Directive-43351_-Revision-2_-Attachment-1-1.pdf

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FSIS DIRECTIVE 4335.1

REVISION 2

PART ONE

DEPARTMENT MERIT PROMOTION PLAN 

DPM CHAPTER 335, APPENDIXES, A, B, AND C 

Page 7 
5/6/99 
(and 8) 
(-)A-3 
DPM-335 
Exhibit 1 
PROMOTION AND INTERNAL PLACEMENT 
APPENDIX A - GENERAL REGULATORY PROVISIONS 
REPROMOTION PLACEMENT PLAN 
1.	
Coverage - As required by Title VII of Public Law 95-454, "Civil Service Reform Act of 1978," 
coverage includes incumbents of positions classified in the GS, GM, GG, or similar pay 
schedules and in any prevailing rate schedule who were reduced in grade because of: 
a. 
an error in the prior classification of a position; 
b. 
a change in classification standards without a change in duties and responsibilities; 
c. 	
a change in the duties and responsibilities caused by a gradual erosion or by 
management action; or 
d. 
the application of reduction in force procedures. 
2.	
Purpose - To provide placement opportunities to covered employees to any position for which 
they qualify that is equal to the grade or pay of the position from which demoted. 
3. 
Exceptions - Types of actions excepted are: 
a. 
promotion to positions filled by career promotion as defined in DPM 335, Appendix B; 
b.	
positions filled by individuals exercising statutory reemployment rights (e.g., return from 
the military, or restoration after being separated due to compensable injury or disability); 
c.	
positions filled by nondiscretionary action directed by a qualified legal or administrative 
body; and 
d.	
positions filled by demotion or lateral reassignment of an Agency employee (position 
may be filled by demotion, lateral reassignment or transfer of a non-Agency employee 
if there are no qualified agency employees entitled to placement consideration). 
4.	
Intervening Grades - An employee who has been downgraded more than one grade has 
placement consideration rights to all intervening grades. For example, an employee downgraded 
from a GS-12 to a GS-6, has placement consideration rights to all GS-7 through GS-12 positions 
for which qualified. 
5.	
Higher Grade Positions - Where the vacancy for which the downgraded employee is qualified is 
in a higher grade or has higher promotion potential than that previously held, the downgraded 
employee must compete for the position under normal competitive requirements, including 
following any application procedures (such as those prescribed in a vacancy announcement). 
6.	
Affirmative Employment Action - Agencies shall operate the plan in a manner that is consistent 
with affirmative employment principles. 
7. 
Placement Plan Requirements 
a. 
In the Washington, D.C. Metropolitan Area the Placement Plan operates as follows: 
July 1993 
U.S. Department of Agriculture Personnel Manual 
Page 9 
(-)A-4 
DPM-335 
Exhibit 1 
APPENDIX A - GENERAL REGULATORY PROVISIONS 
(1)	
An employee who has been placed in a lower grade position through no fault of 
his or her own, as a result of one of the covered actions, has repromotion 
placement rights within his/her Agency for 2 years. 
(2)	
Agencies shall maintain a repromotion placement list of all their downgraded employees, 
and also establish a repromotion placement file containing a SF-171 for each employee 
and document all considerations of the employee within the Agency and through referral 
to other USDA Agencies. Records of considerations must be retained for 2 years or until 
the employee is repromoted, whichever occurs first. 
(3)	
Agencies must consider qualified downgraded employees before staffing a vacant 
position by any other means. This means that the competitive procedures of the 
Department's Merit Promotion Plan will not be used before noncompetitive consideration 
of these employees. 
(4)	
The Agency must document its reasons for not placing a downgraded employee in a 
vacancy. Fully documented reasons must be retained in the repromotion placement file. 
The reasons must be job-related. 
(5)	
Repromotion job offers must be made in writing, allowing the employee no less than 
7 working days to respond. 
(6) 
Downgraded employees who refuse repromotion to a position the grade and pay of 
which 
is equal to or greater than the position from which demoted in their commuting area are 
to 
be removed from the placement list and their benefits under grade and pay retention 
terminated. Employees must be notified of this requirement in the offer of repromotion 
and 
again after any refusal. 
b.	
In the field, the plan operates in the same manner as in the Washington, D.C. Metropolitan Area 
except: 
(1) 
Downgraded employees shall have repromotion placement rights in all USDA Agencies 
in 
their usual and normal commuting area; and 
2)	
The employee's servicing personnel office will be responsible for establishing priority 
placement lists and sending a SF-171 to other USDA Agencies in the commuting area. 
8. Compliance 
Agency activities in placement of employees downgraded through no fault of their own will be subject 
to regular reviews by the Office of Personnel. If it is determined that an employee has been 
improperly 
denied repromotion in his/her Agency, he/she shall have mandatory repromotion rights within that 
Agency. An Agency considering denying repromotion rights to a basically qualified 
downgraded employee is cautioned to do so only for the most compelling of reasons. 
NOTE: The terms downgraded, employee downgraded through no fault of his/her own, employee 
reduced in grade, employee who has been placed in lower grade -- all have the same meaning. 
U.S. Department of Agriculture Personnel Manual 
July 1993 
Page 10 
CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT

APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN

INTRODUCTION 
This Appendix contains the Department Merit 
Promotion Plan. 
B-1. GENERAL 
The Office of Personnel Management (OPM) has 
established provisions governing when competitive 
procedures must be used in filling competitive 
service positions by means of promotion and other 
inservice actions. 
Management officials, as the implementers of the 
Merit Promotion Plan, have a special responsibility 
for ensuring that violations do not occur either by 
error of design. 
B-2. COVERAGE OF THE DEPARTMENT MERIT 
PROMOTION PLAN 
This Plan covers promotions through GS/GM 15 
and similar pay schedules, and any prevailing rate 
schedule in the competitive service. 
B-3. OBJECTIVES OF THE PLAN 
a. To bring the best qualified candidates to the 
attention of Management; 
b. To give employees an opportunity to receive fair, 
equitable, and appropriate consideration for higher 
level jobs; 
c. To provide an incentive for employees to 
improve their performance and develop their 
knowledge, skills and abilities; and 
d. To support diversity in the work force. 
The Plan does not guarantee that employees will be 
promoted, nor does it require that a vacancy be 
filled by promotion. 
B-4. RELATIONSHIP TO FEDERAL MERIT 
PROMOTION POLICY 
The Federal Personnel Manual, at FPM Chapter 
335, Subchapter 1, Section 1-4, describes five 
requirements of the Office of Personnel 
Management (OPM) for assuring that promotions 
(and selections that could lead to promotions) in 
the competitive service are made on a merit basis. 
These requirements are, in part, based on an 
agreement with the Department of Labor, the 
Department of Commerce and the Equal 
Employment Opportunity Commission as to when 
selection procedures are valid. The Department 
Plan repeats each OPM requirement and then 
establishes procedures for their implementation. 
B-5. RELATIONSHIP TO UNIFORM GUIDELINES 
OPM’s guidance in FPM Supplement 335-1 is 
consistent with the requirements of the Uniform 
Guidelines on Employee Selection Procedures, a 
copy of which is provided in Appendix A of the 
Supplement. Parts of the Uniform Guidelines are 
quite technical in nature and are not meant for use 
by those not familiar with the methods of 
establishing validity. 
There are two concepts in the Guidelines, however, 
with which Agencies should be familiar: adverse 
impact and the requirements for dealing with it. 
Only selection procedures that do not have 
adverse impact may be used unless the procedure 
is shown to be valid and no reasonable alternative 
exists. Where an Agency determines adverse 
impact exists, the Agency must: 
a. Modify or eliminate the procedure which 
produces adverse impact; 
b. Consider alternatives which will achieve 
legitimate business purposes with less or no 
adverse impact; or 
c. Justify the use of the procedure on grounds of 
“business necessity.” This is done by conducting a 
validation study. Business necessity may also be 
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U.S. Department of Agriculture Personnel Manual 
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APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
justified by showing that job requirements are

necessary for the safe and efficient operation of the

Agency and cannot be learned within a reasonable

period of time. [Appendix C of this Chapter

contains additional information on evaluation practices.]

B-6. AGENCY SUPPLEMENTS

Each Agency must issue a supplement to this Plan.

Where options are provided in the Department's

Plan, the Agency Supplement must address what

option or options the Agency will follow.

In addition, Agencies are encouraged to adopt

systematic and equitable procedures to implement the

Plan at the servicing personnel office level. Agency

supplements should be limited to the guidance

necessary to implement the objectives of this Plan.

B-7. RELATION OF AGENCY SUPPLEMENTS

TO THE DEPARTMENT PLAN

The fact that Agencies issue their own supplements

does not mean the Agency Supplement is a separate

merit promotion plan. The Department's Plan

encompasses Agency Supplements and provides the

framework in which Agencies specify such specifics

as career ladders, areas of consideration, and other

Agency specific procedures. For this reason,

Agency Supplements may not deviate from the

Department Plan without the Office of Personnel's

approval.

B-8. DEFINITION INSTRUCTIONS

Attachment 5 contains the definition of terms used in

this Plan. Wherever these terms are used, they will

be italicized. OPM defined terms are included for

convenience and are in bold italics. Agencies may

add definitions for terms used in their supplements,

but they may not change the definitions provided

herein.

U.S. Department of Agriculture Personnel Manual 
July 1993 
Page 12 
CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
SECTION I. SELECTION BASED ON MERIT 
Part A. OPM Requirement 1. 
"Each agency must establish procedures for promoting employees which are based on merit and are 
available in writing to candidates. Agencies must list appropriate exceptions, including those required by 
law or regulation. Actions under a promotion plan - whether identification, qualification, evaluation, or 
selection of candidates - shall be made without regard to political, religious, or labor organization 
affiliation or nonaffiliation, marital status, race, color, sex, national origin, nondisqualifying physical 
handicap, or age, and shall be based solely on job-related criteria." 
Part B.  Application of Competitive Procedures 
1. 	 Subject to the exceptions explained in B.2. and 3. below, competitive procedures must be applied 
to: 
a. 
Actions processed as promotions (including term promotions); 
b.	
Reassignment, reinstatement, transfer or demotlon to a position with more 
promotion potential than the position last held in the competitive service (except as 
required by reduction in force regulations); 
c. 
Transfer to a higher grade position; 
d. 
Reinstatement to a permanent or temporary position at a higher grade than the person 
held in a nontemporary position in the competitive service; 
e.	
Selection for training where a training agreement substitutes training for normal 
qualification or time in grade requirements or when the training is part of a promotion 
program (see Chapter 410, Subchapter 3-6c); 
f.	
Selection for detail for more than 120 days to a higher grade position or to a position with 
known promotion potential; 
g.	
Selection for temporary promotions for more than 120 days to a higher graded position 
(see FPM 335, 1-5a(1) for further discussion of temporary promotions); and 
h.	
Any combination of f. and g. where total service would exceed 120 days during the 
previous 12 month period. 
2.	  The competitive procedures of the plan need not apply to (Agency Supplements will address the 
use of these provisions): 
a. 
Career promotions, which are: 
(1) 
Promotions without current competition when an employee was 
previously 
selected from an Office of Personnel Management certificate (or a list of eligibles 
prepared by an Agency having delegated examining authority), or under 
competitive promotion procedures for an assignment intended to prepare him/her 
for the position being filled. The intention must be 
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U.S. Department of Agriculture Personnel Manual 
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APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
made a matter of record, and career ladders must be documented in the 
promotion plan); and 
(2)	
Promotions resulting from an employee's position being classified at a higher 
grade because of additional duties and responsibilities when the following 
conditions are met: 
(a) 
the employee continues to perform the same basic functions; 
(b)	
the major duties of the former position are absorbed into the 
new position; 
(c) 
the new position has no further promotion potential; 
(d)	
no other positions within the organizational unit are adversely affected; 
and 
(e) 	
the new position is not a reclassification from nonsupervisory to a lead or 
supervisory status. 
b. 	
Reinstatement, transfer, promotion (including temporary or term), reassignment or 
change to lower grade provided: 
(1)	
the position to be filled is at no higher grade than that previously held on a 
permanent basis under a career or career conditional appointment; 
(2) 	
the position has no promotion potential beyond that of the employee's current 
position or the potential is not more than the highest grade previously held; and 
(3) 	
the employee was not demoted or separated from that grade because of 
deficiencies in performance or "for cause" reasons. 
Service in other merit systems covered by FPM Chapter 315, sections 6-2 and 6-3 is 
included in this exception. [See FPM Letter 335-16 for additional information.] 
c.	
Temporary promotions or details to a higher grade position of 120 days or less 
(Note: see 1h). 
3. 
The competitive procedures of the plan will not apply to: 
a.	
A promotion resulting from the upgrading of a position without significant change in 
duties and responsibilities due to issuance of a new classification standard or the 
correction of an initial classification error; 
b. 
A position change permitted by reduction in force regulations (see FPM Chapter 351); 
c.	
Repromotion to a grade or position from which an employee was demoted without 
personal cause and not at his/her request (acceptance of a demotion in lieu of reduction 
in force or relocation in a transfer of function is not considered a demotion at the 
employee's request); 
d.	
A career ladder promotion following noncompetitive conversion of anyone participating in 
the Veterans Readjustment Act (FPM Chapter 307), the Handicapped Program (FPM 
Chapter 306), or Student Program (FPM Chapter 308); and 
e. 
A selection based on priority consideration. 
U.S. Department of Agriculture Personnel Manual 
July 1993 
Page 14 
CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
SECTION II. AREA OF CONSIDERATION 
Part A. OPM Requirement 2 
"Areas of consideration must be sufficiently broad to ensure the availability of high quality candidates taking 
into consideration the nature and level of the position covered. Agencies must also ensure that 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 on intergovernmental (sic) 
Personnel Act assignments, receive proper consideration for promotion." 
Part B. Terms and Implications of the Requirement 
1. Areas of Consideration. 
a.	
Are described in terms of position titles, pay plans, series and grades plus the organizational 
or geographical boundaries. 
b.	
Will be addressed in Agency Supplements by: 
(1) identifying the minimum areas of consideration; and 
(2) describing when and how the established minimum area will be expanded. 
d.	
Agencies must consider affirmative employment goals and obligations when establishing 
areas of consideration. 
2. 	
Methods of Locating Candidates. 
Any method which meets the requirement in Part A may be used. 
Appropriate methods include (but are not limited to): 
a. 
Vacancy announcements 
b. 
Skills files

c. 
Some combination of a and b

d. 
Agency procedures for absent employees

Attachment 1 contains additional information on the use of these optional methods.

3. 
Consideration of EmpIoyees. 
a. 	
Agency Supplements will address how applications will be treated from persons outside 
the area of consideration who: 
(1) 	are not required to compete under this Plan [a distinction may be made between 
persons employed by the Department and those not so employed]; and 
(2) are Department employees but are required to compete. 
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U.S. Department of Agriculture Personnel Manual 
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APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
b. 
Except for Career Enhancement positions, no additional restrictions may be made on 
who 
may apply or be considered within the established area of consideration for a vacant 
position. 
c.	
Personnel offices should encourage their managers to concurrently consider a wide 
variety of sources in filling their positions. 
4.	
Payment of Relocation Expenses Under Merit Promotion. Because of Comptroller General 
decisions on the meaning of the phrase "...in the interest of the Government." at 5 U.S.C. 5724(a), 
the following criteria is established for when it is not in the interest of the Government to pay 
relocation expenses pursuant to a merit promotion selection: 
a.	
The payment of relocation expenses will require the displacement of another employee 
because of budgetary constraints imposed by an authority beyond the Agency's control 
(i.e., the Department, the Office of Management and Budget or Congress); or 
b.	
If it is determined, in advance of the vacancy announcement, that the local labor market 
has produced enough high quality candidates from which selection may be made. 
Unless an Agency can clearly identify other reasons why it is not in the Government's interest to 
pay relocation expenses, Agency recruiting efforts are considered a prima facie case that such 
expenses will be paid. If there are other policy reasons why an Agency will not pay relocation 
expenses, they will be stated in the Agency Supplement. Budgetary constraints alone cannot be 
the basis for such a policy. [See Comptroller General rulings for further information.] 
5.	
Union Agreements. The area of consideration is subject to bargaining under 5 U.S.C. 71 only at 
the election of the Agency. 
U.S. Department of Agriculture Personnel Manual 
July 1993 
Page 16 
CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
SECTION III - EVALUATION OF APPLICANTS 
Part A. OPM Requirement 3 
"To be eligible for promotion or placement, candidates must meet the minimum qualification standards 
prescribed by the Office of Personnel Management (OPM). Methods of evaluation for promotion and 
placement, and selection for training which leads to promotion must be consistent with instructions in 
FPM Supplement 335-1. Due weight shall be given to performance appraisals and incentive awards." 
Part B. Terms and Implications of the Requirement 
1. Standards which Agencies have Authority to Prescribe. 
The use of an approved training agreement has the effect of establishing an alternate 
qualifications standard. Selections under training agreements are governed by the procedures 
detailed within each agreement. [See FPM Chapter 338, Subchapter 7, and DPM Chapters 410 
and 413.] 
2. Other Requirements for Promotion. 
To be eligible for consideration for a competitive promotion, applicants must meet qualification 
and performance rating level requirements, and time-in-grade restrictions, as appropriate, within 
30 days of the closing date of the vacancy announcement or the date of a skills file search. 
3. Candidate Evaluation. 
Title 5 of the U.S. Code of Federal Regulations at 300.103 provides (in part) that an employment 
practice must be based on a job analysis, that there must be a rational relationship between the 
employment practice used and the position to be filled (or the target position) and that it meets 
the standards in the Uniform Guidelines on Employee Selection. 
Both OPM and the Uniform Guidelines require that multiple measures be used to evaluate 
candidates. These measures must be based on valid job-related criteria which measure the work 
behaviors or knowledge, skills, abilities, and other characteristics necessary for successful 
performance in the position. In carrying out these mandates, evaluation practices will include the 
following: 
a. 
Conducting the job analysis before a vacancy is announced; 
b.	
Basing each rating schedule on a work behavior or knowledge, skill, and ability
(KSA) necessary for successful performance in the position being filled; 
c.	
Using a standard method of identifying best qualified candidates which consists of 
comparing applicants' qualifications against the evaluation criteria in accordance with a 
crediting plan 
or 
A simplified method to determine the best qualified (who also must be well-qualified) when there 
are 10 or fewer qualified applicants eligible for consideration. Use of a simplified method is an 
Agency option and if used must be described in the Agency supplement; and, 
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U.S. Department of Agriculture Personnel Manual 
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APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
d. 
When appropriate, reducing the number of best qualified candidates in order to certify 
a 
reasonable number to the selecting official. 
Appendix C contains additional discussion of these matters, including the standard rating scale to 
be used. 
4. Promotion Panel Membership. 
a. 
Who serves on the panel is an Agency decision, provided: 
(1)	
Each panel has a facilitator who addresses the requirements of merit promotion 
procedures and in other ways serves to expedite the process. 
(2) 
A member is not simultaneously an evaluator and facilitator. 
(3) 
At a minimum, a facilitator and one member constitutes a panel. 
(4)	
Those merit promotion panels consisting of more than one member will be 
diverse in terms of race, national origin and gender. 
(5)	
Selecting officials (or others participating in the final selection process in a 
recommending or advising role) do not serve as members. 
See Attachment 2 for more information about panel operation and membership. 
b.	
EEO and/or Union representatives should be permitted to serve as observers. [As 
observers, they do not participate in the panel deliberations, but they also may be regular 
panel members if they are subject matter experts.] 
U.S. Department of Agriculture Personnel Manual 
July 1993 
Page 18 
CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
SECTION IV. REFERRAL TO AND SELECTION BY MANAGEMENT 
Part A. OPM Requirement 4 
"Selection procedures will provide for management's right to select or nonselect from a group of best 
qualified candidates. They will also provide for management's right to select or nonselect from other 
appropriate sources, such as reemployment priority lists, reinstatement, transfer, handicapped, or 
Veterans Readjustment eligibles or those within reach on an appropriate OPM certificate. In deciding 
which source or sources to use, agencies have an obligation to determine which is most likely to best 
meet the agency mission objectives, contribute fresh ideas and new viewpoints, and meet the agency's 
affirmative action goals." 
Part B. Terms and implications of the Requirement 
1. Referral of Promotion Candidates to the Selecting Official. 
a. 
The order of referral and consideration is: 
(1)	
Repromotion placement plan candidates (referred to and considered by the 
selecting official before other candidates) [see Appendix A, Exhibit 1.]; 
(2)	
Candidates entitled to priority consideration (referral may be concurrent with 
issuance of the selection certificate); and 
(3) 
The best qualified candidates. 
b.	
Supplemental referrals of promotion candidates may be made from the same selection 
certificate for vacant positions using the same rating schedule provided: 
(1) 
the Agency Supplement explains how and when this practice will be followed; 
(2)	
the vacancy announcement states that subsequent vacancies may be filled from 
the same announcement; 
(3)	
the life of the last certificate issued is not beyond the date which is authorized as 
the maximum life for the first certificate; and 
(4) 
additional candidates are not added as best qualified. 
Referrals from standing rosters, created for filling any number of vacancies over a long 
period of time (e.g, 6 months or more), are not considered supplemental referrals. Under 
these circumstances, specific procedures are in place for identifying the best qualified for 
any given vacancy during the life of the roster. 
Attachment 3 contains additional information about the issuance use of selection 
certificates. 
2. 	 Providing RNO Information to Selecting Official. 
Agencies may share race and national origin (RNO) statistical data on the composition of the 
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APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
candidates provided such data would not enable individual candidates to be identified by RNO 
group. 
3. 
Action by the Selecting Official. 
a.	
Provide repromotion placement plan consideration and\or priority consideration to 
candidates entitled to it before considering any of the candidates on the selection 
certificate. 
b.	
If only one or two candidates are best qualified, decide whether to make a selection or 
request that the area of consideration be extended. 
c. 
Decide on whether to interview any of the referred candidates. 
d.	
Decide whether some special interviewing process will be used, such as the behavioral 
event interview. [See Attachment 4] 
e.	
Make the selection from any of the candidates on a selection certificate or from any other 
appropriate source. 
f. 
For any nonselected candidate who is entitled to priority consideration but is not 
selected, 
provide a job-related justification for the nonselection. 
g. 
Return the selection certificate to the issuing personnel office within 90 days from the 
date 
of its issuance. (Agencies may specify a shorter time frame for acting on a certificate in 
Agency Supplements), 
or 
provide justification to the Agency-designated personnel office explaining why the 
certificate is delayed. That office may extend the certificate an additional 30 days. 
U.S. Department of Agriculture Personnel Manual 
July 1993 
Page 20 
CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
SECTION V. PROMOTION RECORDS AND INFORMATION 
Part A. OPM Requirement 5 
"Administration of the promotion system will include recordkeeping and the provision of necessary 
information to employees and the public, ensuring that individuals' rights to privacy are protected. Each 
agency must maintain a temporary record of each promotion sufficient to allow reconstruction of the 
promotion action, including documentation on how candidates were rated and ranked. These records 
may be destroyed after 2 years or after the program has been formally evaluated by the OPM (whichever 
comes first) if the time limit for grievance has lapsed before the anniversary date." 
Part B.  Forms 
The following forms will be used in the promotion process: 
1. SF-52, "Request for Personnel Action" 
2. AD-735, "Evaluation of Candidates" 
3. "U.S. Department of Agriculture Recruitment Bulletin" 
Departmental forms, AD-411, "Vacancy Announcement," and AD-734, "Request for Candidates," are 
optional forms. 
Part C.  Records 
The recordkeeping requirements of this Part apply to any action processed under the provisions of this 
Plan. Forms used to document employment decisions (SF-52, SF-50, SF-187, etc.) shall record that the 
decision was or was not subject to competitive procedures and the reason(s) thereof. If the action is a 
career promotion or is made as an exception to the Plan, the appropriate FPM, Department Merit 
Promotion Plan or Agency Supplement provision must be cited. If the personnel action results from use of 
competitive procedures, the selection certificate number or vacancy announcement number is to be 
referenced on the personnel action. [See remarks codes in the Payroll/Personnel Processing Manual]. 
In addition, Agencies must maintain the following records: 
1.	 Copies of the Department's Plan and the Agency Supplement covering all positions to which 
promotions have been or are being made. 
2.	
Information required by the Office of Personnel Management on the use of written tests for 
promotion. 
3.	 The temporary record of each vacancy filled under competitive procedures must include the 
following [NOTE: Departmental forms will be used to document some of this information. The 
information can be kept in one or separate files.]: 
a. 
Identification of each position and the Agency Supplement under which it was filled; 
b.	
Description of the method or methods used to locate and identify candidates (if not 
covered by the Agency Supplement), including a copy of any vacancy announcement; 
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APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
c. 
The qualification standard used, including any Agency modifications; 
d. 
The qualification determination made on each candidate. 
e. 
Evaluation method(s) used to obtain final ratings, including: 
(1) 
the rating schedule,

(2) 
notes of the evaluation committee proceedings,

(3) 
how scores were combined,

(4) 
how awards and performance appraisals were used,

(5) 
how the best qualified were identified,

(6) 
if applicable, how and why the number of best qualified was reduced to those

certified to the selecting official, and 
(7) 
other information or guidance used to conduct the rating procedure; 
f.	
The candidate evaluations (including supervisory appraisals, test scores, SF-171's, 
resumes, rationale for individual ratings where needed to clarify scores assigned, etc.); 
g. 
Names of candidates with the score accorded by the evaluation panel; 
h. 
Names of candidates who were in the group from which selection was made; 
i.	
Name(s) of employee(s) selected, and documentation in their Official Personnel Folder to 
show: 
(1)	
Whether the promotion was made under competitive procedures, as a career 
promotion or as an exception to competitive promotion procedures, in which case 
sufficient justification must be available to permit determination of the 
appropriateness of the exception; and 
(2)	
That at the time of promotion the employee(s) met qualification standards and 
other legal and regulatory requirements (See Section III, Part A); and 
j.	
Numerical breakdown of candidates and employees by race, sex, and ethnic group (see 
FPM Supplement 335-1, Appendix A, Section 4.B.). Through April 30, 1994, Agencies 
may use the Form in Exhibit 1. 
4.	 The reason for extending a selection certificate, the date of the request and the date of approval 
filed with the returned certificate. 
5. Records supporting the validation of a selection instrument still in use. 
Part D. Employee Information 
1.	 A copy of this Plan, including the Agency Supplement(s), will be distributed to each employee. If 
an Agency Supplement is the only document distributed, the Agency must be able to show that it 
contains all the information to which their employees are entitled. Agency officials shall be 
available, at the employee's request, to discuss the highlights of the Plan. 
2.	 Agencies shall provide timely notification to their employees about changes to this Plan and to 
Agency Supplements, including where copies of the updated Plan or Supplement may be 
obtained and to whom they should address any questions. 
U.S. Department of Agriculture Personnel Manual 
July 1993 
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CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
3. Employee's may request the following additional information from their personnel offices: 
a. 
About the Plan. 
(1) 
Explanations of any part of the Plan.

(2) 
Details of supporting regulations.

(3) 
The qualifications required for covered positions.

(4) 
Details of the evaluation techniques. [Exempts rating schedules if divulgence

would compromise process for filling similar future vacancies.] 
b. 
About a specific action. 
(1) 
If they were considered.

(2) 
If they were basically qualified.

(3) 
If they were grouped among the best qualified.

(4) 
Who was selected.

(5) 
What they might do to improve their chances of promotion.

(6) 
Their own appraisals used in the action.

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APPENDIX B – DEPARTMENT MERIT PROMOTION PLAN

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Attachment 1 
CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
METHODS OF LOCATING CANDIDATES AND OBTAINING APPLICATIONS 
[Amplifies on OPM Requirement 2] 
A. 
LOCATING CANDIDATES 
1. Vacancy Announcements. 
a.	
Agencies may use Form AD-411, Vacancy Announcement, or an alternative means to 
post vacancies. At a minimum, a vacancy announcement must contain the following 
information: 
(1) 
name of Agency and announcement number; 
(2)	
position title, series and grade (plus number of positions, if filling more than one 
position); 
(3) 
promotion potential, if any; 
(4) 
location of position; 
(5) 
area of consideration, and grade levels being considered; 
(6)	
opening and closing dates. Applications will be considered filed on the closing 
date if they are received by the close of business on that date or if they bear a 
U.S. postmark for that day. Also include any other information on the acceptable 
means of transmitting application materials; 
(7)	
statement of duties and qualifications requirements, including a statement that 
candidates will be considered who will be qualified within 30 days of the closing 
date of the announcement; 
(8) 
criteria, including knowledge, skills, and abilities or work behaviors, on which 
employees will be evaluated (this will enable agencies to give potential 
applicants 
precise information on how they will be evaluated); 
(9)	
if a supervisory or managerial position, indicate that person must serve a 
probationary period if they have not held a supervisory position in the past; 
(10) 
address, phone number, and contact person (if applicable) for making 
application; 
(11) 
Equal Employment Opportunity Statement (Candidates will be considered 
without 
discrimination for any nonmerit reasons, such as, race, religion, sex, national 
origin, marital status, politics, disability, age, or membership or nonmembership 
in 
an employee organization); 
(12)	
a statement of a decision by an Agency not to incur relocation expenses if a 
candidate is selected for an assignment involving a change in duty station. 
(13)	
a statement that submitted materials will not be considered if a KSA or work 
behavior description is more than 2 pages single spaced or if the material is not 
requested (such as position descriptions); and 
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Attachment 1 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
(14)	
a statement on what material must be submitted, the acceptable form of the 
material (resumes vs. SF-171's, Agency forms for KSA's, etc.) and the 
acceptable means of transmitting material. 
b. 
When extending consideration for promotion Departmentwide, or to all available 
sources, 
Agencies must put the vacancy in the USDA Recruitment Bulletin. The following 
procedures apply to using the Bulletin: 
(1)	
Agencies must submit their announcement information to the Office of Personnel 
by electronic mail. There are several alternative methods for doing this. A users' 
guide has been issued to Agencies explaining each method. Whatever method is 
employed, the period for submitting vacancy information is from Wednesday 
afternoon through the following Tuesday afternoon. Vacancies not received in 
this 
time frame will not be included in the next USDA Recruitment Bulletin. 
(2) 
Vacancies will open on the Monday following the submission deadline. The 
Bulletin establishes no closing date so Agencies must place a date in the 
"Closing 
Date" block of the electronic form. 
(3)	
Agencies must assume responsibility for adding, deleting, or correcting 
addresses on the Automated Mailing List (AML) for the USDA Recruitment 
Bulletin and insuring that local copies of the Bulletin are distributed on a timely 
basis. Agencies must submit appropriate forms for additions, deletions, or 
corrections to the Office of Operations. Copies of these forms are to be sent to 
the Job Information Center, Office of Personnel. Agencies' field offices should 
request changes to the AML through their Agency Headquarters Personnel 
Office. In constructing their mailing lists, Agencies are reminded of their 
responsibility to include organizations that will aid them in meeting their 
affirmative action goals. 
c.	
In addition to using the Department's recruitment bulletin, Agencies are free to use other 
mechanisms (e.g., the Federal Job Opportunity Listing) for distributing vacancy 
information as long as each mechanism ensures applicants receive all the required 
information. 
d. 
When advertising a position at multi-grades, the announcement should require 
candidates 
to specify the lowest grade they will accept. 
2. Skills Files. 
a. 
Agency provides information from official records. 
(1) 
The files must be maintained on a complete, accurate and up-to-date basis. 
(2)	
The office maintaining the files carries the responsibility for showing they provide 
the information necessary to make selection decisions. 
(3)	
Such files are limited to those Agency employees who are entitled to 
consideration under Requirement 2 of the Plan. 
b. 
Employee provides information. 
(1) 
Such files are, in effect, applicant supply files for promotion. 
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Attachment 1 
CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
(2)	
The office maintaining the files bears the responsibility for showing that updated 
information is filed accurately and on a timely basis. Agency Supplements will 
cover the timeliness issue if this option is used. 
c. 
Some combination of a. and b. where the responsibilities of each party are made clear. 
3. 
Identifying Absent Employees Who Are Entitled to Consideration. 
Any method which ensures entitled employees have the opportunity for promotion consideration 
may 
be adopted provided: 
a. 
It affords employee's a reasonable amount of time to file any documents they are 
required 
to submit; and 
b. 
It identifies who is responsible to take what action. 
This matter will be addressed either in the Agency Supplement or in a memorandum of agreement 
with the affected employee. 
B. OBTAINING APPLICATIONS 
The Office of Personnel does not set policy or interpret laws which govern the means by which Agencies 
may accept applications for internal placement purposes. 'Me Office of Operations and the Office of 
Information Management advise that Agency management is free to set its own rules on using any 
equipment, software packages, communications lines or mails of the Federal Government provided they 
are consistent with published Departmental policies and Federal laws on such matters. In some 
instances, these determinations may be dependent on a finding that the proposed use is in the interest of 
the Federal Government. Each Agency is responsible for making and defending its policies on application 
preparation and acceptance. Whatever decisions are made, the policy on acceptable means of 
transmitting applications must be clearly stated in the vacancy announcement. 
July 1993 
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Attachment 2 
CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
MERIT PROMOTION PANEL MEMBERS' AND FACILITATOR'S GUIDE 
[Amplifies on OPM Requirement 3] 
A. INTRODUCTION 
This Attachment serves as a guide and checklist for panel members and personnelists, and others 
serving as facilitator for a panel. It includes information on the role of panel members and the role of the 
facilitator. It applies both to the standard and any Agency-developed simplified evaluation method. 
B. PANEL FACILITATOR 
1. Selection of the facilitator. 
Only a person fully trained in personnel staffing and capable of exercising good judgment should be used 
in this capacity. The panel facilitator serves as the panel's technical advisor on all matters relating to the 
merit promotion process and other personnel questions which arise during the panel's deliberations. As 
such, the facilitator is responsible for the integrity of the evaluation process. 
2. Specific duties of the facilitator include: 
a. 
being familiar with Agency and Department Merit Promotion Plans; 
b.	
assuring that panel members are subject-matter experts and capable of objectively 
evaluating candidates; 
c.	
briefing panel members on the position to be filled, the rating process, and their 
responsibilities; 
d.	
reminding panel members to consider only the information presented by the applicant or 
other authorized source (using personal knowledge is inappropriate and such knowledge 
may not be shared); 
e. 
taking immediate corrective action where panel deliberations are subjective and 
improper; 
f.	
being available during the process to respond to questions and concerns by the panel 
members and follow up to obtain additional clarifying information, as appropriate; 
g.	
stressing to the panel members the need for confidentiality of the rating material and 
panel deliberations unless there is an official investigation; 
h.	
providing the information needed to prepare a list of the best qualified candidates for 
referral to the selecting official; 
i.	
being prepared to respond to the queries of nonselected candidates about the process. 
(See DPM 335, Appendix B, Section V); and 
j. 
ensuring that proper procedures have been followed. 
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Attachment 2 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
C. MERIT PROMOTION PANEL MEMBERS 
The evaluation of candidates is a difficult and demanding segment of the merit promotion process. It 
requires panel members who are capable of a high degree of objectivity and able to do a comprehensive 
assessment of the information about each candidate as it relates to the job to be filled. As both the 
careers of the candidates and the needs of the service are involved, nothing less than the best job a 
panel member can do is expected. Persons selected to serve as panel members should be at or above 
the grade level of the position being filled. 
Merit Promotion Panel members must: 
1. be subject matter experts and familiar with the Merit Promotion Plan and Agency Supplement; 
2.	 become familiar with the case by reviewing the vacancy announcement (if applicable), position 
description, and evaluation criteria prior to evaluating candidates. At this point, panel members 
raise questions with the panel facilitator concerning any information that appears to be confusing 
or unclear. Questions may be raised before as well as during the evaluation process; 
3. have a clear understanding of the rating and ranking process; 
4.	 consider only the information on candidates that is presented, e.g., application, supplemental 
qualifications questionnaires, performance appraisals, incentive awards, etc. Personal knowledge 
about a candidate must not be used or discussed in the rating process; 
5.	 decline further participation if panel member believes personal knowledge of candidate will 
preclude him/her from making objective/accurate assessment of candidate's abilities; 
6.	 review all work experience, training, awards, latest appraisals, etc., in the application package in 
comparing candidate's qualifications against the evaluation criteria and arrive at a rating level for 
each criterion; 
7.	
if consensus rating is being used, have open discussions with other panel members to resolve 
major differences in the rating of candidates and come to an agreement on the score which will 
indicate those to be certified as best qualified; and, 
8. document decisions by completing and affixing signature and date on appropriate rating forms. 
Appendix C of this DPM Chapter also discusses the use of subject matter experts. 
D. CONFIDENTIALITY 
The proceedings of a merit promotion panel are to be considered as confidential. Anyone divulging 
information about these proceedings, except as required in the course of official business, will be subject 
to disciplinary action. 
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Attachment 3 
CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
ISSUANCE AND USE OF SELECTION CERTIFICATES 
[Amplifies on OPM Requirement 41] 
A. ISSUANCE 
These rules should be followed in issuing selection certificates alone or in combination with referrals of 
other candidates: 
1.	 The names of all best qualified candidates are transmitted alphabetically (or in some random 
order) to the selecting official on an appropriate Agency form. 
2.	 The applicant material used by the panel to determine the best qualified are to be attached. 
Selecting officials should not be given the AD-735, "Evaluation of Candidates." 
3.	 Candidates from separate sources should be clearly identified; i.e., lateral noncompeting 
candidates, reinstatement eligibles, best qualified candidates, VRA eligibles, etc. 
4.	
If the position was advertised at more than one grade, different certificates should be issued for 
each grade or candidates grouped separately by grade on the same certificate. In any event, it 
should be clear to the selecting official the grade level for which the candidates are to be 
selected. 
B. USE 
While a selecting official is not required to make a selection from the certificate, it is improper to return a 
certificate unused simply in order to obtain another certificate at a later date. Selecting officials should be 
asked to document the reasons for not using a certificate, as a means of. 
1.	 assessing the ability of the promotion process to supply high quality candidates and whether any 
corrective action is possible; and 
2. 
identifying any patterns of abuse, including any violation of equal opportunity principles. 
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Attachment 4 
CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
BEHAVIORAL EVENT INTERVIEWING (BEI) 
[Amplifies on OPM Requirement 4] 
Behavioral event interviewing is a technique used to obtain information about KSA's that other means of, 
assessment cannot adequately provide or where qualitative information from other sources needs to be 
substantiated. Information is extracted by having each best qualified candidate interviewed by a panel 
using a structured interview process. During the interviews, candidates illustrate their competencies by 
describing their behavior in significant events. The BEI process is predicated on the belief that the best 
predictor of future behavior is past behavior. 
Use of the BEI is most likely to improve the reliability of the selection process when filling higher level 
management positions. However, as with any such process, the design and conduct of the interview 
process will determine its value. 
Properly used, the BEI can give the selecting official a better picture of the relative strengths and 
weaknesses of the best qualified candidates, and, thus, address the question of relative "job fit." As a 
result, it should improve the reliability of the selections. The BEI is not designed or intended to rerate, 
rerank or pare the candidates on the Best Qualified list. The information provided to the selecting official 
may have the effect of eliminating from further consideration some candidates, but this is a result of the 
selecting official's weighing the information provided rather than a direct result of the process itself 
Selecting officials need not conduct the interviews, but they need to be provided with the results on all 
candidates to ensure full and proper consideration. 
A behavioral event interview has the following characteristics: 
* Using a structured process. 
* During the interview, the candidate demonstrates his/her competencies by describing their behavior 
in 
significant events. 
* 
Trained interviewers conduct the sessions. 
* 
Judging and recording whether the interview confirms possession of a KSA or performance of a task. 
*	 Recording any information needed to support the judgment of an interviewer or composite report from 
a panel. 
Agencies interested in using this process are encouraged to contact the Office of Personnel for further 
information on what is involved in conducting these kinds of interviews. 
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Attachment 5 
CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
DEFINITION OF TERMS 
Definitions from the Federal Personnel Manual (FPM) are in quotation marks. Terms defined in this 
section are not highlighted when used in other definitions. 
1. Ability - "a present competence to perform an observable behavior or a behavior which results in 
an observable product." 
2. Adverse Impact - "a substantially different rate of selection in hiring, promotion or other 
employment decision which works to the disadvantage of members of a race, sex or ethnic group." 
3. Agency - when not included in a quoted definition, is a major organizational segment of the 
Department, such as the Office of Personnel, Rural Electrification Administration, etc. When included 
in a quoted definition, it is a federal agency such as the Department of Agriculture. 
4. Area of consideration - "...is the area in which the agency makes an intensive search for eligible 
candidates in a specific promotion action. The minimum area of consideration is the area designated 
by the promotion plan in which the agency should reasonably expect to locate enough high quality 
candidates, as determined by the agency, to fill vacancies in the positions covered by the plan. 
(When 
the minimum area of consideration produces enough high quality candidates and the agency does 
not 
find it necessary to make a broader search, the minimum area of consideration and the area of 
consideration are the same.)" [Note: The FPM uses the term agency to mean Federal agency or 
department; e.g., the Department of Agriculture.] 
5. Best qualified candidates - "...are measured against other candidates. They are qualified 
candidates who rank at the top when compared with other eligible candidates for promotion. A 
reasonable number of the best qualified are referred for selection." 
6. Career Ladder - the range of grades in an occupational series or specialization within an 
organization which represents the levels at which all employees are given grade building experience 
and to which they may be noncompetitively promoted. There must be enough work classifiable at the 
highest grade so that there is a reasonable expectation that all employees in the given organization 
and occupational series or specialization can progress to that grade. 
7. Crediting Plan - a plan which measures each qualified candidate's degree of proficiency against 
each of the evaluation criteria identified for the vacancy. Candidates are given a score representing 
how well (s)he measures against each criterion and the scores are then combined and the best 
qualified identified according to some stated methodology. Rating schedules are a part of the 
crediting 
plan. 
8. Demotion - "is the change of an employee to a lower grade when both the old and new positions 
are under the General Schedule, or under the same wage grade schedule, or to a position with a 
lower rate of basic pay when both the old and new positions are under the same type ungraded 
schedule or in different pay-method categories." [Note: the General Schedule means GS, GM or any 
similar schedule.] 
9. Job Analysis - "a detailed statement of work behaviors and other information relevant to the job." 
10. Knowledge - "a body of information applied directly to the performance of a function." 
11. Position change - "is a promotion, demotion, or reassignment made during an employee's 
continuous 
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Attachment 5 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
service within the same agency. A position change by any of these methods may also involve a 
change of official headquarters or post of duty within the agency." 
12. Priority consideration - A one-time special consideration given to an employee as a remedy for 
action taken under competitive merit promotion procedures in which the aggrieved employee was not 
given proper consideration. 
13. Promotion - "a change of an employee while serving continuously within the same agency to a 
higher grade when both the old and new positions are under the General Schedule or under the 
same 
type graded wage schedule; or to a position with a higher rate of pay when the old and the new 
positions are under the same type ungraded wage schedule or in different pay-method categories." 
[Note: the General Schedule means GS, GM or any similar schedule.] 
14. Promotion panel - is a permanent or ad hoc committee, composed of subject matter experts and 
a facilitator, established to evaluate, compare, and rank applicants for a position. 
15. Qualified candidates - "...are those who meet established qualifications requirements for the 
position." 
16. Rating schedule - a scaled set of training, education and experience examples used to assign 
point values to those portions of the applicant's background that demonstrate possession of the work 
behavior, knowledge, skill or ability (KSA) being measured. 
17. Reassignment - "means the change of an employee, while serving continuously within the same 
agency, from one position to another without promotion or demotion." 
18. Reinstatement - "means the non-competitive reemployment for service as a career or 
career-conditional employee of a person formerly employed in the competitive service or a former 
employee who had competitive status or was serving probation when (s)he (sic) was separated from 
the service." 
19. Selective factors - "are knowledges, skills, or abilities essential for satisfactory performance on 
the job and represent an addition to the basic standard for a position." [See FPM Chapter 332 and 
Handbook X-118 for more information on selective factors.] 
20. Selection certificate - a roster containing the names of the best qualified candidates (in 
alphabetical order) from which selections for promotions may be made. 
21. Selection procedure - "any measure, combination of measures, or procedures used as a basis 
for 
any employment decision. Selection procedures include the full range of assessment techniques from 
traditional paper and pencil tests, performance tests, training programs, or probationary periods and 
physical, educational, and work experience requirements through informal or casual interviews and 
unscored application forms." 
22. Skill - "A present, observable competence to perform a learned psychomotor act." This means 
the competence is observable and measurable. An illustration of the difference between an ability 
and a skill is a person may have the ability to type but the skill to type at 60 wpm. 
23. Term promotion - a promotion that is in excess of 2 years but not more than 4 years to complete 
a designated project or assignment or as part of a designated rotational system for a definite period. 
[See DPM Chapter 981 for the conditions under which a term promotion may be made and 
extended.] 
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Attachment 5 
CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX B - DEPARTMENT MERIT PROMOTION PLAN 
24. Transfer - "a change of an employee, without a break in service of one full workday, from a 
position in one agency to a position in another agency." [Note: agency, as used here, means Federal 
agency or Department or other independent establishment.] 
25. Well-qualified - "suggests a candidate who is clearly capable of performing in a superior 
manner." 
26. Work behavior - "an activity performed to achieve the objectives of the job. Work behaviors 
involve observable (physical) components and unobservable (mental) components. A work behavior 
consists of the performance of one or more tasks. Knowledges, skills and abilities are not behaviors, 
although they may be applied in work behaviors." 
27. Validation - a concept which ..."involves the establishment of the relationship between a test 
instrument or other selection procedure and performance on the job." 
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U.S. Department of Agriculture Personnel Manual 
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CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX C - DEVELOPING EVALUATION CRITERIA FOR MERIT PROMOTION 
A. INTRODUCTION 
In developing evaluation criteria for use in merit promotion actions, Agencies must fulfill both Merit 
System principles and the requirements of the Uniform Guidelines on Employee Selection Procedures. 
This Appendix contains a brief discussion of the Guidelines as they apply to the merit promotion process 
and provides guidance for evaluating candidates. 
B. THE UNIFORM GUIDELINES - GENERAL 
The Uniform Guidelines on Employee Selection procedures (FPM Supplement 335-1, Appendix A) are a 
set of principles to assist employers in making employment decisions that comply with equal employment 
opportunity requirements of Federal law with respect to race, color, religion, sex, and national origin. They 
are designed to provide a framework for determining the proper use of tests and other selection 
procedures consistent with equal opportunity requirements. According to the Uniform Guidelines, a 
selection procedure that has an adverse impact on the employment opportunities of a race, sex, or 
ethnic group is unlawfully discriminatory unless the selection procedure can be justified on grounds of 
business necessity and it is properly validated. While the Uniform Guidelines do not require validation 
studies for selection procedures that produce no adverse impact, OPM requires that evaluation methods 
be consistent with the instructions in FPM Supplement 335-1 (which in turn is designed to be consistent 
with the standards established by the Guidelines). 
C. VALIDATION PROCESSES 
Selection procedures can be supported by three different validation strategies or some combination of 
them. Those wanting to learn more about these strategies should consult the Guidelines. Depending on 
the evaluation methodologies employed, any one of these strategies might be used to defend a selection 
procedure when the existence of adverse impact makes validation necessary. The Office of Personnel 
Management's own guidance in FPM Supplement 335-1 is largely based on the strategy of content 
validity. Similarly, the Department's Merit Promotion Plan is patterned after collecting the data necessary 
to support a content validation study. The reasons for this choice are that validating selection 
procedures on the basis of a job's content is the least expensive and easiest method to employ. 
D. CONTENT VALIDITY 
Content validity demonstrates that the content of a selection procedure is a representative sample of 
important aspects of job performance. Content validity can justify selection procedures which measure 
work behaviors and knowledges, skills and abilities when they can be directly linked to successful job 
performance. Content validity cannot, however, support selections/procedures which rely on inference 
about mental processes or measure traits and constructs (e.g., intelligence, aptitude, personality, 
common sense, judgment and leadership). [See FPM 335-1, Appendix A-6 and A-37.] 
E. DOCUMENTATION REQUIRED FOR CONTENT VALIDATION 
To support a content validation study, Agency files need to contain the information outlined in FPM 
Supplement 335-1, Appendix A, Section 15. 
July 1993 
U.S. Department of Agriculture Personnel Manual 
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APPENDIX C - DEVELOPING EVALUATION CRITERIA FOR MERIT PROMOTION 
F. EVALUATING CANDIDATES 
1. Evaluation Tools. 
These tools include, but are not limited to, the following: 
a. 
Resumes or Applications for Federal Employment (SF-171) 
b. 
Performance appraisals 
c. 
Position description for the vacancy 
d.	
Supplemental qualification questionnaire (or statements that address criteria of the job) 
supplied by candidates and/or their supervisors 
e.	
If applicable, the Qualification Analysis and Assessment of Potential for Supervisory 
Positions form (designed to facilitate the recording of judgments relating to a candidate's 
potential for success in supervisory positions) 
f. 
Crediting plans 
g. 
Interviews of applicants and their supervisors 
2. Rating Schedules. 
Appendix E of this Chapter, provides detailed guidance on one method of job analysis and the 
construction of rating schedules. What follows is a broader consideration of what a rating 
schedule is, considerations in its development and how to use it. 
a. 
The rating schedule provides the basis for: 
(1)	
Evaluating basically qualified applicants to determine various degrees to which 
applicants have demonstrated a work behavior or possession of a KSA for the 
position, and 
(2)	
Assigning values to each of the applicants as a means of identifying those who 
are best qualified. 
b. 
Numbers will be used in the rating schedule. 
c. 
The following standard rating scale will be used: 
90 - Superior

80 - Fully Acceptable

70 - Minimally Acceptable

0 - No credit

d.	
How many rating scale levels for which illustrations are to be provided involves the 
following considerations: 
(1) 
The expected number of applicants and their closeness in qualifications; 
(2) 
Whether the rating element lends itself to making significant distinctions; 
(3) 
The number of rating levels which can be described in terms of different qualities 
if experience; and, 
(4) 
Whether quality factors are useful in identifying those who are more likely to 
perform successfully or superior to other candidates within the same level. 
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CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX C - DEVELOPING EVALUATION CRITERIA FOR MERIT PROMOTION 
At least one rating level must be illustrated but all levels do not have to be used. If only 
one level is illustrated, it must be either the 70 or 80 level. Illustrating only the 70 level is 
permissible when the element does not lend itself to other levels of illustration and it is 
the 
only level (other that 0) to be used. If the 80 level is illustrated, all the other levels may be 
used in the rating process provided there is some basis for determining when no credit is 
to be assigned (e.g., the qualification standard). In any event, no more than one rating 
level (above or below) may be extrapolated from an illustrated level. As in OPM 
examining practices, intra-level criteria may also be developed. 
e.	
When the illustrative level definitions are developed is a matter of Agency practice. For 
example, the illustrations may be developed by the rating panel prior to their evaluation of 
the candidates or by the servicing personnel office prior to the panel meeting. 
3. Evaluation Process. 
The evaluation process (assigning ratings to individual candidates) requires following the 
principle 
of equal treatment. This means using the same sources of information, the same kinds of 
information and applying the rating schedule in the same manner to all candidates. Standard 
instructions should be provided to all evaluation panel members. If the panel members meet 
together, it is desirable a discussion of the rating schedule take place where questions can be 
answered and agreement on the meaning of different elements can be accomplished. 
If interviewing of candidates is part of the rating process, there are special considerations which 
must be addressed. Exhibit I briefly discusses a situation where interviews are used in the 
promotion process. 
Subject Matter Experts 
A subject matter expert is someone who has an in-depth knowledge of a position, including how it 
operates and what it takes to do the job well. A subject matter expert does not have to be 
employed in the occupational group of the job being filled. In determining who and how many 
subject matter experts should accomplish the rating, the following factors should be considered: 
a. 
Technical expertise required to evaluate the candidates; 
b. 
Location of the vacancy in the organization; 
c. 
Frequency of promotion opportunities of this type occurring; and, 
d. 
Cost-benefit issues, including the number of candidates to be rated. 
Rating Sessions 
The task of rating can follow a variety of approaches. Two illustrations are: 
a. 
Panel members meet together, discuss how each candidate meets the rating criteria and 
arrive at a consensus. Only one set of ratings on each element then needs to be combined to 
produce an overall rating. 
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APPENDIX C - DEVELOPING EVALUATION CRITERIA FOR MERIT PROMOTION 
b.	
Following a conference call which establishes the illustrations to be used in the rating 
schedules, panel members do their candidate ratings independently with the final rating 
for each candidate being a composite or average of the individual ratings. 
Rating Methods 
While rating sessions normally involve assigning numerical ratings using a rating schedule, when 
only a few candidates need to be rated, a simplified method may be employed. An example of 
such a method is as follows: 
a.	
The criteria for those candidates who will be determined to be well-qualified is 
established. For example, those candidates who at least have fully successful 
performance ratings and whose possession of the KSA's clearly meets the acceptable 
level for all of the rating elements and exceeds the acceptable level on at least one of the 
rating elements. 
b. 
Someone is identified to perform the facilitator role. 
c.	
A member of the personnel office evaluates the candidates to determine basic 
qualifications and also identifies those who meet the well-qualified criteria. 
d.	
If the personnel office representative cannot determine whether the experience, 
education, or training relates to the evaluation criteria, (s)he obtains technical advice from 
someone who is more knowledgeable about the occupational field of the job. When this 
is 
done, the record should reflect the basis of any decisions made. 
Agencies should note that the Federal Personnel Manual allows best qualified candidates to be 
less than well-qualified, but it sets a higher standard for the certification of candidates resulting 
from the use of a simplified method. 
4. 
ldentifying the Best Qualified. 
Based on the definition of who are the best qualified candidates, the job of the panel (following 
the application of the crediting plan) is to determine where meaningful differences in the quality 
level of the candidates become apparent. This is not always an easy task. Whatever the basis 
chosen for making the distinction, it involves the use of judgment. That judgment should be 
based 
on the requirements of the job, which factors and at what level they are most likely to significantly 
affect the quality of the work, and the rating scale being employed. 
While use of arbitrary factors to identify the best qualified is sometimes permissible, the use of 
such factors should clearly be a last resort. Usually, the problem of not being able to distinguish 
well between candidates can be resolved by reviewing the rating schedule to see if it has been 
applied properly and then conducting another rating session. Sometimes it is even necessary to 
have those that developed the schedule revise it, such as when it is discovered the job analysis 
was inadequate or the rating scale examples were not well-developed. There are times, however, 
where the best efforts result in closely grouped candidates. Even where a number of candidates 
are sequentially only one point apart, it may be possible to determine a place at which it is no 
longer logical to say the candidates (as a group) continue to be essentially at the same level of 
qualifications. Because of the possibility that factors essential to the job may not distinguish well 
between candidates, the use of a quality ranking factor at this point may be desirable. In order to 
do this, however, the applicants must have had an opportunity to provide information about the 
factor. 
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CHAPTER 335 - PROMOTION AND INTERNAL PLACEMENT 
APPENDIX C - DEVELOPING EVALUATION CRITERIA FOR MERIT PROMOTION 
5. Reducing the Number of Best Oualified to a Reasonable Number. 
OPM recognizes that the number of best qualified may be too large a group to certify to a 
selecting official. [See FPM Supplement 335-1, Appendix B-11b(3).] Similar to the problem of 
identifying the best qualified, where there is difficulty in finding a meaningful break, the panel 
must do its best to resolve the problem another way. Reducing the number of best qualified
candidates to be certified should be a last resort. Where other means have failed, the application 
of a job-related quality ranking factor may be the best solution. 
Whatever the number of best qualified candidates, the Agency should be prepared to show that 
the number of candidates to be certified was based on some valid management-related need 
identified before the candidates were evaluated. Agencies should also keep in mind that 
improperly reducing the number of best qualified can be considered the prohibited use of a 
successive hurdle. [See FPM Supplement 335-1, S4-1a and Appendix B-2a.] 
July 1993 
U.S. Department of Agriculture Personnel Manual 
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APPENDIX C - DEVELOPING EVALUATION CRITERIA FOR MERIT PROMOTION 
INTERVIEWING AS A RATING TOOL 
Nothing in the Uniform Guidelines or in OPM's guidance prevents agencies from using interviews 
exclusively, or in combination with other rating methods to rate and rank candidates for promotion. For 
example, the assessment center process may use interviews as one of its tools. Assessment centers, 
however, are time-consuming and costly ventures and, historically, other forms of interviewing produced 
low levels of validity. 
More recently, another form of interviewing has made its way into the literature: the structured behavior 
interview. This method of rating candidates claims a high level of validity. Similar to the "Behavior Event 
Interview" discussed in Attachment 4 of Appendix B, the structured behavior interview is based on a job 
analysis. The differences appear to be the depth of the analysis, the structuring of the information from 
that analysis, the linkage made to performance elements of the job, and the development of questions 
which form the basis for a rating schedule. 
As with the "Behavioral Event Interview", its main application is seen in identifying the best candidates for 
high level managerial positions. Because the technique requires the expenditure of significant resources, 
it is also best reserved for those situations where a limited number of candidates can be expected to 
apply or the criticality of the position to the organization's success makes the expenditure worthwhile. 
U.S. Department of Agriculture Personnel Manual 
July 1993 
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