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Required Documents for Personnel Actions

Each Personnel Action requires certain paperwork before the Personnel Action can be completed. This is a list of the required documents that HR needs for each Personnel Action.

Awards   |   Change in Duty Station   |   Change in Headquarters   |   Change to Lower Grade   |   Change in Work Schedule or Change in Hours   |   Classification Action   |   Detail   |   Leave Without Pay (LWOP) and Extensions of LWOP   |   New Hires   |   Promotion   |   Quality Step Increases   |   Reassignment   |   Request for Eligibles (Temp, Term, or Perm Appts)   |   Request for Eligibles (Pathways Appts: Interns, Recent Grads)   |   Return to Duty   |   Separations   |   Suspension   |   Temporary or Time-Limited Promotion   |   Within-Grade Increases

 

Awards

There are many different types of monetary and non-monetary awards. Monetary awards require an FPPS action be submitted along with an Award Certification DI-451. If the award is based on the annual performance rating, the DI-3100 or DI-3100S (Employee or Supervisory Performance Appraisal) must be submitted, and the performance award documented on the DI-3100 or DI-3100S. No other form is required.
 
The U.S. Department of the Interior Performance Appraisal Handbook is available at: https://www.doi.gov/sites/doi.gov/files/elips/documents/doi_performance_appraisal_handbook_10-2016.pdf

  • FPPS Action (Select Other)
  • Award Certification DI-451: (NOTE: DI-451 may be found in the internal Webforms site which requires a User ID (shortname or email address) and Internet Password OR
    • NOTE: SES/SL/ST STAR awards (including group STAR awards) and non-monetary awards (such as honor awards) need Departmental approval before they can be processed. Please contact Executive Resources in HR.
  • DI-3100 or DI-3100S: (NOTE: DI-3100 or DI-3100S may be found in the internal Webforms site which requires a User ID (shortname or email address) and Internet Password

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Change in Duty Station

A change in duty station is used when moving an employee to a new geographic location and no other change occurs.

  • FPPS action (Select Other)
  • HC-08
  • If the change in duty station is initiated by the employee, submit approval memo or email from the supervisor.  

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Change in Headquarters

A change in headquarters can result in a promotion, reassignment, or change to lower grade. The term "Change in Headquarters" is used when a current USGS employee accepts a position which will require a move from one headquarters to another. Your servicing Staffing Specialist/Assistant will issue the "Change in Headquarters Approval Notice" Form 9-1327 to the gaining employing office (AO) with the approval date. Once the gaining employing office (AO) receives the Change in Headquarters form with the approval date from the Personnel Office, they can move forward with the associated travel and relocation paperwork.
 
When the employee arrives in the new headquarters, the gaining employing office (usually the Administrative Officer or Assistant) must complete Part B of the "Change in Headquarters Approval Notice" Form 9-1327 and return it to the servicing Staffing Specialist/Assistant. The actual effective date of the promotion, reassignment, or change to lower grade will be the date the employee arrives in the new gaining employing office, even though arrival may be after working hours or on a non-workday.
 
If the relocation/moving costs are at government expense, the employee is required to complete an "Employment Agreement" Form 9-1263 agreeing to remain in the service of the Federal government for 12 months following the effective date of the change in headquarters. (NOTE: Form 9-1263 may be found in the internal Webforms site which requires a User ID (shortname or email address) and Internet Password)

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Change to Lower Grade

A change to lower grade is the personnel action that moves an employee to a position at a lower grade.  Some change to lower grade actions may occur because of performance issues others may be voluntary on the part of the employee.

  • FPPS action (Select Hiring An Employee/Changing Grade or Job)
  • Position description with HC-08 (unless being returned to the same position held prior to a time-limited promotion, then a PD and OF-8 is not necessary)
  • Position Designation Questionnaire (PDQ) (unless being returned to the same position held prior to a time-limited promotion, then a PD is not necessary)
  • If employee has requested a noncompetitive change to lower grade, we need a signed and dated memo from the employee for the record.
    NOTE: If the Change to Lower Grade is due to performance issues, consult with your servicing Employee Relations Specialist.
  • Cybersecurity Data Standard Code Determination Checklist

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Change in Work Schedule or Change in Hours

FPPS Action (Select Changing Hours or Work Schedule)
 
If the employee is changing their work schedule from full-time to part-time or intermittent, a memo from the employee is required requesting the change and stating how many hours per pay period they will be working.
 
A personnel action is NOT required if the employee will work the same number of hours per pay period but changing the days (i.e., Old Schedule = Mon-8hrs and the New Schedule = Tue-8hrs).
 
If the employee is changing their work schedule from part-time or intermittent to full-time, a memo is NOT required.

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Classification Action

Before drafting a new position description (PD), talk to the servicing HR Specialist to determine if a standard PD, an identical additional (I/A) PD, or similar PD that can be modified to fit the position is available. Note that I/A or similar PDs are only appropriate for use in similar organizations and will not always support the same grade level in a different organization.
 
If no PD is available, USGS templates, while not required, can be used to guide the PD writing process. Once a draft is complete, share with the servicing HR Specialist prior to finalizing the request to discuss any questions the HR Specialist may have or changes that need to be made before certifying the PD. This initial review is not a full evaluation of the position, but an opportunity to identify any problems prior to the supervisor certifying the position. Remember that all grade levels anticipated for a career ladder position must be classified at the time the position is established (e.g., if the PD is a 9/11, both the grade 9 and grade 11 PDs must be classified prior to using the PDs to take any personnel actions).
 
Documentation Requirements for Classification Actions:

  • Classification actions must be submitted using SharePoint Form 9-3178, Classification Request.
  • A reviewed PD for each grade level, clearly indicating percentages of time spent on each major duty.
  • If the PD will be used to fill a vacant position through either competitive or non-competitive means, a Hiring Waiver is required.
  • A current, accurate organizational chart certified by the appropriate official, indicating the location of the proposed position.
  • PD Cover Page (HC-08) with supervisor’s signature certifying accuracy of the PD and indicating the requested title, series and grade (HC-08 instructions)
  • Position Designation Questionnaire (for the full performance level only for career ladder PDs)
  • Cybersecurity Data Standard Code Determination Checklist (for the full performance level only for career ladder PDs)
  • The final classification determination will be made by the servicing HR Specialist, who will send the signed copy of the OF-8 and PD to the employing office.

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Detail

A detail is the temporary assignment of an employee to a different position for a specified period, with the employee returning to his/her regular duties at the end of the detail. The employee continues to occupy and receive pay for his/her position of record. Details are made in 120-day increments. Details to a higher graded position can not exceed 120-days in any 12-month period. Details to a position at the same grade or to a statement of duties (un-graded) can be indefinite.
 
Documentation Requirements:

  • If the detail is to a position that is identical to the employee's current position or is of the same grade, series, and basic duties as the employee's current position – then no documentation is required, i.e., no personnel action needs to be processed.  
  • If the detail is for more than 30 but less than 120 days to a different position at a higher grade or higher full performance level (FPL) – then a personnel action must be processed to document the detail.  If a detail was originally made for 30 days or less (not requiring a personnel action) and is extended beyond 30 days – then a personnel action must be processed to document the detail.
  • If the detail is for more than 30 but less than 120 days to a different position and is to a position at the same or a lower grade that does not have a higher FPL – then no documentation is required.  If this detail is extended beyond 120 days – then a personnel action must be processed to document the detail.
  • If the detail is for 120 days or more – then a personnel action must be processed to document the detail.

 
If documentation is required, submit the following:

  • FPPS action (Select Details)
  • Position description with HC-08 or Statement of Duties

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Leave Without Pay (LWOP) and Extensions of LWOP

Only submit a Request for Leave Without Pay when the employee is going to be on LWOP for 30 consecutive days or more. An extension of LWOP action should be submitted prior to the expiration of the original LWOP.

  • FPPS action (select Placement In A Non-Pay or Pay Status)

9-1178 (NOTE: 9-1178 may be found in internal Webforms site which requires a User ID (shortname or email address) and Internet Password)

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New Hires

(Noncompetitive Hires, Field Assistants, etc.)

Requests for all new hires such as field assistants as well as those being appointed using noncompetitive hiring authorities applicable to current/former Federal employees, certain veterans, individuals with disabilities, military spouses, Peace Corps eligibles, etc., must be initiated and submitted to the Office of Human Resources using the USA Staffing system.  Supporting documentation for the new hire must be uploaded into the request within USA Staffing. 

We highly recommend that you consult with your servicing Human Resources Specialist to discuss this request prior to submission so he/she can provide guidance/advice and address questions.  If you need to request access to USA Staffing, follow the process described here.  USA Staffing is accessible here.

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Promotion

(See also Temporary/Time-Limited Promotions)

A promotion is the nature of action used to document personnel actions that change an employee to a position at a higher grade level. There are several different types of promotions but the most common are career ladder, accretion, competitive, and noncompetitive.
 
career ladder promotion is used when the employee has a full performance level that is higher than his/her current grade.
 
An accretion promotion can be used when there is demonstrated evidence of higher-level work; the old job is absorbed in the new job or is a natural successor to the previous position; the accretion action will not result in the creation of a new position; and the position is determined to have no further promotion potential beyond the grade level to which the employee is accreted.
 
competitive promotion is used when an employee is selected through merit promotion procedures.
 
An employee may be noncompetitively promoted to a higher grade based on having held that grade previously or having previously held that full performance level on a permanent basis. Employees may also be promoted non-competitively for a period not to exceed 120-days in any 12-month period.

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Quality Step Increases

Quality Step Increases (QSIs) are based on the current rating of record for Exceptional (Level 5) performance that is expected to continue. Employees can only receive one QSI per 52-week period. QSIs are requested on the DI-3100 or DI-3100S (Employee or Supervisory Performance Appraisal Form)

  • FPPS Action (Select Other)
  • DI-3100 or DI-311S: (NOTE: DI-3100 or DI-3100S may be found in the internal Webforms site which requires a User ID (shortname or email address) and Internet Password)

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Reassignment

A Reassignment is the change of an employee from one position to another without promotion or change to lower grade. Reassignment includes: (1) movement to a position in a new occupational series, or to another position in the same series; (2) assignment to a position that has been re-described due to the introduction of a new or revised classification standard; (3) assignment to a position that has been re-described as a result of a position review; (4) movement to a different position at the same grade but with a change in salary that is the result of different locality payment.

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Request for Eligibles

(Temp, Term, or Perm Appts)

The term “Request for Eligibles” describes the personnel action request used to recruit for a vacant position regardless of the type or duration of appointment.
 
Below are the documents required to recruit for temporary, term, or permanent appointments using merit promotion or delegated examining procedures. A summary of available hiring options can be accessed here. If you don’t have a classified PD or a standard PD, please click here prior to submitting the below documents.

Requests for all new recruitment actions must be initiated and submitted to the Office of Human Resources using the USA Staffing system. The supporting documentation identified below must be uploaded into the request within USA Staffing. 

We highly recommend that you consult with your servicing Human Resources Specialist to discuss this request prior to submission so he/she can provide guidance/advice and address questions. If you need to request access to USA Staffing, follow the process described here. USA Staffing is accessible here.

Information on assessments can be found on the USGS Assessment and Selection Resources page found here.

**Nationwide standard position descriptions may be accessed here.

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Request for Eligibles

(Pathways Appts: Interns, Recent Grads)

Below are the documents that may be required to recruit for positions being filled under one of the Pathways Programs, i.e., Career Intern, Temporary Intern, or Recent Graduate appointments. 

Requests for all new recruitment actions must be initiated and submitted to the Office of Human Resources using the USA Staffing system.  The supporting documentation identified below must be uploaded into the request within USA Staffing. 

We highly recommend that you consult with your servicing Human Resources Specialist to discuss this request prior to submission so he/she can provide guidance/advice and address questions.  If you need to request access to USA Staffing, follow the process described here.  USA Staffing is accessible here.
 
Additional information about these programs can be found here.

**Nationwide standard position descriptions may be accessed here.

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Return to Duty

Return to duty is the placement of an employee back in pay and duty status after absence for Furlough, Suspension, or Leave Without Pay.

  • FPPS Action (Select Placement in Non-Pay or Pay Status)

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Separations

(Retirements, Removal, Death, Involuntary Terminations, Termination-Appt in, Termination-Exp of Appt, Resignation)

Retirements - Coordinate with servicing Benefits Specialist
 
Removal - Coordinate with servicing Employee Relations Specialist
 
Death - Coordinate with servicing Benefits Specialist
 
Involuntary Terminations - Coordinate with servicing Employee Relations Specialist
 
Termination-Appt in - Used when a current employee transfers to another Federal Agency (outside of Dept of Interior). Work with your servicing Staffing Specialist/Assistant.
 
Termination-Exp of Appt - Used when an employee is on a limited appointment and management wants to let the appointment expire on the not-to-exceed date instead of extending. Work with your servicing Staffing Specialist/Assistant.
 
Resignation - An employee can submit a letter of resignation or complete Employee Resignation/Reason for Retirement Form 9- 2056. The resignation should include the reason for the resignation, the effective date, and a forwarding address. (NOTE: Form 9-2056 may be found in internal Webforms site which requires a User ID (shortname or email address) and Internet Password)
 
Personnel will send the employee information regarding their health benefits, life insurance, and thrift savings plan when applicable.
 
FPPS Action (Select Employee Loss)

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Suspension

Consult directly with your servicing Employee Relations Specialist.

  • FPPS Action (Select Placement in Non-Pay or Pay Status)

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Temporary or Time-Limited Promotion

Temporary Promotions are for a period not-to-exceed 1-year or less.
 
Time-Limited Promotions are for a period lasting more than 1-year with a maximum duration of 5 years.
 
When submitting a request for a temporary or time limited promotion please include the following:

 
Note: Employees may be promoted non-competitively for a period not-to-exceed 120-days in any 12-month period. If an employee has held the higher grade in the past on a permanent basis or has previously held the full performance level of the position on a permanent basis, the time limited promotion may be made noncompetitively for up to a maximum of 5 years.

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Within-Grade Increases

A within-grade increase (WGI) is an increase in an employee’s rate of basic pay by advancing to the next higher step after meeting length of service and performance requirements.  The length of service requirements are as follows for GS positions:

  • Advancement to steps 1-4 = 52 weeks
  • Advancement to steps 5-7 = 104 weeks
  • Advancement to steps 8-10 = 156 weeks

Waiting periods begin from an employee’s initial appointment, last promotion, or last WGI, whichever most recently occurred.  Waiting periods may be extended due to excess LWOP.
 
No FPPS action required – automatically generated by FPPS.
 
NOTE: If an employee’s performance is below the Fully Successful level and he/she has a WGI due, you should immediately consult with your servicing Employee Relations Specialist.

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