[Federal Register Volume 67, Number 32 (Friday, February 15, 2002)]
[Rules and Regulations]
[Pages 7055-7056]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-3621]



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 Rules and Regulations
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  Federal Register / Vol. 67, No. 32 / Friday, February 15, 2002 / 
Rules and Regulations  

[[Page 7055]]



OFFICE OF PERSONNEL MANAGEMENT

5 CFR Part 332

RIN 3206-AJ52


Recruitment and Selection Through Competitive Examination

AGENCY: Office of Personnel Management.

ACTION: Interim regulation with request for comments.

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SUMMARY: The Office of Personnel Management (``OPM'') is issuing an 
interim regulation to allow agencies to decide how candidates are 
referred for competitive appointment when agencies fill multiple 
vacancies simultaneously. We are codifying a long-standing practice 
(based on 5 U.S.C. 3301 and 3302) of providing agencies with the option 
of either certifying a candidate for only one vacancy at a time, or 
certifying a candidate simultaneously for all vacancies for which that 
candidate expresses an interest, is eligible, and is within reach.

EFFECTIVE DATE: This regulation is effective February 15, 2002. We will 
consider written comments received by April 16, 2002.

ADDRESSES: Send or deliver written comments to Ellen E. Tunstall, 
Assistant Director for Employment Policy, U.S. Office of Personnel 
Management, 1900 E Street NW., Room 6551, Washington, DC 20415-9500.

FOR FURTHER INFORMATION CONTACT: Suzy M. Barker, Director, Examination 
and Qualifications Policy Division, on (202) 606-0830, or FAX (202) 
606-0390.

SUPPLEMENTARY INFORMATION: For decades--dating back to at least the 
establishment of the Federal Service Entrance Examination in 1955--OPM 
has had the option of using two alternative methods of certifying 
candidates for competitive appointments. When OPM began delegating the 
responsibility for certification to other examining units (delegated 
examining units--DEUs), we provided the DEUs with these two options as 
well. The first option permits agencies to refer a candidate's name out 
on only one certificate at a time by temporarily removing the candidate 
from the list of eligibles while the candidate's name is out on that 
certificate. The second option, known as ``dual certification,'' 
requires that agencies simultaneously list a candidate on all 
certificates for which the candidate expresses an interest, is 
eligible, and is within reach. Under the ``dual certification'' option, 
there is no limit to the numbers of certificates on which a candidate 
can be referred simultaneously.
    OPM's long-standing policy on the certification options available 
to agencies is discussed in detail in OPM's Delegated Examining 
Operations Handbook (DEOH). It derives from OPM's authority, based on 
delegations for the President, to ``prescribe such regulations for the 
admission of individuals into the civil service in the executive branch 
as will best promote the efficiency of that service'' (5 U.S.C. 
3301(1); see also 5 U.S.C. 3302(5), requiring OPM to prescribe 
regulations necessary for the administration of competitive service 
examinations).
    As described in the DEOH, in most circumstances, when filling 
multiple jobs either from a standing inventory or under case examining 
where there are multiple grade levels and/or geographic locations, an 
agency may invoke either of the previously-discussed options.
    To illustrate the practical effect of this practice, consider that 
an agency has established a standing inventory for the position of 
Border Patrol Agent at grade levels GS-5 and 7. The inventory services 
the agency nationwide. Three selecting officials request a list of 
eligibles for a GS-5 position on the same day. The positions are in San 
Diego, El Paso, and Miami. Using the dual certification method, the top 
three candidates--who were qualified for GS-5 at all three locations--
are referred to all three locations and the selecting officials would 
consider the same candidates. The same candidate could be selected by 
more than one official, both limiting the choice of the selecting 
official and delaying hiring.
    Limiting choices and delaying hiring are never good options, 
especially in times such as these. Agencies have urgent needs right now 
in the areas of law enforcement, security, and investigative personnel. 
There is also a direct impact on the lists of eligibles used to fill 
specific positions including, but not limited to, Border Patrol Agents, 
U.S. Marshals, and Criminal Investigators. Other positions filled from 
standing inventories include, for example, Veterinary Medical Officers 
who work in over 6,000 food processing plants nationwide, Defense 
Commissary Managers throughout the world, and Internal Revenue Service 
Tax Examiners employed throughout the United States. All play an 
important part during these extraordinary times.
    Providing agencies with the option of choosing either certification 
method has a number of advantages. Specifically, it gives agencies the 
means with which to:
     Use the examining system most efficiently and effectively 
in any given situation. Fore example, where multiple vacancies are 
being filled in multiple geographic locations, dual certification is 
often grossly inefficient. In these instances, the same candidates are 
referred for each vacancy and, consequently, several selecting 
officials often select the same candidates. Until a candidate actually 
accepts an offer of employment, he or she blocks the ability of the 
other two selecting officials to fill their vacancies, and the 
opportunity for other candidates to be considered. Moreover, the same 
scenario often occurs repeatedly as selecting officials go through 
their lists. The result is substantial delay, especially when filling 
positions in less desirable locations;
     Increase the credibility of the Federal hiring system. 
Agencies can ensure that their selecting officials are given bona fide 
candidates from which to select. On many occasions, the dual 
certification method does not allow agencies to provide their selecting 
officials with meaningful choices. Likewise, job candidates are more 
likely to receive timely consideration and notification regarding 
selection;
     Protect the Merit System Principles. These principles 
require, among other things, that the Federal work force be sued 
efficiently and effectively and that all applicants for employment 
receive fair and equitable treatment. Providing

[[Page 7056]]

agencies with a choice of certification options is in keeping with 
these principles;
     Improve the efficiency of the referral process for both 
the agency and the candidate. In certain situations, especially where 
several vacancies are being filled at different grade levels in 
different geographic locations, the dual certification process creates 
uncertainty as to which candidates are being considered by which 
selecting official for which location. Providing agencies with an 
option of certification procedures assists immeasurably in promoting 
the efficiency of the hiring process.
     Establish a mechanism through which agencies can reduce 
the high rate of declinations that occur because not all candidates are 
really interested in all the vacancies for which they may be referred. 
For example, when applicants for Immigration Inspector positions with 
the Immigration and Naturalization Service were given the opportunity 
to be considered for all geographic locations, nearly 80% of those 
individuals who were offered positions declined. On the other hand, 
when applicants for these positions were limited in the number of 
geographic locations for which they could ask to be considered, the 
declination rate dropped to approximately 40%;
     Meet the Federal government's primary objectives, as set 
forth by the President. This practice is citizen-centered, results-
oriented and market-based. It gives agencies a choice of referral 
methods and thus an opportunity to select the method that puts the best 
people into vacant positions as quickly and efficiently as possible 
while providing job applicants with fast, fair and equitable 
consideration. This, in turn, allows agencies to better serve the needs 
of citizens; and
     Lower costs to the taxpayer significantly and lessen the 
burden on human resources personnel.
    Recently, it was brought to our attention that OPM's regulations 
make so specific provision for any certification method other than 
referral from the top of the list of eligibles based on score. This 
amendment rectifies that technical deficiency, but will not otherwise 
change the way in which candidates have historically been rated, 
ranked, and considered for competitive service jobs. OPM has broad 
authority under the law and the Civil Service Rules to conduct open, 
competitive examinations. We will continue to administer an efficient, 
effective examining program that attempts to balance the rights of 
individuals and the needs of agencies so we can better serve the 
public.

Waiver of Notice of Proposed Rulemaking

    In accordance with section 553(b)(3)(B) of title 5 of the U.S. 
Code, I find that good cause exists for waiving the general notice of 
proposed rulemaking. An opportunity for public comment prior to issuing 
this rule is unnecessary and contrary to the public interest. Waiving 
proposed regulations will help agencies continue to fill critical 
positions.

Regulatory Flexibility Act

    I certify that these regulations will not have a significant 
economic impact on a substantial number of small entities (including 
small businesses, small organizational units, and small governmental 
jurisdictions) because the regulations apply only to appointment 
procedures for employees in Federal agencies.

E.O. 12866, Regulatory Review

    This rule has been reviewed by the Office of Management and Budget 
in accordance with Executive Order 12866.

List of Subjects 5 CFR Part 332

    Government employees.

Office of Personnel Management,
Kay Coles James,
Director.

    Accordingly, OPM is amending part 332 of title 5, Code of Federal 
Regulations, as follows:

PART 332--RECRUITMENT AND SELECTION THROUGH COMPETITIVE EXAMINATION

    1. The authority citation for part 332 continues to read as 
follows:

    Authority: 5 U.S.C. 1302, 3301, 3302; E.O. 10577, 3 CFR, 1954-
1958 Comp., p. 218.

Subpart D--Consideration for Appointment

    2. Section 332.402 is revised to read as follows:


Sec. 332.402  Referring candidates for appointment.

    OPM or a Delegated Examining Unit (DEU) will refer candidates for 
consideration by simultaneously listing a candidate on all certificates 
for which the candidate is interested, eligible, and within reach, 
except that, when it is deemed in the interest of good administration 
and candidates have been so notified, OPM or a DEU may choose to refer 
candidates for only one vacancy at a time. Selecting officials will 
receive sufficient names, when available, to allow them to consider at 
least 3 candidates for each vacancy.

[FR Doc. 02-3621 Filed 2-14-02; 8:45 am]
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