This article provides an overview of the Merit System Principles (MSPs) and Prohibited Personnel Practices (PPPs) that form the legal and ethical framework for federal human resource management. MSPs highlight the core values of fairness, efficiency, and integrity in federal employment, while PPPs identify illegal actions that undermine these principles, ensuring that federal employment decisions are based on merit and free from discrimination, favoritism, or reprisal.
This lesson is a preview from Graduate School USA's Federal Employee Relations course.
Merit system principles (MSPs), prohibited personnel practices (PPPs), and a government-wide commitment to equal employment opportunity (EEO) form the framework within which federal HRM systems operate. Specific laws, regulations, executive orders, and agency requirements govern the details of how federal HRM is accomplished. Below, we detail the Merit Systems Principles and Prohibited Personnel Practices.
Merit Systems Principles
Merit system principles (MSPs), found in 5 USC 2301 (Title 5 of the United States Code, Section 2301), can be described as the core values that should be expressed in every decision made regarding a federal employee. These principles are as follows:
Recruitment and Selection
Recruitment should be from qualified individuals from appropriate sources in an endeavor to achieve a workforce from all segments of society. Selection and advancement should be determined solely on the basis of relative ability, knowledge, and skills, after fair and open competition, ensuring equal opportunity for all.
Fair and Equitable Treatment
All employees and applicants for employment should receive fair and equitable treatment in all aspects of personnel management, without regard to political affiliation, race, color, religion, national origin, sex, marital status, age, or handicapping condition, and with proper regard for their privacy and constitutional rights.
Equal Pay for Equal Work
Equal pay should be provided for work of equal value, with appropriate consideration of both national and local rates paid by employers in the private sector. Appropriate incentives and recognition should be provided for excellence in performance.
Integrity and Public Interest
All employees should maintain high standards of integrity, conduct, and concern for the public interest.
Efficient Use of the Workforce
The federal workforce should be used efficiently and effectively.
Performance-Based Retention
Employees should be retained based on the adequacy of their performance. Inadequate performance should be corrected, and employees who cannot or will not improve their performance to meet required standards should be separated.
Education and Training
Employees should be provided effective education and training when it would result in better organizational and individual performance.
Protection Against Arbitrary Actions
Employees should be:
(A) Protected against arbitrary action, personal favoritism, or coercion for partisan political purposes.
(B) Prohibited from using their official authority or influence to interfere with or affect the result of an election or a nomination for election.
Whistleblower Protection
Employees should be protected against reprisal for the lawful disclosure of information that they reasonably believe evidences:
(a) A violation of any law, rule, or regulation.
(b) Mismanagement, a gross waste of funds, an abuse of authority, or a substantial and specific danger to public health or safety.
Prohibited Personnel Practices
Prohibited personnel practices (PPPs), defined in 5 USC 2302 (Title 5 of the United States Code, Section 2302), are illegal actions. These practices ensure that federal employment is based on factors related to the job, not relationships, political affiliation, or reprisal. Any employee who has authority to take, direct others to take, recommend, or approve any personnel action cannot engage in the following practices:
Discrimination
Discriminate for or against any employee or applicant for employment on the basis of:
(A) Race, color, religion, sex, or national origin (as prohibited under the Civil Rights Act of 1964).
(B) Age (as prohibited under the Age Discrimination in Employment Act of 1967).
(C) Sex (as prohibited under the Fair Labor Standards Act of 1938).
(D) Handicapping condition (as prohibited under the Rehabilitation Act of 1973).
(E) Marital status or political affiliation (as prohibited under any law, rule, or regulation).
Improper Recommendations
Solicit or consider any recommendation or statement, oral or written, with respect to any individual who requests or is under consideration for any personnel action unless it is based on personal knowledge or records and evaluates:
(A) Work performance, ability, aptitude, or general qualifications.
(B) Character, loyalty, or suitability.
Coercion of Political Activity
Coerce the political activity of any person, including providing political contributions or services, or take action against any employee or applicant as reprisal for refusing to engage in such activity.
Obstruction of Employment Rights
Deceive or willfully obstruct any person with respect to their right to compete for employment.
Influencing Competition
Influence any person to withdraw from competition for a position to improve or injure the prospects of another person.
Unauthorized Preferences
Grant any preference or advantage not authorized by law, rule, or regulation to any employee or applicant for employment.
Nepotism
Appoint, employ, promote, or advocate for the employment of a relative in a civilian position within the agency where the employee exercises jurisdiction or control.
Reprisal for Whistleblowing
Take or fail to take personnel action against an employee or applicant because of:
(A) Disclosure of information evidencing a violation of law, rule, or regulation, gross mismanagement, gross waste of funds, abuse of authority, or a substantial and specific danger to public health or safety.
(B) Disclosure to the Special Counsel, Inspector General, or other designated official.
Reprisal for Exercising Rights
Take or fail to take personnel action against an employee or applicant because of:
(A) Exercising appeal, complaint, or grievance rights.
(B) Testifying or assisting others in exercising such rights.
(C) Cooperating with the Inspector General or Special Counsel.
(D) Refusing to obey an order that would require violating a law.
Discrimination Based on Conduct
Discriminate against any employee or applicant based on conduct that does not adversely affect job performance, except when determining suitability or fitness based on criminal convictions.
Violation of Veterans' Preference
Knowingly take or fail to take personnel action that violates veterans' preference requirements.
Violation of Merit System Principles
Take or fail to take personnel action that violates any law, rule, or regulation implementing merit system principles.
Improper Nondisclosure Policies
Implement or enforce nondisclosure policies or agreements that do not include the following statement:
"These provisions are consistent with and do not supersede, conflict with, or otherwise alter the employee obligations, rights, or liabilities created by existing statute or Executive order..."
Accessing Medical Records
Access the medical records of another employee or applicant in furtherance of any conduct prohibited by the other 13 PPPs.
