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

Implementation Guidelines

Guidance for using category rating should be taken from the related authorities and regulations. In addition, the Delegated Examining Operations Handbook (DEOH) provides detailed information on the use of category rating.

Steps for using the category rating process include:

• Step 1: Establish a Delegated Examining Unit
• Step 2: Review Your Agency Responsibilities
• Step 3: Educate Stakeholders
• Step 4: Assess Applicants
• Step 5: Evaluate Category Rating
• Step 6: Submit a Report to Congress

Step 1: Establish a Delegated Examining Unit. If you have not already done so, you must obtain delegated examining authority under 5 U.S.C. 1104(a)(2) and establish a delegated examining unit (DEU). Refer to Chapter 1, Section A - What Is Delegated Examining Authority? in the OPM Delegated Examining Operations Handbook.

General steps for establishing a DEU are as follows:

• The agency headquarters contacts OPM and requests authority.
• OPM drafts a delegated examining agreement.
• OPM and the agency human resources director sign the agreement.
• OPM trains delegated examining office staff.

Select this link for specific information on establishing a DEU.

Agencies may also ask an OPM office to do examining and apply category rating on their behalf.

Select this link to learn more about how the Nebraska National Guard sought assistance from OPM to do examining, on their behalf, using category rating.

Step 2: Review Your Agency Responsibilities. Review your responsibilities for administering a DEU as outlined in Delegated Examining Operations Handbook, Chapter 1, Section C - Agency Responsibilities. Note, in particular, your public notice and recordkeeping responsibilities.

This section of the Handbook also outlines how to establish agency-wide policies and procedures for accepting and processing applications from all applicants, including status applicants, and clearly specify filing instructions and conditions in the job announcement.

Select this link to learn more about agency responsibilities for administering a DEU.

Step 3: Educate Stakeholders. Educate managers and human resources staff on the use of category rating. Consider the following actions:

• Publish information about the new process on the agency Web site.
• Hold training sessions for managers.
• Hold orientation sessions for human resources staff.

Step 4: Assess Applicants. As you assess and rate applicants, follow the guidelines in Chapter 5, Section B - Rating the Applicants in the Delegated Examining Operations Handbook.

Some general guidelines include:

• Establish quality categories.
  • Establish a minimum of two quality categories.
  • Define the quality categories (i.e., crediting plan) and ensure that the category levels differentiate between the competencies of the candidates relative to the job.
  • Define categories in terms of increasing levels of difficulty/complexity such as:
    • Breadth and scope of competencies needed.
    • Increased level of difficulty/complexity.
    • Requirements for successful job performance.
    • Level of the job.
  • Establish quality categories of applicants with similar levels of job-related competencies.
  • Fulfill labor management obligations when establishing category rating for bargaining unit positions under internal merit promotion.
• Apply veterans' preference.
  • Veterans' preference eligibles must be listed on a certificate of eligibles (or equivalent) ahead of nonpreference eligibles within the appropriate quality category.
  • Veterans' preference eligibles with a service-connected disability of 10 percent or more are placed in the highest category, above all other eligibles. Do this regardless of the category in which they are placed as a result of the assessment of their qualifications (except for professional and scientific positions at GS-9 and above).
  • Veterans' preference applies; that is, the manager must select a veteran unless the manager submits a request to pass over the veteran based on qualifications or suitability.
• Issue lists/certificate of eligibles and make selections.
  • A manager must select from the highest quality category. If fewer than three candidates have been assigned to the highest quality category, the human resources staff or manager has the option to merge the highest quality category with the next lower quality category. All preference eligibles from the next lower quality category are listed above nonpreference eligibles in the newly merged category.

Step 5: Evaluate Category Rating. Evaluate the effectiveness of using category rating. Consider some of the following actions:

• Survey hiring managers who use the process.
• Survey employees hired under the process.
• Track hiring timelines and compare them with timelines under the traditional process.

Step 6: Submit a Report to Congress. Pursuant to 5 U.S.C. 3319, agencies must submit an annual report to the Speaker of the House and the President of the Senate along with a copy of the report to OPM. The report must include the following information:

• The number of employees hired under the system;
• The impact the system has had on the hiring of veterans and minorities, including those who are American Indian or Alaska Natives, Asian, Black or African American, and native Hawaiian or other Pacific Islanders; and
• The way in which managers were trained in the administration of category rating.

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