NEW CIVIL SERVICE RULES
ON HRM ACCOUNTABILITY
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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