3 FAM 2300
Employment and Promotion
3 FAM 2310
hiring AND PLACEMENT PROGRAM
(CT:PER-1051; 08-03-2021)
(Office of Origin: GTM/CSTM)
3 FAM 2311 GENERAL
3 FAM 2311.1 Authorities
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
Authorities include:
· Public Law104-52 of 1995
· 5 U.S.C. 1104
· 5 U.S.C. 2301 and 2302;
· 5 U.S.C. 3301;
· 5 U.S.C. 3302;
· 5 U.S.C. 3327 and 3330;
· 5 U.S.C. 3361
· 5 U.S.C. 7106
· 5 U.S.C. 552a(k)(6);
· 5 CFR 297.501;
· 5 CFR 300;
· 5 CFR 315 and 316;
· 5 CFR 330;
· 5 CFR 335 and 337;
· 29 CFR 1607;
· Title IV, Subtitle A, of the Illegal Immigration Reform and Immigrant Responsibility Act of 1996 (IIRIRA);
· Public Law 104-208, 110 Stat. 3009, as amended (8 U.S.C. 1324a and notes);
· Delegation of Authority Number DOS-1, December 2, 2010 (as amended);
· The Office of Personnel Management Delegated Examining Operations Handbook (DEOH); and
· The Office of Personnel Management Vet Guide for HR Professionals
3 FAM 2311.2 Policy
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. This establishes Department-wide policy for the recruitment of competitive service positions under Merit Promotion (MP) and Delegated Examining (DE) Procedures. It conforms to the requirements of 5 CFR 335 and 337, and must be used in conjunction with the Department's guidance issued by the Office of Civil Service Talent Management (GTM/CSTM).
b. The objectives of this policy are to:
(1) Provide for an open, systematic and equitable assignment system that assures management that positions are filled with the best qualified individuals available and assures applicants that positions are filled according to merit system principles in accordance with Equal Employment Opportunity laws and regulations. All standards used and judgments made in identification, evaluation, qualification or selection of applicants will be based solely on job related criteria. This prohibits any consideration on the basis of race, color, religion, sex (including pregnancy, gender identity, and sexual orientation), national origin, age, disability, genetic information (including family medical history), marital status, political affiliation, labor organization affiliation or non-affiliation, parental status, personal relationships, any other non-merit based factor, or nepotism;
(2) Ensure that the Department recruits from qualified individuals from appropriate sources to achieve a workforce from all segments of society, and determine selection and advancement solely on the basis of relative ability, knowledge, and skills, after fair and open competition, which assures that all receive equal opportunity;
(3) Ensure management is aware of its right to determine the method by which vacant or newly established competitive service positions will be filled. MP and DE are not the only methods available to management in filling vacant positions in the competitive service. For example, other methods include career promotion, reassignment, and/or use of special non-competitive placement and appointment authorities. These methods may be used alone or in concert with other methods of filling vacancies; and
(4) Obtain and retain the best-qualified workforce available.
3 FAM 2311.3 Position Coverage
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. This applies to all competitive service positions in the general schedule, GS-1 through GS-15 or the wage grade equivalent. Although there is no requirement to do so, excepted service positions may also be filled through the use of Merit Promotion procedures.
b. Separate provisions for positions in bargaining units may be negotiated with the exclusive representative for the Unit and will be contained in the contract for the Unit.
3 FAM 2312 FUNCTIONAL Responsibilities
3 FAM 2312.1 The Director General of the Foreign Service and Director of Global Talent Management (DGTM)
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
Prescribes the Department’s policies to ensure HR Service Providers (HRSPs) performing MP and DE procedures comply with federal laws, rules, and regulations, including veterans’ preference. DGTM approves the establishment of HRSPs and DE Units, through delegation of authorities, and may revoke such authority based on performance or agency need.
3 FAM 2312.2 Office of Civil Service Talent Management (GTM/CSTM)
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
GTM/CSTM provides oversight, advice, and technical guidance for the Department’s Civil Service (CS) human resources (HR) recruitment and staffing operations to ensure activities are conducted in accordance with the merit systems principles, federal laws, rules and regulations, and the Departmental policies and procedures.
3 FAM 2312.3 Bureau Assistant Secretary
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
The Assistant Secretary of each bureau exercises managerial authority over their bureau’s HR operations.
3 FAM 2312.4 Bureau Executive Director (EX)
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. The Bureau EX Director provides oversight of the bureau’s HR operations. The EX Director ensures staff is held accountable for complying with applicable laws, rules, regulations and procedures.
b. The EX Director is responsible for ensuring that periodic assessments are conducted to determine if MP and DE functions are being performed accurately and effectively.
c. The EX Directors must ensure that adequate resources are available for training and development of staff performing recruitment and staffing activities.
3 FAM 2312.5 Human Resource Service Provider (HRSP)
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
The Human Resource Service Provider (HRSP) receives a delegation of authority to provide certain HR services to bureaus/offices (HRSP "clients"), and is responsible for:
(1) Adhering to the MP and DE requirements to ensure the provisions of this policy and 5 CFR 335 and 337 are met;
(2) Advising managers, subject matter experts and selecting officials about the provisions outlined in this policy;
(3) Avoiding violations of merit system principles, prohibited personnel practices and ensuring compliance with applicable laws, rules and regulations and other applicable internal policies and procedures;
(4) Ensuring public notice requirements are met in accordance with 5 CFR 330.103;
(5) Collaborating with the subject matter expert (SME) and/or selecting official to develop applicant assessment procedures which are in compliance with 5 CFR 300(a);
(6) Collaborating with the SME and/or selecting official in the development of valid and reliable assessment tools that are consistent with the technical standards in the Uniformed Guidelines on Employee Selection Procedures (UGESP), 29 CFR 1607;
(7) Partnering with the SME and/or selecting official to identify the qualification requirements for the position to be filled and provide guidance and assistance with the selection and weighting of assessment tools;
(8) Evaluating applicants based on the Office of Personnel Management (OPM) General Schedule (GS) Qualification Standards or Federal Wage (WG) System Qualifications and conducting a thorough analysis of the applicant’s application and responses to any assessment tool used (e.g., occupational questionnaire, crediting plan);
(9) Notifying all applicants of the status of their application at key stages of the application process (i.e., 4-point notification);
(10) Validating selections in accordance with laws, rules and regulations;
(11) Actively participating in the Department’s OPM mandated accountabilities review;
(12) Maintaining effective partnerships with client bureaus, hiring managers, and the Bureau of Global Talent Management ensuring clear instruction and guidance on the staffing and recruitment process is disseminated; and
(13) Monitoring the recruitment and hiring process to ensure that the business transaction remains within the Department’s hiring timeline.
3 FAM 2312.6 Client Bureau HR Office
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Advise hiring managers of various hiring flexibilities and the recruitment processes available to them. The client bureau HR Office will conduct consultation sessions with hiring managers to capture critical information of the position to be filled.
b. Submits complete recruitment packages to the HRSP and monitor the process to ensure that it remains within the Department’s established timeframes.
3 FAM 2312.7 Subject Matter Experts (SME)
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
A SME is an individual thoroughly knowledgeable about the duties and responsibilities of a specific position. A SME is normally at or above the grade of the position being filled, and is responsible for:
(1) Collaborating with the servicing HR Specialist to conduct the job analysis, developing valid and reliable applicant assessment tools (e.g., self-assessment occupational questionnaires, crediting plan), and providing input on the qualification requirements for the position to be filled;
(2) Assisting with the selection and weighting of the assessment tools and recommending any necessary selective placement factors to be considered prior to recruitment;
(3) Serving on the interview panel as a recommending official, as needed; and
(4) Maintaining confidentiality of the assessment tool(s) and applicant’s information during and following the recruitment and hiring process.
3 FAM 2312.8 Selecting Officials
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
A Selecting Official is an individual delegated the authority to make the management decision regarding who is selected for placement in a position. Selecting Officials are responsible for:
(1) Complying with merit system principles and applicable laws, rules and regulations, and avoiding prohibited personnel practices;
(2) Anticipating staffing needs and consulting with human resources to ensure timely submission of documents necessary to begin the recruitment and hiring process;
(3) Engaging in identifying the qualifications for the position to be filled and documenting the justification for use of and importance of any selective placement factor(s) used during the evaluation process;
(4) Collaborating with human resources (or providing a SME designee) to assist with the development of the job analysis;
(5) Participating in the selection and weighting of occupational questions;
(6) Complying with and understanding the provisions of this policy;
(7) Ensuring subordinates receive appropriate consideration for advancement opportunities arising during their temporary absences for leave, travel, detail, training, military service or serving in public international organizations or on Intergovernmental Personnel Act assignments when such assistance is properly requested in writing by the subordinate for known absences;
(8) Notifying subordinates by email or telephone of career advancement opportunities which occur during an unexpected absence, such as incapacitation, care of or death of a family member, etc.;
(9) Requesting and reviewing the performance appraisal of all merit promotion announcement selectees (e.g. promotions, reassignments, transfers) prior to returning the annotated certificate of eligibles; and
(10) Assessing candidates fairly and equitably (e.g. through interview panels, reference checks, writing sample analysis, etc.).
3 FAM 2312.9 Applicants
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
Applicants or employees (if applicable) are responsible for:
(1) Becoming familiar with the provisions of the recruitment process;
(2) Providing complete and accurate information regarding their qualifications for the position;
(3) Following the application procedures outlined in the JOA and submitting all the required application materials by the closing date of the JOA;
(4) Advising their supervisor in writing (hard copy or e-mail), if they want to be considered for opportunities within the office that may occur during their temporary absence for scheduled leave, travel, detail or training. In such instances, employees will ensure that they have taken the necessary steps to be able to apply for any such job opportunities; and
(5) Submitting additional information requested by the selecting official or HR Specialist used in the assessment of candidates (e.g., performance appraisal/evaluation).
3 FAM 2313 Job Opportunity Announcements (JOA)
3 FAM 2313.1 Public Notice
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
To assure that persons seeking Federal employment have the opportunity to apply, job opportunities must be listed on the USAJOBS database for every competitive service vacancy expected to last for more than 120 days in order to provide adequate notice to any U.S. citizen or national who wants to apply for a position.
3 FAM 2313.2 Source of Recruitment
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
All recruitment actions which fall under the provisions of this policy must be advertised through the Department’s automated recruitment and hiring system.
3 FAM 2313.3 Access to the Automated Recruitment System
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. The Department uses an Automated Recruitment System, and provides access to the system on an as-needed or as-appropriate basis. The HRSP Senior HR Officer has the discretion to determine the appropriate level of system access required for CS, Foreign Service (FS), and contractor employees who have a regular and reoccurring role in facilitating the recruitment and hiring process and have a need to access the automated recruitment system as a requirement of their official duties and responsibilities.
b. HRSP Senior HR Officers must ensure that the designated system users attain the requisite training and KSAs required to obtain and maintain system access. GTM/CSTM reviews and approves all requests for contractor access to the automated system.
c. When necessary, GTM/EX will provide temporary waivers of systems access requirements (maximum of 120 days) as the designated user registers for and completes the requisite training.
d. The HRSP Senior HR Officer must notify GTM/EX when a bureau designated user resigns, is terminated, or no longer needs access to the system.
3 FAM 2313.4 Area of Consideration
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. The area of consideration describes the individuals from whom the agency will accept applications to compete for the position. It may be a broad or limited group of individuals. The available areas of consideration are as follows:
(1) ICTAP/CTAP: The area of consideration is limited to eligible Interagency Career Transition Assistance (ICTAP) for displaced employees and Agency Career Transition Assistance (CTAP) for local surplus and displaced employees.
(2) ICTAP/CTAP and VEOA: The area of consideration is limited to eligible ICTAP/CTAP applicants, Veterans Employment Opportunities Act of 1998 (VEOA) eligible veterans, and Land & Base management eligible employees.
(3) Field Office: The area of consideration may be limited to the commuting area of the specific field office.
(4) Bureau Only: The area of consideration may be limited to an individual bureau when there are potentially sufficient qualified applicants, at least three, from which to select.
(5) Department of State: The area of consideration may be limited to Department employees’ agency-wide when the Department expects to generate enough highly qualified applicants from within the agency. Eligible employees include U.S. Department of State career or career conditional status employees in the competitive service; employees who are on temporary or other non-status appointments who have reinstatement or non-competitive eligibility for a competitive service appointment (e.g., tenured Foreign Service employees, employees on an excepted service appointment at the USUN who have previous career status, etc.); and U.S. Department of State CTAP eligible employees.
(6) Government-wide: The area of consideration for positions open to applicants outside the Department of State that apply through the MP process may include all status applicants, reinstatement eligible, eligible veterans, and those with noncompetitive eligibility for appointments to the competitive service.
(7) Delegated Examining (All Sources): The area of consideration is open to all U.S. Citizens or nationals.
b. Management has the right to determine the method by which vacant or newly established competitive service positions will be filled. A single area of consideration may be used alone or in concert with other methods of filling vacancies:
(1) The area of consideration for each JOA will be determined at the time of the consultation between human resources and the selecting official;
(2) The area of consideration must be broad enough to provide the selecting official with a sufficient number of high-quality applicants to consider for selection and to promote fair and open competition and maintain a diverse workforce;
(3) Qualified and available applicants must be considered for employment referral regardless of their place of residence unless a residency requirement is established by statute;
(4) The nature of work and grade level of the position and applicable requirements of negotiated agreements must be taken into account when determining the area of consideration; and
(5) JOAs that fail to yield high-quality applicants, based on assessment rating only, may be evaluated prior to the closing date and amended to extend the opening period1.
[1] The determination of high-quality is based on the applicant’s assessment rating.
3 FAM 2313.5 Travel and Relocation Expenses
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
Travel and relocation expenses will be paid only when it is in the best interest of the Department to have an individual relocated. A determination to pay these expenses must be made prior to announcing the job and documented in accordance with 3 FAM 3190.
3 FAM 2313.6 Qualifications Criteria
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Applicants will be assessed based on using the following criteria as they relate to the position being filled:
(1) Specialized experience;
(2) Knowledge, skills, and abilities (KSAs), competencies; and
(3) Selective Placement Factor (SPF) and/or Quality Ranking Factor (QRF), if applicable.
b. The use of SPFs cannot:
(1) Preclude from consideration, applicants who could perform the duties of the position.
(2) Require KSAs or competencies that could be readily learned during the normal period of orientation to the position.
(3) Restrict from consideration, applicants without prior Federal experience...
(4) Restrict placing applicants from priority placement lists established to assist in the placement of employees affected by reduction in force.
c. Generally, the Department uses interviews, assessment questionnaires, and/or subject matter expert resume panels as the primary assessment tools prior to referral. GTM/CSTM guidance outlines other assessment tools that may be used to assess applicants prior to referral without prior consultation from GTM/CSTM before use. Supplemental assessment tools can be developed by the SME or hiring official in collaboration with the servicing HR Specialist, using the job analysis and the duties of the position to measure applicant’s qualifications.
3 FAM 2313.7 Opening Periods
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. JOAs posted under MP and DE procedures should remain open for a minimum period of five (5) business days, unless the negotiated collective bargaining agreement states otherwise.
b. Monday through Friday constitute business days. When counting the number of days, it is inappropriate to include the first posted/release date of the JOA on USAJOBs if this is the same day the JOA opens. Weekends and federal holidays are not to be counted when establishing opening and closing dates, or when calculating the length of time a JOA should remain open.
c. When determining the opening period of a JOA, consideration must be given to the level of difficulty in recruiting qualified applicants, potential pool of applicants and the diversity of the workforce.
3 FAM 2313.8 Modifying the Closing Dates of Job Opportunity Announcements
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Once a JOA is posted, the public is put on notice that there is a need to fill a position, as well as the criteria and procedures to use when applying. The opening period of a JOA may not be shortened after it is posted.
b. Extending the opening period (closing date) for a justified reason is acceptable, and documentation to support the extension of the closing date must be recorded in the case file. Adding a statement to the JOA explaining the modification that occurred and that the JOA has been extended is required.
3 FAM 2313.9 Application Deadline
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. All application materials must be received by 11:59 p.m. Eastern Standard Time (EST) on the closing date of the JOA. All Department of State JOAs will provide information on submission of application materials and a point of contact’s name, telephone number and email address for information on alternate application procedures. Application materials will not be accepted beyond the closing date of the JOA unless an applicant is covered by a qualifying exception.
b. Verifiable technological difficulties/malfunctions with the Department’s automated recruitment system or USAJOBs are the only permissible exceptions that allow an applicant to be considered for a vacancy, absent required documents. Applicants are given 24-hours following contact to submit the supporting documentation showing the technological difficulties/malfunctions. The documentation must clearly indicate the date and time that the malfunction occurred.
3 FAM 2313.10 Release of Information to Applicants
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. The methods listed below will be used to keep applicants and employee organizations informed about the Department’s MP and DE Policy and its operations:
· Department Notices and the Department of State's website;
· Department guidance publications
b. The HRSP may release to applicants, upon request, information on their qualifications and assessment for the position for which applied and any other information not covered by the Privacy Act. Assessment tools (e.g., self-assessment questionnaires) are not to be released to applicants to preserve the confidentiality and integrity of the recruitment and hiring process.
3 FAM 2313.11 Alternative Application Procedures for Automated Job Opportunity Announcements
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Alternative application procedures must be initiated for individuals who do not have access to the Internet or are unable to apply via the Department automated system.
b. Applications submitted thru the alternative application procedures must be submitted and received by the HRSP no later than 11:59 p.m. Eastern Standard time (EST) on the closing date of the JOA. Applications that do not contain all the required information are incomplete and receive no further consideration.
3 FAM 2314 EvaluAtion of applicants
3 FAM 2314.1 Minimum Qualification Requirements
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. To be eligible for placement or promotion, all applicants must meet, by the closing date of the JOA, the qualification standards, as prescribed in the OPM General Schedule Qualification Standards for Positions under the General Schedule (GS), or Federal Wage System (FWS) for Trades and Labor Occupations, and selective placement factors for the position to be filled.
b. Applications must be evaluated solely upon information/documentation submitted by the applicant prior to the closing date of the JOA. Accessing the personnel records of Department employees in an effort to verify their qualifications and/or eligibility for competitively announced positions is prohibited, as it violates merit systems principles by creating an unequal evaluation process for non-Departmental applicants.
3 FAM 2314.2 Education and Experience
(CT:PER-717; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
Certain grades and occupations require applicants to possess education, experience, or a combination of the two in order to meet basic and/or specialized experience requirements. The HR Specialist is responsible for screening the application package in its entirety to determine qualifications and may not rely solely on the responses in the automated recruitment system.
3 FAM 2314.3 Applicant Assessment
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. All applicants will be assessed based on job related criteria which measures their KSAs/competencies necessary for successful performance in the position.
b. Applicants eligible for promotion, non-competitive or competitive assignment must be rated qualified after HR validates the resume and any utilized assessment methodology or assessment criteria used to assess applicants, in order to be referred to the selecting official for consideration.
c. Applicants eligible under the selection priority provisions of CTAP and ICTAP will be considered well qualified when minimum qualifications are met and with a score of 85 or higher when a self-assessment questionnaire is used; or applicants must demonstrate a moderate level of the experience and competencies required for the position when other assessment criteria is used.
d. HRSPs must accept and review applicants’ final rating reconsideration requests (i.e. eligibility and/or score for merit promotion, eligibility and/or quality category rating for delegated examining, and/or eligibility and/or final referral status for non-competitive referrals that do not involve a posted announcement) in accordance with GTM/CSTM guidance.
3 FAM 2314.4 Priority Placement Consideration
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. When a position becomes vacant, certain applicants must be given priority consideration or special selection priority when they are deemed to be well-qualified by the Department for the specific position. This consideration must be given before any other efforts are made to fill the position. They are:
(1) Surplus and displaced employees (e.g., individuals whose positions have been abolished) as defined by 5 CFR 330, Subpart F (CTAP eligible);
(2) Displaced employees, as defined by 5 CFR 330, Subpart G, who were involuntarily separated (not for cause) from a Federal agency (e.g., reduction-in-force). (ICTAP eligible);
(3) Reemployment Priority List (RPL) as defined by 5 CFR 330, Subpart B;
(4) Individuals who have not received proper consideration under Merit Promotion rules due to an administrative error. These individuals receive one-time priority consideration to any comparable job within the Bureau or entity with equivalent status for which the loss consideration occurred (same grade, same promotion potential, and same tenure as the position for which the individual lost consideration.) The individual eligible for priority consideration must be well-qualified for the position offered and the position may be in any geographic area that the individual deems acceptable; and
(5) Individuals who have not received proper consideration under DE procedures. Special placement priority is given to an eligible who was previously denied consideration due to an administrative error, law or regulatory violation (DEOH Chapter 6, Section E – Illegal Selection and Priority Consideration).
b. No applicants will be referred for employment until all priority candidates receive the priority consideration they are entitled to as outlined in 5 CFR 330, subparts B, F, and G. Other priority candidates will be handled in accordance with the guidelines prescribed in 5 CFR 330.
3 FAM 2315 CERTIFICATION, SELECTION, RECORD MAINTENANCE
3 FAM 2315.1 Certification
3 FAM 2315.1-1 Certificates of Eligibles
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Except as provided by 3 FAM 2315.1-2, certificates are issued for 20 calendar days from the date of issuance and will automatically expire if no action is taken within the allotted time frame. All certificate(s) will expire at 11:59 pm on the day of expiration. The certificate timeframe begins on and includes the date the certificate is issued.
b. The HRSP may grant a five-day extension, up to two times (up to an additional 10 calendar days).
3 FAM 2315.1-2 Exceptions to Certificate Expiration
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. An expired certificate of eligibles may only be reissued within 240 days, with a maximum 20-day lifecycle for each certificate issued, from the date of issuance of the original certificate.
b. The request to reissue a certificate of eligibles must be sent by the hiring manager to the HRSP for approval by the Senior HR Officer in the HRSP.
3 FAM 2315.2 Interviews, Selection and Release
3 FAM 2315.2-1 Interviewing and Checking References
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Interviewing and checking references are beneficial additional steps in the selection process as they provide additional information about the candidates and help to distinguish those persons likely to succeed on the job. Selecting officials are required to record and retain notes from any interviews and reference checks conducted.
b. Interviews can be conducted in a variety of formats (e.g., via telephone, virtually, in person, structured or unstructured, individual or panel interview, etc.).
c.The selecting official has the option of interviewing all, some, or none of the applicants being considered (unless the position is covered under a negotiated bargaining unit agreement, or supplemental GTM guidance). In instances where the position is covered by a negotiated bargaining unit, the applicable union agreement governs.
d. The selecting official must ensure the following:
(1) All applicants selected for interview are treated equally and in accordance with applicable rules and regulations;
(2) Interview questions are jobrelated and designed in a manner that determines the candidate’s ability to perform satisfactorily in the position;
(3) If an interview panel is used, the panel must be comprised of SMEs who are direct hire employees of the Federal government and are at the same grade or higher than the position being filled. The candidates who have been selected for an interview must be notified that a panel interview is being conducted. Contractors (including Personal Services Contractors) are not permitted to serve on interview panels.
3 FAM 2315.2-2 Auditing Certificates of Eligibles
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
All certificates of eligibles, whether used or unused must be audited in the automated staffing system. For DE certificates, another HR Specialist must conduct the audit.
3 FAM 2315.2-3 Notification of Selection
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
In accordance with the delegation of authority, the HRSP will notify the Selectee(s) and non-Selectee(s) of the final results of the selection process within the Department’s hiring timeframes.
3 FAM 2315.2-4 Release for Placement
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Upon receiving a written notification of a selection decision, the office, which issued the certificate of eligibles, will take appropriate action to arrange a release date with the losing Bureau HR office or agency.
b. For all Department of State employees selected for promotion under this policy, the release date will be at the end of the first full pay period following the date the release is requested. For actions other than promotions, a longer period may be allowed; however, the release date should be no longer than two full pay periods following an official request to the losing office for a release date, unless the gaining office agrees.
c. All placements are subject to security clearance requirements, as well as medical and ethics clearances as necessary.
3 FAM 2315.2-5 Waiting Period to Re-Advertise
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. When re-advertising MP and DE JOAs, in which a certificate of eligibles has been issued, a 30-calendar day waiting period is required.
b. Exceptions to the waiting period are:
(1) The area of consideration has expanded (e.g., Government-wide to All Sources, DOS Only to Government-wide, etc.);
(2) All the candidates listed on the certificate fail to respond, or withdraw from consideration, and there are no additional qualified applicants to refer;
(3) More than one selection is being made and there are no additional qualified candidates to refer;
(4) No applicants have applied or there are no qualified applicants to refer to the selecting official;
(5) A selection is made and the selectee declines the offer after the certificate expires; and
(6) When significant changes are made to the assessment criteria or methodology (e.g., crediting plan, job analysis, etc.).
3 FAM 2315.2-6 Tentative and Final Offer Letters
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. The terms and conditions of the tentative offer of employment must be clearly communicated to all selected candidates. In order to ensure consistent communication amongst all HR Offices, the Tentative and Final Offer Letter Templates must be used for all CS candidates to whom a tentative and/or final offer has been extended.
b. HRSPs may add content to the Tentative and Final Offer Letter Templates to provide additional information to the selected candidates (i.e., position and/or bureau-specific information); however, none of the template language may be deleted.
3 FAM 2315.2-7 Rescission of Tentative Offers
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Personnel Security Related Rescission
(1) The Department reserves the right to rescind tentative offers of CS employment if the candidate’s Electronic Questionnaire for Investigation Processing (e-QIP) application is not completed within 30 calendar days from the date the candidate was notified that e-QIP is accessible for completion.
(2) Absent extenuating circumstances, a selected candidate must be afforded a minimum period of six months for the personnel security process to take place before a tentative offer may be considered for rescission. If the applicant’s security clearance is denied and he or she is undertaking an appeal of that determination, the HRSP must seek further guidance from L/EMP.
(3) If the requested interim or full security clearance is still pending after more than six months but less than one year from the date DS started the background investigation, the hiring manager may request approval to rescind the tentative offer via a written request through the bureau's Executive Director to the GTM/CSTM Director.
(4) If the requested interim or full security clearance is still pending after one year from the date DS started the security clearance investigation, the hiring manager, with concurrence from the bureau’s Executive Director, may independently rescind the tentative offer following the rescission procedures.
b. Other Rescissions. There may be other reasons to rescind a tentative offer, not related to the applicant's personnel security. For example, an applicant's failure to communicate with hiring personnel, respond to records and information requests, or pass suitability assessments may lead to the rescission of a tentative offer letter. Those should be discussed with the HRSP and L/EMP.
c. All tentative offer rescission letters must be cleared by L/EMP before sending to the selected candidate, and all documentation associated with the request to rescind the tentative offer must be kept in the recruitment case file.
3 FAM 2315.2-8 Probationary Period for New Supervisors
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
All persons selected for a supervisory position who have not previously served as a supervisor or manager for a period of one year will be required to complete a probationary period. Service in a supervisory or managerial position under a temporary appointment or temporary promotion is creditable toward completion of probation, but only if there is no break in service.
3 FAM 2315.3 Entrance on Duty (EOD)
3 FAM 2315.3-1 Employment Eligibility Verification Program (E-Verify)
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. HRSPs are required to verify the employment eligibility of citizen and non-citizen temporary and permanent new hires and transfers from outside the Department to the CS and FS, Presidential and Political Appointees, Foreign Service Family Reserve Corps (FSFRC), domestically hired Family Members (FMA) and Personal Services Contractors (PSC) through the Department of Homeland Security’s (DHS) E-Verify system. This does not apply to overseas local hires (i.e., Locally Employed Staff – foreign national or U.S. citizen).
b. HRSPs must ensure E-Verify cases are properly adjudicated and adhere to E-Verify timeframes.
c. If verification issues occur, the HRSP must review the E-Verify Further Action Notice with the employee, advising of the appropriate action and timeframe to resolve the verification issue.
d. If an employee is unable to resolve non-verification issues or does not contest non-verification, the employee will be terminated.
3 FAM 2315.3-2 Administering the Oath of Office
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. As designated by the Secretary of State, the DGTM is authorized to administer Oaths of Office, or any other oaths required by law in connection with employment with the Department of State. As provided by the Designation, DGTM delegates to the HRSPs the authority to administer the Oath of Office to new CS employees.
b. Upon request or in accordance with existing delegations of authority, DGTM designates the incumbents who hold the following official positions of record in a HRSP, as authorized to administer the Oath of Office or any other oath required by law in connection with conducting CS employment entry on duty requirements:
(1) Bureau Executive Directors;
(2) Deputy Executive Directors;
(3) Senior Human Resource Officers;
(4) Human Resource Specialists;
(5) Human Resource Assistants;
(6) Directors, Deputy Directors and HR Staff in field offices and facilities;
(7) Administrative Officers where there is no HR Staff; and
(8) Employees acting in any of the above positions.
c. HRSPs must maintain the names of all individuals in the above noted positions who will be administering the Oath of Office to newly hired CS employees. Once an employee departs from the bureau or no longer performs this function, their designation is no longer valid.
d. In the event authorized Agency officials are not available, the Oath of Office may be administered by a Notary Public or other Federal officials authorized to administer oaths (5 U.S.C. 2903).
e. Appointment Affidavits are required for all new CS appointments to the Agency (including transfers from other Agencies, reinstatements, restorations, and reemployments).
f. The Oath of Office is not required when there is a change in an employee’s status, as long as service is continuous within the Department, when the employing office or Agency changes as a result of transfer of function (Realignment or Mass Transfer action) or for reassignments within the Department.
g. This delegated authority may be amended or revoked by DGTM, at any time, with or without prior notice.
3 FAM 2315.3-3 Onboarding
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Offices with delegated authority to administer the Oath of Office must ensure there is an effective on-boarding process in place for conducting orientation and EOD sessions for their new employees. EOD Orientation Sessions may be conducted off-site with the HR Office’s participation in-person, via phone, videoconference, and/or email if there is an authorized official on duty to perform the Oath of Office and sign the EOD paperwork. HRSPs are responsible for training client bureau personnel on certifying EOD forms. If the client bureau is not local, the Bureau HR Specialist must send the EOD paperwork via overnight mail to the HRSP.
b. In the rare case an individual other than a Department official is administering the Oath of Office (i.e., Notary Public), the supervisor of the employee shall be responsible for the submission of the entry on duty paperwork, including the Standard Form 61, Appointment Affidavit, and the Form I-9 to the servicing HRSP, as stated above.
3 FAM 2315.3-4 Effective Dates
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. The Standard Form (SF) 61, Appointment Affidavit, must be administered to each new CS employee on the effective date of the employee’s appointment or the first workday following appointment. This form is not to be completed until after the employee is officially sworn in. If, for any reason, the new employee refuses to sign the SF-61, the employee will not be permitted to render service, and the appointment will be cancelled immediately.
b. Effective dates for new Department employees must be established on the first day (Sunday) of the pay period regardless of whether or not the next day is a holiday. This applies to any employment appointment permanent mechanism used (i.e., transfer, reinstatement, new appointment, etc.). New employees must attend an EOD session and be sworn in on the next normal business day.
c. Effective dates for employees hired as Reemployed Annuitants or Experts and Consultants are effective on the first day that the employee reports for duty and is sworn in.
d. Tentative and Final Offer Letters must reflect the appropriate appointment effective date and EOD report date.
3 FAM 2315.4 Case File Maintenance and Records Retention
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. In accordance with federal case file maintenance regulations (5 CFR 335.103), DEOH Appendix C, and the Department's Record Disposition Schedules, DE case files must be maintained for three (3) years and MP case files for two (2) years following the closing date of JOA or after the case file has been formally evaluated by GTM/CSTM/A or OPM, whichever comes first; and the time limit for an agency grievance, compliant, appeal, or litigation has lapsed, or any proceedings related to the records has closed.
b. Each HR Office with delegated authority must maintain a record of each recruitment and placement action taken under DE and MP procedures. Appropriate supporting documentation must be sufficient to allow reconstruction of the action taken and reflect how the applicants were assessed.
c. All recruitment documentation must be kept in a secured environment (i.e., electronically maintained in the automated recruitment system, locked file cabinet or safe) and must not be disclosed in the JOA or otherwise made available to candidates or others without a need to know. Violations may result in the cancellation of the JOA.
d. Case files for JOAs posted in the Department’s automated recruitment and hiring system must be maintained electronically in that system.
e. Case file documentation for JOAs posted on the agency’s behalf (i.e., by OPM HR Solutions), must be maintained electronically in a secured environment (i.e., secure shared drive folder).
f. Case files selected for auditing/review must be provided in hardcopy if requested by examiner(s).
3 FAM 2315.5 Grievances, EEO Complaints, Appeals, and Compliance
3 FAM 2315.5-1 Grievances
(CT:PER-1051; 08-03-2021)
(State only)
(Applies to Civil Service Employees Only)
a. An employee may file a grievance with the Department to contest the effects of an employment practice administered by the Department on the grounds that the practice violates a basic requirement in 5 CFR §300.103. Non-selection from among a group of properly rated and certified applicants, however, is not an appropriate basis for a formal grievance.
b. For non-bargaining unit CS employees, the grievance shall be filed and processed under the Agency's grievance system set forth in 3 FAM 4700.
c. For bargaining unit CS employees, the grievance shall be filed and processed under the negotiated grievance procedure established in the collective bargaining agreement applicable to the employee.
3 FAM 2315.5-2 EEO Complaints
(CT:PER-1051; 08-03-2021)
(State only)
(Applies to Civil Service Employees Only)
Applicants or employees may file a complaint with an agency when they believe that an employment action discriminates against them on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age (as defined by the Age Discrimination in Employment Act of 1967, as amended), disability, genetic information (including family medical history), or in retaliation for engaging in protected EEO activity. Pursuant to 29 CFR 1614 and 3 FAM 1500, employees may initiate an EEO complaint under the EEO complaints process by consulting a designated EEO Counselor or by contacting the Office of Civil Rights (S/OCR). Employees may be prohibited from filing a formal EEO complaint if a grievance has already been filed about the same matter, but may still seek informal counseling.
3 FAM 2315.5-3 Appeals
(CT:PER-1051; 08-03-2021)
(State only)
(Applies to Civil Service Employees Only)
Pursuant to 5 CFR 300.104, for MP and DE:
(1) Employment practices. A candidate who believes that an employment practice which was applied to him or her by OPM violates a basic requirement in 5 CFR §300.103 is entitled to appeal to the Merit Systems Protection Board under the provisions of its regulations.
(2) Examination ratings. A candidate may file an appeal with OPM from the candidate's examination rating or in response to rejection of the candidate's application, except that, where OPM has deleted examining authority to an agency, the candidate should appeal directly to that agency. The appeal and supporting documents shall be filed with the agency office that determined the candidate's rating.
3 FAM 2315.5-4 Compliance
(CT:PER-1051; 08-03-2021)
(State only)
(Applies to Civil Service Employees Only)
a. GTM/CSTM/A is charged with performing Department Human Capital Accountability Reviews (HCARs), Delegated Examining Reviews, and various targeted reviews to ensure the Department and bureau human capital (HC) programs and policies adhere to MSPs and other personnel laws and regulations, including the proper use of delegated personnel authority, as outlined in the Department's Human Capital Accountability Policy and Plan.
b. At the conclusion of the review process, an overall rating is assigned to the HRSP or DEU with recommended and/or required actions.
c. When review findings result in an "unacceptable" rating, the Agency takes one of the following actions:
(1) If it is determined that recruitment activities are not being performed in accordance with applicable laws, rules, regulations, or policies and procedures, DGTM will require the bureau with delegated authority to take corrective action within 30 days after notification of audit findings.
(2) When necessary, GTM/CSTM/A may conduct additional periodic reviews to ensure that corrective action has been taken.
(3) A bureau’s delegated authority to conduct competitive recruitment may be terminated by OPM or DGTM with or without advance notice.
3 FAM 2316 Merit promotion
3 FAM 2316.1 General
3 FAM 2316.1-1 Competitive Merit Promotion (MP) Procedures
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
Competitive procedures apply to all promotions under 5 CFR 335.102 and to those actions detailed in 5 CFR 335.103(c)(1).
3 FAM 2316.1-2 Exceptions to Competitive Merit Promotion Procedures
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
Exceptions to competitive procedures can be found in 5 CFR 335.103(c)(2) and (3). Based on the discretionary authority provided at 5 CFR 335.103(c)(3), the Department excepts the actions listed under that section from competitive procedures.
3 FAM 2316.2 Merit Promotion - Non-Competitive Eligibles
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Non-competitive applicants are those who have acquired non-competitive eligibility under a specific appointing authority and current/former employees in the competitive service applying for a position having promotion potential no higher than the position they currently hold or previously held on a permanent basis, and who meet minimum qualifications requirements and any selective placement factors.
b. Non-competitive applicants also include reinstatement eligible applicants who were former employees in the competitive service that apply for a position having a higher grade level or with more promotion potential than the position previously held on a permanent basis; provided that the individual has been separated for at least one year before applying for reinstatement, and the individual must have received a rating of record for his or her most recent career or career-conditional position of at least Fully Successful (or equivalent) per 5 CFR 335.103(c)(3)(viii).
c. The Department may hire candidates using non-competitive hiring authorities (e.g., 5 CFR 315 subparts F, etc.) that do not require the candidate to apply to a competitive JOA. Although the candidate is not required to apply to a competitive JOA, if the candidate chooses to apply, they may be selected from the non-competitive certificate of eligibles. HRSPs must ensure candidates entitled to selection priority, e.g. RPL, CTAP and ICTAP, are given their selection priority prior to hiring non-competitive eligibles.
d. Some non-competitive hiring authorities are time-limited while others are indefinite. In instances where the non-competitive hiring authority is time-limited and therefore expires, HRSPs must appoint the candidate prior to the expiration of the non-competitive eligibility, unless the Department has granted an extension to the candidate’s eligibility.
3 FAM 2316.3 Temporary Promotion
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Employees serving in career, career-conditional, or term appointments are eligible for temporary promotion in the competitive service.
b. An employee selected for a temporary promotion must receive advance written notice of the terms and conditions of the appointment. The Statement of Understanding, Regarding Conditions of Time Limited Promotions, DS-3027, when completed and signed, will fulfill this requirement.
c. To be temporarily promoted, an employee must meet all qualification requirements for the position, including time-in-grade and specialized experience.
d. Promotions for 120 days or less may be made without competition. Promotions for more than 120 days - must be made with competition. Competitive procedures must also be followed to extend a time-limited promotion that was initially limited to 120 days and for which no prior competition was held.
e. Service in noncompetitive assignments is cumulative. All service during the preceding 12 months in higher graded positions reached without competition (either through noncompetitive details or temporary promotions) counts toward this 120-day maximum.
f. A temporary promotion may last for any specified period of time not-to-exceed 5 years. Any service beyond this 5-year maximum must be specifically authorized by the Office of Personnel Management in consultation with GTM/CSTM.
g. Extensions of a temporary promotion may be made in one-year increments or less, up to, but not exceeding the 5-year limitation. Any extensions beyond the date agreed to in the initial Statement of Understanding must be approved by the employee’s home Bureau and effected prior to the expiration date of the temporary promotion.
h. A temporary promotion may be made permanent when (1) the appointment was originally made using competitive procedures; and (2) the possibility of a permanent promotion was stated in the JOA.
3 FAM 2316.4 Details to Higher Graded Positions
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. A detail is a temporary assignment to a different position for a specified length of time. There is no formal change in position. The employee continues to hold the position from which he or she is detailed and keeps the same status and pay.
b. Employees may be detailed to unclassified duties or, in some instances, to established positions.
c. The detail of a Department employee to an established civil service position within the Department at a higher grade or to one with greater promotion potential for 120 days or less may be made without competition. The detail of a Department employee to a higher graded civil service position within the Department or to one with greater promotion potential for more than 120 days (or a series of details totaling more than 120 days) must be made competitively in accordance with MP procedures. Details to SES positions must be in accordance with 5 CFR 317.903 and must be approved by the Executive Resources Board (ERB).
3 FAM 2316.5 FS TO CS Conversion
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Tenured Foreign Service employees may only non-competitively convert to Civil Service positions in response to genuinely compelling humanitarian circumstances.
b. Requests for conversion of Foreign Service employees without competition must be made in writing through GTM/CSTM to DGTM. Requests must be sent the Director of GTM/CSTM a minimum of thirty days prior to the proposed effective date of the action.
3 FAM 2316.6 Reemployed Annuitants (REA)
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. An individual who retired under a retirement system for Federal employees may be reemployed in any appointive or elective position for which they are qualified.
b. Generally, the Department reemploys annuitants on temporary appointments on an intermittent basis to fulfill mission functions. Bureau HR Offices and supervisors must certify that the employment need is temporary and that the proposed appointment meets the regulatory time limits, as generally noted in 5 CFR 316.401(c) and (d).
c. REA employees who are designated as a Special Government Employee (SGE) may be provided appointment flexibility under 18 USC 208 and 18 USC 203, but are not exempt from these statutes.
d. Under no circumstances can a REA employee remain a Federal employee when serving as a contractor performing the same duties of the temporary position.
3 FAM 2316.7 Merit Promotion and Placement - Applicant Eligibility
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. The following are eligible to be considered through Merit Promotion procedures, subject to the Area of Consideration as defined in 3 FAM 2313.4
(1) Applicants on career or career-conditional appointments provided they have completed the 90-day time-after-competitive appointment requirement;
(2) Applicants on temporary or other non-status appointments who have reinstatement or non-competitive appointment eligibility;
(3) Applicants in the excepted service under an OPM approved interchange agreement;
(4) Applicants eligible under the Veterans’ Employment Opportunity Act;
(5) Applicants with reinstatement eligibility or non-competitive appointment eligibility (e.g., certain Peace Corps volunteers and, AmeriCorps VISTA, disabled veterans, persons with disabilities, Veterans’ Recruitment Appointments, eligible family members, military spouses, and employees serving on limited non-career appointments covered by 5 CFR 315, Subpart F; and
(6) Applicants on Excepted Service appointments to the extent permitted by their appointment (e.g., tenured Foreign Service Officers, refer to 5 CFR 315.606).
b. No applicant or employee may receive a promotion unless the most recent rating of record is "fully successful" or an equivalent level or higher.
c. All applicants must meet regulatory time-in-grade and time-after-competitive appointment requirements by the closing date of the JOA.
3 FAM 2316.8 Merit Promotion and Placement Certification
3 FAM 2316.8-1 Merit Promotion and Placement – Certification of Competitive Eligibles
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Competitive applicants must meet the minimum qualifications for the position and be considered best qualified to be referred to the selecting official. The number of candidates to be referred to the selecting official will vary and may be determined by the factors below:
(1) The largest gap between scores; and
(2) The number of positions to be filled.
b. The largest gap between the scores must be determined first. In the event the largest gap cannot be determined and there is a high volume of applications (i.e., 30 or more), qualifications analysis should be performed on at least the first 15 applicants or more, if necessary, for multiple positions. Those who are deemed qualified must be referred to the selecting official for consideration.
c. When the scores of the lowest scoring applicants for referral are tied, all qualified applicants with tied scores must be referred to the selecting official for consideration.
d. The Department recommends the referral of a minimum of three to five candidates on a competitive certificate to ensure the selecting official has been afforded a sufficient number of candidates for consideration.
e. The number of referred candidates will vary from case to case; however, the referral of fewer than three candidates should be rare. HRSPs are encouraged to conduct qualifications analysis on additional applicants when the initial review yields fewer than three candidates.
f. The best-qualified candidates will be listed on the Merit Promotion Certificate in alphabetical order.
g. The factors used to certify the competitive candidates must be clearly defendable and documentation supporting the applied methodology must be maintained in the merit promotion case file.
3 FAM 2316.8-2 Merit Promotion - Certification of Non‑Competitive Eligibles
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Non-competitive applicants must meet the minimum qualifications for the position and be considered best qualified to be referred to the selecting official. Best-qualified criteria for non-competitive applicants is pre-determined based upon the type of assessment methodology applied. When using an applicant self-assessment, the best-qualified applicants are those that achieved a score of 93 points or higher.
b. Best-qualified non-competitive applicants are listed in alphabetical order on a separate certificate from the competitive applicants.
c. Where applicable, a non-competitive certificate must be issued with the competitive certificate.
3 FAM 2317 delegated examining
3 FAM 2317.1 General
3 FAM 2317.1-1 General
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Delegated Examining Authority is granted by OPM to agencies to fill competitive civil service jobs using OPM’s competitive examining procedures prescribed in 5 CFR Part 337.
b. Under the provision of 5 U.S.C. §1104, as amended by Public Law 104-52 of 1995, OPM entered into an Interagency Agreement with DOS granting the Department the authority to conduct delegated examining. This agreement authorizes the Department to perform DE activities through its Delegated Examining Units (DEUs).
c. All DEUs must also ensure compliance with the merit systems principles in 5 U.S.C. 2301, prohibited personnel practices 5 U.S.C. § 2302, Uniform Guidelines on Employee Selection Procedures, veterans’ preference and the Department’s hiring timeframes.
3 FAM 2317.1-2 Delegated Examining Unit (DEU)
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. HRSPs must establish a separate Delegated Examining Unit (DEU) that is responsible for all delegated examining activities and establish standard operating procedures (SOP) for administering delegating examining responsibilities, including quality control measures;
b. Each DEU must include a DE certified Human Resources Specialist and be managed by a GS-12 or higher team leader or supervisor.
c. Each DEU is required to designate a GS-12 or higher HR Specialist as the DEU Coordinator, and all DE practitioners must maintain their DE certification.
d. Each unit must develop a numerical control log to record and track information pertaining to requests for competitive examining cases to ensure compliance with OPM and the Department's reporting requirements;
e. Each unit will use Category Rating as the method for evaluating/assessing applicants. The Department’s category rating system is based on three quality categories: Highly Qualified, Well Qualified and Qualified;
f. All staff assigned to perform delegated examining activities as a regular part of the job must have this responsibility reflected in their Employee Performance Plan, Progress Review and Appraisal Report. The delegated examining responsibilities must be annotated as a Staffing and Recruitment critical element.
3 FAM 2317.2 Delegated Examining - Competitive Procedures
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
HR Offices who have been delegated DE authority may fill competitive civil service positions through a competitive process open to all U.S. citizens and nationals for:
(1) Applicants applying from outside the Federal workforce
(2) Federal employees who do not have competitive service status
(3) Federal employees with competitive service status
3 FAM 2317.3 Delegated Examining - Accepting Applications
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Generally, complete application packages must be received by the closing date of the vacancy announcement.
b. Under specific circumstances, HRSPs may grant extensions to provide alternative filing and consideration procedures to the closing date of the JOA for:
(1) 10-Point preference eligibles;
(2) Applicants unable to file because of military service or hospitalization following military discharge;
(3) Persons unable to file because of overseas service with a Federal agency or international organization (e.g., Peace Corps);
(4) Federal Government employee who is a member of the military reserves unable to file because of extended military duty;
(5) Preference eligibles who have successfully appealed a furlough or discharge; and
(6) Preference eligibles who have been furloughed or separated without delinquency or misconduct and who applies within 90 days after furlough or separation.
c. Late applications from persons who are 10-Point preference eligibles must be accepted and processed up until the time the certificate is issued. 10-point preference eligible applications received after the certificate is issued will not be reviewed or included unless additional names are requested by the selecting official.
3 FAM 2317.4 Delegated Examining - Applicant Assessment and Ranking
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. All applicants will be assessed based on job related criteria which measures their KSAs/competencies necessary for successful performance in the position.
b. Applicants eligible for competitive assignment must be rated qualified after HR validates an applicants’ eligibility in order to be referred to the selecting official for consideration.
c. Applicants eligible under the selection priority provisions of CTAP and ICTAP will be considered well qualified with a score of 85 or higher when a self-assessment questionnaire is used, or by demonstrating a moderate level of the experience and competencies required for the position when other assessment criteria is used.
d. Applicants will be assessed and placed in one of three the defined categories (Highly Qualified, Well Qualified and Qualified), and ranked according to preference eligibility and non-preference eligibility.
3 FAM 2317.5 Delegated Examining - Veterans Preference
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Preference eligible veterans receive absolute preference within their assessed quality category and must be listed ahead of non-preference eligibles when issuing certificates. Veterans preference must be adjudicated in accordance with OPM’s DEOH and Vet Guide.
b. The HRSP may refer veterans and non-veterans in the highest quality group based on a review of the number of highly qualified veteran candidates in that group.
c. The selecting official may not select a non-preference eligible over a preference eligible unless a request to pass over the preference eligible in accordance with 5 U.S.C. 3318, is submitted and the request is approved. Approval to pass over a preference eligible candidate with a compensable service-connected disability of 30 percent or more must be requested through GTM/CSTM for review and approval prior to OPM submission.
3 FAM 2317.6 Delegated Examining - Category Rating
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Category rating increases the number of qualified applicants a manager has to choose from while preserving veterans’ preference rights. Under category rating procedures, applicants who meet basic minimum qualification requirement established for the position and who job-related competencies for KSA have been assessed are ranked by being placed in one of three quality categories.
b. Quality categories reflect the requirements to perform the job successfully and to distinguish differences in the quality of applicants’ job-related competencies/KSA. The selecting official and servicing HRSP must establish and define the quality categories prior to issuing the JOA.
3 FAM 2317.7 Delegated Examining - Certifying Eligibles
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. Within each quality category, all preference eligibles are placed ahead of non-preference eligibles and must follow the "order of selection" set forth in 5 U.S.C. 3313, 5 CFR Part 330, and the OPM Delegated Examining Operations Handbook.
b. An audit must be performed by a HR Specialist other than the issuing HR Specialist on certificates within three business days of receipt from selecting official to ensure compliance with legal and regulatory selection rules and procedures.
3 FAM 2317.8 Delegated Examining - Merging Categories
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
a. A hiring manager may request to merge the highest quality category with the next lower quality category when there are fewer than three eligibles in the highest quality category. The newly merged category becomes the new highest quality category, and all preference eligibles must be listed ahead of all non-preference eligibles.
b. The selecting official may not select a non-preference eligible unless the selecting official obtains approval to pass over the preference eligible in accordance with 5 U.S.C. 3318.
c. The decision to merge can be made before or after the certificate of eligibles has been issued, as long as the decision is documented prior to the selection. Once categories are merged, they cannot be unmerged.
3 FAM 2317.9 Delegated Examining - Suitability
(CT:PER-1051; 08-03-2021)
(State only)
(Applies to Civil Service Employees Only)
a. Under delegated authority from OPM, and in accordance with 5 CFR Part 731, the Department has authority for adjudicating suitability in cases involving applicants for and appointees to competitive service positions.
b. OPM retains jurisdiction in all competitive cases involving the following:
(1) Evidence of material, intentional false statement in examination or appointment; or
(2) Deception or fraud in examination or appointment; and
(3) Refusal to furnish testimony as required by 5 CFR 5.4.
c. In the instances above, the case must be referred to OPM for resolution.
3 FAM 2318 Definitions
(CT:PER-1051; 08-03-2021)
(State Only)
(Applies to Civil Service Employees Only)
Audit: The process by which the certifying action is taken on a returned Certificate of Eligibles by the Human Resources Office to comply with legal and regulatory selection procedures.
Category Rating: An alternative rating, ranking, and selection method which has a minimum of three quality categories.
Certified Eligible: An applicant whose application package is assessed as qualified by meeting eligibility requirements, and whose name is placed on the certificate of eligibles.
Competitive Service: All civilian positions (1) in the Executive branch not specifically excepted from civil service laws or statute and not in the Senior Executive Service; and (2) all positions in the legislative and judicial branches and in the government of the District of Columbia specifically made subject to the civil service laws by statute.
Field Offices: Domestic offices of the Department of State outside the Washington, D.C. metropolitan area.
Job Analysis: Systematic, documented analysis of a position to be filled to identify the basic duties and responsibilities; the KSAs and level of competence required to perform those duties and responsibilities; and the factors important in evaluating candidates.
Job Opportunity Announcement (JOA): A document informing potential applicants of a vacancy. JOAs describe the requirements of the job and instruct applicants how to apply for the vacancy.
Knowledge, Skills, and Abilities (KSAs): The attributes required to perform a job as generally demonstrated through qualifying experience, education, and/or training. Knowledge is a body of information applied directly to the performance of a function. Skill is a present, observable competence to perform a task proficiently. Ability is a present competence to perform an observable behavior or a behavior resulting in an observable product.
Merit System Principles: Nine basic standards governing the management of the Executive branch workforce. The principles are part of the Civil Service Reform Act of 1978 and can be found at 5 U.S.C. 2301(b).
Minimum Qualifications: Qualifications that an applicant must possess to receive consideration for a position.
Priority Consideration: A special order of consideration for placement given to an eligible who was previously denied consideration due to an administrative error, law or regulatory violation.
Prohibited Personnel Practices: Employment-related actions that are banned in the federal workforce because they violate the merit system through some form of employment discrimination, retaliation, improper hiring practices, or failure to adhere to laws, rules or regulations that directly concern the MSPs (5 U.S.C. 2302(b)).
Promotion: Change of an employee to a higher grade or to a position with a higher rate of basic pay or higher representative rate.
Promotion Potential: Possibility of further promotion without the need for further competition (e.g., a position filled at an entry or mid-level within an established career ladder).
Qualification Requirements: Experience, training, and/or education specified in OPM’s Qualification Standards Handbook for a specific occupation and any selective placement factor(s) established for a particular position.
Qualified Candidates: Applicants who meet all established minimum eligibility and qualification requirements, including the qualification standards outlined in the OPM General Schedule Qualification Standards for Positions under the General Schedule or Federal Wage System for Trades and Labor Occupations; any selective placement factors identified for the position; time-in-grade; time-after-competitive appointment; and competitive status if applicable.
Quality Categories: Grouping of individuals with similar levels of job-related KSAs or competencies.
Quality Ranking Factor: KSAs identified on the JOA for the positions to be filled, that could be expected to significantly enhance performance in a position, but unlike selective factors, are not essential for satisfactory performance.
Rating and Ranking: Determining best-qualified candidates based on the degree each candidate meets the ranking factors (KSAs/competencies) of the position.
Rating Procedure: A documented process with specific criteria for making consistent and job-related determinations about the relative qualifications of applicants for a position.
Reemployment Priority: A mandatory program which gives selection priority to former permanent competitive service employees who were separated by RIF or fully recovered from a compensable injury after more than one year of absence due to the injury.
Selective Placement Factor: KSA or special qualifications that are in addition to the minimum requirements in a qualification standard, but are determined to be essential to perform the duties and responsibilities of a particular position. Applicants who do not meet a selective factor are ineligible for further consideration.
Self-Assessment Occupational Questionnaire: A type of measurement tool that is used to consistently and fairly evaluate the job-related competencies/possession of KSAs of applicants.
Specialized Experience: Experience that has equipped the applicant with the particular KSA to perform successfully the duties of the position and is typically in or related to the work of the position to be filled.
Temporary Promotion: An assignment to a higher graded position for a limited period of time. Once the temporary promotion is concluded, the employee is returned to their previous position of record or to a position of equivalent grade and pay.
Time-in-Grade: The 52-week requirement Federal employees in competitive service GS positions at grades 5 and above must serve before they are eligible for promotion (advancement) to the next grade level.
Veterans’ Preference: A special privilege that entitles qualifying veterans to certain advantages in consideration for Federal employment.
Well-Qualified Candidate: A merit promotion, CTAP, or ICTAP eligible whose job-related competencies/possession of KSAs clearly exceed the minimum qualification requirements for the announced position. The Department defines well qualified as scoring at least 85 if only a self-assessment occupational questionnaire is used to assess applicants.