Delegated examining (DE) authority is an authority OPM delegates to agencies to fill competitive civil service jobs through a competitive process open to all U.S. citizens, including current Federal employees. Appointments made through DE authority are subject to civil service laws and regulations designed to preserve fair and open competition, foster recruitment from all segments of society, and ensure selection based on applicants' competencies or knowledge, skills, and abilities (KSAs).

Statutory Basis

Under 5 U.S.C. § 1104, OPM has delegated to agency heads the authority to conduct competitive examinations for positions in the competitive service. DE authority covers Title 5 competitive service positions for all series and grade levels nationwide, except Administrative Law Judge (ALJ) positions. Executive Order 13843, signed July 10, 2018, moved ALJ positions to Schedule E in the excepted service; no new ALJ appointments to the competitive service may be made.

What DE Does NOT Cover

The DEOH applies to competitive examining only. It does not apply to merit promotion, the excepted service, or the Senior Executive Service (SES). Understanding this boundary is critical: if a position is being filled through merit promotion or an excepted service authority, the DEOH rules do not govern the process.

How to Obtain DE Authority — Four Steps

Step 1: The agency headquarters contacts OPM's Employee Services, Hiring Policy Office and requests DE authority.
Step 2: OPM drafts a delegated examining agreement for both parties to sign.
Step 3: OPM and the agency HR Director sign the agreement.
Step 4: OPM trains and certifies the agency personnel who will operate the delegated examining unit(s).

OPM delegates examining authority at the headquarters level. Although the agency may decide which subordinate office (DEU) carries out this authority and the extent to which the DEU exercises it, the authority itself may not be re-delegated.

A DE agreement may be terminated by either OPM or the agency with 90 days advance notice. This is a mutual right — either party can initiate termination.

However, OPM may suspend or revoke certification of an agency's delegated examining unit at any time, with or without advance notice. This is a critical distinction: termination requires 90 days notice, but suspension and revocation do not.

Why This Matters

If OPM discovers serious compliance failures during a review, it does not need to wait 90 days to act. OPM can immediately suspend the DEU's authority to prevent further harm to the merit system. The 90-day notice requirement applies only to the voluntary termination of the overall agreement, not to enforcement actions.

Even after delegating examining authority, OPM retains exclusive authority over specific matters that agencies cannot decide on their own. Understanding these retained authorities is essential because they represent hard limits on what a DEU can do independently.

OPM's Three Retained Exclusive Authorities

1. Medical qualifications determinations for preference eligibles (5 CFR § 339.306) — If a preference eligible's medical condition is at issue, OPM makes the determination, including review of a proposed disqualification of a 30% or more compensably disabled veteran on the basis of physical disability under 5 U.S.C. § 3312(b).

2. CPS 30%+ pass-over decisions (5 U.S.C. § 3318) — An agency cannot unilaterally pass over a preference eligible with a compensable service-connected disability of 30% or more. The agency must request and receive OPM approval. This is a firm statutory requirement.

3. Certain suitability determinations (5 CFR § 731.103(a); see also § 731.103(d)(2)) — Agencies handle most suitability adjudication, but three categories must be referred to OPM: cases involving material, intentional false statement in examination or appointment; deception or fraud in examination or appointment; and refusal to furnish testimony as required by 5 CFR § 5.4.

OPM Oversight Responsibility

OPM also provides training, guidance, and oversight of DE activities; certification and periodic recertification of examining staff; operating guidelines and basic technical assistance; and job information to the public through USAJOBS. OPM maintains an oversight program under 5 U.S.C. § 1104(b)(1) and may require corrective action under 5 U.S.C. § 1104(c).

A delegated examining unit has two fundamental responsibilities:

1. Ensure to the maximum extent possible that the agency's vacant positions are filled with the best-qualified persons from a sufficient pool of well-qualified eligibles, taking into account veterans' preference requirements.

2. Uphold the laws, regulations, and policies governing competitive examination and selection (5 U.S.C. §§ 3304–3319, merit system principles at § 2301, and prohibited personnel practices at § 2302).

Assessment Instruments

Agencies must develop assessment instruments in accordance with 5 CFR part 300. All assessment tools must be based on a valid job analysis and cannot collect information directly from the public without OMB approval under the Paperwork Reduction Act (5 CFR part 1320).

Recruitment & Public Notice

Agencies must recruit enough well-qualified applicants to ensure adequate competition, list all JOAs on USAJOBS (5 U.S.C. §§ 3327 and 3330), provide a suitable open period, and justify any open period of less than 5 calendar days by documenting the rationale in the examination file.

Rating, Ranking & Veterans' Preference

Agencies are responsible for screening applicants for minimum qualifications, rating applications, ranking eligibles, adjudicating veterans' preference claims, and certifying eligibles for selection consideration.

Other Agency Responsibilities

Agencies must also handle conversion to career or career-conditional employment (5 CFR 315 subpart G), exceptions to time-in-grade requirements (5 CFR 300 subpart F), and exceptions to time-after-competitive-appointment restrictions (5 CFR 330 subpart E). Additionally, agencies establish reconsideration procedures for applicants who believe they were improperly rated or ranked.

Agencies must notify applicants at four distinct points during the examining process. These notifications are not optional — they are compliance requirements that OPM audits regularly.

The Four Touch-Points

1. Application received — Acknowledge receipt of the application.

2. Application assessed (qualified or not qualified) — Notify whether the applicant meets minimum qualification requirements.

3. Referred or not referred — Notify whether the applicant has been referred to the selecting official on the certificate.

4. Selected or not selected — Notify the final hiring decision.

The DEOH does not prescribe the exact method or timing of these notifications in Chapter 1, but Chapter 4 provides detailed implementation guidance. Failure to provide proper notification is a recurring compliance finding during OPM reviews.

The timing of suitability inquiries is governed by 5 CFR § 731.103(d) and represents one of the most frequently tested areas on the DE exam. The core rule: agencies may not make specific inquiries concerning an applicant's criminal and/or adverse credit background until after a conditional offer of employment.

Permitted Before a Conditional Offer (Pre-Offer)

Agencies may inquire into: Selective Service registration, military service, citizenship status, and previous work history. These are factual, non-suitability inquiries that help establish basic eligibility.

Prohibited Before a Conditional Offer

Agencies may not make inquiries concerning: criminal background, adverse credit history, or other suitability-related information typically collected on the OF-306 (Declaration for Federal Employment). Additionally, agencies may not make pre-offer inquiries about disability (unless the inquiry is specifically job-related and consistent with business necessity), marital status, financial status, or genetic information.

Exception Process

If an agency has a business need to obtain suitability/background information before a conditional offer, it must request an exception from OPM under 5 CFR part 330, subpart M. The agency cannot simply document the business need and proceed — formal OPM approval is required.

Suitability Adjudication

Agencies handle most suitability determinations under 5 CFR part 731. However, three categories of cases must be referred to OPM: material intentional false statement, deception or fraud in examination/appointment, and refusal to furnish testimony under 5 CFR § 5.4. The suitability function may be done in the examining office, but there is no requirement that it be done there — the agency has latitude.

OPM requires all HR practitioners involved in delegated examining activities to pass a comprehensive Certification Assessment. This requirement applies to both Federal employees and employees of contractors performing DE work. Contractor certification is available only to individuals employed by firms with Federal contracts for DE services; the Federal agency must sponsor the contractor and document the contractual relationship at registration.

Three Phases of the DE Certification Program

Phase 1 — Delegated Examining Training: Training may be classroom-based, web-based, or on-the-job under a certified specialist's oversight. See the DE Certification Program Guide at www.opm.gov/deu for current prerequisites and requirements.

Phase 2 — Certification Assessment: A proctored exam administered at an independent testing facility (in-person or remote proctored). 50 multiple-choice questions, 90 minutes. Certification is valid for 3 years.

Phase 3 — Recertification Assessment: Same format as Phase 2. Register when certification is within 6 months of expiring.

Employee Movement Rules

When a Federal employee or contractor transfers between agencies, DE Certification transfers with the individual as long as it is still current. The employee and receiving agency must notify OPM through the Delegated Examining Certification Information System (DECIS).

Separation and return rules:

• Returns within 1 year of separation, certification still within 3-year window: no additional requirements beyond updating DECIS.
• Returns after more than 1 year of separation but within 3-year window: must complete the Recertification Assessment before doing DE work.
• Returns after the 3-year window has passed entirely: must pass the full Certification Assessment from scratch.

If You Fail

Staff who fail are not DE-certified until they pass. However, they may continue to carry out DE work only under the close supervision of a DE-certified individual.

All delegated examining activities must comply with the Merit System Principles (5 U.S.C. § 2301) and avoid Prohibited Personnel Practices (5 U.S.C. § 2302). These are not aspirational guidelines — they are legal requirements that OPM actively enforces through oversight reviews.

Key Merit System Principles for DE

The DEOH identifies several merit system principles as especially relevant to delegated examining:

• Principle #1: Recruitment from qualified individuals from all segments of society; selection based on relative ability, knowledge, and skills after fair and open competition (5 U.S.C. § 2301(b)(1)).

• Principle #2: Fair and equitable treatment without regard to political affiliation, race, color, religion, national origin, sex, marital status, age, or handicapping condition, with proper regard for privacy and constitutional rights (5 U.S.C. § 2301(b)(2)).

• Principle #5: The Federal workforce should be used efficiently and effectively (5 U.S.C. § 2301(b)(5)).

Prohibited Personnel Practices

Under 5 U.S.C. § 2302, it is prohibited to discriminate, coerce political activity, obstruct competition, deceive or willfully obstruct anyone from competing for employment, influence withdrawal from competition, or engage in nepotism. The Office of Special Counsel (OSC) investigates allegations of prohibited personnel practices.

Non-Merit Factors

Selection and other personnel decisions must be made without regard to any non-merit factor, including political affiliation, marital status, or residency. Residency may not be used as a factor in the rating/ranking process unless specifically established by statute (5 CFR § 300.103(c)).

Accountability Framework

Agencies must establish an internal accountability system (subject to OPM review) and conduct annual internal self-audits. Per DEOH Ch.7 C (p. 7-7), auditors must meet three requirements: (1) not involved in the DE activities of the office being audited, (2) have successfully completed DE training from OPM, and (3) maintain active DE certification status. Agencies must maintain audit documentation and retain discrepancy/corrective action lists for 3 years after each audit.

Before filling any position through delegated examining, the HR specialist must sit down with the hiring manager. This is not optional and it is not a formality — the DEOH treats this consultation as the first critical step in the examining process. The hiring manager is the person who understands what the job actually requires day to day, and the HR specialist is the person who understands what authorities and processes are available to fill it. Neither can do this well alone.

The Five Required Discussion Topics

The DEOH identifies exactly five topics that must be discussed (DEOH p. 2-1). Memorize this list — it is a frequent exam target because examinees often remember only three or four of the five:

Why This Matters for the Exam

The hiring manager is described as "an important resource" who helps the HR specialist understand the critical aspects of the job, define minimum qualifications, determine what constitutes a passing grade, and select appropriate assessment methods. The DEOH emphasizes that involving the hiring manager throughout the process will "help to build a highly qualified applicant pool for consideration" (DEOH p. 2-1).

The exam tests this in two ways: (1) asking you to identify the five topics from a list that includes plausible-sounding distractors like "budget for the position" or "applicant's promotion potential," and (2) scenario questions where an HR specialist skips one of the five topics and you must identify which was omitted.

A temporary limited appointment is one of the most commonly used hiring flexibilities in the Federal government, especially for agencies like BLM with seasonal field operations. Understanding the rules — particularly the time limits and exceptions — is critical for both the exam and daily practice.

Definition

A temporary limited appointment is a non-status appointment to a competitive service position for a specific period not to exceed one year (DEOH p. 2-2). Two critical words here: non-status means the employee does not gain competitive status (the right to move to other competitive service positions without competing), and one year is the initial maximum — not the total maximum.

Three Authorized Uses

You may make a temporary limited appointment only in these circumstances (DEOH p. 2-2):

1. The job itself is not expected to last longer than one year
2. A time-limited employment need — specifically: scheduled abolishment, reorganization, anticipated contracting out, anticipated reduction in funding, or a specific project/peak workload
3. To temporarily hold positions needed for placement of permanent employees who would otherwise be displaced

Extension Rules — The 24-Month Maximum

You may extend a temporary appointment for up to one additional year, giving a total maximum of 24 months (5 CFR part 316). But the 24-month cap is not absolute — the DEOH provides an escape valve:

If you need to go beyond 24 months, you must submit a written request to OPM's Employee Services, Talent Acquisition and Workforce Shaping office. OPM will grant such requests only for:

• A major reorganization
• Base closing
• Other unusual circumstances

Worked Example — Seasonal Hour Calculation

How to Make Temporary Appointments — Competitive vs. Non-Competitive

Temporary positions can be filled through either competitive or non-competitive procedures:

Announcement Requirements

The JOA must state the time limits — for example, "not to exceed (NTE) one year." Jobs lasting a total of 121 days or more must be cleared for CTAP/ICTAP (DEOH p. 2-4, referencing Ch.4 Section B). This is another exam-tested number: 121 days, not 120.

Term appointments fill an important gap between temporary appointments (which max out at 24 months) and permanent positions. Understanding the distinction between temporary and term — and especially the competitive status implications — is one of the most commonly tested concepts on the DE exam.

Definition

A term appointment is a non-status appointment to a competitive service position for a specific period of more than one year but not more than four years (DEOH p. 2-5, 5 CFR part 316).

Side-by-Side: Temporary vs. Term

Authorized Uses

Term appointments may be used for (DEOH p. 2-5):

1. A job lasting more than one year but not more than four years, where the need is not permanent
2. Time-limited needs: completing a particular project, extraordinary workload, scheduled abolishment, reorganization, anticipated contracting out, uncertainty of future funding, or maintaining permanent positions for displaced employees

The Extra Non-Competitive Eligibility for Term (vs. Temporary)

Term appointments share all eight non-competitive eligibility categories with temporary appointments, but add one more (5 CFR 316.302): conversion in the same agency from a current temporary appointment when the employee was within reach on a Certificate of Eligibles for the term appointment at any time during service in the temporary job. This is a very specific pathway — same agency, within reach, during temp service — and is tested because it is the one difference between the two lists.

Announcement Requirements

The JOA should clearly state that the agency has the option of extending the appointment up to the four-year limit (DEOH p. 2-6).

Direct-Hire Authority is one of the most powerful — and most misunderstood — hiring flexibilities in the Federal government. It allows agencies to bypass some of the most fundamental competitive examining requirements, including veterans' preference and ranked lists. Because it is so powerful, the exam tests it heavily, especially the limits of what DHA does and does not waive.

Statutory Basis

The Chief Human Capital Officer Act of 2002 (codified at 5 U.S.C. § 3304) provides agencies with authority to appoint qualified candidates directly when OPM determines there is (DEOH p. 2-7):

1. A severe shortage of candidates, OR
2. A critical hiring need

These are two distinct legal bases with different definitions and different evidence requirements. The exam expects you to distinguish between them.

How DHA Is Initiated — Two Pathways

Coverage

DHA covers permanent or nonpermanent competitive service positions at GS-15 (or equivalent) and below. May be issued for one or more of: occupational series, grades (or equivalent), and geographic locations (DEOH p. 2-7).

What DHA Waives vs. What It Does NOT Waive

This is the most heavily tested aspect of DHA. Under DHA, hiring proceeds without regard to 5 U.S.C. §§ 3309–3318, which means:

Applications Must Be During an Open JOA Period

This is a commonly missed detail (DEOH p. 2-8): "Applicants may be considered for direct-hire positions only during an open job opportunity announcement period." Even though DHA allows ongoing recruitment due to the shortage or need, applications from recruited candidates may only be considered as part of a recruitment case that includes an open JOA. The JOA must also document meeting career transition requirements (CTAP/ICTAP).

The exam expects you to distinguish between these two DHA triggers precisely. They sound similar — both involve difficulty hiring — but they test fundamentally different problems. Think of it this way: severe shortage = can't find people (a supply problem), while critical hiring need = can't wait (a speed problem).

Severe Shortage of Candidates

Definition (DEOH p. 2-8): The agency is having difficulty identifying enough candidates possessing the required competencies/KSAs to perform the job despite:

• Extensive recruitment
• Extended announcement periods
• Use of hiring flexibilities (recruitment or relocation incentives, special rates)

Evidence that supports a severe shortage claim:

• Demonstrated recruitment efforts
• Strategic human resources management plans that forecast workforce needs
• Relevant workforce planning analyses
• Labor market data
• Employment trends

Additional factors OPM considers when issuing its own DHA:

• Whether a nationwide or geographical skills shortage exists
• Extent to which positions are in an undesirable geographic location
• Requirement to perform onerous or undesirable duties
• Requirement to work under extraordinary or extreme conditions

Critical Hiring Need

Definition (DEOH p. 2-9): The agency must fill the position(s) quickly, necessitating that the agency forego the time required for a process that would make distinctions in relative levels of KSAs and permit a ranked list of candidates after applying veterans' preference.

Exigent circumstances (examples from the DEOH):

• A national emergency
• Threat or potential threat
• Environmental disaster
• Other unanticipated or unusual events or mission requirements
• Compliance with a new law, Presidential directive, or administration initiative

Five required elements in a Critical Hiring Need request (DEOH pp. 2-9 to 2-10):

1. Identify the position(s) that must be filled
2. Describe the events or circumstances creating the need
3. Explain why filling the job is critical to the agency's mission and how DHA would promote that mission
4. Specify the duration for which the critical hiring need is expected to exist
5. Explain why using other hiring authorities is impracticable or ineffective

Decision Flowchart: Which DHA Type?

Where to Submit DHA Requests

Associate Director, Employee Services, Office of Personnel Management, 1900 E Street NW, Room 6500, Washington, DC 20415. (Also accepts fax at 202-606-2329 or email at ESEmploy.Internet@opm.gov.) (DEOH p. 2-10)

When a direct-hire appointment is made, it must be properly documented on the SF-50 (Notification of Personnel Action) or SF-52 (Request for Personnel Action). This documentation uses a dual-code system that tells OPM both what authority was used and which specific DHA applies. The codes are critical because they allow OPM to evaluate DHA usage without requiring additional agency reports (DEOH p. 2-10).

The Dual-Code Requirement

Both codes are mandatory. Using only one code is an error. The first code (AYM) identifies the legal authority (5 CFR part 337). The second code identifies which specific DHA was used. Together, they provide a complete audit trail.

This topic addresses a common real-world scenario and a frequently tested concept: when can someone from the excepted service, the SES, or a politically appointed position move into a competitive service position? The answer is almost always "not without competing" — and the DEOH includes a specific WARNING about the risks of getting this wrong.

The General Rule

Individuals are not eligible for competitive service positions based solely on their past or current employment in the excepted service or certain SES appointments, or on appointments authorized by statutes that diverge from normal competitive processes. They must participate in the competitive examining process (5 CFR part 332) (DEOH p. 2-11).

Categories That Do NOT Grant Non-Competitive Conversion Eligibility

• Most Schedule A and B appointments (unless the specific authority says otherwise)
• Schedule C appointments (5 CFR part 213)
• Non-career SES appointments
• Appointments authorized by public law or specific statute excepting them from title 5 competitive procedures
• Appointments of experts and consultants
• Limited appointments (SES limited term, Foreign Service Limited/Reserve, IPA assignments)
• Overseas limited appointments, or un-appropriated/non-appropriated fund appointments

Political Appointees — Extra Scrutiny

Beginning in 2016, Congress enacted a statutory requirement for OPM to report on political appointees moving to competitive service positions. As a result, agencies must seek prior approval from OPM for the appointment of (DEOH p. 2-12):

• Current or former Executive Schedule (5 U.S.C. §§ 5312–5316) appointees → permanent competitive, non-political excepted, or career SES
• Current or former Schedule A, Schedule C, or agency-specific political appointees → same
• Current or former non-career SES, Limited Term SES, or Limited Emergency SES → same
• Current or former political appointees in agencies with interchange agreements → covered positions

Critical note: Agencies are not free to refuse to consider former political appointees who are eligible to apply. They must accept the application — the OPM approval step comes at the end of the process, not the beginning (DEOH p. 2-12).

Interchange Agreements (Civil Service Rule 6.7)

OPM and agencies with established merit systems in the excepted service may enter into agreements prescribing conditions for employees to move from the excepted service to the competitive service. This is the one mechanism that can grant competitive eligibility to certain excepted service employees (DEOH p. 2-12).

Job analysis is the foundation of the entire examining process. Every assessment tool, every quality category, every selective factor, and every rating schedule must trace back to a job analysis. Without it, the entire selection process is legally vulnerable. The DEOH and the Uniform Guidelines treat job analysis as the indispensable first step — and the exam tests it that way.

Definition

A job analysis is a systematic procedure for gathering, documenting, and analyzing information about the content, context, and requirements of the job. Its purpose is to demonstrate a clear relationship between the tasks performed on the job and the competencies/KSAs required to perform those tasks (DEOH p. 2-13).

What It Must Produce (Minimum Output)

At minimum, a job analysis must produce (DEOH p. 2-15):

1. A list of tasks associated with the job
2. A list of competencies/KSAs associated with the job
3. Information regarding their importance
4. An indication of the frequency with which duties are performed

Key Definition — Competency vs. KSA

A competency is a measurable pattern of knowledge, skills, abilities, behaviors, and other characteristics that an individual needs to perform work roles or occupational functions successfully. Examples: oral communication, flexibility, customer service, leadership (DEOH p. 2-13).

While most agencies have moved to using "competencies" instead of "KSAs," the DEOH uses "competencies/KSAs" interchangeably because they serve the same function in the job analysis process — even though they are not synonymous (DEOH p. 2-13).

Documentation Requirement

You must thoroughly document any job analysis you conduct. Date the results and keep them in a file maintained exclusively for the position(s) in question. This ensures selection methodologies are current and valid (DEOH p. 2-15).

5 CFR Part 300 — The Regulatory Mandate

Federal regulations provide that each employment practice of the Federal Government generally, and of individual agencies, shall be based on a job analysis to identify (DEOH p. 2-14):

1. The basic duties and responsibilities
2. The KSAs required to perform the duties and responsibilities
3. The factors important in evaluating candidates

Uniform Guidelines on Employment Selection Procedures (29 CFR Part 1607)

The Uniform Guidelines provide a set of generally accepted principles on employee selection procedures. The basic principle: it is unlawful to use a test or selection procedure that creates adverse impact, unless justified (DEOH p. 2-14).

Critical exception: The Uniform Guidelines do not require validity studies of a selection procedure where there is no adverse impact. However, following job analysis procedures is still good practice even when there is no adverse impact (DEOH pp. 2-14 to 2-15).

5 CFR Part 300 — Three Requirements for Competitive Examinations

Agencies must ensure that competitive examinations are (DEOH referencing 5 CFR 300.103):

1. Job-related — tied to competencies identified through job analysis
2. Fair — no unfair advantage to any group
3. Result in selection from among the best qualified — not necessarily the highest numerical score

MOSAIC stands for Multipurpose Occupational Systems Analysis Inventory — Close-Ended. It is OPM's survey-based occupational analysis approach used for more than 20 years to collect information from incumbents and supervisors across many occupations (DEOH p. 2-13).

What MOSAIC Produces

Through MOSAIC studies, OPM has identified critical competencies and tasks for nearly 200 Federal occupations, as well as for leadership positions. The foundation is a common language (common tasks and competencies) used to describe all occupations, which allows comparisons both within and across occupations (DEOH p. 2-14).

Why MOSAIC Matters for Job Analysis

MOSAIC studies are "very broad in scope," so "you may not need to develop many additional tasks and competencies beyond those included in these studies" (Appendix D, p. D-2). This significantly reduces the burden of conducting a new job analysis — but it does NOT eliminate the need for SME involvement.

Completed Study Areas

Cybersecurity, Grants Management, IT Program Management, Financial Management, Human Resources Management, Law Enforcement/Compliance/Security/Intelligence, Executive Core Qualifications, and GPRAMA (DEOH p. 2-14).

You Do Not Need a New Job Analysis Every Time

The DEOH is explicit: "You do not need to conduct a new job analysis every time you seek to fill a job." Where job openings in the same occupation and at the same grade are recurring, one job analysis may support all future vacancies — as long as the duties have not changed significantly (DEOH p. 2-15).

When a New or Updated Analysis IS Needed

• Position duties have changed significantly
• The previous analysis is outdated or undocumented
• A new or emerging occupation with no prior analysis
• IT positions: The DEOH specifically notes these should be reviewed more frequently due to rapidly changing technology — OPM recommends annual review of IT job analyses (DEOH p. 2-15)

Sources for Building a Job Analysis (DEOH App. D, p. D-2)

1. Position descriptions
2. Classification standards
3. Subject matter expert (SME) input
4. Performance standards
5. Occupational studies (including MOSAIC)

The Steps (DEOH Appendix D)

1. Collect information about the job from existing materials (PDs, classification standards, SME input, performance standards, occupational studies/MOSAIC)
2. List tasks using the Job Analysis Worksheet for Tasks — SMEs rate each task on importance and frequency
3. Eliminate non-critical tasks: Tasks rated "Not Performed" on either scale by at least half of the SMEs are eliminated. Tasks scoring below 3.0 on average on both importance AND frequency are not considered critical.
4. Identify competencies/KSAs linked to the critical tasks
5. Rate competencies on importance, need at entry, and distinguishing value (distinguishes superior from barely acceptable performance)
6. Establish linkages between tasks and competencies — this demonstrates job-relatedness as required by the Uniform Guidelines

SME Panel Rating Scales (Appendix D, pp. D-3 to D-5)

The "Not Performed" Rule

Eliminate tasks rated "Not Performed" on either the importance or frequency scale by at least half of the SMEs (Appendix D, p. D-3). If 2 out of 5 SMEs rate a task "Not Performed," it survives (2 is less than half of 5). If 3 out of 5 do, it's eliminated.

The 3.0 Cutoff Rule

Tasks that (on average) were rated 3.0 or above on BOTH importance and frequency are considered critical for the job (Appendix D, p. D-3). A task with importance 4.1 but frequency 2.8 is NOT critical — both thresholds must be met.

Reliability

The degree of consistency or stability of an assessment tool over time, in different situations, or across applicants and/or raters. Example: a test score that remains the same for a person taking the test several times indicates reliable measurement (DEOH p. 2-19).

Validity

The degree to which an assessment tool measures a job-related characteristic and how well it is measuring that characteristic. Validity shows the relationship between performance on the assessment tool and performance on the job. Example: an interview that assesses competencies documented as important for job performance is considered valid (DEOH p. 2-19).

The Connection

Two different assessment tools may measure the same job-related competency, but the tool that best measures the competency is considered more valid. Validity is also an indicator of how well the assessment is measuring the competencies — not just whether it does (DEOH p. 2-19).

The DEOH describes five categories of assessment tools. The exam tests whether you know which tool is appropriate for a given situation, and especially the limitations of each.

Assessment Center — Professional Assistance Required

Unlike other tools where HR specialists may lead development, assessment centers require professional test development/measurement assistance (DEOH p. 2-23). This is the only tool with this explicit requirement.

What It Is

A multiple hurdles approach uses the first assessment to reduce the number of applicants who will continue in the selection process (DEOH p. 2-17). This is the recommended strategy when combining assessment tools.

Typical Sequence

Eight Factors in Choosing an Assessment Strategy (DEOH p. 2-17)

1. Competencies/KSAs to be assessed
2. Consequences of hiring a poor performer
3. Grade level of the position
4. Validity of the assessment tool
5. Number of applicants expected
6. Human resources available to develop and administer the tool
7. Time available
8. Costs for development and implementation

Behavioral Consistency Method

The most common method used in Federal crediting plans/rating schedules. Applicants describe major achievements in job-related areas. Benchmarks describe achievement levels with assigned point values. The HR specialist compares applicant achievements to benchmarks to determine a rating (DEOH p. 2-26).

Five steps:

1. Identify competencies/KSAs through job analysis
2. Develop benchmarks — type and level of accomplishments for each proficiency level
3. Assign each benchmark a point value
4. (Optional) For each competency, determine minimum proficiency level that constitutes a passing grade
5. Compare applicant achievements to benchmarks → determine rating → apply veterans' preference → final ranking or quality category placement

ACWA — Administrative Careers With America

ACWA assessment instruments resulted from the Luevano Consent Decree (1981), which resolved a class-action suit alleging the prior PACE exam had adverse impact on African Americans and Hispanics (DEOH p. 2-28).

Key ACWA Rules

• ACWA positions are entry-level positions at GS-5 and GS-7 in certain occupational series listed in Appendix F (DEOH p. 2-28)
• The ACWA Rating Schedule must be applied by HR specialists trained in its use
• You may modify the specialized qualification questions but may not change the rating questions
• The maximum score, assignment of augmentation points, the 70 cutoff, and the transmutation may not be altered (DEOH p. 2-29)

Indicators of Proficiency (DEOH pp. 2-26 to 2-27)

When building benchmarks, use indicators of proficiency — concrete, observable behaviors that demonstrate a specific level of competency. Good indicators are: specific (not vague), observable (not assumed), and graduated (clearly distinguish levels).

The SF-39 — Request for Referral of Eligibles

After job analysis is complete, assessment tools are selected, and the JOA is ready, the HR specialist formally requests the Delegated Examining Officer to take action using SF-39, Request for Referral of Eligibles (DEOH p. 2-36).

What Must Be on the SF-39

• Sufficient information for the examining staff to determine which examination to use
• The request must be signed by a properly delegated official

Multiple Vacancies — One SF-39

You may use one SF-39 for multiple vacancies for the same position (e.g., GS-05/07/09), type of appointment, and work schedule. This avoids duplicate paperwork when filling identical positions simultaneously (DEOH p. 2-36).

The DEOH draws a sharp line between recruitment and public notice — and the exam tests whether you understand the difference. Many HR practitioners treat them as synonymous, but the DEOH explicitly warns against this: "Recruitment should not be confused with public notice" (DEOH p. 3-6).

The Distinction

The Eight Elements of the Recruitment Process

The DEOH identifies eight elements of a complete recruitment process (DEOH p. 3-2):

1. Create or Refine Agency Brand — reduces unqualified applicants, increases qualified ones
2. Select and Train Recruitment Team — knowing what to say gives applicants a meaningful experience
3. Create Recruitment and Staffing Plans — identifies key talent sources and process bottlenecks
4. Develop Marketing Strategies — identifies marketing targets to reach diverse qualified pools
5. Cultivate Relationships and Build Networks — key to scalable recruitment
6. Identify Agency-Specific Recruitment Cycles — plan for seasonal or academic calendar timing
7. Evaluate and Measure — metrics as a source for data to solve problems
8. Adjust Plans as Needed

When Public Notice Is Required

Public notice is required "whenever you are considering hiring applicants from outside the Federal workforce for competitive service positions lasting more than 120 days" (DEOH p. 3-6). Two critical thresholds to memorize:

• More than 120 days — positions of 120 days or fewer do not require public notice
• From outside the Federal workforce — if you're filling internally only (merit promotion with no external sources), different rules apply

Where It Must Be Posted

The law requires you to list jobs on the USAJOBS database (5 U.S.C. §§ 3327 and 3330). Once posted on USAJOBS, OPM makes the information available electronically to State employment service offices nationwide (DEOH p. 3-7).

What "Adequate" Public Notice Means

The DEOH defines adequate public notice as: any U.S. citizen or national who wants to apply will have access to all the information necessary to apply and will be given an open and fair opportunity to receive employment consideration (DEOH p. 3-7).

Connection to Merit System Principles

Public notice supports the first merit system principle (5 U.S.C. § 2301(b)(1)): "Recruitment should be from qualified individuals from appropriate sources in an endeavor to achieve a work force from all segments of society." However, the DEOH warns: "Although the public notice requirement is an essential component of a merit-based recruiting and examining program, meeting this requirement is not itself sufficient to satisfy the merit system principles" (DEOH p. 3-6).

The "open period" is the window during which the public can apply. The DEOH gives agencies considerable flexibility in setting this period, but with specific guidance and documentation requirements that the exam tests closely.

Recommended Minimum

OPM recommends an open period of at least five calendar days (DEOH p. 3-7). This is a recommendation, not a mandate — but going below five days triggers a documentation requirement.

Two Ways to Define the Open Period

You have two options for defining when the open period ends (DEOH p. 3-7):

Factors in Determining Length

• Short period: When you have few jobs and expect many well-qualified applicants
• Long/open continuous: When it is difficult to find qualified individuals or you have many positions to fill

The DEOH distinguishes between closing dates and cut-off dates — and the exam tests this distinction heavily because it affects how applicants are processed and how 10-point preference eligibles are handled.

Closing Date

The date beyond which you will no longer accept applications. If the JOA is publicized as open continuously with no closing date indicated, you must first amend the original USAJOBS posting before closing it, to alert potential applicants (DEOH p. 3-8).

Cut-Off Date

A cut-off date establishes an early consideration period within an otherwise open announcement. It is a powerful tool for managing large volumes of applications, but it comes with specific rules (DEOH pp. 3-8 to 3-9):

How Cut-Off Dates Work — Step by Step

When to Use Cut-Off Dates

• Best use: Managing large volumes of applications over extended periods, or open continuous announcements with urgent vacancies
• May be used in: Both case examining (filling immediate vacancies) and competitor inventories (building lists for future vacancies)
• Caution: "You should generally not use them in case examining, except where the JOA is intended to remain open for an extended period of time and multiple jobs are to be filled" (DEOH p. 3-9)

Multiple Cut-Off Dates

You can identify multiple cut-offs so your agency can issue certificates as vacancies arise or as qualified applicants are identified — without having to wait for the closing date (DEOH p. 3-9).

Closing a Continuous Announcement

If a JOA is publicized as open continuously with no closing date, you must amend the original USAJOBS posting before closing it. Simply stopping consideration without amending the posting violates the public notice principle (DEOH p. 3-8).

The DEOH requires agencies to communicate with applicants at specific points during the hiring process. These are not suggestions — they are required communications, and the exam tests both the number and the specific content of each touch-point.

The Four Touch-Points

Agencies must communicate with applicants "in a timely manner on at least four communication touch-points" (DEOH p. 4-12). However, it is acceptable to combine touch-points into as few as two communications.

Additional Requirements

• Notices must be written in plain language
• Allowing applicants access through USAJOBS or applicant tracking systems is helpful but does not replace the agency's obligation to provide written notice at the touch-points
• The DEOH warns: "Be mindful of the number of notices sent out and what is sent to candidates" (DEOH p. 3-10)

The DEOH provides an explicit list of items that must appear in every job opportunity announcement. The exam tests this list — and especially the items that are easy to forget or confuse with "nice to have" elements.

Required Items (5 U.S.C. §§ 3327, 3330; 5 CFR part 330 subpart A)

The following must be included in each JOA (DEOH pp. 3-11 to 3-12):

1. Name of Issuing Agency
2. Announcement Number
3. Position Title, Series, Pay Plan, Grade (or Pay Rate) and Starting Salary
4. Job Type (permanent or time-limited, including expected duration)
5. Duty Location of the Position(s)
6. Number of Job Openings
7. Opening and Closing Dates, including cut-off dates
8. Qualification Requirements, including competencies/KSAs or job elements
9. Brief Description of Duties
10. Basis of Rating — How You Will Be Evaluated
11. What to File
12. How to Apply
13. Information on how to claim veterans' preference
14. Definition of "well-qualified" for ICTAP/CTAP eligibles
15. Contact Person or contact point with telephone number or email address

Additional Standard Language Items (from USAJOBS)

These are standard items required for all Federal competitive service JOAs:

• Citizenship requirement
• Selective Service requirement
• Information on veterans' preference
• ICTAP and CTAP, including proof of eligibility
• Equal employment opportunity statement
• Reasonable accommodation statement

Conditions of Employment

Any conditions of employment must be clearly identified with an explanation of how eligibility or consideration may be affected. These must be supported in the position description and/or job analysis. Examples: professional licensure, drug testing, security clearance, travel requirements, shift work, mobility agreements (DEOH p. 3-12).

The DEOH separates the application review process into three distinct steps. Understanding this sequence is essential because many exam questions test whether you know which step a particular action belongs to — and especially the distinction between steps 2 and 3.

The Three Steps (DEOH p. 4-13)

Selective Factor Timing Exception

While selective factors are typically assessed at Step 2, the DEOH footnote on p. 4-13 identifies exceptions: "There are times when a selective factor may be assessed later in the process." This may occur when an online assessment is administered immediately after application receipt (the selective factor may be assessed during or after the rating), or when only some vacancies require the selective factor (e.g., different language requirements for different positions on the same certificate).

Steps 2 and 3 Are Separate — The Passing Grade Bridge

The DEOH explicitly warns: "Minimum qualifications screening and subsequent assessment are two separate steps in the examining process. You should be careful not to conflate these steps." (DEOH p. 4-25)

Meeting minimum qualifications does NOT automatically entitle an applicant to a score of 70+ (numerical rating) or placement in a quality category (category rating). An applicant can meet minimum quals and still fail the assessment.

The DEOH defines the distinction in a critical footnote (p. 4-2): "Minimum qualifications are not the same as a passing grade, which is the score under an assessment instrument or set of quality indicators the agency establishes as necessary for the particular position at that agency." The consequence: an applicant who meets minimum quals but fails the passing grade cannot receive veterans' preference points (in rule of three) and is not placed in a quality category (in category rating).

Written Test Screening — Two Timing Options (DEOH p. 4-24)

When a written test is required, the examining office has flexibility in when to screen for qualifications:

What Happens When an Applicant Doesn't Qualify

You must notify the applicant of the determination. The applicant receives no further consideration. Examining decisions are subject to applicant appeal upon reasonable demonstration that a review is necessary (DEOH p. 4-25).

Citizenship Requirement

No individual may compete for a competitive service job unless they are a citizen or national of the United States (Civil Service Rule 7.3, 5 CFR § 338.101). A non-citizen may be given a temporary appointment in rare cases under 5 CFR § 316.601 "when necessary to promote the efficiency of the service" — but only when there are no qualified U.S. citizens available (DEOH p. 4-16).

Selective Service Registration

Male applicants born after December 31, 1959, who have not registered with the Selective Service are generally barred from executive branch employment (5 U.S.C. § 3328; 5 CFR part 300 subpart G). You must verify registration prior to appointment (DEOH p. 4-21).

Suitability Inquiry Timing — The OF-306 Rule

A hiring agency may not make specific inquiries concerning an applicant's criminal and/or adverse credit background (the type asked on the OF-306, Declaration for Federal Employment) unless the agency has made a conditional offer of employment (DEOH p. 4-4).

What CAN Be Asked Pre-Offer vs. Post-Offer

The Exception Process

If an agency has a legitimate business need to collect suitability information before a conditional offer, it must request an exception from OPM under 5 CFR part 330 subpart M. The agency cannot simply document the need and proceed — formal OPM approval is required. OPM may grant exceptions when the agency provides sufficient information — for example, "positions where the ability to testify as a witness is a requirement" (DEOH p. 4-4).

Side-by-Side Comparison

Key Details

CTAP: If your agency has no CTAP eligibles in the commuting area, CTAP posting is not required. DOD uses Priority Placement Program (PPP) instead of CTAP (DEOH p. 4-14).

ICTAP: A "well-qualified" ICTAP eligible gets priority "over almost any other applicant from outside the agency." A well-qualified ICTAP eligible must be selected if available, unless the hiring manager chooses not to use the certificate or makes a selection from a source excepted from ICTAP (such as a 30% disabled veteran appointment) (DEOH Ch.6 B, p. 6-13).

RPL: Your agency must maintain an RPL for each commuting area where it has RIF-separated employees. Must check RPL before selecting anyone from outside the agency (DEOH p. 4-14).

How to handle CTAP/ICTAP eligibles: Do not place them on a competitive Certificate of Eligibles. Refer them separately (DEOH p. 4-13).

What Applicants Must Submit

At the time of initial application, applicants need only submit a résumé and copies of any required forms (e.g., DD-214 for veterans' preference) (DEOH p. 4-1).

What You Must NOT Do (DEOH pp. 4-1 to 4-2)

• Cannot restrict résumé sources — must accept résumés from any source (online builder, software, typewriter)
• Cannot require agency-specific forms or a specific résumé format
• Cannot require a cover letter — if submitted voluntarily, it can only be required to include the announcement number
• Cannot ask OF-306 questions before conditional offer
• Cannot administer assessments at initial application (exception: closed-ended self-report questionnaires with multiple-choice or yes/no answers)
• Cannot require written KSA narratives at initial application (may be used later in assessment phase)

What You CAN Do

• Limit pages reviewed: You may set a reasonable limit on résumé pages reviewed, but must state this in the JOA and cannot automatically screen out longer résumés (DEOH p. 4-2)
• Require specific content: Information demonstrating eligibility and qualifications (citizenship, experience details)
• Administer occupational questionnaires with closed-ended responses during initial application
• Ask for brief verifying information — e.g., "In which job did you gain this experience?" or a point of contact (DEOH p. 4-2)

Handling Incomplete Applications (DEOH p. 4-9)

An application is incomplete if an applicant submits insufficient information concerning education or experience, or fails to respond to required questions. You have three options:

1. Consider incomplete applications as ineligible — but this must be clearly stated in the JOA
2. Review based on the information provided — make a qualification determination using what's available
3. Ask the applicant to provide the missing information

Transcripts

Unofficial transcripts are sufficient at the time of application. Official transcripts are required only at the time of appointment. Be alert for diploma mills — only education from accredited or pre-accredited institutions qualifies (DEOH pp. 4-3 to 4-4).

Alternative Application Methods

You may not restrict applicants to online-only applications. JOAs must provide information about alternative methods (fax, mail, hand delivery) or an agency contact to obtain this information (DEOH p. 4-3).

Experience Requirements by Grade

The GS-5 Transition Point

Below GS-5, all positions require general experience (progressively responsible clerical/office work). At GS-5, the standard splits: Clerk-Stenographer requires 2 years of general experience with no specialized experience, while all other positions require 1 year of specialized experience with no general experience. This split matters for the combination formula.

Clerk-Stenographer Entry Level Exception

High school graduation qualifies at GS-2 for most one-grade interval positions, but for Clerk-Stenographer it qualifies at GS-3 — one grade higher. This means Clerk-Steno has a higher entry point than other positions in this standard.

Education From Business/Technical Schools

For one-grade interval positions, qualifying education doesn't have to come from a college or university. The standard accepts education from "an accredited business, secretarial or technical school, junior college, college or university." For business/technical schools, one year of full-time study equals at least 20 hours of classroom instruction per week for approximately 36 weeks. For colleges/universities, it equals 30 semester hours or 45 quarter hours.

Education Above GS-5

"As a general rule, education is not creditable above GS-5 for most positions covered by this standard; however, graduate education may be credited in those few instances where the graduate education is directly related to the work of the position."

Intensive Short-Term Training — GS-3 Alternative

Completion of an intensive, specialized course of study of less than 1 year may meet in full the experience requirements for GS-3. Requirements: up to 40 hours/week instruction (not the usual 20), at least 3 months duration, designed specifically as career preparation for the position, and must have provided the necessary KSAs. May come from business/technical schools or military training programs.

Combination Formula at GS-5 — Two Different Rules

For all GS-5 positions EXCEPT Clerk-Stenographer: Only education in excess of the first 60 semester hours (beyond the second year) counts toward the specialized experience requirement. One full academic year (30 semester hours) beyond the second year equals 6 months of specialized experience.

For Clerk-Stenographer GS-5: The standard combination formula applies — all post-high-school education counts because the requirement is 2 years general experience (not specialized). The excess-beyond-60 rule does not apply.

Proficiency Requirements

Certain clerical positions require proficiency skills in addition to experience and education:

Proficiency may be demonstrated by performance test, certificate from an authorized school, or self-certification. Performance test results and certificates are acceptable for 3 years. Agencies may verify self-certifications by administering the test.

Education and Experience Requirements

Alternative Pathways — Experience OR Education, Not Both

The standard states: "Applicants who have the 1 year of appropriate specialized experience, as indicated in the table, are not required by this standard to have general experience, education above the high school level, or any additional specialized experience to meet the minimum qualification requirements."

This means experience and education are alternative pathways. Meeting the specialized experience requirement alone qualifies the applicant — you cannot additionally require education unless the position has individual occupational requirements or positive education requirements for the specific series.

"Equivalent to at Least" — Not Limited to Federal Experience

The standard says experience must be "equivalent to at least" the next lower grade level. This means the experience does not have to be Federal or at an actual GS grade — private sector, military, or volunteer experience is qualifying if it is equivalent in nature and level to the grade specified. Evaluate the duties performed, not the job title or sector.

Individual Occupational Requirements

Some positions covered by this standard have additional requirements beyond the standard table. These "individual occupational requirements" may specify: (1) specific course work meeting the requirements for a major in a particular field, or (2) at least 24 semester hours of course work in the identified field. When a position has individual occupational requirements, these apply in addition to the standard table requirements. Always check the specific qualification standard for the series.

Combination Formulas — Different Rules at Different Grades

At GS-5: The standard combination formula applies — all post-high-school education counts as a percentage of the 4-year bachelor's degree requirement.

At GS-9 and GS-11: Only graduate education in excess of the amount required for the next lower grade counts.

Superior Academic Achievement (SAA) — GS-7 Only

SAA allows a bachelor's degree holder to qualify at GS-7 if they meet any one of three criteria:

1. GPA of 3.0 or higher out of 4.0 (GPAs rounded to one decimal place, so 2.95 rounds to 3.0 and qualifies) — using whichever calculation is most beneficial: all courses, last two years, or courses in the major
2. Upper third of the graduating class
3. Election to a national scholastic honor society listed by the Association of College Honor Societies

Defining "One Year of Full-Time Study"

Part-Time Graduate Education

"Part-time graduate education is creditable in accordance with its relationship to a year of full-time study at the school attended." For example, if the school defines 18 hours as full-time, an applicant with 27 hours has 1.5 years of graduate education (27 ÷ 18 = 1.5).

Accreditation Requirement

Only education from institutions that are accredited or pre-accredited/candidate for accreditation may be used. Diploma mills — institutions not accredited by recognized bodies — are non-qualifying (DEOH pp. 4-23 to 4-24).

Foreign Education

Foreign education must be determined equivalent to accredited U.S. education. Possession of a valid and current U.S. professional license by a graduate of a foreign program is sufficient proof of equivalency (DEOH p. 4-23).

Professional Credentials as Education Equivalents

OPM recognizes certain professional credentials as equivalent to minimum educational requirements — for example, engineering registration, certain actuarial exams, or CPA certificates (DEOH p. 4-23).

One-Grade vs. Two-Grade Education Rules Compared

Selective Factors — Four Characteristics (DEOH p. 4-26)

1. Requires extensive training or experience that could not be learned readily during normal orientation
2. Is essential for successful performance — without it, the person cannot perform the job
3. Is almost always geared toward a specific technical competency or KSA
4. Is not too restrictive — must not eliminate applicants due to requiring Federal-only or agency-only experience

Selective Factor vs. Quality Ranking Factor

The Reclassification Rule

"If you cannot document a selective factor as essential to the candidate's ability to perform the job, you can evaluate its use as a quality ranking factor" (DEOH p. 4-27). This means if your job analysis supports the competency as important but not essential, reclassify it — don't force it as a selective factor and don't drop it entirely.

Documenting Selective Factors (DEOH pp. 4-26 to 4-27)

You must document through job analysis: (1) the competencies/KSAs basic to and essential for the job, (2) the duties/tasks requiring possession, and (3) the education, experience, or qualifications providing evidence of possession. You should also specify the required proficiency level.

Federal Wage System (FWS) Qualification Rules (DEOH p. 4-24)

For FWS positions (Wage Grade/WG, Wage Leader/WL, Wage Supervisor/WS), you must apply job elements from one of two sources:

• The Job Qualification System for Trades and Labor Occupations Handbook, OR
• Agency-developed elements, provided you retain the screen-out elements required by the Handbook and use the prescribed rating process and transmutation table

The key difference from GS positions: FWS uses job elements and screen-out elements rather than the experience/education framework of GS qualification standards.

GS-12 and Above — Experience Only

Under the two-grade interval standard, positions at GS-12+ require 1 year of specialized experience at the next lower grade level. No education substitution is available. A Ph.D. alone will not qualify an applicant for GS-12.

Before you rate or rank anyone, you need to understand the legal framework.

Four Requirements for Competitive Examinations (5 CFR Part 300 Subpart A)

1. Practical in character — fairly measure relative capacity and fitness for the job
2. Result in selection from among the best qualified candidates
3. Developed and used without discrimination — race, color, religion, sex (including pregnancy/gender identity), age, disability, genetic information, national origin, marital status, political affiliation, sexual orientation, labor organization affiliation, status as a parent, or other non-merit factor
4. Ensure opportunity for appeal or administrative review

Part 300 also requires a job analysis and a rational relationship between the employment practice and performance (DEOH pp. 5-1 to 5-2).

Two Basic Requirements for Competencies Used in Selection (DEOH p. 5-3)

All competencies/KSAs used for selection must meet both requirements through job analysis:

1. Deemed important for successful performance in the position
2. Needed at the time of entry into the position

Detailed Comparison

The "Dual Use" Rule

A selective factor can also function as a quality ranking factor when it has a defined minimum level and applicants may possess it to varying degrees beyond that minimum. The minimum screens (selective factor function); higher levels enhance ranking (quality ranking factor function) (DEOH p. 5-5).

Three Steps in the Rating and Ranking Process (DEOH p. 5-3)

After applicants have passed the eligibility and minimum qualifications screens (Unit 5's three-step review), those who are qualified enter the rating and ranking process, which has its own three steps:

Two Rating Systems

Four Numerical Rating Procedures (DEOH p. 5-6)

These may also be incorporated into category rating frameworks:

1. Rate Using Numerical Test Scores
2. Rate Using A-C-E (Quality Level Rating)
3. Rate Using Education/Training and Experience (including Generic Rating)
4. Rate Using Job Element Examining (for Wage Grade positions)

Key principle: Numerical scores CAN be used to define category rating boundaries. Example: Best Qualified = 94–100, Well Qualified = 86–93, Qualified = 70–85. The two systems are not mutually exclusive (DEOH p. 5-10).

Three Quality Levels

Augmentation Points & Tie-Breaking

When many applicants have tied scores, refine by assigning additional points based on job-related competencies/KSAs, quality ranking factors, or higher proficiency on selective factors (DEOH p. 5-7).

• Levels C and E: Maximum 9 points (cannot raise to next level)
• Level A: Maximum 10 points (no higher level to breach)

Under traditional rule of three, when only a few applicants are in the quality levels being considered, you may use a tie-breaking procedure based on job-related criteria for selection among applicants within a quality level (DEOH p. 5-7). Under category rating, see Appendix M (Random Referral) for tie-breaking guidance.

Legal Authority

Chief Human Capital Officers Act of 2002 (Title XIII, Homeland Security Act), codified at 5 U.S.C. § 3319 (DEOH p. 5-9).

Agency Requirements (DEOH pp. 5-9 to 5-10)

1. Establish a category rating policy
2. Define each quality category through job analysis per Uniform Guidelines
3. Describe categories in the JOA + comply with RPL/CTAP/ICTAP
4. Place applicants into categories based on assessed competencies, then apply veterans' preference
5. Establish documentation/recordkeeping

Minimum: two categories. May NOT establish a "Not Qualified" category. Agencies are not required to disclose crediting plans/scoring keys (for test security), but must describe the categories in the JOA (DEOH p. 5-9).

How to Define Quality Categories — Three-Step Process (DEOH pp. 5-11 to 5-13)

Exception — Scientific and Professional at GS-9+

CP/CPS veterans are placed where their assessment score supports — they do NOT float. Verify series in OPM's Handbook of Occupational Groups and Families or Appendix K. Misidentification = violation of veterans' preference law (DEOH pp. 5-9, 6-14).

10-Point Eligible Special Handling (DEOH pp. 5-27 to 5-28)

Under 5 U.S.C. § 3305, a 10-point eligible may file at any time for any position to which a non-temporary appointment was made within the preceding three years, or for which a list currently exists or is about to be established.

If the eligible applies for a specific position, meets qualifications, is within reach, and the certificate hasn't been issued → must be referred on the certificate as soon as possible. If the certificate was already issued → the hiring manager has the option of requesting the name be added.

10-Point Eligible File Documentation (DEOH p. 5-28)

To ensure a complete audit trail: "you should document the case file to show that the 10-point file was checked, and then you should document the names of any preference eligibles whose applications were pulled from the file and to whom additional material was sent."

Required Documentation File (DEOH p. 5-25)

• Position descriptions for each grade announced
• Job analysis results (tasks, competencies/KSAs, linkages), date, quality level definitions, selective/quality ranking factors
• Actual rating procedure used (per 5 CFR part 300), including transmutation tables if applicable
• OPM qualification standard reference (or copy of agency-specific standard)
• Raters' initials and dates for each applicant
• Supplemental application form (if any — OMB approval required)
• Tie-breaking method if used (must be job-related criteria)
• Identification of SMEs and HR professionals (name, title, series, grade)

Notice of Results — Required Content (DEOH pp. 5-30 to 5-31)

The notice of results tells applicants whether they are qualified. It must include:

• Title, series, grade, occupational specialty, JOA number or other identifier
• Whether the applicant is eligible or ineligible
• Level of veterans' preference awarded (if eligible)
• Any restrictions on eligibility (e.g., "subject to meeting education requirements")
• Whether the eligible was referred to the hiring manager
• Brief explanation of the reason for not qualifying (e.g., "did not pass the written test," "did not meet basic experience requirements," "did not meet a mandatory selective factor")
• Length of eligibility and extension procedures (competitor inventories only)
• Point of contact

Applicant Appeal of Rating (DEOH p. 5-31)

1. Request in writing, stating why the original decision was improper
2. Applicant must be advised the result could be higher, lower, or same
3. First level: same office, different person than original rater
4. Second level: designated agency official — decision is final
5. Applicant cannot appeal further to OPM

Rating Change → Possible Priority Consideration

"Priority consideration may be required if the reconsideration process indicates the error resulted in the applicant's loss of bona fide consideration" (DEOH p. 5-31). This means a rating appeal that reveals an error leading to lost consideration triggers the priority consideration process from Chapter 6, Section E (see Unit 9).

When to Amend a Certificate After Rating Change

Once issued, do not amend unless: (1) new rating is "ineligible," (2) eligible was improperly awarded higher veterans' preference, or (3) error was by the rater/examining office (DEOH p. 5-31).

Veterans' preference is not just a policy — it is a statutory right rooted in Federal law. Understanding when it applies (and when it doesn't) is fundamental to the exam.

Where Preference Applies

• Permanent and temporary positions in the competitive service — applied by both OPM and agencies under delegated examining authority
• Most excepted service jobs in the executive branch (5 U.S.C. § 3320; 5 CFR part 302)

Basic Eligibility Requirement

To receive preference, a veteran must have been discharged or released from active duty under honorable conditions (with an honorable or general discharge). "Armed Forces" means the Army, Navy, Air Force, Marine Corps, and Coast Guard (5 U.S.C. § 2101(2)) (DEOH p. 4-17).

Key Restrictions

• Military retirees at major/lieutenant commander or higher: NOT eligible for preference unless they are disabled veterans. Exception: Reservists who won't draw retired pay until age 60 are not affected by this restriction (DEOH p. 4-18).
• Active duty for training (non-disabled): National Guard or Reserve training does NOT qualify as "active duty" for preference purposes for non-disabled veterans
• Active duty for training (disabled): DOES count for disabled veterans, per MSPB decision in Hesse v. Department of the Army (DEOH p. 4-18)

The DEOH defines six preference codes based on 5 U.S.C. §§ 2108 and 3309, as modified by length-of-service requirements in 38 U.S.C. § 5303A(d). Memorize these — the exam expects you to match the code to the definition quickly.

Veterans' Preference Categories

Key TP Qualifying Periods (DEOH p. 4-19)

• During a war (last qualifying war for preference = WWII: Dec 7, 1941 – Apr 28, 1952)
• April 28, 1952 through July 1, 1955
• More than 180 consecutive days (other than training), any part after Jan 31, 1955 and before Oct 15, 1976
• Gulf War: August 2, 1990 through January 2, 1992
• More than 180 consecutive days (other than training), any part during Sept 11, 2001 – Aug 31, 2010
• In a campaign or expedition for which a campaign medal has been authorized

24-Month Continuous Service Requirement

Campaign medal holders or Gulf War veterans who originally enlisted after September 7, 1980 (or began active duty on or after October 14, 1982) and have not previously completed 24 months of continuous active duty must have served continuously for 24 months or the full period called/ordered (DEOH p. 4-20).

Derived preference (coded XP, 10 points) extends veterans' preference to certain family members of veterans. The rules are specific and the exam tests the conditions carefully.

Three Categories of Derived Preference (DEOH pp. 4-18 to 4-19)

1. Spouse of a Disabled Veteran

The spouse receives XP preference when the disabled veteran is disqualified for Federal employment along the general lines of their usual occupation because of a service-connected disability. This disqualification may be presumed when the veteran is unemployed AND:

• Is rated by military/VA authorities as 100% disabled and/or unemployable, OR
• Has retired, been separated, or resigned from a civil service position based on a service-connected disability, OR
• Has attempted to obtain a civil service position and failed to qualify because of the disability

2. Widow/Widower of a Veteran

The widow or widower receives XP preference if they were not divorced from the veteran, have not remarried (or the remarriage was annulled), and the veteran either:

• Served during a war, during April 28, 1952 – July 1, 1955, or in a campaign/expedition for which a campaign medal was authorized, OR
• Died on active duty during qualifying service under conditions that would not have resulted in other than an honorable/general discharge

3. Parent of a Veteran

A parent receives XP preference in two situations:

• Parent of deceased veteran: Veteran died under honorable conditions during a war, the 1952–1955 period, or campaign/expedition
• Parent of disabled veteran: Veteran separated with honorable/general discharge and is permanently and totally disabled from service-connected injury/illness

In both cases, the parent must be: (a) the spouse of that parent is totally and permanently disabled, OR (b) the parent is unmarried or legally separated.

Standard Documentation

• 5-point (TP): DD Form 214 (Certificate of Release or Discharge from Active Duty) showing character of discharge and dates of military service
• 10-point (CP, CPS, XP): Standard Form 15 (Application for 10-Point Veterans' Preference) plus supporting documentation (VA letter, disability documentation, etc.)

Missing SF-15 Rule: "If an applicant submits the proof required to claim 10-point preference but is missing the SF 15, you should grant preference based on the documentation provided." (DEOH p. 4-18)

VOW Act — Active Duty Service Members

The VOW (Veterans Opportunity to Work) to Hire Heroes Act of 2011 requires agencies to treat certain active duty service members as preference eligibles even though they have not yet been discharged (DEOH p. 4-9).

Service members may submit a "certification" — any written document from the armed forces certifying they are expected to be discharged or released under honorable conditions not later than 120 days after submission (DEOH p. 4-9).

How to Adjudicate Active Duty Claims

Three Special Rules Summary

Why SSP Is 0 Points

SSP exists to ensure that veterans whose service was cut short by a sole survivorship discharge are not penalized — they receive the same access and protections as preference eligibles (such as late filing rights), even though they don't receive additional points.

Critical Definitions from VetGuide

OPM considers "wars" only those armed conflicts for which a declaration of war was issued by Congress. The title 38 definition of "period of war" (which includes the Vietnam Era) is NOT applicable for civil service purposes (VetGuide Appendix A).

The last "war" for preference purposes is World War II: December 7, 1941 through April 28, 1952.

Non-Qualifying Medals

The following medals are specifically listed as NOT qualifying for preference:

• Global War on Terrorism Service Medal
• Medal of Merit (WWII meritorious service)
• Medal of Freedom
• Antarctica Service Medal
• National Defense Service Medal
• Armed Forces Service Medal
• Armed Forces Reserve Medal

Qualifying Medals

"Any Armed Forces Expeditionary Medal, whether listed [in the VetGuide] or not, is qualifying for Veterans preference." Campaign medals such as those for El Salvador, Lebanon, Grenada, Panama, Southwest Asia, Somalia, and Haiti all qualify (DEOH p. 4-20).

Three Situations Requiring Proof (DEOH p. 4-20)

1. When preference status is used as a basis for accepting an application after the closing date
2. When positions are restricted to preference eligibles (custodian, elevator operator, guard, and messenger — 5 U.S.C. § 3310)
3. Prior to final selection if the preference eligible was selected over other eligibles based on entitlement to veterans' preference

Positions Restricted to Preference Eligibles

Four position types are restricted by statute (5 U.S.C. § 3310): custodian, elevator operator, guard, and messenger. These positions may only be filled by preference eligibles as long as qualified preference eligibles are available (DEOH p. 4-20).

This topic ties together the preference rules from this unit with the rating procedures from Unit 6. The exam tests your ability to apply preference correctly under each system.

Side-by-Side Application

Basic Residency Rule

In competitive examining, qualified and available applicants must be considered for employment referral regardless of their place of residence. Residency is a non-merit factor prohibited by 5 CFR § 300.103(c) (DEOH p. 6-2).

The Single Exception

Residency may be required only when established by statute. These cases are "very rare." Example: Department of Labor VETS State Director positions (DEOH p. 6-2).

Positions Restricted to One Gender (DEOH p. 6-10)

An appointing officer is generally prohibited from restricting employment to one gender (5 CFR 332.407). OPM may authorize exceptions in unusual circumstances. The agency must submit a written explanation before the job is announced to Employee Services, 1900 E Street NW, Room 6500, Washington, DC 20415. The justification must show that single gender is a bona fide occupational qualification — demonstrating the relationship between gender and the position, and the impact on performance.

Definition and Key Constraints

• Duties closely related to more than one professional or scientific occupation
• Only professional/scientific occupations may be cited — no administrative, technical, or clerical (DEOH p. 6-3)
• Persons in any of the relevant professions may be considered equally well-qualified

Two Categories

The One-Certificate Rule

Issue only one Certificate of Eligibles. All applicants rated on the same competencies/KSAs. The series for each eligible is noted next to their name. The qualifications of the person selected determines the final classification (DEOH p. 6-4).

Two Methods (5 CFR 332.402)

Mandatory dual certification: For a single job vacancy at multiple grade levels, or if there is a shortage of well-qualified eligibles (DEOH p. 6-5). Single certification "must be an exception to the examining procedures, not the normal operation."

Quick Reference (DEOH p. 6-7)

Order of Eligibles — Standard (Most Positions) (DEOH p. 6-12)

Order of Eligibles — Restricted Positions (DEOH p. 6-14)

For custodian, elevator operator, guard, and messenger positions, the ordering is expanded to seven levels:

Preference-Only Certification Option

"If allowable under your agency's category rating policy, you may certify only all of the preference eligibles in the highest quality category when there are a sufficient number to consider to fill the vacant position(s)." (DEOH p. 6-16) This lets agencies limit certification to preference eligibles when enough are available.

Unrated Eligibles (DEOH p. 6-14)

When there are three or fewer eligibles and they are either all preference or all non-preference, you do not need to rate and rank. List them randomly with a notation "Eligible" in lieu of a rating. However, if there are more than three, or if the group is a mix of preference and non-preference, you must use category rating procedures.

Required Items on a Certificate (DEOH p. 6-17)

Certificate number, title/series/grade, duty location, eligibles' names, veterans' preference symbol (CPS, CP, XP, TP, SSP, or NV), signature of issuing officer, issue date, return/due date.

Number of Names Certified

Certify all eligible candidates in the highest quality category. If fewer than three, may merge with the next lower category (DEOH p. 6-16).

Certificate Expiration

OPM does not dictate a specific period. Generally valid until stated vacancies are filled. Most agencies set 30- or 45-day initial period. When vacancies are stated as "few" or "many," re-announcing after 9 months to 1 year may be warranted to clear ICTAP (DEOH p. 6-18).

Verify series using OPM's Handbook of Occupational Groups and Families or Appendix K. Misidentification could violate veterans' preference law and invalidate an appointment (DEOH p. 6-14).

Supplemental Certificate — Six Matching Conditions (DEOH p. 6-19)

A certificate is a supplement (not a new cert) only when these six items are the same as the original:

1. Appointing Officer
2. Type of Appointment
3. Duty Location
4. Title, Series, Grade
5. Qualification Factors (minimum qualifications, selective factors, competencies/KSAs, passing grade)
6. Employment Conditions (travel, part-time vs. full-time, etc.)

Standing rule: Eligibles on a supplement have lower standing than the original. Even a 10-point preference late filer on a supplement has lower standing than non-preference eligibles on the original (DEOH p. 6-20).

Supplements may only be issued while the original is still outstanding (not yet audited). After audit, a new certificate is required.

Amending a Certificate (DEOH p. 6-18)

You may need to amend an already-issued certificate to:

• Add a name inadvertently left off
• Add legitimate late filers (see Ch.4)

Removing an applicant from a certificate without going through the objection/pass-over process would be appropriate only under "extremely rare circumstances" (DEOH p. 6-18). Document all amendments for third-party reconstruction.

Merging Categories — Two Decision Points (DEOH p. 6-20)

The Core Selection Rule

A hiring manager may select any eligible in the highest quality category, EXCEPT: may not select a non-preference eligible over a preference eligible unless a pass-over is submitted and approved per 5 U.S.C. § 3318 (DEOH p. 6-23).

Reporting Codes (DEOH pp. 6-26 to 6-28)

FR for Interview No-Shows (DEOH p. 6-27)

An eligible who fails to appear for an interview may be coded FR only when both conditions are met:

1. You sent written notice (mail or email) that failure to appear = removal from consideration (retain a copy)
2. The interview arrangements were reasonable — consider the importance of the interview, travel required, and notice given

With telephone and video conferencing available, travel beyond the commuting area should normally not be required unless the job is above clerical level or above journeyman level in skilled trades.

CE Code — Five Conditions (DEOH p. 6-28)

1. Same appointing officer
2. Same type of position (full-time, part-time)
3. Same or higher grade
4. Same duty location
5. Same type of appointment (permanent, temporary)

TE is used when the position being filled is non-permanent and the eligible is in a temporary/time-limited appointment. If even one CE condition doesn't match, CE does not apply.

BWA Authority Code

Authority code BWA must be used on SF-50s for DE appointments. Requires the agency's DE agreement number and certificate number (DEOH p. 6-32).

Two Audit Responsibilities (DEOH p. 6-25)

1. All documentation for declinations and removals is in order
2. All selections comply with applicable rules and veterans' preference was applied correctly

Audit before the selectee's first day — improper certificates may invalidate appointments with cascading effects.

Improper Removal from Consideration

If an eligible's name was removed improperly (e.g., reported as declined but no documentation), the code must be changed to "not selected" (NS or NN) before auditing begins (DEOH p. 6-29).

The Competitive Service Act of 2015 (Public Law 114-137) allows agencies to share competitive certificates across departments and agencies. This is a newer provision with many specific rules the exam can test.

What Can Be Shared

A competitive certificate issued under delegated examining may be shared with one or more agencies for a position that matches on all four criteria (DEOH p. 6-51):

1. Same occupational series
2. Same grade level (or equivalent)
3. Same full performance level
4. Same duty location

May be filled on a permanent or term basis. All actions must be completed within 240 calendar days from the date the original agency issued the certificate.

Original Agency (Sharing) Requirements

• Must include opt-in instructions in the original JOA (applicants choose whether to allow sharing)
• Must audit the certificate first, including resolving all objections and pass-overs, before sharing
• Must share in original form (preserve original ordering)
• Must redact names of applicants who did not opt in, and names of those the original agency selected
• Must safeguard PII during transmission
• Must notify receiving agencies if an error is discovered

Receiving Agency Requirements

• Must verify through job analysis that the original qualifications, selective factors, and competencies/KSAs are appropriate for its position
• Must notify candidates of its receipt and intent to consider them
• Must consider own employees and CTAP/RPL eligibles first — give them up to 10 business days to apply
• Must provide ICTAP priority to ICTAP eligibles who applied to the original JOA
• Cannot reassess applicants — must use the original ratings
• Cannot re-share the certificate to another agency
• Must audit the certificate upon completion

Objections and Pass-Overs on Shared Certificates

Critical rule: Adjudications by the original agency (or OPM for CPS pass-overs) do NOT extend to the receiving agency. Each receiving agency must adjudicate objections and pass-overs independently, on a case-by-case basis (DEOH p. 6-53).

The DEOH draws a sharp line between suitability and qualifications — and the exam tests this distinction repeatedly because it determines who has authority to adjudicate and what procedures apply.

Definitions

Key principle: A person may be well qualified but unsuitable — for example, someone with excellent experience who made material false statements on their application (DEOH p. 6-33).

Three Categories That Must Be Referred to OPM

Under 5 CFR § 731.103(d)(2), agencies must refer cases to OPM for a suitability determination when evidence arises of:

1. Material, intentional false statement in examination or appointment
2. Deception or fraud in examination or appointment
3. Refusal to furnish testimony as required by 5 CFR § 5.4

The agency cannot adjudicate these on its own — they must go to OPM. All other suitability issues may be adjudicated by the agency (DEOH p. 6-33).

Definition

An objection is an agency's request to remove an eligible from consideration on a particular certificate. When standing registers are used, an objection removes the eligible from the register and future certificates drawn from it (DEOH p. 6-35).

The "Proper and Adequate Reasons" Standard

An objection may be sustained only if based on proper and adequate reasons. The DEOH is explicit about what does NOT qualify: "It is not appropriate to attempt to eliminate an eligible on the grounds that one or more non-preference eligibles in the same quality category or one or more lower ranking eligibles are better qualified." (DEOH p. 6-35)

Grounds for Objection (DEOH pp. 6-35 to 6-37)

The Four-Step Objection Process (DEOH pp. 6-38 to 6-39)

Pending Objections and Continued Selections

While an objection is pending, the hiring manager may continue making additional selections as long as at least one vacancy remains unfilled in case the objection is not sustained (5 CFR § 332.406(e)) (DEOH p. 6-38).

No Applicant Appeal Right

Under 5 CFR § 332.406, concerning objections based on qualifications, "there is no statutory or regulatory right for applicants to appeal" (DEOH p. 6-35).

Definition

A pass-over is an objection filed against a preference eligible that results in the selection of a lower-ranking non-preference eligible, or (under category rating) an eligible in the same quality category who is not preference eligible (DEOH p. 6-40).

Basic Rule

An appointing officer may not pass over a preference eligible to select a non-preference eligible unless they submit reasons sufficient to warrant the pass-over based on proper and adequate reasons (5 U.S.C. § 3318) (DEOH p. 6-40).

Who Has Authority to Rule on Pass-Overs?

Timing Restriction

Pass-overs based on criminal/adverse credit history or OF-306 information may be requested only after a conditional offer has been made (unless an exception was granted) (DEOH p. 6-40).

Excepted Service Applicability

Pass-over procedures apply not only to competitive service positions but also to most excepted service positions that have been excepted by Executive Order or OPM action (per binding case law interpreting 5 U.S.C. § 3320). The exception: positions exempt from part 302 procedures under 5 CFR § 302.101(c). For statutory exceptions, look to the terms of the specific statute (DEOH pp. 6-40, 6-42).

The pass-over of a CPS veteran (30%+ compensable disability) has the most rigorous procedural requirements in the entire certification process. OPM retains exclusive authority to grant or deny these pass-overs (5 U.S.C. § 3318(c)(2)).

The Four Steps (DEOH pp. 6-41 to 6-42)

Two OPM Addresses — Match to the Basis (DEOH p. 6-41)

When Medical Disqualification Applies

An eligible may be considered medically disqualified when they have a physical or medical (including mental health) condition that will prevent them from performing the full range of essential duties safely and efficiently (DEOH p. 6-36).

Two Critical Rules

1. OPM retains exclusive authority to make medical determinations pertaining to ALL preference eligibles (5 CFR part 339) — not just CPS, but TP, CP, XP, and all other preference categories (DEOH p. 6-34)
2. Reasonable accommodation must be assessed first: Before submitting a medical pass-over request, the agency must assess "whether reasonable accommodation can be provided to permit performance of the job despite the condition" (DEOH p. 6-42)

Medical Pass-Over Address

Medical pass-overs go to: Employee Services, 1900 E Street NW, Room 6500, Washington, DC 20415 — the same address as qualifications-based actions, NOT the Slippery Rock suitability address (DEOH p. 6-43).

Definition

An illegal selection occurs when a selection made from a certificate is out of order and results in a violation of the selection rules (DEOH p. 6-45).

Four Conditions for Lost Consideration (DEOH p. 6-46)

All four must be met to constitute a violation of law:

1. A selection was made from an erroneous certificate
2. When the erroneous certificate is corrected, the affected eligible moves within reach of selection
3. When corrected, the selectee moves out of selection range
4. The misranked eligible meets all qualification requirements for the job

Examples of Out-of-Order Selections (DEOH pp. 6-46 to 6-47)

Correcting an Erroneous Appointment

If the illegally selected employee has already entered on duty, the agency must attempt to regularize the appointment. The DEOH outlines a priority sequence (DEOH pp. 6-47 to 6-48):

1. Find an alternate legitimate appointment avenue — DE announcement, merit promotion if eligible (e.g., VEOA eligible), or non-competitive authority (e.g., VRA)
2. Review previously advertised positions — determine if the employee could have been properly appointed at the time of the error
3. Reconstruct case files — check if the employee was within reach at any point during de facto employment. If so, process a new appointment action citing the reconstructed certificate
4. If regularized through Step 2 or 3: Submit a variation request to OPM through agency headquarters to provide service credit covering the period from the original erroneous appointment to the corrected appointment
5. If none of the above works: Remove the incumbent OR submit a variation request to OPM to retain the incumbent. A variation may be granted to avoid unnecessary hardship (loss of employment, pay, grade, or significant service credit). OPM requires proof that extensive efforts to regularize were made before it will consider granting a variation.

Notification and Documentation

"If an illegal selection is discovered and another eligible is affected, you should notify the affected eligible immediately" (DEOH p. 6-48). In all cases of erroneous certification, the case file must be documented with the facts. Follow-up action (e.g., procedure review, staff training) should be taken to prevent recurrence.

Prohibited Personnel Practices

"Cases of knowing or intentional manipulation of the competitive examining system to bring about a non-merit based outcome, such as favoring or disfavoring certain applicants inappropriately, constitute prohibited personnel practices and will normally be referred to the U.S. Office of Special Counsel for investigation and disposition" (DEOH p. 6-45).

What It Is

Priority consideration is a special placement priority given to eligibles who lost consideration due to a violation of law. These eligibles are placed at the top of the next Certificate of Eligibles for the same position (DEOH p. 6-49).

Two Steps — Voluntary Then Mandatory (DEOH pp. 6-49 to 6-50)

Special Rule for 10-Point Preference Eligibles

"10-point preference eligibles must be offered Option 1" — meaning they must be offered the next equivalent job for which they are minimally qualified, not just well-qualified (DEOH p. 6-50).

Number of Priority Considerations

In case examining: equals the number of selections made from the original certificate where consideration was lost. In standing registers: continues until appointed or until the eligible has received the number of considerations they would have received absent the error (DEOH p. 6-50).

Certificate Not Used = No Priority Consideration Occurred

"If a certificate containing the name of a priority candidate is not used, then priority consideration has not occurred, and the candidate is entitled to additional referrals" (DEOH p. 6-50). Simply placing the name on a certificate is not enough — the certificate must actually be used (i.e., selections made from it) for the priority consideration to count.

Standing Register vs. Case Examining Procedures

In standing register (competitor inventory) situations, priority consideration is assured by placing the eligible at the top of the inventory until they receive the required number of considerations. In case examining situations, the examining office must establish special procedures to ensure the priority candidate's application is retrieved when future vacancies arise (DEOH p. 6-50).

Key Forms in the Objection/Pass-Over Process

Complete Process Summary — Decision Tree

An illegal selection occurs when a selection made from a certificate is out of order and violates the selection rules. This can happen on a properly ranked certificate (the selecting official made the wrong pick) or on a certificate where an eligible was misranked or omitted entirely. The key principle: no eligible is ever entitled to be selected, but every eligible is entitled to proper consideration. When that consideration is denied, corrective action is required.

Erroneous Certification

An erroneous certification is an inadvertent misranking, non-certification, or failure to give bona fide consideration to an eligible in connection with a competitive certificate. Note the word inadvertent — this is an error, not intentional manipulation. The error on the certificate then leads to an illegal selection and/or illegal appointment because the selecting official was working from incorrect information.

Illegal Appointment — The Next Step in the Chain

An illegal appointment occurs when an illegally selected individual actually enters on duty. The distinction matters: an illegal selection can sometimes be caught and corrected before the selectee starts work (through a timely audit), but once they enter on duty, the situation escalates to an illegal appointment, which triggers the more complex regularization process covered in Topic 4.

Prohibited Personnel Practices — The Intentional Line

When the manipulation is knowing or intentional rather than inadvertent, the situation changes from an erroneous certification to a prohibited personnel practice. Cases of knowing or intentional manipulation of the competitive examining system to bring about a non-merit based outcome — such as favoring or disfavoring certain applicants inappropriately — are normally referred to the U.S. Office of Special Counsel (OSC) for investigation and disposition. This is a critical distinction on the exam: inadvertent errors are corrected through the regularization and priority consideration process; intentional manipulation is referred to OSC.

Lost consideration occurs when an eligible is denied employment consideration due to a violation of the law. But not every erroneous certification results in lost consideration. The DEOH establishes a precise four-part test, and all four conditions must be met for there to be a violation of the law:

Condition 1: A selection was made from an erroneous certificate.

Condition 2: When the erroneous certificate is corrected, the affected or misranked eligible is or moves within reach of selection.

Condition 3: When the erroneous certificate is corrected, the selectee moves out of selection range.

Condition 4: The misranked eligible meets all qualification requirements for the job.

Why All Four Matter

Think about what happens when any single condition fails. If the certificate was erroneous but the affected eligible would not have been within reach even after correction (Condition 2 fails), then the error did not actually deny them consideration — they would not have been reachable regardless. If the selectee would still be within range after correction (Condition 3 fails), then the selection was not actually illegal — the right person was selected despite the certificate error. If the eligible does not meet qualifications (Condition 4 fails), they could not have been properly appointed even if they had been correctly ranked. Each condition must independently be true.

The DEOH describes specific types of out-of-order selections that constitute erroneous certification depending on which selection framework was used. Understanding both frameworks is essential because the exam will test whether you can distinguish between them.

Under Rule of Three

Two situations create out-of-order selection under the traditional rule of three:

Type A: An eligible who ranked below the top three available and qualified eligibles is selected. Under rule of three, selection must come from the top three — picking someone ranked fourth or lower is inherently out of order.

Type B: A non-preference eligible among the top three is selected over a higher-ranked preference eligible without an approved pass-over request. Veterans’ preference creates a hierarchy within the top three, and skipping a higher-ranked preference eligible requires formal approval.

Under Category Rating

Category rating has its own two types of out-of-order selection:

Type A: A non-preference eligible within the highest quality category is selected over one or more qualified and available preference eligibles ranked in the same quality category, without an approved pass-over request. Within each category, preference eligibles have priority over non-preference eligibles.

Type B: A selection is made from a lower quality category when three or more qualified and available eligibles remain in the higher category, regardless of veterans’ preference status. This rule protects the integrity of the category system — if the higher category still has enough candidates to form a selection pool, you cannot skip down to a lower category.

In most instances, potential selection violations are first noted in the audit process (Section C of this chapter). This is the principal reason why it is essential to audit returned certificates before selectees enter on duty. The timing of the audit is not just a best practice — it fundamentally changes what remedies are available.

If Caught Before Entry on Duty

When an out-of-order selection is caught before the new employee starts, the options are relatively straightforward. Pending appointments can be immediately put on hold while further options are explored or missing documentation is secured (e.g., there is no documentation supporting declinations from eligibles). If no resolution is possible, the job offer must be rescinded and the selectee informed.

If Caught After Entry on Duty

Once someone enters on duty, the situation becomes far more complex. The agency must work through the full regularization sequence (Topic 5) to try to place the employee on a legal appointment. The employee may ultimately face removal if no corrective path exists. The DEOH makes clear that a timely audit catches these errors early and prevents the cascading effects of an illegal appointment.

The Cascading Effect

An improperly worked certificate may have a cascading effect on subsequent appointments. If the first selection was out of order, every subsequent selection from that certificate may also be affected — the error does not stay contained. A prompt audit is the firewall that prevents this chain reaction.

When an illegally selected eligible has already entered on duty, the agency must work through a series of steps to try to fix the appointment. If no way can be found to regularize the selection, the employee may ultimately be subject to removal. The DEOH lays out the following progression:

Step 1 — Explore alternate legitimate appointment avenues. Make every effort to place the employee on an appointment that can be effectuated consistently with applicable law. This could include posting a new job opportunity announcement under delegated examining or merit promotion (if the employee has eligibility, such as VEOA), or identifying an appropriate non-competitive authority (such as VRA) to appoint the employee.

Step 2 — Reconstruct case files. If no alternative appointment avenue is available, determine whether the employee could have been properly appointed at the time the error was made. Review previously advertised positions for which the employee qualified and reconstruct those case files to determine if the employee was within reach for selection.

Step 3 — Check the de facto employment period. If the employee was not within reach when the error was made, check whether the employee could have been within reach competitively at any time during the period of de facto employment. If so, process a new appointment action citing the reconstructed certificate as the appointing authority.

Step 4 — Variation request to OPM. Once the employee is on a proper appointment, submit a variation request to OPM through your agency headquarters. The request must explain the circumstances and request approval to provide service credit to cover the period from the original erroneous appointment through the second appointment action. You must show proof that the erroneous appointment was corrected by proper competitive procedures.

Last resort — Remove or request variation to retain. If none of the above alternatives work, you must regularize the appointment by either removing the incumbent or submitting a variation request to OPM to retain the incumbent. A variation may be granted to avoid unnecessary hardship to the employee (loss of employment, pay, grade, or significant service credit). OPM requires that extensive efforts to regularize the erroneous appointment have been made before it will consider granting a variation.

The DEOH establishes specific documentation and notification requirements whenever an erroneous certification is discovered. These are discrete, testable rules:

Documentation

In all cases of erroneous certification, the case file must be documented with the facts of the case. This is not optional — every instance must be recorded regardless of whether it resulted in lost consideration or not.

Follow-Up Action

Follow-up action should also be taken to preclude recurrence of the problem. The DEOH gives two examples of appropriate follow-up: (1) review of processing procedures, and (2) additional staff training. The point is systemic correction, not just individual case resolution.

Notification of Affected Eligible

If an illegal selection is discovered and another eligible is affected, you should notify the affected eligible immediately. The word “immediately” is significant — there is no waiting period or formal review process before notification.

Priority consideration is a special placement priority given to eligibles who lost consideration due to a violation of law (e.g., title 5 of the U.S.C. or the Veterans’ Preference Act of 1944). All four conditions for lost consideration (Topic 2) must be met before an eligible receives priority consideration. It is the remedy for the affected eligible — but it is not a guaranteed appointment. The eligible receives priority consideration, not automatic selection.

Where Priority Eligibles Appear on the Certificate

The name(s) of the eligible(s) who lost consideration is entered at the top of a Certificate of Eligibles subsequently issued for the same position for which consideration had originally been lost. The priority consideration eligible’s status should be annotated on the certificate. Regular order of selection rules apply. In the overall certificate ordering, priority consideration eligibles appear at position 2 — after ICTAP eligibles but before CPS/CP preference eligibles.

Step 1 — Voluntary Offer by Appointing Officer

The appointing officer can voluntarily make an offer to non-competitively appoint the eligible to one of two types of positions:

Identical job: same series, same grade, same promotion potential, same tenure, and same geographic location (or any location the eligible deems acceptable).

Equivalent job: same grade, same promotion potential, and same tenure, for which the eligible qualifies, in the same geographic area where consideration was lost (or any area the eligible considers acceptable). Note that an equivalent job does not require the same series — just the same grade, promotion potential, and tenure.

If the eligible accepts or declines one of these offers, no further action is necessary. The location may differ from the original if acceptable to both the eligible and the appointing officer.

Step 2 — Mandatory Priority Consideration

If the appointing officer declines to make any voluntary offer under Step 1, then Step 2 is mandatory. The eligible must receive priority consideration for the next appropriate position announced under competitive procedures. The eligible’s name is entered at the top of the Certificate of Eligibles, and their priority status is annotated on the certificate. Regular order of selection rules apply.

Under Step 2, the appointing officer has the option of offering either or both of the following:

Option 1: Priority consideration for the next equivalent job (same grade, same promotion potential, same tenure) within the agency for which the eligible is minimally qualified in any geographic area the eligible deems acceptable.

Option 2: Priority consideration for the next equivalent job (same grade, same promotion potential, same tenure) within the agency for which the eligible is well-qualified in any geographic area the eligible deems acceptable.

Priority consideration is not unlimited. The DEOH establishes different rules for determining the number of considerations depending on whether the original certificate was issued under case examining or standing register procedures.

Case Examining

Under case examining, the number of priority considerations equals the number of selections made from the original certificate on which the eligible was denied consideration. If three selections were made from the erroneous certificate, the eligible receives three priority considerations.

Standing Register

Under standing register (competitor inventory) operations, the eligible continues to receive priority considerations until one of two things happens: (1) the eligible is appointed, or (2) the eligible has received the number of bona fide employment considerations they would have received had the fault not occurred, whichever comes first. Priority consideration referral is assured by placing the eligible at the top of the inventory.

When the Exact Number Cannot Be Determined

In standing register situations where it is impossible to determine the exact number of lost employment consideration opportunities, the agency should base the number of priority consideration opportunities on two factors: (1) the level of certification activity from the register, and (2) the length of time over which consideration was lost. The basis for reaching this determination must be documented in the examining file.

Certificate Not Used = Priority Consideration Not Occurred

If a certificate containing the name of a priority candidate is issued but not used (no selection is made from it), then priority consideration has not occurred. The candidate is entitled to additional referrals. Being placed on a certificate that is never used does not count as a consideration.

Special Procedures in Case Examining

In case examining situations (unlike standing registers), there is no permanent inventory to place the eligible at the top of. The examining office must establish special procedures to ensure the priority candidate’s application is retrieved when future vacancies arise. This is a procedural requirement that the exam may test.

On March 18, 2016, the Competitive Service Act of 2015 was enacted as Public Law 114-137. This law created a mechanism for one Federal agency to share a competitive Certificate of Eligibles issued under delegated examining procedures with one or more other Federal agencies.

The implementing regulation is 5 CFR § 332.408. All actions on shared certificates must comply with applicable regulations and delegated competitive examining procedures.

The core idea is efficiency: instead of each agency running its own competitive announcement for the same type of position, a certificate produced by one agency can serve multiple agencies — but only under strict conditions to protect applicant rights, veterans’ preference, and merit system principles.

Why This Section Matters for the Exam

Shared certificates are a relatively new authority (2016). The rules are concentrated in just 3 pages of the DEOH (pp. 6-51 to 6-53), making them highly testable — the exam writer can pull very specific, detail-oriented questions from a compact source. Every sentence on these pages is a potential test question.

A shared certificate may only be used to fill a position that matches the original certificate on all four criteria:

1. Same occupational series
2. Same grade level (or corresponding rate or level of pay for positions excluded from the General Schedule)
3. Same full performance level
4. Same duty location

All four must match. If any one criterion differs between the original position and the receiving agency’s position, the certificate cannot be used.

Appointment Basis

Shared certificates may be used to fill positions on a permanent or term basis.

All actions taken on a shared certificate must be made within the 240-day period beginning on the date the original hiring agency issued the Certificate of Eligibles (5 U.S.C. §§ 3318(c), 3319(c)(2)).

This is one of the most testable rules in the shared certificates section. The clock starts at original issuance, not when the receiving agency receives the certificate. If the original agency issued the certificate on Day 1 and doesn’t share it until Day 100, the receiving agency has only 140 days remaining — not 240.

This means a receiving agency must act quickly once it receives a shared certificate, because the clock has already been running.

The original agency must complete several requirements before it can share a certificate:

JOA Requirements (Before the Announcement Closes)

1. Notice in the JOA: The original JOA must state that the resulting list of eligible candidates may be used by one or more hiring agencies.
2. Opt-in instructions: The JOA must tell applicants how to opt into having their applications and personal information shared. This is an opt-in system — applicants who do not opt in must be excluded.

Audit Before Sharing (After the Certificate Is Created)

A certificate may be shared only after the original agency has audited it, including the resolution of all objections to eligibles and all requests to pass over preference eligibles. No unresolved objections or pass-overs may remain.

Sharing Flexibility

The original agency may share the certificate with more than one agency simultaneously or sequentially. There is no limit to the number of agencies that can receive the same certificate, as long as each receives it within the 240-day window and the position criteria match.

What Must Be Shared

The original agency must provide all documentation pertaining to the creation of the certificate, including but not limited to: the job analysis, testing and examination materials (under test security procedures or agreement), the job opportunity announcement, and applications as relevant.

Certificate Form and Redactions

The certificate must be shared in its original form to retain the original ordering. Two categories of names must be redacted:

1. Applicants who did not opt in to inclusion on the shared certificate
2. Eligibles the original agency already selected from the certificate

PII Safeguarding

The original agency must safeguard any personally identifiable information (PII) not needed for effective use of the certificate, and must safeguard PII from unauthorized access during the transmission process.

Error Notification Duty

If the original agency, at any time, determines it has made an error that may affect selections by a receiving agency, it must notify each receiving agency of the details of the error. This is a continuing obligation — it applies even after the original agency has completed its own hiring.

Record-Keeping

The original agency must keep records of all instances of sharing certificates and be prepared to provide this information to OPM upon request.

The receiving agency has a strict sequence of steps it must follow before making any selection from a shared certificate:

Step 1: Verify Job Analysis Match

The receiving agency must verify through its own job analysis that the minimum qualification requirements (including any selective factors) and the competencies/KSAs used for the original position are appropriate for the position it is filling. This establishes job-relatedness per 5 CFR part 300 subpart A.

Step 2: Notify Individuals on the Shared Certificate

Before using the certificate, the receiving agency must notify the individuals on the shared certificate of: its receipt of their names and application materials, its intention to consider them, and its requirement to consider its own employees and other priority eligibles first. The notification must include the agency name, position title, series, grade level (or equivalent), and duty location.

Step 3: Provide Notice to Own Employees (10 Business Days)

Before selecting from the shared certificate, the receiving agency must give notice of the available position to its own employees and CTAP and RPL eligibles, consistent with 5 CFR part 335. These individuals must be given up to 10 business days to apply.

Step 4: Clear ICTAP

After considering its own employees, the receiving agency must provide ICTAP selection priority to ICTAP eligibles who applied to the original job announcement. Only if there are no qualifying ICTAP eligibles may the receiving agency proceed to select from the shared certificate.

Step 5: Select from the Shared Certificate

If no ICTAP eligibles remain, the receiving agency can select from the shared certificate in accordance with veterans’ preference rules and competitive examining procedures.

No Reassessment

The receiving agency may not reassess the applicants for purposes of rating and ranking. The certificate must be used as-is, with the ratings and rankings produced by the original agency’s assessment process. This is a firm prohibition.

Independent Consideration

A receiving agency considers candidates on a shared certificate independently of the actions of any other agency with which the certificate is shared. If Agency B and Agency C both receive the same shared certificate, Agency B’s selections do not affect Agency C’s options (within the 240-day window).

Post-Selection Audit

Upon completion of the process, the receiving agency must audit the Certificate of Eligibles, just as it would for a certificate it issued itself.

Case File Documentation

The receiving agency must maintain case file documentation under proper security rules sufficient to reconstruct its hiring actions later, if necessary, in accordance with the DEOH and all applicable regulations.

Objections and Pass-Overs: Independent Adjudication

This is one of the most nuanced rules in the shared certificates section. Objections to non-preference eligibles and requests to pass over preference eligibles must be adjudicated on a case-by-case basis. Critically: adjudications by the original hiring agency (or OPM in the case of 30% or more disabled veterans) sustaining objections or granting pass-over requests do not extend to a receiving agency.

This means: if the original agency objected to an eligible and the objection was sustained, the receiving agency starts fresh. The receiving agency must make its own independent adjudication if it wishes to object to or pass over that same eligible, following the standard procedures in the DEOH and 5 CFR part 332.

Error Notification and Correction

If the original agency discovers an error after sharing, it must notify all receiving agencies. Each receiving agency is then responsible for taking appropriate action to address any erroneous actions it took due to the error. This could include priority consideration if an erroneous certification resulted in an illegal selection.

Record-Keeping (Both Agencies)

Both the original and receiving agencies have record-keeping duties:

• Original agency: records of instances of sharing certificates
• Receiving agency: records of instances of using shared certificates
Both must provide this information to OPM upon request.

The No-Resharing Rule

A receiving agency may not share or distribute the shared certificate to another Federal agency. The chain is one link only: original agency → receiving agency(ies). A receiving agency that wants to fill the same type of position at another agency cannot pass the certificate along — the other agency would need to obtain it directly from the original agency (if still within the 240-day window).

Chapter 7, Section A establishes the security framework for all examination materials. The core principle is straightforward: any document containing information not releasable under FOIA or the Privacy Act must be stored in locked filing cabinets or within secure electronic information systems, with access restricted to examining office employees only.

Documents Requiring Safeguarding

The DEOH identifies six categories of documents that must be secured: (1) rating schedules and crediting plans, (2) written test materials and answer sheets, (3) structured interview questions, (4) Certificates of Eligibles, (5) correspondence files, and (6) application documents. All six categories require the same level of physical and electronic protection.

Test Security and Control Officer (TSCO)

A TSCO is a person trained and certified in test security by OPM. Before your office takes possession of OPM-developed examination materials, you must designate an individual to serve as TSCO. The sequence matters: designation must come before possession. Specific duties are detailed in Appendix E of the DEOH.

Test Administrator (TA)

A Test Administrator is trained and certified in test administration by OPM. The critical rule: only OPM-certified TAs may administer OPM-developed written tests. All TSCOs and TAs must sign a Test Security Agreement (see Appendix E) detailing their duties and responsibilities.

Securing OPM-Developed vs. Agency-Developed Materials

OPM controls the security and release of all OPM-developed written tests, rating schedules/crediting plans, proficiency skill tests, and scoring keys (5 CFR part 300). Only OPM-trained and certified TAs and TSCOs may access these materials. Applicants, union officials, and managers may NOT access OPM-developed test materials — there are no exceptions to this rule.

Additional securing requirements: (1) Lock all written test booklets and test papers when not in use. (2) You may not loan, give, sell, or otherwise make rating schedules, crediting plans, or answer keys available to any unauthorized individuals — including other components within your own agency — without OPM’s written permission. (3) If using an automated system such as USA Staffing, you must exit the system during breaks, lunch, and meetings to prevent unauthorized access.

Conflict of Interest: When an Employee or Close Relative Applies

Employees involved in DE activities (including subject matter experts) must notify their supervisor in writing if they intend to apply for a position handled by their DE office, or if they know a relative or household member intends to apply. Once this situation exists, the employee may not be involved in examining or certifying applicants for that position. The agency must establish a procedure for monitoring or segregating the employee during examining and certification, as prescribed by the Interagency DE Agreement.

Legal Challenges to OPM Tests

If OPM test materials become involved in a legal proceeding, you must notify OPM Employee Services. OPM’s Office of General Counsel then assesses the request and either challenges it or seeks a protective order to safeguard the materials’ confidentiality.

Section B establishes the rules for what examining information can and cannot be released. This is one of the most heavily tested areas because it requires knowing two separate lists — releasable materials and exempt materials — plus the special rules for third parties, EEO officials, and FOIA denials.

General Policy

Agencies must comply with FOIA and DOJ guidance. OPM maintains control over the security and release of OPM-developed testing and examination materials (5 CFR § 300.201). If someone requests release of OPM-developed materials, that request must be forwarded to OPM. Any discretionary decision to disclose protected information requires full and deliberate consideration of institutional, commercial, and personal privacy interests.

Privacy Act — Materials That MAY Be Released

The following materials may be made available to the applicant who is the subject of the materials, or to their designated representative, upon request under the Privacy Act:

(1) Application materials submitted by the individual, including rater/reviewer notations showing earned rating, veterans’ preference, final rating, and qualifying experience or quality level notations. (2) Application record or other documentation of the individual’s application. (3) Certification history — identification of dates, jobs, and agencies for which the eligible’s name was certified. (4) Certificates of Eligibles, with all other individuals’ personal information masked. (5) Availability inquiry responses. (6) Position descriptions in the certification file. (7) Reasons for proposed pass-over of a preference eligible, which must be furnished upon request (5 U.S.C. § 3318(c)).

Certificate Release — The Appointed-Names Rule

When releasing a certificate under the Privacy Act, you must mask the names, addresses, social security numbers, phone numbers, and other personal information of all other eligibles. However, the names of appointed individuals are matters of public record and may remain unmasked. Before leaving a name unmasked, take care to verify that the individual shown as selected actually entered on duty.

Third-Party Access

Privacy Act materials may be released to a third party only with written authorization from the person who is the subject of the information requested. No exceptions.

Exempt Material — NOT Releasable

The following may not be disclosed to members of the public, including the applicant: (1) answer keys, (2) rating schedules/crediting plans and other assessment tools, (3) rating sheets, and (4) test booklets or items. These are exempt regardless of who is asking.

EEO Confidential Disclosure (Need-to-Know Basis)

EEO counselors and investigators often request confidential information (applications, rating schedules, etc.). Use your discretion and confer with legal counsel. EEO officials are usually allowed to review documentation relevant to the pending EEO matter, but the examining office can control that review — for example, requiring the review to take place in the presence of a DE office representative and prohibiting photocopying of documents.

FOIA Requests and Denials

OPM encourages you to share releasable information even when the request is mistakenly labeled FOIA rather than Privacy Act. However, the release should state it is being made under Privacy Act authority.

If you deny a FOIA request, you must: (1) cite the specific exemption(s) in the Act, AND (2) inform the requester of their right to appeal and to whom. Common exemptions include 5 U.S.C. § 552(b)(2) (internal personnel rules and practices), (b)(5) (interagency or intra-agency memorandums), and (b)(6) (privacy invasion). In the interest of public relations, explain the reason for denial whenever possible.

Section C is short (one page, p. 7-7) but densely testable. The annual self-audit is a legal requirement under the Interagency DE Agreement, and the rules about WHO may perform it are precise and frequently tested.

The Requirement

You must conduct an annual self-audit (or self-evaluation) of your delegated examining operations, as prescribed by your Interagency Delegated Examining Agreement (Appendix A).

Who May Perform the Self-Audit? (Two Conditions, Both Required)

The auditor must meet both conditions: (1) NOT be involved in the delegated examining activities of the office being audited, AND (2) have successfully completed delegated examining training from OPM and maintain active DE certification status. This dual requirement applies to Federal employees and contractors alike. The auditor cannot be someone from the same DEU performing day-to-day DE work for that office, even if they are otherwise certified.

The OPM/Agency Review Substitution Exception

If OPM conducts a review of your DE operation, or if your agency conducts a review under its independent audit program, either review may substitute for the annual self-audit. This means the office does not need to conduct a separate self-audit that same year. This substitution rule is restated in Section D (OPM Review) as a Special Note: “The MSAC or agency-led review of your delegated examining office satisfies your annual self-audit requirement.”

Documentation Requirement

You must maintain documentation that the required annual self-audit has been completed. This documentation will be requested in advance of an OPM or agency-led review. Additionally, per the Interagency DE Agreement (Appendix A) and Appendix G Expected Outcome #19, a list of all discrepancies and corrective actions must be maintained for 3 years after each audit.

Section D describes the OPM review process and the accountability systems agencies must have in place. Appendix G provides the 25 expected outcomes that OPM and agencies use as evaluation criteria during audits.

MSAC Periodic Reviews

OPM’s Merit System Accountability and Compliance (MSAC) division conducts periodic reviews of DE offices to ensure they operate in accordance with merit system principles and applicable laws, regulations, and policies. The agency receives advance notification and is asked to provide information about DE operations. Before the review, you should review your agency’s DE guidance and local DEU procedures to confirm compliance with law, regulations, and the Interagency DE Agreement.

Accountability Systems

Agencies must have accountability systems that serve two purposes: (1) assure compliance with laws, regulations, and Interagency DE Agreement requirements, and (2) drive efforts to improve effectiveness and efficiency. A quality review or quality control mechanism is particularly important for three functions: validating selections before selectees enter on duty, identifying potential training needs of staff, and implementing necessary improvement efforts.

Data Analysis and Feedback

Program effectiveness is measured through data analysis (e.g., tracking timeliness and cost of filling positions) and feedback from multiple sources (e.g., surveying hiring managers about candidate quality and HR office support, surveying selectees about their perceptions of the hiring process).

Appendix G: Selected High-Priority Expected Outcomes

Appendix G lists 25 expected outcomes for evaluating DE programs. Selected high-priority outcomes include:

#5 — No essays/narratives at initial application stage. Applicants may apply by submitting a resume or completing a simple, plain-language application. They may not be required to provide written essays or narratives at the initial stage.

#6 — Late applications from preference eligibles. Late applications from CP, CPS, and XP preference eligibles must be retained and referred for future vacancies as appropriate.

#17 — DE certification currency. Federal staff conducting competitive examining must have current DE Certification from OPM. Contractors must have documented completion of DE training within prescribed timeframes, or current DE Certification (beginning in 2019). Written test administrators must be trained and certified by OPM.

#18 — Certificate audits before EOD. Certificates must be audited and documented by certified staff or trained contractors before the appointee’s entrance on duty (as covered in detail in Unit 9).

#19 — Self-audit standards. Annual self-audits must be conducted by DE-certified staff or contractors not involved with the DEU’s operations. A list of discrepancies and corrective actions must be maintained for 3 years after each audit.

#21 — Full reconstruction. Documentation must be retained to ensure the examining process can be fully reconstructed. Documentation in automated staffing systems must be accessible or readily retrievable for third-party review and case file reconstruction.

Appendix C provides the official retention schedule for all DE records. The retention periods are specific and frequently tested. The key to mastering this topic is recognizing the patterns: most records follow a 3-year total retention period, but there are important exceptions at both ends.

General Records

Delegation agreements (Item 1): Destroy 3 years after termination of the agreement. Reports of internal annual reviews (Item 2): Destroy 3 years after date of report. General correspondence (Item 3, including correspondence about applications, certificates, and all other examining/recruiting operations): Break annually, destroy 1 year after break.

Testing Records

Shipment correspondence (Item 4): Break annually, destroy 1 year after break. Stock control records (Item 5): Destroy when test is superseded or obsolete. Written test answer sheets (Item 6): Destroy 6 months after date of processing — this is the shortest mandatory retention period in the schedule. Lost or exposed test material case files (Item 7): Break closed files annually, destroy 5 years after break — this is the longest standard retention period.

Register/Standing Inventory Records

Certificate control/log (Item 9): Break annually, destroy 2 years after break (total 3 years). Register of eligibles (Item 10): Destroy 2 years after register termination. Documentation file (Item 11, containing the JOA, rating schedule, job analysis, etc.): Destroy 2 years after termination of the related register. Eligible applications (Item 12): Active applications — destroy 90 days after register termination; inactive applications — break annually, destroy 1 year after break.

Case Examining Records

Certificate case files (Items 13 and 17): Break annually, destroy 2 years after break, for a total retention of 3 years. The case file should be arranged to permit reconstruction or validation of actions in the event of appeal or legal action. Eligible applications not referred or returned (Item 18), ineligible applications (Item 19), and incomplete applications (Item 20): All follow the same pattern — break annually, destroy 2 years after break (total 3 years).

Examinations Under Litigation

Luevano materials (Item 21): As of 2008, follow standard 3-year retention (break annually, destroy 2 years after break). All other materials under current litigation (Item 22): Break annually, retain until further notice from OPM. This is an indefinite hold — these materials cannot be destroyed until OPM provides explicit authorization.

Disposition Notification

You must determine where you will maintain examining records and advise your headquarters DE program manager so that OPM can be notified of the location. Records must be available for OPM review during their entire retention period. Records must be maintained under the OPMGOVT-5 Governmentwide system of records, consistent with the Privacy Act.

Appendix G contains 25 numbered expected outcomes that OPM and agencies use as evaluation criteria when auditing DE programs. Topic 4 covered selected highlights (#5, #6, #17, #18, #19, #21). This topic covers the remaining high-testability outcomes you need to recognize on the exam.

Job Analysis and Assessment Alignment (#1 and #2)

Expected Outcome #1: The job analysis process must be documented and must identify objective, assessable KSAs/competencies related to important job duties, work outcomes, or work behaviors necessary for successful performance in the position being filled.

Expected Outcome #2: Assessment criteria (rating plans, occupational questionnaires, tests, structured interviews) must align with job analyses, make clear distinctions between creditable levels of qualifications, contain appropriate measures, and be uniformly applied. The key phrase is “align with job analyses” — if an assessment tool was not derived from a documented job analysis, it fails this outcome.

JOA Standards (#3)

Expected Outcome #3: JOAs must be posted on USAJOBS with all required regulatory information. Open periods of fewer than 5 calendar days must have documented justification. JOAs must be streamlined, written in plain language, and include clear filing instructions and meaningful definitions of qualifying specialized experience specific to the grade level(s) of the position being filled. Note the emphasis on “specific to the grade level” — generic experience descriptions that do not distinguish between GS-7 and GS-9 fail this standard.

Selective Factor Justification (#7)

Expected Outcome #7: Appropriate qualification standards, including agency-developed standards approved by OPM, must be used. Justification for use of selective factors must be documented. Specialized experience requirements and selective factors must align with job analysis. Critically, selective factors must not require KSAs that could be learned readily during the normal period of orientation to the position, and must not be so specific as to exclude applicants who lack prior Federal experience.

Self-Assessment Verification (#10)

Expected Outcome #10: When a self-assessment rating instrument is used to rank candidates, responses from applicants who will be referred for selection on a Certificate of Eligibles must be checked against other application materials for evidence supporting the applicant’s self-ratings. Appropriate rating adjustments must be made and fully documented. This is the “inflation check” — agencies cannot simply accept applicant self-ratings at face value without verification.

ICTAP Second Review (#11)

Expected Outcome #11: If ICTAP eligibles are found not well-qualified, the agency must conduct an independent second review and provide written notification containing the specific reason(s) the eligible was found not well-qualified. This is a due-process safeguard — the initial reviewer’s determination must be independently confirmed, and the eligible must receive a written explanation.

Applicant Status Notifications (#15)

Expected Outcome #15: Applicants must be notified of the status of their application at four key stages: (1) application received, (2) qualified or not qualified, (3) referred or not referred, and (4) selected or not selected. This aligns with the four touchpoint requirement from Ch. 3 C (pp. 3-9 to 3-10) and Ch. 4 A (p. 4-12).

Accountability System and SF-50 Compliance (#22 and #25)

Expected Outcome #22: An accountability system must be in place to assure compliance with merit system principles and legal, regulatory, and Interagency DE Agreement requirements and drive efforts to improve effectiveness and efficiency of DE operations.

Expected Outcome #25: Personnel action (SF-50) processing, Official Personnel Folder maintenance, and other administrative activities must conform to regulatory and legal requirements.

The Interagency Delegated Examining Agreement (Appendix A) contains a detailed list of agency responsibilities (items a through cc) that go beyond what is discussed in the body of the DEOH. Several of these are highly testable because they involve specific procedural requirements that the exam writer can test with precise detail.

Quarterly Reporting to OPM (Item w)

Agencies must provide quarterly reports to OPM on such measures as OPM requires to fulfill its oversight and program management responsibility. This is a reporting obligation that exists independently of the annual self-audit — it is a separate, ongoing requirement.

Mandatory Corrective Action (Item x)

Agencies must take such corrective action as OPM may require, under authority of 5 U.S.C. § 1104(c). This is not discretionary — if OPM requires corrective action following a review, the agency must comply.

Internal Accountability System (Item y)

Agencies must establish and maintain an internal accountability system designed to assure that DE authorities are used in compliance with law and merit system principles. This system is subject to regular periodic management review by OPM. Note that this is distinct from the annual self-audit — the accountability system is an ongoing compliance infrastructure, not a single annual event.

Notification of Changes (Item aa)

Agencies must notify OPM of changes in their DE offices, including the establishment of new DE offices and the termination of existing ones. OPM cannot exercise effective oversight if it does not know which offices are operating under delegated authority.

Certification Currency (Item bb)

Agencies must ensure that all individuals responsible for DE activities, including those conducting annual audits, have completed initial certification training and are currently certified by OPM to perform this work. This applies across the board — no uncertified person may perform DE work.

Contractor and Economy Act Accountability (Item cc)

This is one of the most nuanced provisions in the Agreement. When DE work is performed by a contractor or another agency under an Economy Act arrangement, the undersigned agency remains accountable for the work performed on its behalf. Three specific requirements apply: (1) the agency is accountable for all contractor/partner-performed work, (2) appointments must actually be made by the undersigned agency itself, and (3) the documents necessary to evidence appointments must be signed by officials of the undersigned agency itself. A contractor can perform examining functions, but the agency — not the contractor — makes the actual appointments.

The DEOH establishes precise requirements for communicating with applicants during the hiring process and for handling compromises of testing materials. Both are highly testable because they involve specific timeframes and specific sequences.

The Four Touchpoints — Mandatory Communication

Agencies must communicate with applicants in a timely manner at four touchpoints during the hiring process. It is acceptable to combine touchpoints into as few as two communications, but all four status updates must be conveyed:

Touchpoint 1 — Application received. OPM suggests notification no later than 5 business days after the application was received.

Touchpoint 2 — Eligibility/qualification determination. Notification when the application is assessed for basic eligibility and minimum qualifications after all applications have been assessed.

Touchpoint 3 — Referral status. Notification when the application is referred or certified (or not) to the hiring manager.

Touchpoint 4 — Selection outcome. Notification when a selection is made (or not) for the position, or the job is canceled. OPM suggests notification no later than 10 business days after the selected candidate has accepted the job offer or the job was canceled.

Notice Content Requirements

Notices must be written in plain language and explain their purpose. The Notice of Results (Touchpoint 2) must include: the title, series, grade, and specialty of the job; whether the applicant is eligible or ineligible (including any assigned rating); the level of veterans’ preference awarded; any restrictions on eligibility; whether the applicant was referred to the hiring manager; a brief explanation of the reason for ineligibility; the length of eligibility and procedures for extension; and a point of contact for questions.

USAJOBS Status Access Does Not Replace Written Notice

Allowing applicants to check their status through USAJOBS or agency-specific tracking systems is helpful, but it does not replace the agency’s obligation to provide written notice at the four touchpoints. This is a critical distinction — system access is supplementary, not substitutive.

ACWA Rating Schedule Compromise — The 24-Hour Rule

If an ACWA rating schedule scoring is compromised, the agency must notify OPM’s Employee Services, Talent Acquisition and Workforce Shaping, within 24 hours. This is one of the shortest mandatory response timeframes in the entire DEOH. The notification goes to a specific email address designated by OPM.

Written Test Loss/Compromise — Reporting Chain

When written test material is lost or compromised, the reporting chain has two steps: (1) the Test Administrator notifies the agency Test Control Officer by the end of the business day, followed by a written incident report within 24 hours; (2) the Test Control Officer notifies OPM by email within 24 hours of the initial notification, followed by a written report within one week. The written report must include the date, time, location, test administrator name, description of materials, number of copies missing, circumstances, and actions taken to safeguard the material.

The DE exam’s most challenging questions require you to apply rules from multiple DEOH chapters simultaneously. Nowhere is this more common than where veterans’ preference (Ch. 4, Section B), category rating (Ch. 5, Section B), and selection/certification (Ch. 6, Sections A–B) intersect.

How Preference Eligibles Enter Quality Categories

Under category rating, veterans’ preference points are NOT added to scores (Ch. 5 B, p. 5-9). Instead, preference is applied after category placement: preference eligibles are listed ahead of non-preference eligibles within each quality category.

The second critical rule: for most positions, qualified preference eligibles with a compensable service-connected disability of 10 percent or more (CP and CPS) must be placed in the highest quality category, regardless of where their assessment scores would otherwise place them (Ch. 6 B, p. 6-12). This “floating up” rule applies even if the veteran’s assessment score would have placed them in the Qualified or Well-Qualified category.

The Exception: Professional and Scientific Positions at GS-9 and Above

For professional and scientific positions at the GS-9 level and above, CP/CPS veterans do NOT automatically float to the highest quality category (5 U.S.C. § 3313; Ch. 6 B, p. 6-13). They remain in whatever quality category their assessment scores place them, though they still receive absolute preference within that category.

Augmentation Does NOT Apply Under Category Rating

Under the rule-of-three, augmentation allows OPM to add names to the top three when a preference eligible blocks selection. Under category rating, augmentation does not exist (Ch. 5 B, p. 5-18). There is no mechanism to bypass the preference order within a quality category except through the formal pass-over process.

The 30% Disabled Veteran Pass-Over Requires OPM

When the preference eligible to be passed over has a compensable service-connected disability of 30 percent or more (CPS), the pass-over request must go to OPM for approval (Ch. 6 D, pp. 6-30 to 6-34; Appendix A, p. A-4). The agency cannot unilaterally pass over a CPS veteran.

The DE exam tests your ability to trace a hiring action through its complete lifecycle. Each step is governed by a different DEOH chapter, and the output of one step constrains the next.

The Eight-Step Chain

Step 1 — Job Analysis (Ch. 2): Identify the competencies/KSAs required. Job analysis documentation must support every downstream decision.

Step 2 — Job Opportunity Announcement (Ch. 3): The JOA must reflect job analysis results. Post on USAJOBS, open for a minimum of 5 calendar days (shorter periods require documented rationale).

Step 3 — Application Receipt and Processing (Ch. 4 A, Ch. 3): Accept applications in multiple formats (not online-only). Late application rules vary by preference status. ICTAP/CTAP clearance must be completed before issuing a certificate.

Step 4 — Qualification Determination (Ch. 4 A): Evaluate each applicant against the OPM qualification standard, including selective factors. The combination formula (education % + experience % ≥ 100%) applies where the standard permits. Minimum qualification is a threshold, not a ranking tool.

Step 5 — Rating and Ranking (Ch. 5): Qualified applicants are assessed and placed into predefined quality categories. Veterans’ preference is applied within categories (no points added).

Step 6 — Certification (Ch. 6 A–B): Create the Certificate of Eligibles listing candidates in the highest quality category with preference eligibles ahead of non-preference eligibles.

Step 7 — Selection (Ch. 6 B–D): The selecting official selects from the highest quality category following veterans’ preference order. Pass-over and objection procedures apply if skipping a preference eligible.

Step 8 — Audit and Retention (Ch. 6 C, Ch. 7, Appendix C): Audit the returned certificate for compliance before EOD. Retain records per Appendix C.

Handoff Points Where Errors Compound

The exam frequently tests chain-link vulnerabilities: (1) A selective factor in the JOA without job analysis support. (2) Quality categories not defined before the JOA was posted. (3) ICTAP clearance not completed before certificate issuance. Each error triggers consequences spanning multiple chapters.

When an error is discovered in a completed hiring action, multiple DEOH chapters interact to dictate the correction procedure, notification requirements, and documentation obligations. The exam tests whether you can identify which chapter governs each part of the correction process.

Erroneous Certification vs. Illegal Selection

An erroneous certification occurs when the examining office makes a procedural error in creating the certificate (e.g., omitting an eligible, incorrect category placement, failing to apply veterans’ preference). An illegal selection occurs when a selection made from a certificate is out of order and violates selection rules. The correction procedures are in Ch. 6 E (pp. 6-45 to 6-50), while documentation and accountability requirements come from Ch. 7 and Appendix C.

Priority Consideration: The Primary Remedy

When an eligible lost consideration due to erroneous certification, the primary remedy is priority consideration for the next appropriate vacancy (Ch. 6 E, pp. 6-49 to 6-50). Priority consideration means the affected eligible’s name is entered at the top of the next certificate. This is not an automatic appointment — the selecting official still makes the selection decision, but the affected eligible must receive bona fide consideration ahead of others. All four conditions for lost consideration must be met before priority consideration applies.

Documentation and Records Retention

All corrective actions must be documented and retained. Certificate case files must be retained for 3 years (Appendix C, pp. C-3 to C-4). The case file must permit third-party reconstruction (Appendix G, item #21). Annual self-audit discrepancy lists must also be retained for 3 years.

Per-Certificate Audit vs. Annual Self-Audit

Two different audit functions: The per-certificate audit (Ch. 6 C, p. 6-25) verifies each certificate’s selections before EOD. The annual programmatic self-audit (Ch. 7 C, p. 7-7) reviews the entire DE program, performed by someone with active DE certification who is NOT a member of the examining staff being audited. OPM’s periodic MSAC review satisfies the self-audit requirement for that year.

Job analysis (Ch. 2) is the foundation that drives every subsequent step in the DE process. The exam tests whether you understand how job analysis findings flow into qualification requirements, selective factors, assessment tools, and rating schedules.

Job Analysis Drives Everything Downstream

Job analysis identifies the competencies, KSAs, and tasks required for successful performance (Ch. 2 B–C, pp. 2-1 to 2-24). These findings feed into three products: (1) selective factors in the JOA (Ch. 3, pp. 3-7 to 3-8), (2) assessment tools (Ch. 2 C, pp. 2-16 to 2-18), and (3) quality category definitions (Ch. 5 B, pp. 5-10 to 5-13). If the job analysis is missing or inadequate, none of these downstream products have a valid foundation.

Selective Factors vs. Quality Ranking Factors

A selective factor is a KSA or competency essential for satisfactory performance from day one that cannot be learned after appointment. It functions as a screen-out: applicants who do not possess it are rated ineligible. A quality ranking factor enhances performance but is not essential; it is used to distinguish among qualified candidates but does not screen anyone out. Confusing these two is a common exam error.

Qualification Standards and the Combination Formula

The combination formula applies when an applicant has both education and experience but neither alone meets the standard: Education % + Experience % must total ≥ 100%. The education percentage is based on semester hours completed divided by the total required; the experience percentage is based on months of experience at the required level. The two qualification standards available during the exam cover different grade intervals — be sure to use the correct one for the position’s series and grade.

Three-Step Application Review

Applications are reviewed in three sequential steps: (1) eligibility determination (citizenship, Selective Service, etc.), (2) minimum qualification determination (OPM standards plus selective factors), and (3) assessment using rating tools. These steps are sequential and cannot be reordered — an applicant must pass each step before proceeding to the next. Minimum qualifications are a threshold, not a ranking tool; passing the minimum does not establish relative standing.

The DE Certification Assessment is 50 questions in 90 minutes — an average of 108 seconds per question. It is open-book: you may reference the DEOH, VetGuide Appendix A, and two Qualification Standards during the exam. The skill being tested is not memorization but the ability to quickly locate and correctly apply rules under time pressure.

Chapter Identification: The First 10 Seconds

When you read a question stem, your first task is to identify which DEOH chapter contains the governing rule. Train yourself to recognize these keyword triggers:

Ch. 1: delegation agreement, authority, certification program, termination/suspension/revocation.

Ch. 2: job analysis, competency identification, assessment tool development, validity, rating schedule, Uniform Guidelines.

Ch. 3: JOA, USAJOBS, open period, area of consideration, selective factor (in JOA context), recruitment.

Ch. 4: minimum qualifications, specialized experience, education substitution, combination formula, veterans’ preference adjudication, ICTAP/CTAP, SF-15.

Ch. 5: category rating, quality categories, passing grade, numerical rating, rule of three, ranking order.

Ch. 6: Certificate of Eligibles, selecting official, pass-over, objection, shared certificates, supplemental certification, merging categories, illegal selection, priority consideration.

Ch. 7: safeguarding, FOIA, Privacy Act, conflict of interest, self-audit, OPM review, records retention.

VetGuide Appendix A: wars, campaigns, and expeditions qualifying for preference; non-qualifying medals.

Qualification Standards: specific series requirements, education requirements, grade interval determination, combination formula application.

Cross-Cutting Question Recognition

The hardest exam questions require rules from two or more chapters. Recognition cues: (1) the question mentions both a process step AND a specific preference type, (2) the scenario describes an error and asks about correction AND documentation, (3) the question involves a selection rule AND an audit requirement. When you see these cues, plan to open two sections of the DEOH.

Time Management: The Skip-Flag-Return Strategy

If you cannot identify the governing chapter within 10 seconds, or cannot locate the specific rule within 30 seconds of opening the chapter, flag the question and move on. Return to flagged questions after completing all questions you can answer quickly. This ensures you capture all the points you know before investing time in hard questions.

The Career Transition Assistance Plan (CTAP), Interagency Career Transition Assistance Plan (ICTAP), and Reemployment Priority List (RPL) form a priority placement framework that intersects with nearly every stage of the competitive examining process. These programs protect surplus and displaced Federal employees, and they create obligations that the HR specialist must address before issuing a certificate or making a selection.

CTAP — Same-Agency Priority

CTAP applies to “surplus” or “displaced” employees within your own agency. If a CTAP eligible applies and meets the agency’s definition of “well-qualified” (5 CFR § 330.606), the agency must select that person before appointing anyone else from inside or outside the agency, with few exceptions. Key conditions: the vacancy must be in the employee’s local commuting area, at or below the employee’s current grade, and with the same or less promotion potential. CTAP applies only while the employee is still on the agency’s rolls — once separated, the individual may be eligible for RPL or ICTAP.

RPL — Separated Employees, Same Agency

The Reemployment Priority List covers former employees separated by reduction in force (RIF) or those who recovered from work-related injuries. Before selecting an eligible from outside the agency, you must check the RPL for the commuting area where the job is located. RPL operates at the agency level — each agency maintains its own RPL for each commuting area where it has separated employees.

ICTAP — Cross-Agency Priority

ICTAP provides selection priority to displaced Federal employees applying for positions at other agencies in their local commuting area. The key: a “well-qualified” ICTAP eligible (5 CFR § 330.704) must be selected before the agency can appoint almost any other applicant from outside the agency. For ICTAP, the eligibility conditions mirror CTAP: same commuting area, at or below grade, same or less promotion potential, and the employee has a Fully Successful (or equivalent) performance rating.

How Priority Placement Intersects with the Certificate

CTAP, ICTAP, and RPL eligibles are not placed on the competitive Certificate of Eligibles. They are referred separately (Ch.4 B, p. 4-13). The Step 1 eligibility determination in application processing must identify these priority eligibles before proceeding to qualification determination (Step 2) and assessment (Step 3). CTAP/ICTAP clearance must be completed before issuing a competitive certificate.

Certificate Ordering Under Category Rating

On the Certificate of Eligibles itself, the ordering is: (1) ICTAP eligibles, (2) priority consideration eligibles (those who lost consideration due to erroneous certification), (3) all other eligibles in the highest quality category, with preference eligibles ahead of non-preference eligibles. A well-qualified ICTAP eligible must be selected if available, unless the hiring manager chooses not to use the certificate or selects from a source excepted from ICTAP (such as a 30% disabled veteran appointment).

DOD Exception

Department of Defense agencies do not use CTAP. Instead, DOD uses its Priority Placement Program (PPP). However, DOD agencies must still apply ICTAP procedures when filling vacancies from outside the DOD workforce. Displaced DOD employees may also register for the RPL and use ICTAP at non-DOD agencies.

This topic pulls together three certificate-level rules from Chapter 6 that frequently appear as exam questions: supplemental certificates, merging quality categories, and the mechanics of how eligibles are ordered after these operations.

Supplemental Certificates Under Category Rating

A supplemental certificate is issued when additional names are needed while the original certificate is still outstanding (not yet audited). Under category rating, a supplemental certificate contains any late filers who belong in the highest category that were not on the original, plus the next highest category group, with preference eligibles listed ahead of non-preference eligibles within that group.

The critical rule: eligibles on a supplemental certificate have a lower standing than eligibles on the original certificate. This means a 10-point preference late filer on a supplement has lower standing than non-preference eligibles on the original. A supplement can only be issued when the original certificate is still outstanding — if the original has been returned and audited, new names require a new certificate, not a supplement.

Merging Quality Categories

If there are fewer than three candidates in the highest quality category, the agency has the option (not a requirement) to merge the highest quality category with the next lower quality category. The newly merged category becomes the new highest quality category, with preference eligibles placed ahead of non-preference eligibles.

Merging can occur at two points: (1) before issuing a certificate (if the highest category has fewer than three eligibles), or (2) after working a certificate (if fewer than three available eligibles remain in the highest category after selections). The hiring manager, in consultation with the examining office, makes this decision.

The Consequences of Merging

Once merged, the new order must be maintained. Preference eligibles from the lower category move to the top of the merged category. If the hiring manager would have preferred to select a non-preference eligible from the original top category, that selection must occur before the merge, because after merging, the newly elevated preference eligibles block non-preference selections unless pass-over procedures are followed. This is a critical discussion point between the examining office and the hiring manager.

Number of Merges

The number of times categories can be merged is restricted only by the number of categories established. There is no other limit. With three categories (Best Qualified, Well Qualified, Qualified), you could merge twice: first Best Qualified with Well Qualified, then the merged category with Qualified.

Agency Policy Controls

Before merging, you must first check your agency’s category rating policy (5 CFR part 337 subpart C) to verify whether a merger is permitted. Not all agencies allow merging in all circumstances.

Qualifications Determinations is one of the two weak competencies identified in the OPM results letter. This topic targets the qualification scenarios that require cross-referencing multiple documents and applying rules that are easy to confuse under exam pressure.

Minimum Qualifications vs. Passing Grade vs. Category Placement

These three concepts are sequential and distinct: (1) Minimum qualifications (Ch. 4 B, p. 4-13) are the OPM standard for the position — meeting them makes you eligible but says nothing about relative standing. (2) A passing grade (Ch. 5 B, p. 5-8) is a pre-established score on an assessment tool — meeting it means you are qualified for a quality category but does not determine which category. (3) Category placement (Ch. 5 B, p. 5-10) is determined by the assessment score relative to pre-defined cut points. Each step is a separate gate. Minimum qualifications are a threshold, not a ranking tool; passing a minimum qualification does not establish relative standing among candidates.

The Combination Formula — Applied

When an applicant has both education and experience but neither alone meets the qualification standard, the combination formula applies: Education % + Experience % must total ≥ 100%. The education percentage is calculated as semester hours completed divided by semester hours required. The experience percentage is months of qualifying experience divided by months required. There is no minimum for either component individually — an applicant with 10% education and 90% experience qualifies.

Which Qualification Standard? — Grade Interval Determination

During the exam, two qualification standards are available: the Administrative and Management Positions standard (two-grade interval, GS-5/7/9/11/12/13) and the Clerical and Administrative Support standard (one-grade interval, GS-1/2/3/4/5/6/7). The correct standard depends on the series and the position’s classification, not on the applicant’s current grade. The 0300-0399 series (Administrative) uses the two-grade interval standard. The 0500-0599 clerical occupations use the one-grade interval standard. Using the wrong standard is a qualification determination error.

Selective Factors as Qualification Requirements

A selective factor is part of the minimum qualification determination, not the ranking assessment. It is applied at Step 2 of the three-step application review (Ch. 4 B, p. 4-13). An applicant who meets the OPM qualification standard but lacks a selective factor is rated ineligible — they do not proceed to assessment. The selective factor must be supported by job analysis documentation and must represent a KSA essential from day one that cannot be learned during orientation.

Education-Only Qualifications at GS-5 and GS-7

Under the two-grade interval standard, applicants can qualify for GS-5 based solely on a bachelor’s degree (or equivalent). For GS-7, education-only qualification requires one full year of graduate education (18 semester hours), or superior academic achievement (SAA) at the bachelor’s level. SAA has three pathways: (1) upper third of graduating class, (2) GPA of 3.0 or higher on a 4.0 scale over 4 years or the final 2 years, or (3) election to a national honor society.

When Qualification Standards Are Not in the DEOH

The DEOH tells you how to apply qualification standards but does not contain the standards themselves. The specific education requirements, experience requirements, and combination formula details are in the two qualification standard documents available during the exam. If a question asks “how many semester hours are required for GS-9?” the answer is in the qualification standard, not in the DEOH.