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NPR 3100.1C
Effective Date: December 21, 2020
Expiration Date: December 21, 2025
Printable Format (PDF)

Subject: Management of the Senior Executive Service (SES)

Responsible Office: Office of the Chief Human Capital Officer

| TOC | Change History | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | Chapter6 | Chapter7 | Chapter8 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | ALL |

Chapter 3. Staffing

3.1 Staffing Procedural Requirements

The Agency goal is to recruit and select the best qualified executives from the widest practical recruitment sources for SES career appointments, including appropriate sources for minority and female candidates and candidates with disabilities. The extent of the recruitment area beyond the required minimum area (i.e., civil-service wide) depends upon the position and the potential sources of candidates for the position.

3.2 Qualification Standards and Requirements

3.2.1 Qualification standards are developed by the ERP at the time recruitment for a vacant position is initiated or when an existing position, whether encumbered or not, is altered substantially. The standards are developed by or with the supervisor or other management official(s).

3.2.2 Qualification standards are:

a. Based on a job analysis and identifies the breadth and depth of professional, technical, executive, and managerial knowledge, skills, and ability, or other qualifications that are essential and desirable for successful performance in the position.

b. Developed with sufficient specificity that qualitative distinctions among candidates are possible.

c. Job related but may not emphasize Agency-related experience to the extent it precludes well-qualified candidates from outside the Agency from consideration.

3.2.3 The same procedures for developing standards apply to both Career Reserved and General SES positions.

3.2.4 In addition to the job-specific qualifications, ECQs are required for all SES positions. Initial career appointments to the SES are subject to OPM's QRB certification. The ECQs are:

a. Leading Change.

b. Leading People.

c. Results Driven.

d. Business Acumen.

e. Building Coalitions.

3.3 Vacancy Announcements

3.3.1 In addition to the mandatory regulatory requirements, career SES vacancy announcements will include:

a. Issuing Agency.

b. Announcement Number.

c. Series.

d. Position Title.

e. Pay Plan.

f. Duty Location.

g. Area of Consideration.

h. Pay Ranges.

i. ECQs, Technical Qualification Requirements, and Evaluation and Selection Methods.

j. Number of Vacancies.

k. Opening and Closing Dates.

l. How to Request Additional Information.

m. How to Apply.

3.3.2 Veteran's preference, Career Transition Assistance Program (CTAP), and Interagency Career Transition Assistance Program (ICTAP) does not apply to applicants for or members of the SES.

3.4 Applicant Evaluation Procedures

3.4.1 The ERP will evaluate applicants against the qualifications requirements in the vacancy announcement and group the candidates into Highly Qualified, Qualified, and Not Qualified groups. The objective rationale for the Panel's determinations is recorded in the vacancy file.

3.4.2 Current career SES members or former career SES members with reinstatement eligibility may be forwarded by the ERP to the EPM for selection consideration without rating and ranking, provided the ERP determines they meet the minimum and technical requirements for the position.

3.4.3 The ERP shall provide the EPM with written recommendations and the Panel's brief rationale for all Highly Qualified candidates who apply for a vacancy to be filled by a career appointee. Information on candidates not in the Highly Qualified group will be maintained in the vacancy file. Only Highly Qualified candidates are eligible for referral selection consideration.

3.4.4 The EPM shall provide the following for review by the ERB normally within 30 work days of the closing date of the vacancy announcement:

a. Request for executive personnel action describing and justifying the requested action, including the recommended pay.

b. A justification for any recruitment, relocation, redesignation, or retention incentive and/or a salary increase that differs from the pay setting guidance in Chapter 5 of this directive.

c. The vacancy announcement, position description, and ERP recommendations.

d. For selections recommended for initial career SES appointment, the candidate's resume/application which demonstrate the candidate's ability in the five ECQs, as defined in the vacancy announcement and technical qualifications requirements.

e. Any other information that may be required by the Administrator, or designee, such as concurrences, a summary of the results of the staffing process followed, or the narrative personal endorsement of the recommended candidate, as prepared by the EPM or other executive, as appropriate.

3.5 Documentation Requirements

3.5.1 In accordance with 5 CFR ยง 317.501, the following records are maintained to the extent practical through the automated staffing and recruitment system for a period of two years after the date of initial career appointment (or the closing date of the vacancy announcement if no selection is made).

a. Copy of the USAJOBS vacancy announcement and copy of any separate Agency announcements.

b. The position description.

c. A list of recruitment sources uses (e.g., agency distribution list, journal ads, use of nonprofit employment services or commercial recruiting firms).

d. Applications received and electronically retained in NASA's automated staffing and recruitment system.

e. The selection procedures (rating plan) applied.

f. The names and organization titles of ERP members.

g. The Panel rating sheets and recommendations.

h. Any references, concurrences, or qualifications questionnaires or inquiries obtained on applicants.

i. A record of candidates interviewed.

j. A copy of the request for executive personnel action and any justifications submitted in support of the selection.

k. Documentation regarding any complaints or appeals to the ERP and any ERP findings.

l. Certification by the appointing authority that the appointee meets the qualification requirements of the position and that appropriate merit staffing procedures were followed.

m. Notification of applicants' status, e.g., whether they were considered qualified for the position and if they were referred by the selecting official for consideration, etc.

3.5.2 Applicant Inquiries and Appeals

a. Individuals are entitled to information about the nature of the procedures used in recruiting and selecting candidates for any position. Applicants are also entitled, upon request, to know if they were found qualified for the position and if they were referred to the selecting official for consideration for appointment. They may have access to qualifications questionnaires or reports of qualifications inquiries about themselves, except for information that would identify a confidential source.

b. An applicant has no right of appeal to OPM against actions taken by the ERB, QRB, or appointing official.

3.6 Noncompetitive Actions

3.6.1 The ERPs/EPMs may identify viable candidates to fill an SES position from among current and former career SES appointees either within or outside the Agency. Filling the position noncompetitively through reassignment, transfer, or reinstatement requires the same concurrences and approvals as a competitive SES selection.

3.6.2 A graduate of an SES Candidate Development Program (CDP) that was open to applicants at least civil service wide and whose ECQs have been certified by an OPM QRB may be appointed to an SES position without further competition under OPM regulations. Filling the position noncompetitively with a certified CDP graduate requires the same Agency concurrences and approvals as a competitive SES selection.

3.7 Executive and Schedule C System (ESCS)

3.7.1 Center/HQ Human Resources offices/NSSC shall ensure that required data is entered into the automated ESCS database at the time proposed selections for initial SES appointments are forwarded for approval.

3.7.2 Center/HQ Human Resources offices/NSSC shall ensure that the automated ESCS database is updated whenever a reported data element in the system changes or additional actions occur (including reassignments and pay adjustments).

| TOC | Change History | Preface | Chapter1 | Chapter2 | Chapter3 | Chapter4 | Chapter5 | Chapter6 | Chapter7 | Chapter8 | AppendixA | AppendixB | AppendixC | AppendixD | AppendixE | ALL |
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