U.S. Office of Personnel Management - Ensuring the Federal Government has an effective civilian workforce

Q. What do the new Civil Service Rules do?

A. Executive Order 13197 establishes two new Civil Service Rules designed to clarify and strengthen OPM’s authority to hold Executive departments and agencies accountable to the President for more effective human resources management (HRM).

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Q. What is a Civil Service Rule?

A. The civil service laws give the President the authority to issue Civil Service Rules governing the civil service. The Rules govern a wide variety of matters and (with some specific exceptions) are binding on all Executive departments and agencies. For example, 5 U.S.C. 2301 authorizes the President to take any action including the issuance of rules "to ensure that personnel management is based on and embodies the merit system principles."

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Q. Where can I find the Civil Service Rules?

A. The rules are published in Title 5 of the Code of Federal Regulations (CFR) and can be found in parts 1 through 10 (5 CFR 1—10).

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Q. Why were these two new rules needed?

A. As HRM authority has been increasingly delegated and decentralized, accountability has risen to a new level of importance. To ensure good management, agency flexibility must be accompanied by a comprehensive effort to ensure governmentwide accountability so that all agencies use their authority effectively and within the parameters of the merit system principles--which remain the core values of the civil service. In particular, it is imperative that agencies excluded from significant portions of the civil service laws in title 5 remain accountable to the President and the public for effective, merit-based human resources management. The two new rules are designed to ensure that accountability.

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Q. How do these rules ensure HRM accountability?

A. The rules address HRM accountability at three levels. First, OPM may require an agency to maintain an internal system of accountability that sets standards for applying the merit principles, measures its effectiveness in meeting those standards, and corrects any deficiencies in meeting those standards. Second, OPM may review any agency covered by the merit principles and report to the agency head or the President on the effectiveness of the agency’s HRM programs and practices and whether they are consistent with the merit principles. Finally, all agencies must report workforce information to OPM and comply with OPM standards for the information. The rules thus address internal accountability, external oversight, and the submission of HR workforce information to allow for effective management of the Executive branch.

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Q. Didn’t OPM already have this authority?

A. As agencies or their sub-components increasingly have been successful in gaining exemptions from provisions of title 5, a debate had arisen in the Federal community about whether these alternative personnel systems must ensure accountability with the merit principles, report workforce information to OPM, and remain subject to OPM review. The new rules end that debate by clarifying OPM’s role as the President’s agent for HR governmentwide.
 
First, effective management of the Executive branch requires all agencies (except intelligence agencies) to report workforce information to OPM, which has the responsibility for compiling governmentwide workforce information. Second, OPM’s oversight responsibilities are not limited to ensuring compliance with title 5, and include providing information to agencies and the President on the state of the merit system governmentwide. Finally, all agencies covered by the merit principles are accountable to the President and the public for adherence to those principles and should have accountability systems to ensure that their personnel management remains grounded in the statutory merit principles.

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Q. Which agencies are covered by these rules?

A. Each of the two rules covers a different group of agencies because of the different legal authorities on which they are based. Rule IX, concerning workforce information, covers all Executive branch agencies except those involved in intelligence or counterintelligence, such as the FBI, the CIA, NSA, DIA, and NIMA.
 
Rule X, concerning the scope of OPM’s review authority and the requirement to establish and maintain HRM accountability systems, covers all Executive branch agencies, except the intelligence and counterintelligence agencies named above, and government corporations.

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Q. Is the Federal Aviation Administration (FAA) covered by these rules?

A. The FAA is covered by Rule IX concerning workforce information. However, the law that established the current alternative personnel system in the FAA excluded it from most provisions of title 5, including the merit principles (section 2301). Therefore, Rule X does not apply to the FAA. The FAA has made a decision to administratively adopt the merit principles. They have also requested and obtained an "interchange agreement" with OPM. Under the terms of that agreement, FAA employees have "status," although they are in the excepted service, and retain access to the competitive service as long as OPM determines that the FAA is operating as "an established merit system." So, under the terms of an existing Civil Service Rule (Rule VI), the FAA must follow the merit principles to continue its interchange agreement.

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Q. Since government corporations are covered by the merit principles, why are they excluded from Rule X?

A. Because the law (5 U.S.C. 2301(c)) explicitly defines which Executive branch agencies are subject to the President’s authority to issue rules to ensure a systematic application of the merit principles. That definition excludes intelligence agencies and government corporations. However, the law also makes clear that the head of such an agency still has the responsibility to ensure that personnel management in the agency embodies the merit principles.

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Q. Does this mean that agencies excluded from Rule X are not subject to any OPM oversight?

A. Not necessarily. The authorities delimited in these rules complement but do not subtract from the authorities vested in OPM by other laws, rules, and regulations. For example, to the extent that any of these agencies are covered by provisions of title 5, the Fair Labor Standards Act, and other laws which OPM administers, they would be subject to OPM review and oversight.

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Q. What are the workload implications for agencies covered by these rules?

A. Most covered agencies are already reporting workforce information to OPM. Rule IX is intended to clarify that, as agencies gain alternative personnel systems, they will continue to be expected to submit workforce information for purposes of effective management of the Executive branch.
 
Rule X authorizes OPM to require an agency to establish and maintain a system of accountability for implementing the merit principles. Systemizing accountability is simply a way to ensure that attention is paid on a regular basis to the efficiency, effectiveness, and appropriateness of agency HRM policies, programs, and practices, and how well they support agency mission. As agencies gain additional flexibilities, it is essential to ensure that all agencies continue to operate under the merit system. This means that agencies must continue to be held accountable for adhering to the statutory merit principles. OPM reviews over the last few years have revealed that agencies are making progress towards meeting these objectives. The rule will create a new workload only for those agencies that have not paid the attention to HRM accountability already required by other law, rule, regulation, or Executive order.

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Q. What guidance has OPM issued to help agencies comply with these rules?

A. OPM already has detailed reporting requirements and quality standards for workforce information submissions.

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Agencies wishing to establish or improve their accountability systems should consult the HRM Accountability System Development Guide. An accountability clearinghouse is also available there, along with other reports and products concerning HRM accountability. Any questions should be referred to OPM's Accountability team. You may also contact us by phone at (202) 606-2820 or by fax at (202) 606-3577. 

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