Selecting and Completing the Legal Authority

One of the most common errors in processing personnel actions with the National Finance Center (NFC) Payroll/Personnel System (PPS) is the failure of personnel specialists to select and document the correct legal authority.

The legal authority on the personnel action indicates:

  • Civil Service laws or regulations
  • Agency procedures that are similar or equivalent to those required under Civil Service laws or regulations
  • Other procedures

The Office of Personnel Management (OPM) Guide to Processing Personnel Actions (GPPA) highlights the importance of understanding the procedures involved in an action when determining the legal authority.

For example, you may have to know if the action is being taken under 5 United States Code (U.S.C.) 75 (Chapter 75 of Title 5 of the U.S. Code, Adverse Actions), under Agency procedures that are equivalent to 5 U.S.C. Chapter 75 (5 U.S.C. 75 Eq), or under other procedures.

There are some Agencies that are not covered by the Civil Service laws and regulations, and there are some employees who are not covered because of the appointments on which they serve. When the Agency is not covered by Civil Service procedures, or the employee who is the subject of the action is not covered, the Agency may use other procedures that are different from those required by the Civil Service laws or regulations.

The personnel specialist who approves the action is responsible for determining whether the Agency, or employee who is the subject of the action, is covered by Civil Service procedures applicable to the particular action, or by equivalent Agency procedures. The personnel specialist approving the action must know the procedures being used to affect the action.

Per the GPPA, all legal authorities must be approved by OPM and documented in the OPM data standards prior to use on the Standard Form (SF) 50, Notice of Personal Action. OPM assigns a three-digit code to each legal authority. The three-digit codes are found in OPM Data Standards or the (NFC) Table Management System (TMGT) Table 091, OPM NOA Legal Authorities. Some legal authority codes have a standard description that does not change based on the Agency or other criteria. Other legal authority codes have descriptions that are fill-in-the-blank type and require information to be documented by the personnel specialist. The personnel specialist must cite the appropriate authority as follows:

  • Law, Executive Order, or regulation which is the basis for the action
  • Agency internal regulations, manual, or an employee code of conduct or ethics that provides penalties for violations or misdeeds
  • Authority unique to the Agency

Following are examples of the three-digit codes requiring Agencies to fill in the blank in the descriptions:

  • AUL - OPM Letter, Authority NO and Date.
  • BYM - USDA Direct Hire Authority (cite case file number and date). Code is for use by the Department of Agriculture only.
  • BYO - Cite the Single Agency Authority that was Approved by OPM.
  • MEM - Reg 316.302(B)(1) or Agency Authority. Term Appt (Reinstatement Eligible).
  • N8M - Reg 335.102 Exception to Comp or Agency Authority. Prom or Reas.
  • Q3E - Cite Appropriate Law, E.O., or Regulation that Authorizes the Action.

Data oversight analysis has revealed instances where the legal authority descriptions are incomplete, resulting in incorrect information. Examples are:

  • SF 50  
  • Employee’s Official Personnel Folder (eOPF/OPF) 
  • OPM Enterprise Human Resources Integration (EHRI) database
  • NFC PPS reporting databases

These errors jeopardize data reporting for the Agency to OPM, the data by Congress and others to determine the continued use/need of specific authorities, or funding of a particular program area. Improper documentation can also adversely affect an employee’s rights, pay, and retirement eligibility benefits, as the information recorded on the SF 50 filed in the employee’s eOPF/OPF determines an employee’s entitlements.

Note: It is critical that Agencies accurately complete all applicable fields when processing personnel actions to ensure accurate reporting and documentation of employee benefits/entitlements.