-BASED BACKGROUND. In addition to the functions and skills
which describe "what" managers do and "how" they are effective, a broad-based
background is of particular importance in a complex, decentralized agency with
multiple cross-cutting issues like EPA. The following are examples of the types
of experiences which provide such a background:
(1) Headquarters and field experience.
(2) Policy and operations experience.
(3) Staff and line experience.
(4) Experience in more than one environmental program.
(5) Experience hi more than one administrative field (budget,
finance, human resources).
(6) Experience in more than one organization (Federal, state and
local government, executive, legislative and judicial branch
private sector, academia).
(7) Participation in Agencywide task forces or committees.
(8) Education, training, or experience with professional associations.
(9) Teaching courses in the EPA Institute.
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The importance of a broad base of experience will vary for each
particular job. As a general rule, it becomes increasingly important at each
higher level of management. However, even first-line supervisors are likely to
be involved in issues that cut across media, headquarters and regions, etc.
c. TECHNICAL COMPETENCE. At EPA, technical competence is critical to
achieving the agency's mission. There are two aspects to technical competence.
First, there is the specialized expertise required for certain positions, such as
engineering, law, accounting, and contract administration. The second aspect of
technical competence is specific programmatic knowledge needed to be effective,
such as knowledge of RCRA, drinking water standards, or clean air standards.
Applicants for positions which have specific technical requirements
are not considered unless they meet these standards, as established by the
Office of Personnel Management and EPA for each position.
This guidance recognizes that effective management requires a set of
skills in addition to the technical expertise required for a managerial position.
For example, a technically brilliant chemist will not be an effective manager if
he/she is poor at communicating to staff or planning the work of the division.
Likewise, it is recognized that an individual with outstanding
communication and planning skills will not be an effective manager if he/she
does not understand the technical issues at hand.
There is no magic formula for determining the appropriate balance
of technical and management skills for a job, although as a general rule
technical expertise tends to be relatively more important at the supervisory level
than at the mid-level manager and executive level. The most important message
in this guidance is that close attention must be paid to both types of skills when
identifying the requirements for a managerial position and assessing the
capabilities of applicants against these standards.
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SELECTION PROCEDURES
a. USE OF MANAGEMENT EXCELLENCE CRITERIA IN QUALITY RANKING
FACTORS AND RATING PLANS. The specification of quality ranking factors
(commonly referred to as Knowledges, Skills and Abilities - KSAs) for a vacant
position is
one of the keys to incorporating the Management Excellence Criteria in the
Agency's hiring process for supervisors, managers and executives. Quality
ranking factors are generally determined by a subject matter expert, designated
by the selecting official, in consultation with the servicing human resources
office.
Quality ranking factors are used to differentiate between those
applicants who have met the minimum technical requirements for the job. For
example, consider a Division Director job in an EPA research laboratory. The
job announcement first lists the qualification requirements, which are the
minimum official technical standards set by OPM (e.g. biology degree), and any
minimum requirements set by EPA (e.g. knowledge of research methods).
Another section on the job announcement may list the factors to be
used in selecting the best applicant from those meeting the minimum technical
requirements. This is the point at which this guidance recommends
incorporation of appropriate Management Excellence Criteria, such as:
(1) Supervision
(2) Communication
(3) Work Unit Monitoring
These criteria would then be developed into quality ranking factors
by developing a rating plan for each criteria which assigns points based on the
expertise demonstrated in an applicant's SF-171. In addition, each quality
ranking factor is assigned a weight, reflecting the relative importance of each
factor to the job.
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b. FLEXIBILITY IN USE OF MANAGEMENT EXCELLENCE CRITERIA. Although
there is no set of mandatory or prescribed ranking factors for any supervisory or
managerial position at EPA, this guidance reflects the Agency's expectation that
the human resources specialists and the selecting official work together to
ensure an appropriate balance of technical and management skills needed to do
the job.
c. MANAGEMENT EXCELLENCE CRITERIA MODEL. As a guideline, the
following model should be used to ensure the desired balance:
(1) "Rateable" Management Excellence Criteria. Use of at least two
of the rateable Management Excellence Criteria as quality ranking factors.
Although there is a total of twenty-one management excellence criteria listed,
not all of them are easily "rateable" or lend themselves to being quantified in a
rating plan.
For example, the rateable criteria that are typically most
important at the supervisory level are human resources management,
supervision, communication, and work unit guidance and monitoring. At least
two of these (or others on the list that may be appropriate for a particular job)
should be selected and developed into quality ranking factors.
(2) "Non-Rateable" Management Excellence Criteria. Use of model
interview questions in assessing best qualified candidates' abilities related to the
non-rateable criteria. As noted above, eight of the excellence criteria do not
easily lend themselves to rating plans (e.g. interpersonal sensitivity, flexibility,
strategic view), and will not often be used in the initial ranking of applicants.
If a selecting official chooses to interview applicants, however, information
about their abilities with regard to these qualitative criteria can be elicited.
Model interview questions which may be used when interviewing candidates are
provided on pages 10 through 16 of this Appendix. Because of the
importance of these qualitative criteria to effective management, selecting
officials are strongly encouraged to use the interview option.
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(3) Model interview questions should be used as a guide when
discussing applicants with previous employers, colleagues and references. The
model questions are written so that they can easily be used to structure
discussions with an applicant's previous employers, colleagues and references.
These discussions are an invaluable source of information on applicants.
(4) Broad-Based Background Criteria. A quality ranking factor
should be used that addresses the variety of an applicant's background and
experience. Because of the importance of this criterion at EPA, it should be
represented in the quality ranking factors. The rating plan should demonstrate
a broad base of experience by satisfaction of any one or a combination of the
examples provided on page 4.
(5) Use of Other Criteria as Quality Ranking Factors. While this
model should be followed, additional factors may be used, as appropriate.
Adherence to the above model will result in the use of at least three of the
Management Excellence Criteria for every vacant management position in EPA
(two factors from the rateable criteria, and one from the Broad-Based
Background criteria). This guidance does not preclude adding additional
ranking factors that may be important for a particular job.
SUPPLEMENTAL STATEMENT. For each vacancy announcement filled under
this guidance, a supplemental statement addressing each of the quality ranking
factors should be required from each applicant. This requirement will reinforce
the need for applicants for EPA management positions to provide evidence of
their competence regarding the Management Excellence Criteria, and will assist
selecting officials in their assessments.
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MANAGEMENT EXCELLENCE CRITERIA DEFINTIONS
E = Excutive
M = Mid-Level Manager
S = Supervisor
Rateable Criteria
(E,M,S) Human Resources Management: Projecting the number and types of
staff needed by the work unit, and using various personnel mangement system
components (e.g. recruitment, selection, promotion, performance appraisal, EEO,
Affirmative Action) in managing the work unit.
(E,M.S> Supervision: Providing day-to-day guidance and oversight of
subordinates (e.g. work assignments, coaching, counseling, etc.); and actively
working to promote and recognize performance.
(E.M.S) Communication: Speaking, writing, listening.
(E,M,S) Work Unit Guidance: Converting plans to actions by setting short-
term objectives and priorities; scheduling/sequencing activities; and establishing
effectiveness and efficiency standards/guidelines.
(E.M.S) Work Unit Monitoring: Keeping up-to-date on the overall status of
activities in the work unit, identifying problem areas, and taking corrective
actions (e.g. rescheduling, reallocating resources, etc.).
(E,M) Coordination: Performing liaison functions and integrating work unit
activities with the activities of other organizations.
(E.M) Work Unit Planning: Developing and deciding upon longer-term goals,
objectives, and priorities; and developing and deciding among alternative
courses of action.
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MANAGEMENT EXCELLENCE CRITERIA DEFINITIONS
Rateable Criteria Confd
(E,M) Budgeting: Preparing, justifying, and/or administering the work unit's
budget.
Contracts/Resources Administration: Assuring the availability of
adequate supplies and equipment; ADP hardware/software; facilities; overseeing
procurement/contracting activities; and/or overseeing logistical operations.
(E,M) Program Evaluation: Critically assessing the degree to which
program/project goals are achieved and the overall effectiveness/efficiency of
work unit operations, to identify means for improving work unit performance.
(E) External Awareness: Identifying and keeping up-to-date with key agency
policies and priorities and/or external issues and trends (e.g. economic, political,
social, technological) likely to affect the work unit.
(E) Interpretation: Keeping subordinates informed about key agency and work
unit policies, priorities, issues and trends and how these are to be incorporated
in work unit activities and products.
Representation: Presenting, explaining, selling and defending the work
unit's activities to the supervisor in the agency, and/or persons and groups
outside the agency.
Non-Rateable Criteria
(E.M.SI Interpersonal Awareness: Self-knowledge and awareness of effect on
others; sensitivity to needs, strengths, and weaknesses of others; negotiation,
conflict resolution; persuasion, selling.
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MANAGEMENT EXCELLENCE CRITERIA DEFINITIONS
Non-Rateable Criteria Confd
(E,M) Leadership: Willingness to lead and manage individuals and groups.
(E.M) Flexibility: Openess to new information; behavioral flexibility; tolerance
for stress, ambiguity and change; innovativeness.
(E,M) Action Orientation: Independence and proactive attitude; calculated risk-
taking; accepting responsibility; decisiveness.
(E.M) Results Focus: Concerned with goal achievement; follow-through;
tenacity.
(E) Broad Perspective: Broad, long-term view; balancing short and long-term
considerations.
(E) Strategic View: Collecting, assessing and analyzing information; diagnosis
and problem solving; anticipation and judgement.
(E) Organizational Sensitivity: Being "tuned in" to the Agency and its
emvironment; awareness of the importance of non-technical factors.
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MODEL INTERVIEW QUESTIONS FOR NON-RATEABLE
MANAGEMENT EXCELLENCE CRITERIA
These interview questions should be used in the interview process and when
discussing applicants with previous employers and references to gain insight into
the qualitative or personal characteristics important for effective management in
EPA.
Board Perspective
(Board, long-term view; balancing short and long-term considerations).
1. What do you consider to be the day-to-day tasks associated with your
present job?
2. What are the longer range considerations? How have you planned to
accomplish them? Which did you consider most important?
3. What do you do to balance these competing considerations?
Strategic View
(Collecting/assessing/analyzing information; diagnosis, problem-solving;
anticipation, judgement.)
1. Describe a technical problem in which you had to use your analytical
skills.
2. Describe a special project/task assignment that you feel required you to
make a major decision. How did you go about arriving at your decision?
3. Describe a major obstacle which you have had to overcome in any of
your past jobs. How did you deal with it?
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Strategic View ContM
4. Describe a situation when you had to make a decision or take action
on an issue in which no policy existed.
5. In a crisis/emergency situation that you might have experienced, how
did you go about identifying the causes? What steps did you take in solving it?
6. How far ahead do you anticipate future events? Do your long-range
plans allow for unscheduled events arid are they realistic?
Organizational Sensitivity
(Sensitivity to and awareness of agency needs and its environment; awareness of
importance of non-technical factors, such as organizational dynamics.)
1. How do you keep yourself informed about what is going on in your
organization a level above you? A level below you?
2. What do you consider to be your best sources of information about
what is going on in the Agency?
Leadership
(Individual; group; willingness to lead and manage.)
1. Describe your leadership style.
2. Describe what you consider to be a good leader. What changes do you
feel you would need to be a good leader?
3. What is your philosophy for delegating responsibility to others? Give
an example of when you have delegated responsibility while you were in a
leadership role.
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Leadership Cont'd
4. What would you say are your strengths in leading others? What are
your weaknesses?
5. Describe an example of a leadership role you have held that you
actively sought.
Flexibility
(Openness to new information; behavioral flexibility; tolerance for
stress/ambiguity/change; innovativeness.)
1. How does waiting for an important decision from higher management
affect you? How would you cope with it?
2. Would you consider your style as a manager to be formal or informal?
Describe a situation where you had to use the opposite management style.
How did you feel about it?
3. Describe a work situation that required you to work with people you
found difficult to work with. How did you deal with the conflict/confrontation?
4. Give an example of your innovativeness in which you successfully
resolved a work related problem.
5. Describe a stressful situation you have encountered in your job. How
did you cope with it?
6. How do you deal with constant change (program, budget, office
environment)?
7. Describe a situation in which your carefully laid plans did not
materialize as expected. What strategy did you use to reformulate your plans?
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Action Orientation
(Independence, proactivity; calculated risk-taking, accepting responsibility,
decisiveness.)
1. What kinds of decisions do you make on your own?
2. What kinds of recommendations do you make to your supervisor?
3. Tell me about a difficult problem that you had to solve independently.
How did you put together a plan to solve it? What kind of recommendations
did you propose? Were they accepted? If not, why? How did you keep
management informed?
Results Focus
(Concerned with goal achievement; follow-through, tenacity)
1. What process do you use to set goals? Do you have a specific process
that you would use to achieve your goals?
2. How did you get other people (subordinate staff and management) to
buy into goals you have set?
3. Describe an example of a goal you achieved and how it related to the
mission of your organization.
4. Tell me about a goal you failed to meet. What happened? How did
you feel?
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Interpersonal Awareness
(Self knowledge and awareness of impact on others; sensitivity to
needs/strengths/weaknesses of other; negotiation, conflict resolution; persuasion,
selling.)
1. Describe a situation in which a subordinate did some work which you
endorsed, but which was ultimately not accepted. How did you communicate to
the employee what had happened?
2. Did you ever have to sell an unpopular position (or decision) to your
staff? What did you do to prepare yourself to discuss it? What did you feel
would be the concerns of your staff? Did you anticipate accurately?
3. How would your colleagues describe your sensitivity to their needs?
4. How do you deal with assigning work to an employee whose
weaknesses would likely impair the quality of the product?
5. How do you view the role of staff meetings? How do you conduct a
staff meeting?
6. Have you ever had to tell an applicant that he or she was not selected
for a job? Someone on your staff? How did you so it? What did you say?
7. Describe examples of employees or colleagues seeking your guidance
on career decisions or major problems facing them at work.
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