PURPOSE

This guidance implements 5 U.S.C. § 3319, which authorizes Federal agencies to use alternative procedures in assessing applicants for employment using category rating and selection procedures. Managers, in coordination with their human resources offices, may use category rating to rate and rank candidates for any competitive service position, including wage grade and temporary/term positions.

This authority may not be used to fill excepted service positions. However, consistent with 5 CFR part 302, Department of Justice (DOJ) components that routinely examine for such positions may develop procedures similar to category rating. Components wishing to do so should forward a copy of any procedures to the Justice Management Division, Personnel Staff, Human Resources Policy.

Additional information is available on the OPM website at:  http://www.opm.gov/employ/category_rating/faq.asp

GUIDANCE

The following guidance will facilitate the implementation of these provisions for components.

To use category rating procedures, managers and human resources offices must:

• Be adequately trained in administration and selection under the category rating process;



• Create and distinguish three quality categories: Best Qualified, Highly Qualified, and Qualified;



• Define each quality category, prior to the vacancy being advertised, through a job analysis that uses level of job competencies or the level of demonstrated knowledge, skills, and abilities (KSA) required for the job as a basis for each definition. Job analysis must conform with the "Uniform Guidelines on Employee Selection Procedures," located at 28 CFR § 50.14 and 5 CFR part 300;



• Place in the vacancy announcement a statement informing all applicants that category rating and selection procedures will be used along with a description of each category;



• Clearly differentiate the relative quality of eligible candidates and place qualified applicants into one of the three quality categories:
  
  
  1. Best Qualified
  2. Highly Qualified
  3. Qualified



• Category rating certificates must contain the names of all candidates in the highest quality category with veterans listed ahead of non-veterans. List eligible candidates within preference groups (veterans and non-veterans) in alphabetical order.



• Where there are fewer than three candidates in the highest quality group, that group may be merged with the next lower quality category. Merging quality categories is optional. When merging quality categories, preference eligibles from the next lower category are placed above the non-preference eligibles in the newly merged quality category.



• Apply veterans' preference as prescribed in 5 U.S.C. § 3319(b) and (c)2, and as referenced below:
  • Place all veterans at the top of their category ahead of non-veterans;
  • Place veterans with a compensable service-connected disability of 10 percent or more who meet the basic qualifications in the Best Qualified category for all positions with the exception of scientific and professional positions at the GS-09 (or equivalent) or higher;
  • Process objections to a preference eligible using the procedures in Chapter 6 of OPM's Delegated Examining Units Handbook;
  • Veterans' preference points as prescribed in 5 U.S.C. § 3313 are not applied in category rating.



• When filling multiple vacancies from one certificate and there is an insufficient number of candidates in the Best Qualified category, the human resources office may refer candidates from the Highly Qualified category. Officials may not select a candidate from the Highly Qualified category if there are still Best Qualified candidates available.



• The "rule of three", in accordance with 5 U.S.C. § 3318, does not apply when using category rating.

DOCUMENTATION AND REPORTING REQUIREMENTS

All components with delegated examining authority must establish documentation and record keeping procedures that are consistent with the requirements of OPM's Delegated Examining Units Handbook.

In accordance with 5 U.S.C. § 3319(d), DOJ must report annually to Congress the use of category rating and selection procedures. Therefore, every March 31st and September 30th components shall submit its usage of category rating to the Justice Management Division, Personnel Staff, Human Resources Policy.

• the number of employees hired using category rating procedures;
• an analysis of the effect of category rating and selection procedures on the hiring of veterans and minorities, including those who are American Indian or Alaskan Natives, Asian, Black or African American, and native Hawaiian or other Pacific Islanders; and
• the way in which managers were trained in the administration of category rating and selection.

Your documentation file should include the following information:

• Position descriptions or any other material gathered to identify the task and competency requirements of the position;



• The job analysis ratings (i.e., the task, competency/KSA, and linkage ratings), the quality level definitions, and other criteria used to distinguish qualifications through the assessment process. If any other rating, ranking, or weighting of competencies/KSAs is made, you should maintain this information and its basis;



• A copy of the actual rating procedure used in accordance with 5 CFR Part 300. Also, include transmutation tables used to transmute raw scores to ratings between 70 and 100, if applicable (see Appendix J, Transmutation Tables for General Schedule Positions);



• Reference to the OPM qualification standard applied or a copy of the OPM-approved standard if it is different from the OPM qualification standard. Raters' initials and dates of qualification determinations for each applicant;



• A copy of the supplemental application form, if developed. (OMB must approve supplemental forms, and the forms must contain Privacy Act Information if the information is being collected from the general public (see 5 CFR Part 1320));



• Tie-breaking method developed from job-related criteria, if used; and



• Identification of those subject matter experts and human resource professionals who participated in the development and application of the examining plan (i.e., name, title, series, and grade).