March 18, 2004
MEMORANDUM FOR HEADS OF DEPARTMENTS AND AGENCIES
| FROM: |
KAY COLES JAMES
Director |
| Subject: |
Appointments and Awards During
the 2004 Presidential Election Period |
I
hope you'll never take the honor of public service for granted. Some of
us will serve in government for a season; others will spend an entire career
here. But all of us should dedicate ourselves to great goals: We are not
here to mark time, but to make progress, to achieve results, and to leave a
record of excellence.
| |
George W. Bush
President of the United States
Constitution Hall
October 15, 2001 |
As the 2004 Presidential
election period approaches, I wish to remind all agency heads of the need to
ensure that agency personnel actions remain free of political influence or other
improprieties and meet all relevant civil service laws, rules, and regulations. All official personnel records should clearly document the continued adherence
with Federal merit principles and remain free of any prohibited personnel practices. In particular, the appointments of Schedule C and Noncareer Senior Executive
Service (SES) employees to competitive service positions require careful attention
to ensure that they comply with the merit principles regarding fair and open
competition.
As the Office of Personnel Management has done in the past, I am instituting
a requirement for the pre-appointment review of all competitive service appointment
actions that involve the appointment or conversion of a Schedule C or Noncareer
SES employee. In addition, OPM will continue to conduct merit staffing reviews
of proposed SES selections of Schedule C or Noncareer SES appointees before
they are formally presented to a Qualifications Review Board for certification
of their executive qualifications.
I have attached additional guidance concerning competitive service and SES
appointments, incentive awards, and other employment matters, as well as instructions
for submitting requests for pre-appointment review. If you have questions or
are in need of any further information, please contact me at (202) 606-1000.
Staff inquiries should be referred to your agency's OPM Human Capital Officer.
Attachments
cc: Chief Human Capital Officers
Human Resources Directors
Guidelines on Processing Certain Appointments and Awards During the 2004 Election Period
The Office of Personnel Management (OPM) and Federal agencies share basic responsibility
for ensuring that all personnel actions adhere to the Federal merit principles
at 5 U.S.C. 2301 and remain free of any prohibited personnel practices set forth
at 5 U.S.C. 2302. During an election period, these requirements warrant particularly
close attention. OPM has provided guidance concerning the special considerations
that apply during an election period to ensure that all agency personnel actions
adhere faithfully to these principles. This guidance specifies those personnel
actions that require particular attention and establishes procedures for the
pre-appointment review of certain competitive service appointment actions before
they are effected.
I. Appointing Excepted Service Employees to the Competitive Service
OPM will conduct a pre-appointment review of the following competitive service
appointment actions to ensure that they comply with all applicable civil service
laws, rules, and regulations. In no case may an agency make an appointment covered
by this section prior to receiving specific authorization from OPM.
- Proposed competitive service appointment actions that involve a current
or former (within the last 5 years) incumbent of an executive branch position
excepted from the competitive service under Schedule C.
- Proposed competitive service appointment actions that involve a current
or former (within the last 5 years) Noncareer Senior Executive Service (SES)
appointee.
Note: Schedule C employees may not be detailed to competitive service positions
without prior OPM approval [see 5 CFR 300.301(c)] and no competitive service
vacancy should be created for the sole purpose of selecting a Schedule C
or Noncareer SES employee.
Agencies should use the attached Pre-Appointment Review Record of Proposed
Competitive Service Appointment to request OPM review of a competitive service
appointment action involving a Schedule C or Noncareer SES employee.
II. Appointing Employees to the Senior Executive Service
OPM will continue to conduct merit staffing reviews of proposed SES selections
that involve a current or former Schedule C or Noncareer SES appointee before
such cases are formally presented to a Qualifications Review Board. Agencies
should carefully review all actions which would result in the Career SES appointment
of a Schedule C or Noncareer SES before such cases are forwarded to OPM.
Note: All SES vacancies to be filled by initial Career appointment must
be publicly announced (5 CFR 317.501). Only a Career SES or career-type non‑SES
appointee may be detailed to a Career-Reserved position (5 CFR 317.903(c)).
In addition, OPM may suspend the processing of Qualifications Review Board
cases when an Agency Head leaves office or announces his/her intention to leave
office, if the President has nominated a new Agency Head, or if there is a Presidential
transition. Typically, OPM will impose a moratorium on Qualifications Review
Board cases as a courtesy to a new Agency Head when it learns of an Agency Head's
planned departure. However, OPM will consider requests for exceptions to such
a moratorium on a case-by-case basis.
III. Prohibition on Awards to Certain Appointees
No senior politically appointed officer, who serves in an SES position and
is not a career appointee as defined in 5 U.S.C. 3132(a)(4) or who serves in
a position of a confidential or policy determining character as a Schedule C
employee, may receive an incentive award during the period beginning June 1,
2004, through January 20, 2005 (5 U.S.C. 4508). The statute prohibits such officers
from receiving incentive awards under subchapter I of chapter 45 of title 5,
United States Code.
For additional guidance regarding appointments and awards during the 2004 Presidential
election period, please contact the Deputy Associate Director for your
agency in OPM's Human Capital Leadership & Merit System Accountability Division
by calling 202-606-2131. Staff inquiries should be referred to the appropriate
OPM Human Capital Officer.
PRE-APPOINTMENT REVIEW OF PROPOSED APPOINTMENT
| Agency: |
_________________________________________________ |
| Selectee: |
______________________________________ |
| Current Position/Appt. Authority: |
_______________________________________________________ |
| Proposed Position/Appt. Authority: |
__________________________________________________ |
Please provide the following documentation:
- The position description and employment application for the candidate's
current position/appointment. List any positions the candidate has previously
held in public service.
- The record of merit selection, including position description and employment
application for the proposed position. Note: If the duties of the proposed
position are similar to those currently or previously performed by the employee,
state when and why this position is being filled through the competitive process.
- The vacancy announcement published in USAJOBS on OPM's Internet website,
the public notice distribution list, and a copy of the rating schedule.
- The name of the selecting official (include title, telephone number, and
type of appointment, e.g., career SES, Schedule C, Presidential Appointee).
- The names of other qualified candidates forwarded to the selecting official
and the merit staffing procedures used to refer these candidates.
- A statement concerning the disposition of the candidate's current Schedule
C or Noncareer SES position if vacated.
- A description of how the agency met the regulatory requirements of the Interagency
Career Transition Assistance Plan (ICTAP) as it relates to filling the proposed
position.
- Certification from the appointing authority that the proposed action meets
all merit and fitness requirements in 5 U.S.C. 2301 and 2302, and Civil Service
Rules 4.2 and 7.1.
- Contact your agency's Human Capital Officer
at OPM for additional guidance on submission of requests for Pre-appointment
Review.
