SECTION 1. OVERVIEW OF OPM'S REDUCTION IN FORCE REGULATIONS AND DOWNSIZING PROGRAMS
SECTION 5. COVERAGE OF OPM'S REDUCTION IN FORCE REGULATIONS
EMPLOYEES EXCLUDED FROM COVERAGE UNDER OPM'S RIF REGULATIONS
REQUIREMENT THAT COMPETITIVE AREA DEFINITION MUST REMAIN UNCHANGED FOR 90 DAYS PRIOR TO A RIF
SECTION 8. REQUEST FOR OPM APPROVAL OF A COMPETITIVE AREA CHANGE
SECTION 13. VETERANS' PREFERENCE IN REDUCTION IN FORCE
SECTION 14. EMPLOYEES' RIGHT TO RAISE TRANSFER OF FUNCTION ISSUES IN AN APPEAL OR GRIEVANCE
[Note: Former Section 3-A-15 is now in Appendix A of Module 3, and covers “CREDIT FOR PERFORMANCE IN REDUCTION IN FORCE UNDER OPM'S JANUARY 1, 1997, RETENTION REGULATIONS”]
UNACCEPTABLE PERFORMANCE-ELIMINATION OF “UNACCEPTABLE” RATING
SECTION 17. RELEASE FROM THE COMPETITIVE LEVEL
SECTION 18. ACTIONS FOLLOWING RELEASE FROM THE COMPETITIVE LEVEL
SECTION 19. DETERMINING EMPLOYEES' REDUCTION IN FORCE ASSIGNMENT RIGHTS
SECTION 20. USING BUMP AND RETREAT IN MEETING EMPLOYEES' ASSIGNMENT RIGHTS
SECTION 21. USING VACANCIES IN MEETING EMPLOYEES' ASSIGNMENT RIGHTS
SECTION 22. USING VACANT TEMPORARY POSITIONS AS PLACEMENT OFFERS
SECTION 23. CONSIDERATION OF GRADES IN MEETING EMPLOYEES' ASSIGNMENT RIGHTS
SECTION 24. CONSIDERATION OF REPRESENTATIVE RATES WHEN DETERMINING EMPLOYEES' ASSIGNMENT RIGHTS
SECTION 25. CONSIDERATION OF QUALIFICATIONS WHEN DETERMINING EMPLOYEES' ASSIGNMENT RIGHTS
MODIFICATION OF QUALIFICATIONS IN OFFERING POSITIONS IN LIEU OF RIF SEPARATION OR OTHER RIF ACTIONS
SECTION 26. USE OF TRAINEE AND DEVELOPMENTAL POSITIONS WHEN DETERMINING EMPLOYEES' ASSIGNMENT RIGHTS
SECTION 27. CONSIDERATION OF SECURITY CLEARANCES WHEN DETERMINING EMPLOYEES' ASSIGNMENT RIGHTS
SECTION 29. REDUCTION IN FORCE NOTICES TO EMPLOYEES
[Note: The additional notice requirements resulting from OPM's November 24, 1997, retention regulations are found in revised paragraph 3-A-30-2 rather than in former paragraph 3-A-29-4-(i), which is now deleted.]
SECTION 30. ADDITIONAL NOTICE REQUIREMENTS WHEN EMPLOYEES ARE SEPARATED BY REDUCTION IN FORCE
SECTION 31. REQUESTING AN EXCEPTION TO THE MINIMUM REDUCTION IN FORCE NOTICE PERIOD
SECTION 32. CERTIFICATION OF EXPECTED SEPARATION
SECTION 34. REDUCTION IN FORCE GRIEVANCES
APPENDIX A. EMPLOYEES' RIGHT TO RAISE TRANSFER OF FUNCTION ISSUES IN AN APPEAL OR GRIEVANCE
SECTION 15. CREDIT FOR PERFORMANCE IN REDUCTION IN FORCE UNDER OPM'S JANUARY 1, 1997, RETENTION REGULATIONS
REDUCTION IN FORCE RETENTION FACTORS
OPM's reduction in force regulations are derived from the Veterans' Preference Act of 1944, as the law is codified in Sections 3501-3503 of title 5, United States Code.
The law provides that OPM's reduction in force regulations give effect to four factors in releasing employees:
Performance ratings.
Although the law does not assign a specific weight to any individual factor, the relative importance of the four factors in determining employees' retention standing is the same order listed above (e.g., tenure is the most important factor while performance is the least important factor).
OPM implements the law through regulations published in Part 351 of Title 5, Code of Federal Regulations (i.e. 5 CFR Part 351).
MANAGEMENT'S RIGHT TO MAKE RIF DECISIONS (see Section 3-A-2)
The agency has the right to decide whether a reduction in force is necessary, when it will take place, and what positions are abolished.
The four retention factors, as implemented through OPM's reduction in force regulations, then determine which employee is actually reached for a reduction in force action as the result of the abolishment of a position.
USE OF RIF PROCEDURES (see paragraph 3-A-5-4)
An agency is required to use reduction in force procedures when an employee is faced with separation or downgrading for a specific reason, including:
Furlough for more than 30 consecutive days, or more than 22 discontinuous workdays (see Module 6 for Furlough). (A short furlough of 30 or less consecutive days, or 22 or less discontinuous workdays, is covered under the adverse action procedures.)
In lieu of RIF procedures, an agency may always reassign an employee to a vacant position at the same grade or pay, regardless of where the position is located. (See paragraph 3-A-5-2)
APPLYING THE RIF REGULATIONS-COMPETITIVE AREA (see Section 3-A-7)
The competitive area sets the limits within which employees compete for retention, and is always defined by the agency on the basis of:
All employees within the organizational unit and geographical location are included in the competitive area.
Personnel management authority (i.e., the authority to take or direct personnel actions such as establishing positions, abolishing positions, assigning duties, etc.).
An Inspector General activity covered by the Inspector General Act of 1978 (Public Law 95-452, as amended) must always be placed in its own competitive area.
The fact that several activities may be serviced by the same personnel office does not, by itself, require that they be placed in the same competitive area.
An agency may establish a competitive area larger than the minimum standard.
A “LOCAL COMMUTING AREA” is a geographic area that usually includes any population center and the surrounding communities in which people live and reasonably travel back and forth to work. There is no mileage standard to determine when two duty stations would be included in the same local commuting area.
An agency must obtain OPM approval before changing a competitive area definition within 90 days of a reduction in force.
Some examples of a possible competitive area include:
All components of an organization in one or more States.
APPLYING THE RIF REGULATIONS-COMPETITIVE LEVEL (see Section 3-A-8)
Within each competitive area, the agency groups interchangeable positions into competitive levels based upon similarity of:
Work tour (i.e., full-time, part-time, seasonal, intermittent, or on-call).
Competitive and excepted service positions are never placed in the same competitive level.
Separate competitive levels are then established for positions that are:
Filled as part of a formally designated trainee or developmental program.
The competitive level is based on each employee's position description, not on the employee's personal qualifications.
Two positions that are similar (e.g., same grade, series, work schedule, etc.), but are not identical, may be placed in the same competitive level if the position descriptions show that each employee would need less than 90 days to perform the key tasks of the other position.
Employees with temporary time-limited appointments in the competitive service are not listed in the competitive level since these employees serve at the will of the agency. These employees are terminated before any employee covered by OPM retention regulations is reached for a reduction in force action. Excepted employees with temporary appointments are included in the competitive level after completing more than 1 year of continuous service.
Only occupied positions are included in a competitive level.
APPLYING THE RIF REGULATIONS-RETENTION REGISTER (see Section 3-A-9)
After grouping interchangeable positions into competitive levels, the agency applies the four retention factors in establishing separate retention registers for each competitive level that may be involved in the reduction in force.
In practice, the terms “COMPETITIVE LEVEL” and “RETENTION REGISTER” generally have the same meaning and refer to the competitive level after an employee's retention standing is determined.
The name of each employee is listed on the retention register in the order of his or her retention standing (i.e., the employee with the highest standing is at the top of the register and the employee with the lowest standing is at the bottom of the register). The retention register includes the name of each employee who:
Is detailed from the competitive level.
The four retention factors are considered in this manner:
APPLYING THE RIF REGULATIONS-DETERMINING EMPLOYEES' RETENTION STANDING (see Section 3-A-10)
The four retention factors required in 5 U.S.C. 3502(a) are implemented in the following order on the retention register:
TENURE (see Section 3-A-11) Competitive service employees are ranked on a retention register in three groups according to their types of appointment
:GROUP III-Employees serving under term and similar non-status appointments. (An employee serving under a temporary appointment in the competitive service is not a competing employee under OPM's reduction in force regulations and is not listed on the retention register.
Retention registers for excepted positions use similar tenure groups:
GROUP III-Includes employees serving on time limited appointments of more than 1 year, or who hold a temporary appointment limited to 1 year and have completed more than 1 year of continous service on similar temporary appointments.
VETERANS' PREFERENCE (see Section 3-A-12) Each of these groups is divided into three subgroups reflecting their entitlement to veterans' preference for retention purposes:
SUBGROUP B- Nonveterans.
By law (i.e., the Dual Compensation Act of 1964, as presently codified in Section 3501(a) of title 5, United States Code, a retired member of the Armed Forces is considered to be a veteran for RIF purposes only if one of the following conditions is met:
The employee has been working for the Government since November 30, 1964, without a break in service of more than 30 days. However, if the employee meets condition (3), but retired at the rank of major or higher (or equivalent), the employee must also meet the general definition of disabled veteran in Section 2108(2) of Title 5, United States Code, in order to be a veteran for reduction in force purposes.
LENGTH OF SERVICE (see Section 3-A-13) Employees are ranked by service dates within each subgroup (i.e., the employee with the most service is listed at the top of the subgroup, the employee with the least service at the bottom of the subgroup).
The service includes creditable civilian and military service, and additional service credit for certain performance ratings.
PERFORMANCE (see Section 3-A-15, and Appendix Section 3-AA) Employees receive extra retention service credit for performance based upon the average of their last three annual performance ratings of record received during the 4-year period prior to the date the agency issues specific reduction in force notices, or the date the agency freezes ratings before issuing reduction in force notices.
Single Rating Pattern. The amount of extra retention service credit if all employees in a competitive area have received ratings under a single pattern of summary levels (e.g., all of the employees in the competitive area have ratings only under a five-level pattern, or only under a two-level pattern, or under the same three level pattern, etc.) is:
No additional service credit is given for performance ratings below “Fully Successful” or equivalent (i.e., Level III)
For example, an employee with 3 years of Federal service has one “Outstanding” rating of record, (20), and two “Exceeds Fully Successful” (16) ratings of record. The employee would receive additional reduction in force service credit based upon the three actual ratings of record: 20 + 20 + 16 = 56, divided by 3 = 18.7, rounded up to 19 years of additional retention credit for performance.
Multiple Rating Patterns. If an agency has employees in a competitive area who have performance ratings under more than one pattern of summary levels, the agency must consider the mix of patterns and may provide different amounts of additional retention service credit for employees who have the same summary level, but are under different patterns. The range of additional service credit is still limited from 12 to 20 years.
(For example, the agency may elect to provide employees who have a Level III “Fully Successful” rating under a two-level “Pass/Fail” pattern with 18 years of additional retention service credit, while electing to continue providing employees who have a Level IV “Exceeds Fully Successful” under a five-level pattern with 16 years of additional retention service credit.)
If an employee received only one rating of record during the applicable 4-year period, credit is given for performance on the basis of the value of that one actual rating of record.
APPLYING THE RIF REGULATIONS-RELEASE FROM THE COMPETITIVE LEVEL
(see Section 3-A-17)
Employees are released from the retention register in the inverse order of their retention standing (i.e., the employee with the lowest standing is the first individual reached for a reduction in force action).
APPLYING THE RIF REGULATIONS-ASSIGNMENT RIGHTS
(see Sections 3-A-18 and 3-A-19)
Competitive service employees in Groups I or II with current performance ratings of at least “Minimally Successful” who are reached for release from the competitive level are entitled to an offer of assignment if they have “bump” or “retreat” rights to an available position in the same competitive area, and they would otherwise be separated by reduction in force.
An “AVAILABLE POSITION” must:
Be held by an employee (i) in a lower retention subgroup who is subject to “BUMP” rights, or (ii) in the same subgroup, but with less service, and who holds a position which the employee formerly occupied on a permanent basis (or an essentially identical position) that is subject to “RETREAT” rights.
A reduction in force offer of a vacant position can only be in the same competitive area, and must be within three grades (or grade-intervals) of the employee's present position.
APPLYING THE RIF REGULATIONS-RIF NOTICES (see Sections 3-A-28 and 3-A-29)
An agency must give each employee at least 60 days specific written notice before he or she is reached for a reduction in force action.
If faced with an unexpected situation, the agency may, with OPM approval, give the employee a specific reduction in force notice of less than 60 days or 120 days, as appropriate, but at least 30 days, before the effective date of the reduction in force.
RIF APPEALS AND GRIEVANCES (see Sections 3-A-31 and 3-A-32)
An employee who has been separated, downgraded, or furloughed for more than 30 days by RIF has the right to appeal the Merit Systems Protection Board (MSPB) if the employee believes that the agency did not properly follow the reduction in force regulations.
An employee in a bargaining unit covered by a negotiated grievance procedure that does not exclude reduction in force must use the negotiated grievance procedure and may not appeal the reduction in force action to the Board unless the employee alleges the action was based upon discrimination. The time limits for filing a grievance under a negotiated grievance procedure are set forth in the collective bargaining agreement.
TRANSFER OF FUNCTION (see Module 4)
A Transfer of Function takes place when a function ceases in one competitive area and moves to one or more other competitive areas that do not perform the function at the time of transfer.
PLACEMENT ASSISTANCE AND EMPLOYEE BENEFITS.
Competitive service employees in Groups I and II who have received a specific notice of separation by RIF are presently eligible for three types of placement assistance in finding other positions:
REEMPLOYMENT PRIORITY LIST (see Module 6). The RPL is primarily a post-RIF program administered by individual agencies that gives separated employees priority consideration over outside applicants for positions filled by their agency.
Employees may also qualify for placement assistance through programs maintained by their agencies.
Section 3-A-2 summarizes management's basic right to make final decisions in the development and implementation of reduction in force policy.
The cited provisions in Section 3-A-2 do not place limitations on management's right to make other final decisions concerning reduction in force or related issues. (5 CFR 351.201(a)(1))
BASIC RIGHT TO ORGANIZE WORKFORCE (see 3-B-2-2 for additional information)
The agency has the responsibility to plan the work and to organize the workforce to accomplish agency objectives within available resources. (5 CFR 351.201(a)(1))
RIF DECISIONS (see 3-B-2-3 for additional information)
Each agency is responsible for deciding what positions are abolished, whether a RIF or transfer of function is necessary, and (if applicable) when a reduction in force or transfer of function will take place. (5 CFR 351.201(a)(1))
This also includes the right of the agency to decide which positions are required after a reorganization or other organizational change, where the positions are located, and when the positions are to be filled, abolished, or vacated.
GENERAL RIGHT OF AGENCY TO CARRY OUT OTHER PERSONNEL ACTIONS
(see 3-B-2-4 for additional information)
An agency's need to apply reduction in force (or transfer of function) procedures does not suspend the agency's authority and responsibility to take other personnel actions such as reassignment, promotion, change of duty station, or demotion for cause or unacceptable performance. (5 CFR 351.201(a)(1))
An agency may effect other personnel actions before, during, or after a reduction in force, or transfer of function.
AGENCY RESPONSIBILITY (see 3-B-3-1 for additional information)
Each agency must insure that reduction in force actions are taken in compliance with laws, regulations, and the terms of any negotiated bargaining agreements. (5 CFR 351.204)
The use of reduction in force procedures to avoid required procedures for other situations (e.g., conducting a reduction in force rather than adverse action procedures to release an employee with a history of conduct problems) is improper and reflects unfavorably on the credibility of agency management and on the RIF system.
OPM REVIEW OF AGENCY'S RIF PLANS
OPM may examine an agency's preparation for reduction in force at any stage. (5 CFR 351.205)
If OPM finds that an agency's reduction in force preparations are contrary to the express provisions or the spirit and intent of the applicable regulations or would violate employee rights or equities, OPM may recommend corrective action with respect to those preparations. (5 CFR 351.205)
Terms used in Module 3 are defined as follows:
NOTICE means a written communication from an agency official to an individual employee stating that the employee will be reached for a reduction in force action.
For an employee not subject to 5 U.S.C. Chapter 43 or 5 CFR Part 430, RATING OF RECORD means the officially designated performance rating, as provided for in the agency's appraisal system, that is considered to be an EQUIVALENT RATING OF RECORD under the provisions of 5 CFR 430.201(c). (5 CFR 351.203
UNDUE INTERRUPTION means a degree of interruption that would prevent the completion of required work by the employee 90 days after the employee has been placed in a different position in first or second round reduction in force competition. The 90-day standard should be considered within the allowable limits of time and quality, taking into account the pressures of priorities, deadlines, and other demands. However, a work program would generally not be unduly interrupted even if an employee needed more than 90 days after the reduction in force to perform the optimal quality or quantity of work. The 90-day standard may be extended if placement is made in first or second round reduction in force competition to a low priority program, or to a vacant position. (5 CFR 351.203)
OBLIGATION OF THE AGENCY TO USE RIF REGULATIONS (see 3-B-5-1 for additional information)
An agency is required to use OPM's retention regulations only if the employee is separated, downgraded, or placed in a nonpay status because of a reason covered in paragraph 4 below. (5 CFR 351.201(a)(2))
AGENCY AUTHORITY TO REASSIGN (see 3-B-5-2 for additional information)
At its discretion, an agency may reassign an employee, without regard to reduction in force procedures, to a vacant position at the same grade and rate of pay. The position may be in the same, or a different: (5 CFR 335.102)
Local commuting area.
OPTIONAL USE OF RIF OR REASSIGNMENT
At its discretion, an agency may provide an offer of a position at the same grade and pay to an employee who is reached for a reduction in force action by either:
Reassigning the employee to a vacant position. (5 CFR 335.102)
RIF ACTIONS AND REASONS FOR A RIF (see 3-B-5-4 for additional information)
A personnel action must be effected under reduction in force procedures when both (1) the action to be taken, and (2) the reason for the action, are covered by the retention regulations. (5 CFR 351.201(a)(2))
An action that meets one, but not both, conditions, is not a reduction in force action and must be taken under other appropriate authority.
ACTIONS EXCLUDED FROM RIF COVERAGE (see 3-B-5-5 for additional information)
OPM's retention regulations do not apply to:
A change to lower grade based on the reclassification of an employee's position due to erosion of duties, except that this exclusion does not apply to such reclassification actions that will take effect after an agency has formally announced a reduction in force in the employee's competitive area and when the reduction in force will take effect within 180 days; (5 CFR 351.202(c)(3))
A change in an employee's work schedule from part-time to full-time; (5 CFR 351.202(c)(7))
EMPLOYEES COVERED BY OPM'S RIF REGULATIONS
Except as noted in paragraphs 3-A-5-7 and 3-A-5-8 below, OPM's retention regulations apply to each Federal civilian employee:
In a position outside the executive branch that is subject by statute to competitive service requirements or is determined by the appropriate legislative or judicial administrative body to be covered by the retention regulations. (5 CFR 351.202(a)(2))
MODIFICIATIONS TO GENERAL COVERAGE UNDER OPM'S RIF REGULATIONS
(see 3-B-5-7 for additional information)
Employees of the U.S. Postal Service who are eligible for veterans' preference are covered by OPM's reduction in force regulations under authority of Section 1005(a)(2) of the Postal Reorganization Act of 1970.
Postal Service employees who are not eligible for veterans' preference are not covered by OPM's reduction in force regulations.
EMPLOYEES EXCLUDED FROM COVERAGE UNDER OPM'S RIF REGULATIONS
(see 3-B-5-8 for additional information)
OPM's retention regulations do not apply to:
A National Guard technician. (5 CFR 351.202(c)(5))
The release of a National Guard Technician is covered under Section 709 of Title 32, U.S.C. (5 CFR 351.202(c)(5))
A member of the Senior Executive Service (5 CFR 351.202(b)(1))
The reduction in force regulations do apply to an employee who holds a Senior-level (SL) position classified above GS-15 under authority of 5 U.S.C. 5376. (5 CFR 534.501)
(For additional information, see 3-B-5-8-(e)) A reemployed civil service annuitant, unless the appointing officer determines that an annuitant may compete under reduction in force procedures. (5 U.S.C. 3323(b))
If the agency does not separate the annuitant prior to a reduction in force, the annuitant's retention standing is determined in the same manner as other employees' standing is determined and the employee competes in the reduction in force.
A foreign national employee appointed under programs authorized by section 408 of the Foreign Service Act of 1980 (22 U.S.C. 3968), which may include special plans for reduction in force.
There is no right to appeal actions taken under these under these special plans to the Merit Systems Protection Board.
(For additional information, see 3-B-5-8-(g)) Health care personnel of the Department of Veterans Affairs, Veterans Health Services and Research Administration, who are appointed under the authority of 38 U.S.C. 4104(1) or 38 U.S.C. 4114.
DEFINITION (see 3-B-6-1 for additional information)
“REORGANIZATION” means the planned elimination, addition, or redistribution of functions or duties in an organization. (5 CFR 351.203)
The agency may implement a reorganization when organization changes actually take place, or at a later date such as during a classification survey.
USE OF RIF PROCEDURES IN REORGANIZATION (see 3-B-6-2 for additional information)
If a reorganization results in an employee being reached for separation or downgrading, the agency must follow OPM's reduction in force regulations, but only at the time of actual separation or downgrading. (5 CFR 351.201(a)(2))
The agency may always reassign an employee to another position at the same grade and avoid the use of reduction in force procedures in a reorganization. (5 CFR 335.102)
RECLASSIFICATION DUE TO NEW CLASSIFICATION STANDARDS OR CORRECTION OF CLASSIFICATION ERROR (see 3-B-6-3 for additional information)
If the grade of a position must be reduced because of the application of new OPM classification standards or the correction of classification error, reduction in force procedures are not applied. (5 CFR 351.202(c)(2))
In these situations, the duties of the position do not change; the grade of the position changes because of new classification standards or the correction of classification error.
RECLASSIFICATION DUE TO JOB EROSION (see 3-B-6-4 for additional information)
“JOB EROSION” describes a situation where the grade of a position must be reduced because duties have gradually drifted away through an extended erosion process. (5 CFR 351.202(c)(3))
In job erosion cases, there is no record of:
The time frame when the change to grade-controlling duties actually occurred.
The time frame when management made this decision. (5 CFR 351.201(a)(2)
USE OF RIF PROCEDURES IN JOB EROSION SITUATIONS (see 3-B-6-5 for additional information)
OPM's reduction in force regulations apply to job erosion reclassification actions when: (5 CFR 351.202(c)(3))
The reduction in force will occur within 180 days after the effective date of the downgrading action. (5 CFR 351.202(c)(3))
Each agency must establish competitive areas that are the boundaries within which employees compete for retention under reduction in force procedures. (5 CFR 351.402(a))
Employees in a competitive area compete for retention under OPM's reduction in force regulations only with other employees in the same competitive area. (5 CFR 351.402(b))
The competitive area includes all employees within the organizational unit(s) and geographical location(s) that are included in the competitive area definition. (5 CFR 351.402(b))
Each employee competes with all other employees in the competitive area for positions under OPM's retention regulations. (5 CFR 351.402(b))
There is no minimum or maximum number of employees in a competitive area. (5 CFR 351.402(b))
BASIS FOR COMPETITIVE AREA (see 3-B-7-2 for additional information)
An agency must define each competitive area solely in terms of organizational unit(s) and geographical location(s). (5 CFR 351.402(b))
COMPETITIVE AREA STANDARD FOR HEADQUARTERS ACTIVITIES
(see 3B-7-3 for additional information)
(5 CFR 351.402(b)) A minimum headquarters competitive area may consist of any organizational unit under separate administration within the local commuting area. (5 CFR 351.402(b))
“Separate administration” means that the organizational unit is separately organized and clearly distinguished from other headquarters organizational units within the same local commuting area in regard to operation, work function, staff, and personnel management. (5 CFR 351.402(b))
“Separate Administration” for purposes of establishing competitive areas applicable to both headquarters and field organizations recognizes that individual organizational components may be under separate administration even though many agencies reserve final approval of certain personnel actions to a higher level in the agency (e.g., classification of positions, filling of higher-graded positions, processing of personnel actions, etc.; additional information is found in 3-A-7-6 below). (5 CFR 351.402(b))
COMPETITIVE AREA STANDARD FOR FIELD ACTIVITIES (see 3-B-7-4 for additional information)
The minimum competitive area in the field is an activity under separate administration within the local commuting area. (5 CFR 351.402(b))
If two or more field activities are grouped at the same field installation, but are organizationally independent and separate from each other in operation, work function, staff, and personnel management, each activity may properly be designated a competitive area. (5 CFR 351.402(b))
The same general standard of “separate administration within the local commuting area” is used to establish competitive areas for both headquarters and field components. (5 CFR 351.402(b))
An agency must establish a separate competitive area for an Inspector General activity established under authority of the Inspector General Act of 1978 (Public Law 95-452, as amended). This competitive area only includes employees of the Inspector General activity. (5 CFR 351.402(d))
SEPARATE ADMINISTRATIVE MANAGEMENT AUTHORITY IN COMPETITIVE AREA DETERMINATIONS (see 3-B-7-6 for additional information)
As used for purposes of establishing a minimum competitive area, “SEPARATE ADMINISTRATION” is the administrative authority to take or direct personnel actions (i.e., the authority to establish positions, abolish positions, assign duties, etc.) rather than the issuance or processing of the documents by which these decisions are effected. (5 CFR 351.402(b))
“Separate Administration” is evidenced by the agency's organizational manual and delegations of authority that document where, in the organization, final authority rests to make decisions such as establishing positions, abolishing positions, assigning duties, etc. This is the standard for a minimum competitive area in a local commuting area, in either a headquarters organization or field component. (5 CFR 351.402(b))
The fact that several activities may be serviced by the same personnel office does not, of itself, require that they be placed in the same competitive area. The personnel office merely processes personnel actions rather than having final responsibility to make decisions on whether to establish position, abolish positions, assign duties, etc. (5 CFR 351.402(b))
COMPETITIVE AREAS LARGER THAN THE MINIMUM STANDARD
(see 3-B7-7 for additional information)
A competitive area may be larger than the minimum standard covered in paragraphs 3-A-7-5 and 3-A-7-6 above. (5 CFR 351.402(b))
A competitive area may not be smaller than the minimum standard covered in 3-A-7-5 and 3-A-7-6 above. (5 CFR 351.402(b))
LOCAL COMMUTING AREA DEFINITION (see 3-B-7-8 for additional information)
“LOCAL COMMUTING AREA” means the geographic area that usually includes one area for employment purposes, as determined by the agency. (5 CFR 351.203)
The Local Commuting Area includes any population center (or two or more neighboring centers) and the surrounding localities in which people live and can reasonably be expected to travel back and forth every day to their usual employment. (5 CFR 351.203)
Each agency has the right and the responsibilty for defining local commuting areas and applying this definition. (5 CFR 351.204)
There is no OPM mileage standard to determine when two local duty stations would be included in the same local commuting area.
LOCAL COMMUTING AREA IN COMPETITIVE AREA DEFINITION
When an organization has components in more than one local commuting area, each commuting area may be designated as a separate competitive area. (5 CFR 351.402(b))
PUBLICATION OF COMPETITIVE AREA DEFINITION
When an agency establishes or changes competitive areas, it must publish descriptions of the areas or otherwise make them readily available for review by employees and OPM. (5 CFR 351.402(c))
REQUIREMENT THAT COMPETITIVE AREA DEFINITION MUST REMAIN UNCHANGED FOR 90 DAYS PRIOR TO RIF
Agencies must establish competitive areas at least 90 days prior to a reduction in force. (5 CFR 351.402(c))
OPM PRIOR APPROVAL OF CHANGES TO THE COMPETITIVE AREA WITHIN 90 DAYS OF RIF-GENERAL
When an agency changes an existing competitive area or establishes new competitive areas less than 90 days prior to the effective date of a reduction in force, the agency must receive OPM approval of the change before the effective date of the reduction in force. (5 CFR 351.402(c))
OPM PRIOR APPROVAL OF CHANGES TO THE COMPETITIVE AREA WITHIN 90 DAYS OF RIF-INFORMATION IN REQUEST TO OPM
The agency should submit the request to OPM as soon as possible, and should include the following information:
A discussion of the circumstances which led to the proposed changes less than 90 days before a proposed reduction.
OPM PRIOR APPROVAL OF CHANGES TO THE COMPETITIVE AREA WITHIN 90 DAYS OF RIF-OPM ADDRESS FOR REQUEST
The agency should send the request to:
Associate Director
Employment Service
Office of Personnel Management
Washington, DC 20415
For expedited service, agencies may FAX requests to
Office of Personnel Management
Workforce Restructuring Office
Room 6500
Washington, DC 20415
FAX- 202-606-2329; voice- 202-606-0960
After establishing the competitive area, the agency establishes competitive levels that include groups of interchangeable positions. (5 CFR 351.403(a))
The terms “COMPETITIVE LEVEL” and “RETENTION REGISTER” are generally used in reference to a final retention register without regard to this distinction.
POSITION DESCRIPTIONS ARE USED TO ESTABLISH COMPETITIVE LEVELS
(see 3-B-9-2 for additional information)
The agency establishes competitive levels on the basis of each employee's official position of record. (5 CFR 351.403(a)(2))
Positions are not placed in competitive levels on the basis of personal qualifications or performance levels of individual employees. (5 CFR 351.403(a)(2))
ESTABLISHING COMPETITIVE LEVELS
A competitive level consists of positions in the competitive area that are: (5 CFR 351.403(a)(1))
Similar enough in duties, qualifications requirements, pay schedules, and working conditions, so that an agency may reassign the incumbent of one position to any of the other positions in the level without undue interruption. (5 CFR 351.403(a)(1))
“Undue Interruption” for purposes of establishing competitive levels is covered in paragraph 3-A-9-5 below.
INTERCHANGEABLE POSITIONS ARE PLACED IN THE SAME COMPETITIVE LEVEL
Positions in the same competitive level are so similar that the agency may readily assign an employee in one position to any of the other positions in the competitive level: (5 CFR 351.403(a)(1))
Without undue interruption to the agency's work program. (5 CFR 351.403(a)(1))
“Undue Interruption” for purposes of establishing competitive levels is covered in paragraph 3-A-9-5 below.
UNDUE INTERRUPTION EXPLAINED (see 3-B-9-5 for additional information)
“UNDUE INTERRUPTION” is defined in 3-A-4-v as a degree of interruption that would prevent the completion of required work within the agency's allowable limits of time and quality. (5 CFR 351.203)
The agency may also determine whether undue interruption would be a consideration in 90 days or less as the result of special work priorities or deadlines. (5 CFR 351.203)
SEPARATE COMPETITIVE LEVELS REQUIRED (see 3-B-9-6 for additional information)
In conjunction with paragraphs 3-A-9-3 and 3-A-9-4 above, the agency must establish separate competitive levels for certain positions:
COMPETITIVE AND EXCEPTED SERVICE. The agency must establish separate competitive levels for positions in the competitive service, and for positions in the excepted service. (5 CFR 351.403(b)(1))
Competitive service positions which are filled by employees who hold excepted service appointments (e.g., Veterans Readjustment Appointments) compete for retention in the excepted service. (5 CFR 351.403(b)(1))
WORK SCHEDULE. The agency establishes separate competitive levels for positions filled on different work schedules:
On-call. (5 CFR 351.403(b)(4))
There is no authority to establish separate competitive levels based upon subsets of the five categories covered in 3-A-9-6-d-1 through 3-A-9-6-d-5 above (e.g., all seasonal employees in otherwise interchangeable positions are placed in the same competitive level). The agency may not establish a competitive level for full-time seasonal employees and a different competitive level for part-time seasonal employees.) (5 CFR 351.403 (b)(4))
FORMALLY DESIGNATED TRAINEE OR DEVELOPMENTAL POSITIONS (see 3-B-10-6-(e) for additional information). The agency establishes separate competitive levels for positions
filled by an employee in a formally designated trainee or developmental program which has the following characteristics:
(5 CFR 351.403(b)(5)
Is fully implemented, with the participants chosen for the program through standard selection procedures. (5 CFR 351.702(e)(4))
SEPARATE COMPETITIVE LEVELS PROHIBITED
An agency may not assign a position to a separate competitive level based solely on:
A difference in the local wage areas in which wage grade positions are located. (5 CFR 351.403(c)(4))
GENERAL (see 3-B-10-1 for additional information)
The “RETENTION REGISTER” applies the four retention factors required by law in 5 U.S.C. 3502(a) (i.e., tenure, veterans' preference, length of service, and performance ratings) to the competitive level. (5 CFR 351.404(a))
A RETENTION REGISTER lists competing employees (i.e., defined in 5 CFR 351.203 as an employee in Tenure Group I, II, or III) in the order of their relative retention standing in a single competitive level. (5 CFR 351.404(a))
EMPLOYEES LISTED ON THE RETENTION REGISTER
(see 3-B-10-2 for additional information).
The retention register includes the name of each competing employee who holds an official position of record in the competitive level and is:
EMPLOYEES NOT LISTED ON THE RETENTION REGISTER BECAUSE OF RESTORATION RIGHTS BASED ON SERVICE IN THE ARMED FORCES
The retention register does not include the name of a competing employee on military duty with a restoration right to the competitive level. (5 CFR 351.404(a))
The employee does not compete for retention because of the restoration right under 5 CFR 353.
EMPLOYEES LISTED APART FROM THE RETENTION REGISTER
(reference 3-B-10-4 for additional information)
Employees holding certain positions in a competitive level do not compete for retention in that competitive level.
The agency first enters on a separate list the name of each employee who is serving in the competitive level under a:
The agency enters on a separate list the name of each employee who holds an official position of record in the competitive level and has received a final written decision under 5 CFR Part 432 (“Performance Based Reduction in Grade and Removal Actions”) of:
Demotion because of “Unacceptable” or equivalent performance. (5 CFR 351.405)
An employee who has received a written decision of demotion under 5 CFR Part 432 competes for retention from the position to which the employee will be, or has been, demoted. (5 CFR 351.405)
The agency enters on a separate list the name of each employee who holds an official position of record in the competitive level and has received a final written decision under 5 CFR Part 752 (“Adverse Action”) of:
Demotion. (5 CFR 351.405)
The four retention factors required in 5 U.S.C. 3502(a) are implemented in the following order on the retention register: (5 CFR 351.501(a))
PERFORMANCE is the fourth factor and is implemented through additional service added for retention to the employee's Service Computation Date on the retention register. (5 U.S.C. 3502(a)(4))
ORDER OF EMPLOYEES ON THE RETENTION REGISTER
The agency lists competing employees on the retention register in the following order:
TENURE GROUPS. The order of the three retention Tenure Groups on the retention register is:
Group III. (5 CFR 351.501(a)(1))
TENURE SUBGROUPS. The order of the three veterans' preference retention Tenure Subgroups on the retention register is:
Subgroup B. (5 CFR 351.501(a)(2)
SERVICE CREDIT. Within each subgroup, the agency first establishes a service computation date for each competing employee. (5 CFR 351.503(a))
PERFORMANCE. Then within each subgroup, the agency adds additional service credit for performance, listing the employee with the earliest service date at the top of the subgroup. (5 CFR 352.501(a)(3))
Tenure is one of the four retention factors required in 5 U.S.C. 3502(a). (5 U.S.C. 3502(a)(1))
TENURE GROUPS-COMPETITIVE SERVICE (see 3-B-12-2-(c) for additional information)
Competitive service tenure groups are defined to provide that:
GROUP I includes each career employee who is not serving a probationary period for appointment to a competitive position. (5 CFR 351.501(b)(1)
The following employees are in Group I as soon as they complete any required probationary period for initial appointment:
GROUP II includes:
An employee is in Group II when substantial evidence exists of eligibility to immediately acquire status and career-conditional tenure and the employee's case is pending final resolution by OPM (including cases under Executive Order 10826 to correct certain a dministrative errors). (5 CFR 351.501(b)(2))
GROUP III includes each employee serving under:
Any other nonstatus nontemporary appointment. (5 CFR 351.501(b)(3)
A competitive service employee serving under a temporary limited appointment is not in tenure Group III and is not a competing employee, except when the employee serves in a provisional appointment that was: (5 CFR 351.501(b)(3)
TENURE GROUPS-EXCEPTED SERVICE (see 3-B-12-3) for additional information)
Excepted service tenure groups are defined to provide that:
GROUP II includes each employee:
Whose tenure is equivalent to a career-conditional appointment in the competitive service in agencies having these appointments. (5 CFR 351.502(b)(2)(iii))
See 3-B-12-3-(b)-(2) for additional information.
GROUP III includes each employee:
Under an appointment with a specific time limitation of more than 1 year; (5 CFR 351.502(c)(3)(ii)), or
See 3-B-12-3-(c)-(2) for additional information.
Who is currently serving under a temporary appointment limited to 1 year, but has completed one year of current continuous service under a temporary appointment with no break in service of 1 workday or more. (5 CFR 351.502(c)(3)(iii))
See 3-B-12-3-(c)-(3) for additional information.
Veterans' preference is one of the four retention factors required in 5 U.S.C. 3502(a). (5 U.S.C.3502(a)(2)
EMPLOYEES INCLUDED IN RETENTION SUBGROUPS
Within each of the three tenure groups on a retention register, the names of competing employees are placed in veterans' preference subgroups:
SUBGROUP B includes each employee not eligible for veterans' preference. (5 CFR 351.501(c)(3))
GENERAL ELIGIBILITY FOR VETERANS' PREFERENCE (see 3-B-13-3 for additional information)
Veterans' preference for civil service purposes is authorized by 5 U.S.C. 2108. (5 CFR Part 211)
The Dual Compensation Act of 1964, as codified in 5 U.S.C. 3501(a) and 3502(a)(A) and (B), places additional limitations upon retired members of the Armed Forces that restricts both eligibility for retention preference, and the crediting of service in the Armed Forces for retention. (5 CFR 351.501(d))
Except for employees who are retired members of the Armed Forces, an employee who is eligible for veterans' preference for purposes of initial appointment to the Federal service is also eligible for veterans' preference under OPM's reduction in force regulations.
Sections 3-A-13 and 3-B-13 of the Restructuring Information Handbook have basic information on the application of veterans' preference for retention. However, in making an official determination of whether an employee is entitled to veterans' preference for retention, or to determine whether an employee's service in the Armed Forces is creditable for retention, refer to the applicable OPM Operating Manual, “THE GUIDE TO PROCESSING PERSONNEL ACTIONS,” (which was formerly Federal Personnel Manual Supplement 296-33):
A “DISABLED VETERAN” is defined in section 2108(2) of title 5, United States Code, and further implemented through 5 CFR 211.102(b)), as an individual who:
Was separated from the Armed Forces under honorable conditions; and presently receives either;
Compensation, disability retirement benefits, or a pension from the Department of Veterans Affairs, or the Armed Forces. (5 U.S.C. 2108(2))
ELIGIBILITY FOR VETERANS' PREFERENCE WHEN INITIAL ENTRY INTO THE ARMED FORCES TOOK PLACE BEFORE OCTOBER 15, 1976
If the employee initially entered the Armed Forces before October 15, 1976, “Veteran” means an individual who served on active duty in the Armed Forces: (5 CFR 211.102(a))
For more than 180 consecutive days, any part of which the employee served from February 1, 1955, through October 14, 1976. (5 U.S.C. 2108(1)(B))
ELIGIBILITY FOR VETERANS' PREFERENCE WHEN INITIAL ENTRY INTO THE ARMED FORCES TOOK PLACE ON OR AFTER OCTOBER 15, 1976.
If the employee initially entered the Armed Forces on or after October 15, 1976, “VETERAN” means an individual who served on active duty in the Armed Forces, and:
As provided in 38 U.S.C. 5303(a), medal holders who initially enlisted in the Armed Forces after September 7, 1980, or who entered on active duty after October 13, 1982, must have served continuously for 24 months, or the full period called or ordered to active duty.
The service requirement does not apply to veterans with compensable service-connected disabilities, or to veterans separated for disability in the line of duty, or for hardship.
Section 1102 of Title XI of Public Law 105-85, approved and effective November 18, 1997, extends veterans' preference to other eligible nondisabled veterans who served on active duty in the Armed Forces during the period beginning August 2, 1990, and ending January 2, 1992; however, the individual must still meet other conditions set forth in statute (e.g., the general requirement for 24 months continuous service, or service for the full period called or ordered to active duty, as covered in 3-A6-(b)-(2) above.
Section 1102 of Title XI of Public Law 105-85 did not extend veterans' preference for retention to retired members of the Armed Forces who are excluded from preference by the Dual Compensation Act of 1964, as codified in 5 U.S.C. 3501(a). (For additional information on the Dual Compensation Act's limits on the application of veterans' preference to retired members of the Armed Force, refer to paragraph 3-A-13-8 below.)
ELIGIBILITY FOR VETERANS' PREFERENCE BASED ON DERIVATIVE PREFERENCE (see 3-B-13-7 for additional information)
Veterans' preference also extends to four types of employees who are eligible for derivative preference, which is retention subgroup “A”: (5 CFR 211.102(c)
The mother of a permanently disabled veteran, provided that the mother also meets other statutory conditions. (5 U.S.C. 2108(G))
ELIGIBILITY FOR VETERANS' PREFERENCE WHEN THE EMPLOYEE IS RETIRED FROM THE ARMED FORCES (see 3-B-13-8 for additional information)
A section of the Dual Compensation Act of 1964 (5 U.S.C. 3501(a)) limits veterans' preference for retired members of the Armed Force.
Under the Dual Compensation Act, an employee who is a retired member of the Armed forces is eligible for veterans' preference for retention purposes if the employee's retirement from the Armed Forces is based on a disability that either:
Was caused by an instrumentality of war, and was incurred in the line of duty during a period of war as defined by sections 101 and 301 of title 38, United States Code. (5 U.S.C. 3501(a)(3)(A)(ii); 5 CFR 351.501(d)(1)(ii))
Under the Dual Compensation Act, an employee who is a retired member of the Armed forces is eligible for veterans' preference for retention purposes if the employee has been continuously employed in a position covered by OPM's retention regulations since November 30, 1964, without a break in service of more than 30 days (5 U.S.C. 3501(a)(3)(C); 5 CFR 351.501(d)(3)), and either:
Retired below the rank of major (or equivalent) (5 U.S.C. 2108(4)(B); 5 CFR 351.501(d)(4)).
ELIGIBILITY FOR VETERANS' PREFERENCE WHEN THE EMPLOYEE IS RETIRED FROM THE ARMED FORCES AS A TITLE 10 RESERVIST (see 3-B13-9 for additional information
A veteran who becomes eligible for retired pay at age 60 as a reservist under authority of chapter 67 of title 10, United States Code, is not subject to the Dual Compensation Act of 1964 because the retirement from the Armed Forces is based on less than 20 years creditable active service. (5 CFR 351.501(d)(5))
To retain retention preference at at age 60, the reservist must have either:
Retired below the rank of major (or equivalent). (5 U.S.C. 2108(4)(B); 5 CFR 351.501(d)(5))
The reservist is eligible for veterans' preference only if the employee meets the applicable Armed Forces service requirements covered in, as appropriate, paragraphs 3-A-13-3 or 3-A-13-4 above. 5 CFR 351.501(d)(5))
If the employee meets the requirements for veterans' preference, the reservist is always eligible for veterans' preference in reduction in force until age 60 when the Armed Forces retirement pay commences. (5 CFR 351.501(d)(5))
“LENGTH OF SERVICE” is one of the four retention factors required in 5 U.S.C. 3502(a). (5 U.S.C. 3502(a)(3))
As covered in Section 3-A-13, employees are listed on a retention register within veteran preference subgroups by length of service, in descending order starting with the earliest service date.
RESPONSIBILITY OF THE AGENCY TO DETERMINE EMPLOYEES' RETENTION SERVICE DATES
The agency is responsible for determining each employee's service date for retention. (5 CFR 351.503(a))
The agency is also responsible, if necessary, for correcting the service date of an employee to withhold retention service credit for noncreditable service. (5 CFR 351.503(d))
CREDITABLE SERVICE FOR RETENTION (see 3-B-14-3 for additional information)
Employees receive retention service credit for:
All active duty performed in a uniformed service, except as restricted by the Dual Compensation Act of 1964 for certain members of the Armed Forces who are receiving retired pay. (5 U.S.C. 3502(a)(A) and (B); 5 CFR 351.503(b))
Paragraph 3-A-14-5 below covers how agencies determine the retention service date for retired members of the Armed Forces.
DETERMINING THE EMPLOYEE'S SERVICE DATE (see 3-B-14-4 for additional information)
An employee's service date under the reduction in force regulations is one of the three following dates:
DETERMINING THE SERVICE DATE OF RETIRED MEMBERS OF THE ARMED FORCES (see paragraph 3-B-14-5 for additional information)
The Dual Compensation Act of 1964 limits the amount of military service that most retired members of the Armed Forces may credit under OPM's reduction in force regulations. (5 U.S.C. 3502(a)(B))
If the retired member of the Armed Forces is not eligible for veterans' preference under OPM's reduction in force regulations, the employee receives retention credit only for creditable active military service: (5 CFR 351.503(c)(1))
actually performed in a campaign or expedition for which a campaign badge has been authorized. (5 U.S.C. 3501(a)(B)(i))
See paragraphs 3-A-13-8 through 3-A-13-9 for specific information on determining veterans' preference eligiblity for retired members of the Armed Forces.
ADDITIONAL INFORMATION ON CREDITABLE SERVICE
For detailed information on determining creditable service under the reduction in force regulations, and related topics such as setting service computation dates, and making adjustments for noncreditable service, refer to the OPM Handbook, “THE GUIDE TO PROCESSING PERSONNEL ACTIONS” ( which was formerly Federal Personnel Manual Supplement 296-33).
“PERFORMANCE” is one of the four retention factors required in 5 U.S.C. 3502(a).
(5 U.S.C. 3502(a)(4))
EFFECTIVE DATE FOR THE REVISED RIF REGULATIONS COVERING RETENTION SERVICE CREDIT FOR PERFORMANCE.
OPM published final retention regulations in the Federal Register on November 24, 1997, with revised procedures on the crediting of employees' performance ratings in reduction in force. (62 FR 62495)
In a Note to revised 5 CFR 351.504, OPM states that subject to the requirements of 5 U.S.C. 7116(a)(7), agencies may implement revised 5 CFR 351.504 with these new performance provisions at any time between December 24, 1997, and October 1, 1998.
This Section 15, Unit A, of Module 3 (i.e., Section 3-A-15) covers retention credit for performance based upon the regulations OPM published on November 24, 1997.
For reduction in force actions effective between December 24, 1997, and September 30, 1998, agencies may use either 5 CFR 351.504 effective December 24, 1997, or the prior 5 CFR 351.504 in 5 CFR part 351 (January 1, 1997, edition).
Appendix A in Module 3, Unit A, includes the prior Section 15, Unit A, of Module 3 covering retention credit for performance based upon the regulations in effect on January 1, 1997.
TIME PERIOD COVERED BY EMPLOYEES' RATINGS OF RECORD
Each employee receives additional retention service credit for performance based upon the average of the employee's three most recent ratings of record received during the 4-year period prior to the date that the agency either:
Freezes ratings before issuing specific reduction in force notices (see paragraph 3-A-8 below). (5 CFR 351.504(b)(2))
RATINGS USED FOR RIF PURPOSES (see 3-B-15-4 for additional information)
Only ratings of record as defined in 5 CFR 351.203 may be used as the basis for granting retention service credit in a reduction in force. (5 CFR 351.504(a)(1))
The agency must identify a competing employee's current rating of record not only for crediting additional retention service, but also for determining the employee's potential “Bump” and “Retreat” rights to other positions (see 3-A-18-2-(c) and 3-A-19-2 for additional information on the use of ratings of record in determining employees' assignment rights).
“CURRENT RATING OF RECORD” is the rating of record for the most recently completed appraisal period, as provided in 3-A-6-a below. (5 CFR 351.203)
There is no authority for an agency to issue a retroactive rating of record for RIF purposes if the employee lacks three actual ratings of record during the 4-year period.
(See 3-B-15-4-(b) for additional information.)
“MODAL RATING” is the summary rating level assigned most frequently among the actual ratings of record that are:
On the record for the most recently completed appraisal period prior to the date of issuance of reduction in force notices, or the cutoff date the agency specifies prior to the issuance of notices after which no new ratings will be put on record. (5 CFR 351.203)
RATINGS IN OTHER AGENCIES (see 3-B-15-4 for additional information)
Regardless of whether the employee's service occurred in the present or a former agency, the employee's actual ratings of record are used to the extent they are available. (5 CFR 351.504(b)(1))
If ratings in a prior agency are not available in the employee's official records, the current employing agency can accept the employee's copies of ratings of record for this purpose.
RATING OF RECORD-EMPLOYEES COVERED BY 5 U.S.C. CHAPTER 43 OR 5 CFR 430
For an employee covered by 5 U.S.C. Chapter 43 or by 5 CFR Part 430, “RATING OF RECORD” for purposes of OPM's retention regulations uses the definition covered in 5 CFR 430.203. (5 CFR 351.203)
Employees who received ratings of record while covered by 5 CFR Subpart 430-B receive additional retention service credit based upon those ratings. (5 CFR 351.504(a)(2))
RATING OF RECORD-EMPLOYEES NOT COVERED BY 5 U.S.C. CHAPTER 43 OR 5 CFR 430 (see 3-B-15-7 for additional information)
For an employee who is not covered by 5 U.S.C. Chapter 43 or by 5 CFR Part 430, “RATING OF RECORD” for purposes of OPM's retention regulations means the officially designated performance rating, as provided for in the agency's appraisal system, that is considered to be an equivalent rating of record under the provisions of 5 CFR 430.201(c). (5 CFR 351.203)
Other performance evaluations given while an employee is not covered by the provisions of subpart 5 CFR 430-B are considered ratings of record for reduction in force purposes when the performance evaluation: (5 CFR 430.201(c)(2))
Identified whether the employee performed acceptably. (5 CFR 430.201(c)(2)(iii))
When the performance evaluation does not include a summary level designator and pattern comparable to those established at 5 CFR 430.208(d), the agency may identify a level and pattern based on information related to the appraisal process. (5 CFR 430.201(c)(2))
AVAILABILITY OF RATINGS (see 3-B-15-8 for additional information)
To be creditable for reduction in force purposes, ratings of record must have been issued to the employee, with all appropriate reviews and signatures, and must also be on record. (5 CFR 351.504(b)(3))
This means that the rating was:
On record and available for use by the office responsible for preparing retention registers (i.e., the rating of record is final and has been entered into the agency's personnel records system). (5 CFR 351.504(b)(3))
Since rating procedures may vary, each agency must set its own internal policy for processing ratings and putting them on record for reduction in force purposes; this policy must be:
Applied on a uniform and consistent basis in the competitive area where the reduction in force will take place. (5 CFR 351.504(b)(4))
The agency's appropriate issuances that implement its performance management policies under 3-A-15-8-(c) above must specify:
If the agency elects to use a cutoff date, the number of days prior to the issuance of reduction in force notices after which no new ratings of record will be put on record and used to determine employees' retention standing; (5 CFR 351.504(b)(4)(ii)), and
Paragraph 3-A-15-9 below contains additional information on freezing ratings of record in reduction in force competition.
Paragraph 5 CFR 430.208(d) covers patterns of summary levels used in appraisal programs.
FREEZING RATINGS (see 3-B-15-9 for additional information)
To provide time to properly determine employee retention standing prior to a reduction in force, agencies may establish a policy providing for a cutoff date a specified number of days prior to the date it issues specific reduction in force notices. (5 CFR 351.504(b)(2); 5 CFR 351.504(b)(4)(ii))
If adopted, this policy must be:
Documented in the agency's performance management policies or other appropriate issuance. (5 CFR 351.504(b)(4)(ii))
MISSING RATINGS (see 3-B-15-10 for additional information)
If an employee has not received three actual ratings of record during the applicable 4-year period prior to the date the agency issues specific reduction in force notices or freezes ratings (see paragraph 3-A-15-3 above), the agency provides additional retention service credit under the following procedures: (5 CFR 351.504(c))
An employee who has received at least one, but fewer than three previous ratings of record during the applicable 4-year period, receives retention service credit for performance on the basis of the value of the actual rating(s) of record divided by the number of actual ratings received. (5 CFR 351.504(c)(1))
An employee who has received only one actual rating of record during the applicable 4-year period receives retention service credit for performance on the basis of the value of the single rating. (5 CFR 351.504(c)(1))
AMOUNT OF CREDIT-SINGLE RATING PATTERN
(see 3-B-15-11 for additional information)
If all employees in a reduction in force competitive area have received all of their ratings of record under a single pattern of summary levels as covered in 5 CFR 430.208(d), the additional retention service credit provided to employees is expressed in additional years of service that consists of the mathematical average (rounded in the case of a fraction to the next higher whole number) of the employee's applicable ratings of record, as computed on the following basis:
No additional retention service credit is given for ratings of record below “Fully Successful” or equivalent summary. (5 CFR 351.504(d))
AMOUNT OF CREDIT-MULTIPLE RATING PATTERNS
(see 3-B-15-12 for additional information)
If an agency has employees in a competitive area who have received ratings of record under more than one pattern of summary levels, as covered in 5 CFR 430.208(d), the agency must consider the mix of patterns and provide additional retention service credit for performance to employees expressed in additional years of service on the following basis: (5 CFR 351.504(e))
The agency must establish the same number of years additional retention service credit for all ratings of record with the same summary level in the same pattern of summary levels. (5 CFR 351.504(e)(5))
In providing service credit for retention to employees who are under more than one pattern of summary levels (which are covered in 5 CFR 430.208(d)), the agency must specify the number(s) of years additional retention service credit that it will establish for summary levels. (5 CFR 351.504(e)(7))
Paragraph 3-A-15-8 above notes that the agency must specify this information in the appropriate issuances that implement the agency's performance management policies. (5 CFR 351.504(b)(4))
The agency may apply this paragraph (i.e., paragraph 3-A-1512, “AMOUNT OF CREDIT-MULTIPLE RATING PATTERNS”) only to ratings of record put on record on or after October 1, 1997. (5 CFR 351.504(e)(8))
The agency must determine additional retention service credit for ratings of record put on record prior to October 1, 1997, in accordance with paragraph 3-A-15-11 (i.e., paragraph 3-A-15-11, “AMOUNT OF CREDIT-SINGLE RATING PATTERN”). (5 CFR 351.504(e)(8))
UNACCEPTABLE PERFORMANCE-PROPOSED DECISION TO REMOVE OR DEMOTE
An employee with a current Level 1 (“Unacceptable” or equivalent) rating of record who has not received a final written decision of removal or demotion under 5 CFR Part 432 (e.g., an employee on an opportunity to demonstrate acceptable performance as defined in 5 CFR 430.103(d)) is not penalized in first round reduction in force competition, and is listed on the retention register with other employees. (5 CFR 351.404(b)(2))
The employee also receives any service credit to which entitled for the other two previous ratings of record.
“ROUND OF COMPETITION” is defined in paragraph 3-A-4-1-r. “First Round Competition” is reduction in force competition for other positions within the competitive level, while “Second Round Competition” is reduction in force competition for positions on other competitive levels based upon “Bump” and “Retreat” rights.
UNACCEPTABLE PERFORMANCE-FINAL DECISION TO REMOVE OR DEMOTE
An employee who has received a final written decision of removal under 5 CFR Part 432 due to unacceptable (or equivalent) performance competes differently from an employee who has received a final written decision of demotion due to unacceptable (or equivalent) performance:
UNACCEPTABLE PERFORMANCE-ELIMINATION OF “UNACCEPTABLE” RATING
If because of performance improvement during the notice period of a proposed action under authority of 5 CFR Part 432 an employee is not demoted or separated, and the employee's performance continues to be acceptable for 1 year after the notice, any record of the unacceptable performance is removed from agency records. (5 CFR 293.404(a)(3))
There is no authority for an agency to remove an employee's “Unacceptable” rating except under authority of 5 CFR 293.404(a)(3) covered above, or under other appropriate authority (e.g., an award resulting from a grievance, equal employment opportunity complaint, etc.).
RESPONSIBILITY OF AGENCY TO MAINTAIN PERSONNEL RECORDS
(see 3-B-16-1 for additional information)
The agency is reponsible for maintaing the personnel records that are used to determine the retention standing of competing employees. (5 CFR 351.505)
RESPONSIBILITY OF AGENCY UNDER PRIVACY ACT
The agency is responsible for ensuring that each employee's access to retention records is consistent with the Privacy Act.
EMPLOYEE ACCESS TO RETENTION RECORDS
The agency must allow its retention registers and related records to be inspected by:
An employee of the agency who has received a specific reduction in force notice, or the employee's representative. (5 CFR 351.505(b))
An employee who has not received a specific reduction in force notice has no right to review the agency's retention registers and related records. (5 CFR 351.505(b))
RETENTION RECORDS AVAILABLE FOR REVIEW
The employee has the right to review any records used by the agency in a reduction in force action that was taken, or will be taken, against the employee, including:
The complete retention registers for other positions that could affect the composition of the employee's competitive level, and/or the determination of the employee's assignment rights. (5 CFR 351.505(b))
RETENTION OF RECORDS FOR 1 YEAR
The agency must preserve all registers and records relating to a reduction in force for at least 1 year after the date it issues a specific reduction in force notice. (5 CFR 351.505)
DATE USED TO DETERMINE AN EMPLOYEE'S RETENTION STANDING
(see 3-B-17-1 for additional information)
The agency determines each employee's retention standing as of the effective date of the reduction in force. (5 CFR 351.506(b))
Note that the terms “COMPETITIVE LEVEL” and “RETENTION REGISTER” are used interchangeably. (See 3-A-9-1 for additional information.)
RELEASE OF NONCOMPETING EMPLOYEES
Before a competing employee (i.e., an employee in tenure Groups I, II, or III) may be released from a competitive level, the agency must first release from that competitive level each employee who:
Has received a written decision of removal or demotion under 5 CFR Part 752 (“Adverse Actions”). (5 CFR 351.602(c)),
An employee who has received a written decision of demotion under 5 CFR Part 432, or under 5 CFR Part 752, competes for retention from the position to which the employee will be, or has been, demoted. (5 CFR 351.405)
ORDER OF RELEASING EMPLOYEES FROM THE COMPETITIVE LEVEL
The agency then releases competing employees from the reduction in force retention register in the inverse order of the employees' relative retention standing. (5 CFR 351.601(a))
An agency may release a competing employee from a competitive level, and still retain a lower standing competing employee with lower retention standing in the same level, only if the agency uses a mandatory, discretionary, or liquidation exception, which are covered in paragraphs 3-A-17-5 through 3-A-17-20 below.
BREAKING TIES IN EMPLOYEES' RETENTION STANDING
When employees in the same retention subgroup have identical service dates and are tied for release, the agency has the right to determine the order in which the tied employees are released. (5 CFR 351.601(b))
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-MANDATORY EXCEPTION BASED UPON SERVICE IN THE ARMED FORCES
The agency must use a mandatory exception to the regular order of releasing employees in order to retain tenure Group I or Group II employees who have restoration rights under 38 U.S.C. 4301 or 4304 after returning from service in the Armed Forces. (5 CFR 351.606(a))
The agency must record on the retention register the reason(s) for using a mandatory exception to the regular order of release. (5 CFR 351.606(c))
Each employee listed on the retention register has the right to review the reason(s) for the use of the mandatory exception to the regular order of release. (5 CFR 351.606(c); 5 CFR 351.505)
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-MANDATORY EXCEPTION AND THE USE OF ANNUAL LEAVE TO OBTAIN RETIREMENT BENEFITS AND/OR TO CONTINUE HEALTH BENEFITS (see 3-B-17-6 for additional information)
An agency must use a mandatory exception to the regular order of releasing employees from the competitive level in order to retain an employee who is being involuntarily separated from the agency by reduction in force if the employee elects to use annual leave, and remain on the agency's rolls after the effective date that the employee would otherwise have been separated, for the purpose of establishing initial eligibility for:
An employee retained under this provision must be covered by the leave provisions authorized by Chapter 63 of Title 5, United States Code. (5 CFR 351.606(b)(3))
Paragraph 3-A-17-15 covers how an agency may use a permissive temporary exception to the regular order of releasing employees in order to retain an employee who is covered by a Federal leave system under authority other than Chapter 63 of Title 5, United States Code, for the purpose of establishing initial eligibility for immediate retirement under 5 U.S.C. 8336, 8412, or 8414, and/or continuation of health benefits coverage into retirement under 5 U.S.C. 8905. (5 CFR 351.608(e))
Section 5 CFR 630.212 defines annual leave that is available for purposes of a mandatory exception under this paragraph. (5 CFR 351.606(b)(6))
For reference, these specific annual leave provisions are covered in 3-B-17-6-(f)
The agency must record on the retention register the reason(s) for using a mandatory exception to the regular order of release. (5 CFR 351.606(c))
Each employee listed on the retention register has the right to review the reason(s) for the use of the mandatory exception to the regular order of release. (5 CFR 351.606(c); 5 CFR 351.505)
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-EFFECTIVE DATE OF RIF ACTION WHEN USING A MANDATORY EXCEPTION
The agency determines the retention standing of an employee who is retained under a mandatory exception as of the date the employee would have been released from the competitive level had the agency not used the exception. (5 CFR 351.506(b))
THE MANDATORY USE OF ANNUAL LEAVE IN RELOCATION SITUATIONS TO OBTAIN RETIREMENT BENEFITS AND/OR TO CONTINUE HEALTH BENEFITS COVERAGE
An employee who is being involuntarily separated under authority of 5 CFR Part 752 as an adverse action because of the employee's decision to decline relocation (including transfer of function) may elect to use annual leave and remain on the agency's rolls after the effective date that the employee would otherwise have been separated by adverse action in order to establish initial eligibility for:
Annual leave for purposes of this paragraph is defined in 5 CFR 630.212. (5 CFR 351.606(b)(6))
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-DISCRETIONARY CONTINUING EXCEPTION
An agency may use a continuing exception to the regular order of releasing employees in order to retain an employee for more than 90 days in a position that no higher-standing employee can take over:
Without undue interruption to the agency. (5 CFR 351.607)
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-EFFECTIVE DATE OF RIF ACTION WHEN USING A DISCRETIONARY CONTINUING EXCEPTION
The agency determines the retention standing of an employee who is retained in the competitive level under a discretionary continuing exception as of the date the employee would have been released from the competitive level had the agency not used the exception. (5 CFR 351.506(b))
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-NOTICE TO HIGHER-STANDING EMPLOYEES WHEN USING A DISCRETIONARY CONTINUING EXCEPTION
When an agency retains an employee under a discretionary continuing exception, the agency must give each higher-standing employee reached for release from the same retention register:
The reason for the exception. (5 CFR 351.607)
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-PERMISSIVE TEMPORARY EXCEPTION-UNDUE INTERRUPTION
An agency may use a discretionary temporary exception for not more than 90 days to the regular order of releasing employees in order to retain an employee in a position that no higher-standing employee can take over within 90 days without undue interruption to the agency. (5 CFR 351.608(b))
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-PERMISSIVE TEMPORARY EXCEPTION-TO SATISFY A GOVERNMENT OBLIGATION
An agency may use a discretionary temporary exception, without regard to time limit, to the regular order of releasing employees in order to retain an employee in order to satisfy a Government obligation to the retained employee. (5 CFR 351.608(c))
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-PERMISSIVE TEMPORARY EXCEPTION-USE OF SICK LEAVE
An agency may use a discretionary temporary exception to the regular order of releasing employees in order to retain an employee who is on approved sick leave on the effective date of the reduction in force. (5 CFR 351.608(d))
Use of sick leave for this purpose must be in accordance with the requirements in Subpart 5 CFR 630-D, or other applicable leave system for Federal employees. (5 CFR 351.608(d))
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-PERMISSIVE TEMPORARY EXCEPTION-THE USE OF ANNUAL LEAVE TO OBTAIN RETIREMENT BENEFITS AND/OR TO CONTINUE HEALTH BENEFITS (see 3-B-17-15 for additional information)
An agency may use a permissive temporary exception to the regular order of releasing employees in order to retain an employee who:
Establish eligibility under 5 U.S.C. 8905 (or other authority) to carry health benefits coverage into retirement, during the period represented by the amount of the employee's accrued annual leave. (5 CFR 351.608(e)(1)(iii))
Accrued annual leave available under this permissive temporary exception includes all accumulated, accrued, and restored annual leave, as applicable, in addition to annual leave earned and available to the employee after the effective date of the reduction in force. (5 CFR 351.608(e)(4))
When approving a permissive temporary exception under this provision, an agency may not advance annual leave or consider any annual leave that might be credited to an employee's account after the effective date of the reduction in force other than annual leave earned while in an annual leave status. (5 CFR 351.608(e)(4))
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-PERMISSIVE TEMPORARY EXCEPTION-OTHER EXCEPTIONS
An agency may use a permissive temporary exception to the regular order of releasing employees in order to extend an employee's separation date beyond the effective date of the reduction in force when the temporary retention of a lower-standing employee does not adversely affect the right of any higher-standing employee who is released ahead of the lower standing employee. (5 CFR 351.608(f))
There is no authority under this provision for an agency to retain an employee for the purpose of gaining eligibility for immediate retirement under 5 U.S.C. 8336, 8412, or 8414, and/or for continuation of health benefits coverage into retirement under 5 U.S.C. 8905. (5 CFR 351.608(f); 5 CFR 351.606(b)(1); 5 CFR 351.608(e))
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-EFFECTIVE DATE OF RIF ACTION WHEN USING A DISCRETIONARY TEMPORARY EXCEPTION
The agency determines the retention standing of an employee who is retained in the competitive level under a discretionary temporary exception as of the date the employee would have been released from the competitive level had the agency not used the exception. (5 CFR 351.506(b))
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-NOTICE TO HIGHER-STANDING EMPLOYEES WHEN USING A DISCRETIONARY TEMPORARY EXCEPTION
When an agency retains an employee under a discretionary temporary exception for more than 30 days after the date a higher-standing employee is released from the same retention register, the agency must:
List opposite the retained employee's name on the retention register the reasons for the exception, and the date that the employee's retention will end. (5 CFR 351.608(g)(2))
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-LIQUIDATION EXCEPTION (see 3-B-17-19 for additional information)
When an agency will abolish all positions in a competitive area within 180 days, it must release the employees in subgroup order, but may release them regardless of their retention standing within a subgroup. (5 CFR 351.605)
The liquidation exception may not be use to release an employee who is under a mandatory exception. (See paragraph 3-A-17-5 above.)
EXCEPTIONS TO THE REGULAR ORDER OF RELEASE-NOTICE TO HIGHER-STANDING EMPLOYEES WHEN USING A LIQUIDATION EXCEPTION
When an agency uses the liquidation provision, it must:
Give the date that the liquidation will be completed. (5 CFR 351.605)
An employee reached for release from a competitive level may have a right under the reduction in force positions to a position in a different competitive level. (5 CFR 351.603)
Sections 3-A-18 begins the material on employees' reduction in force assignment rights.
SEPARATION OR FURLOUGH (see 3-B-18-2 for additional information)
The agency may use reduction in force procedures to separate or furlough the released employee only if the employee: (5 CFR 351.603)
Declines an offer of assignment to another position that would have satisfied the employee's assignment right.
OPM's reduction in force regulations provide released employees with two types of assignment rights to positions in different competitive levels:
“BUMPING” is defined in paragraph 3-A-4-1-(b) as the assignment of an employee to a position in a different competitive level that is held by another employee in a lower retention tenure Group, or in a lower Subgroup within the same tenure Group. (5 CFR 351.701(b)(1))
For specific information on bumping rights, refer to paragraph 3-A-20-1.
“RETREATING” is defined in paragraph 3-A-4-1-(q) as the assignment of an employee to a position in a different competitive level that is held by another employee with less service in the same retention Subgroup. (5 CFR 351.702(c)(1))
For specific information on retreating rights, refer to paragraphs 3-A-20-2 through 3-A-20-4.
EMPLOYEES WITH ASSIGNMENT RIGHTS
OPM's reduction in force regulations provide assignment rights (i.e., bumping and retreating rights) to an employee who:
Has a current performance rating of at least “Minimally Successful” or equivalent. (5 CFR 351.701(a))
EMPLOYEES WITH NO ASSIGNMENT RIGHTS
OPM's reduction in force regulations do not provide assignment rights to an employee who:
Has a current annual performance rating of “Unacceptable” or equivalent.(5 CFR 351.701(a))
DEFINITION OF AVAILABLE POSITION
An “AVAILABLE POSITION” that satisfies an employee's reduction in force assignment right must:
Have the same type of work schedule (e.g., full-time, part-time, intermittent, seasonal, or on-call) as the position from which the employee is released. (5 CFR 351.701(a))
Additional material on representative rate is covered in Section 3-A-24.
Have the same type of work schedule (e.g., full-time, part-time, intermittent, seasonal, or on-call) as the position from which the higher-standing employee is released. (5 CFR 351.701(a))
POSITIONS OCCUPIED BY TEMPORARY EMPLOYEES
(see 3-B-19-5 for additional information)
Released employees do not have assignment rights to positions occupied by temporary employees (tenure group 0) in another competitive level. (5 CFR 351.701(a))
LIMITATIONS IN OFFERING EMPLOYEES ASSIGNMENT TO OTHER POSITIONS
(see 3-B-19-6 for additional information)
An agency may not:
Assign an employee in the excepted service to a position in the competitive service. (5 CFR 351.705(b)(6))
MORE THAN ONE AVAILABLE POSITION FOR ASSIGNMENT
(see 3-B-19-7 for additional information)
When an employee has a potential right of assignment to two or more positions with the same representative rate, the agency may satisfy the employee's right of assignment by offering any one of the positions. (5 CFR 351.701(a))
An employee has no right to choose among positions with the same representative rate. (5 CFR 351.701(a))
An employee is entitled to only one offer of assignment, and, except as provided in 3-A-19-9 below, is not entitled to any further offers if the employee:
Fails to reply to an offer within a reasonable time. (5 CFR 351.701(a))
REQUIREMENT TO MAKE AN ADDITIONAL OFFER OF ASSIGNMENT
(see 3B-19-9 for additional information)
Even though an employee is entitled to only one offer of assignment, the agency must make a better offer of assignment (e.g., a position with a higher representative rate) to a released employee if a position becomes available before, or on, the effective date of the reduction in force. (5 CFR 351.506(a); 5 CFR 351.805(c))
A better offer of assignment may become available when another employee rejects an offer or vacates a position by resignation, retirement, etc.
After determining an employee's assignment right, the agency, at its discretion, may also make an alternative offer of a vacant position with the same or a lower representative rate than that of the position to which the employee was entitled.
EMPLOYEES' STATUS AND TENURE AFTER ACCEPTING AN OFFER OF ASSIGNMENT (see 3-B-19-11 for additional information)
An employee retains the same status and tenure in the new position after:
Accepting an offer of assignment to a position in a different competitive level in second round reduction in force competition. (5 CFR 351.701(a))
PROMOTION POTENTIAL OF A POSITION OFFERED FOR ASSIGNMENT
(see 3-B-19-12 for additional information)
The promotion potential of a position is not a consideration in determining an employee's assignment rights to an available position. (5 CFR 351.701(a))
Employees may be assigned under reduction in force procedures to positions with higher promotion potential, and are subsequently noncompetitively promoted to the full performance level of that position.
BUMP RIGHTS (see 3-B-20-1 for additional information)
“BUMPING” is defined in 3-A-4-1-(c) as a released employee's right of assignment to a position in a different competitive level that is: (5 CFR 351.701(b)(1)
The same grade, or down to three grades or grade-intervals (or equivalent) below the position of the released employee. (5 CFR 351.701(b)(2)
A released employee may have bumping rights to a position regardless of whether or not the employee previously held the position of the lower-standing employee. (5 CFR 351.701(b))
RETREAT RIGHTS-GENERAL (see 3-B-20-2 for additional information)
“RETREATING” is defined in paragraph 3-A-4-1-(q) as a released employee's right of assignment to a position in a different competitive level that is:
The same position, or a position that is essentially identical, to a position previously held by the released employee on a permanent basis in any Federal agency. (5 CFR 351.701(c)(3))
Paragraph 3-A-20-3 below explains the competitive level standard that agencies use to evaluate an “Essentially Identical Position” for purposes of determining an employee's retreat rights.
A released employee with a current annual performance rating of “Minimally Successful” or equivalent has the right to retreat only to a position that is held by another employee who has a current performance rating of “Minimally Successful” or equivalent, or a lower performance rating. (5 CFR 351.701(d))
Section 3-A-23 covers grades and grade-intervals used in determining employees' reduction in force assignment rights.
A released employee has retreating rights to a position based on the official position record previously held by the employee in relation to the official position of record currently held by the employee with less service in the same subgroup. (5 CFR 351.701(c)(3))
A released employee may only have retreating rights to a position that the employee previously held on a permanent basis in the Federal service, or a position that is essentially identical to the position of the employee with less service in the same subgroup. (5 CFR 351.701(c)(3))
RETREAT RIGHTS-ESSENTIALLY IDENTICAL POSITION
(see 3-B-20-3 for additional information)
In determining employees' retreat rights, a position is considered essentially identical to a position that the released employee previously held if:
The agency determines on the basis of available information that the released employee previously held an essentially identical position based on the Competitive Level criteria found in Section 3-A-9, but not necessarily in regard to the two positions' respective:
Type of service. (5 CFR 351.701(c)(3))
A released employee may have a right to retreat to an essentially identical position in the present competitive area that is filled at a different grade, classification series, work schedule, appointing authority, etc., than the position that the released employee actually encumbered, provided that the two positions meet the standard covered in 3-A-20-3-b above. (5 CFR 351.701(c)(3))
RETREAT RIGHTS-EXPANDED GRADE LIMITS FOR DISABLED VETERANS IN SUBGROUP AD
A released employee has the right to retreat to a position at the same grade, or down to five grades or five grade-intervals (or equivalent) below the position from which the employee is released, if the employee is:
Receiving a compensable service-connected disability of 30 percent or more (i.e., the employee is in retention Subgroup AD). (5 CFR 351.701(c)(2))
Except for the change in grade limits, the other conditions on employees' retreat rights covered in 3-A-19-2 above also apply to this provision. (5 CFR 351.701(c)(2))
MANAGEMENT'S DECISION TO FILL VACANT POSITIONS DURING A RIF
An agency is not required to fill vacant positions in a reduction in force, but the agency may decide to fill all, some, or no vacant positions. (5 CFR 351.201(b))
MAKING RIF OFFERS OF VACANT POSITIONS TO RELEASED EMPLOYEES
An agency may satisfy a released employee's reduction in force assignment right by offering the employee assignment to a vacant position that:
An agency may also offer an employee assignment to a vacant position in lieu of separation by reduction in force, subject to the same grade and grade-interval limits applicable to bump and retreat. (5 CFR 351.704(a)(1); 5 CFR 351.701(a))
Paragraph 3-A-21-6 below covers voluntary offers of vacant positions to place employees in lieu of separation or other reduction in force actions.
CONSIDERATION OF RETENTION STANDING IN OFFERING VACANT POSITIONS
(see 3-B-21-3-(a)-(d) for additional information)
When an agency chooses to fill a vacant position with an employee released from a competitive level, the agency must make the offer consistent with OPM's reduction in force regulations. (5 CFR 351.201(c))
A vacant position that is filled effective at the beginning of the day after the effective date of the reduction in force, or immediately after the effective date, is an available position for purposes of determining employees' assignment rights. (5 CFR 351.506(a))
Paragraph 3-A-18-4 covers “Available Position.”
Would have a right to the position on the basis of retreat rights if the vacancy was filled with another employee with less service. (5 CFR 351.201(c);(5 CFR 351.701(c))
CONSIDERATION OF UNDUE INTERRUPTION IN DETERMINING QUALIFICATIONS FOR ASSIGNMENT TO VACANT POSITIONS (see 3-B-21-4 for additional information)
An employee released from a competitive level by reduction in force has an assignment right to another position (through bump, retreat, or an offer of a vacant position) held by an employee with lower retention standing only if the released employee is qualified for assignment. (5 CFR 351.701(a); 5 CFR 351.702(a))
“UNDUE INTERRUPTION” is defined by regulation in 5 CFR 351.203, as duplicated in paragraph 3-A-5-1-(v), and generally means that an otherwise qualified employee must be able to perform the duties of the position within 90 days.
The 90-day standard for undue interruption is generally not applicable to offers of assignment to vacant positions; the definition in 5 CFR 351.203 states that “The 90-day standard may be extended if placement is made under this part to a low priority program or to a vacant position.”
WAIVER OF QUALIFICATIONS REQUIREMENTS IN OFFERING RIF ASSIGNMENT TO VACANT POSITIONS (for additional information, see 3-B-21-5)
At its option, an agency may waive OPM's qualifications standards and requirements in offering a released employee assignment to a vacant position. (5 CFR 351.703)
Section 3-A-25 covers consideration of qualifications when determining employees' assignment rights; 3-A-25-8 covers waiver of qualifications under the retention regulations.
Eligible for veterans' preference under OPM's reduction in force regulations; (5 CFR 351.702(c)(2)), andOFFERING VACANT POSITIONS AS NON-RIF OFFERS TO PLACE EMPLOYEES IN LIEU OF RIF SEPARATION OR OTHER RIF ACTIONS (see 3B-21-6 for additional information)
The agency has the basic right to take other personnel actions, including the filling of vacant positions using authority other than OPM's retention regulations, before, during, and after a reduction in force, unless the agency has limited this right as a matter of policy. (5 CFR 351.201(a)(1))
Paragraph 3-A-3-4 covers management's general right to take other personnel actions. (5 CFR 351.201(a)(1))
The agency may make a voluntary offer of a vacant position to a released employee as:
An alternative offer in lieu of an offer of assignment by reduction in force.
Voluntary offers of vacant positions that are in both a different competitive area and a different local commuting area are not subject to the Reemployment Priority List, but may be covered by other applicable agency-specific transition programs.
MODIFICATION OF QUALIFICATIONS REQUIREMENTS IN OFFERING POSITIONS IN LIEU OF RIF SEPARATION OR OTHER RIF ACTIONS
At its option, an agency may modify OPM's qualifications standards and requirements in offering a vacant position to a released employee in lieu of separation or other reduction in force action.
See paragraph 3-A-25-9 for additional information.
TEMPORARY POSITIONS ARE NOT AVAILABLE POSITIONS
(see 3-B-22-1 for additional information)
An agency is not required to fill vacant positions in a reduction in force, but the agency may decide to fill all, some, or no vacant positions. (5 CFR 351.201(b))
Paragraph 3-A-16-2(a) provides that an agency must separate all temporary employees from a competitive level before a competing employee is released from that level by reduction in force. (5 CFR 351.602(a))
USING A TEMPORARY POSITION AS A RIF OFFER OF ASSIGNMENT
(see 3-B-22-2 for additional information)
At its discretion, an agency may use a vacant temporary position that will last at least 3 months as a reduction in force offer of assignment to a competing employee who has no assignment right to another position and who will otherwise be separated by reduction in force. (5 CFR 351.704(b)(4))
If the temporary appointment expires or the agency abolishes the position, the employee is again entitled to compete under the reduction in force regulations based on the retained status and tenure if the employee is faced with separation or downgrading. (5 CFR 351.701(a))
USING A TEMPORARY POSITION FOR REEMPLOYMENT FOLLOWING RIF SEPARATION
At its discretion, an agency may offer reemployment, or continued employment, in a vacant temporary position if a competing employee has no right of assignment.
The agency must follow tenure group and subgroup standing in offering an employee appointment to a temporary position in the same same local commuting area as the reduction in force. (5 CFR 330.205(a))
When an employee accepts a temporary position as an offer of reemployment following separation by reduction in force, the action is processed as a separation followed by a new temporary appointment.
The agency may reemploy the separated employee in the temporary position with no break in service, or reemployment following a break in service.
If the temporary appointment expires or the agency abolishes the temporary position, the agency may separate the employee without regard to OPM's reduction in force regulations. (5 CFR 351.501(b))
In making an appointment to the temporary position, the agency must follow tenure group and subgroup standing in order to comply with the agency's reemployment priority list. (5 CFR 330.205(a))
RANGE OF GRADES AND GRADE-INTERVALS IN DETERMINING ASSIGNMENT RIGHTS
Section 3-A-19 covers the range of grade limits that apply to employees' bump and retreat rights.
Employees who are eligible for veterans' preference in reduction in force and are receiving a service-connected compensable disability of 30% or more have retreat rights to positions at the same grade, or down to five grades or grade-intervals (or equivalent) below the position from which the employee is released. (5 CFR 351.701(c)(2))
EMPLOYEE'S POSITION OF RECORD DETERMINES GRADE AND GRADE-INTERVAL RANGE
The agency uses the grade progession of the released employee's official position of record to determine the grade limits of the employee's assignment rights. (5 CFR 351.701(f)(1)
DISTINCTION BETWEEN GRADE AND GRADE-INTERVAL
The difference between successive grades in a:
Multi-grade occupation is a GRADE-INTERVAL difference.
After the agency determines the range, employee have assignment rights to positions at all grades within the grade-interval limits, including positions in intervening grades within the grade-interval progression in both the employee's present pay system, and positions in other pay systems. (5 CFR351.701(b)(2); 5 CFR 351.701(c)(2))
DETERMINING THE GRADE-INTERVAL PROGRESSION FOR GENERAL SCHEDULE POSITIONS
For positions covered by the General Schedule, the agency must determine whether a one-grade, two-grade, or mixed grade interval progression is applicable to the position of the released employee. (5 CFR 351.701(f)(2))
DETERMINING THE GRADE INTERVAL PROGRESSION FOR POSITIONS NOT COVERED BY THE GENERAL SCHEDULE-GENERAL AGENCY RESPONSIBILITY TO ESTABLISH LINE OF PROGRESSION
For positions not covered by the General Schedule, the agency has the responsibility to establish the normal line of progression for each occupational series and grade level, and to then apply employees' assigment limits based on this determination. (5 CFR 351.701(f)(3))
DETERMINING THE GRADE INTERVAL PROGRESSION FOR POSITIONS NOT COVERED BY THE GENERAL SCHEDULE-SCOPE OF POSITIONS CONSIDERED BY THE AGENCY
At its discretion, the agency may establish the normal line of progression by: (5 CFR 351.701(f)(3))
An agencywide or departmentwide basis.
DETERMINING THE GRADE INTERVAL PROGRESSION FOR POSITIONS NOT COVERED BY THE GENERAL SCHEDULE-MOVEMENT BETWEEN POSITIONS
Each single or multi-grade movement within the normal line of progression is considered a grade interval for purposes of applying the grade range limitations on assignment rights. (5 CFR 351.701(b)(2); (5 CFR 351.701(c)(2)); (5 CFR 351.701(f)(3))
DETERMINING THE GRADE INTERVAL PROGRESSION FOR POSITIONS NOT COVERED BY THE GENERAL SCHEDULE-NO PROGRESSION EXISTS
In some situations, the agency may determine that there is no line of progression to a particular series and grade level (e.g., when an agency normally fills a particular series and grade at the journeyman level from outside the agency). (5 CFR 351.701(f)(3))
In this situation, grade interval progression is not applicable and the agency provides the employee with assignment rights to positions up to three grades lower, as determined on a one-grade basis (e.g., a WG-10 employee in a series and grade which has no line of progression would have assignment rights to positions based upon WG-10-9-8-7). (5 CFR 351.701(f)(3))
DETERMINING THE GRADE INTERVAL PROGRESSION FOR POSITIONS NOT COVERED BY THE GENERAL SCHEDULE-NO GRADE STRUCTURE EXISTS
In a situation where no grade structure exists (e.g., the agency uses negotiated pay rates), the agency determines if a line of progression exists for each occupation/pay rate and provides assignment rights to positions up to three grade-intervals lower on that basis. (5 CFR 351.701(f)(4))
Agencies may need to compare positions in different pay schedules to determine an employee's eligibility to bump or retreat to a position in a different pay schedule. (5 CFR 351.701(e)(1))
Representative rates are not used when positions are in the same pay schedule because the agency directly compares the grades or levels of the positions. (5 CFR 351.203; 5 CFR 351.701(e))
PAY SCHEDULE DEFINITION (see 3-B-24-2 for additional information)
“PAY SCHEDULE” means any one set of pay rates identified by statute or by an agency as applying to a group of occupations.
REPRESENTATIVE RATE-DEFINITION (see 3-A-24-3 for additional information)
Representative rate is: (5 CFR 351.203)
The prevailing rate for a position under the Federal Wage System or similar wage-determining procedure; (5 CFR 532.401), and
Under a wage system with five steps for each grade level or rating, the second step is based on the local prevailing rate and is designated the representative rate. (5 CFR 532.401)
For other positions, the rate designated by the agency as representative of the position. (5 CFR 351.203); (5 CFR 532.401)
REPRESENTATIVE RATE-EXPLANATION
A representative rate is the basic rate of pay without regard to overtime, night differential, post differential, cost of living allowances, or premium pay. (5 CFR 531.403); (5 CFR 532.401)
Locality-based comparability payments for General Schedule employees under 5 U.S.C. 5304 are not considered in determining the representative rate. (5 CFR 531.403)
REPRESENTATIVE RATE-CALCULATION
For General Schedule positions and other positions with per annum salary, the hourly equivalent of the representative rate is obtained by dividing the annual rate by 2,087 with the result adjusted to the nearest cent, counting one-half and over as the next whole cent. (5 CFR 531.102(a))
REPRESENTATIVE RATE-RATE USED TO DETERMINE RETENTION RIGHTS
The agency compares employees' representative rates that are in effect on the date the agency issues specific reduction in force notices. (5 CFR 351.701(e)(2))
When the approval of new pay rates has been announced before the date of notices and the new rates will be put into effect by the effective date of the reduction in force, the new pay rates must be used. (5 CFR 351.701(e)(2))
APPLICATION OF REPRESENTATIVE RATES IN DETERMINING EMPLOYEES' ASSIGNMENT RIGHTS
To determine whether a position in a different pay schedule is within the bump and retreat grade limits, the agency determines the representative rates for the employee's current position and for the lowest grade to which the employee has bump and retreat rights. (5 CFR 351.701(b)(2); (5 CFR 351.701(c)(2))
The lowest grade for an assignment right to a position in the other pay schedule is the lowest grade with a representative rate that is not less than the representative rate of the lowest grade to which the employee has bump and retreat rights. (5 CFR 351.701(b)(2); (5 CFR 351.701(c)(2))
ONLY QUALIFIED EMPLOYEES HAVE ASSIGNMENT RIGHTS
for additional information, see 3-B-25-1)
An employee released from a competitive level by reduction in force has bump or retreat rights to another position held by an employee with lower retention standing only if the released employee is qualified for assignment. (5 CFR 351.701(a))
QUALIFICATIONS STANDARD (for additional information, see 3-B25- 2)
Except as covered in paragraph 3-A-23-8 (waiver of qualifications in offering assignment to a vacant position), a released employee is qualified for assignment to an “Available Position” (see 3-A-19-4 for definition) if the employee:
Clearly demonstrates based on overall background, including recency of experience when appropriate, the ability to successfully perform the duties of the position upon assignment to it without undue interruption to the activity beyond that normally expected in the orientation of any new but fully qualified employee. (5 CFR 351.702(a)(3))
“UNDUE INTERRUPTION” is defined in 3-A-5-1-v, and means that a qualified employee should not need a significant amount of training in the actual duties of the position, although orientation in organizational structure, terminology, office policies, etc. may be needed. (5 CFR 351.203)
Besides the standard covered in paragraph 3-A-25-2 above, an agency must, when applicable, consider other factors in determining whether a released employee is qualified for assignment to another position. (5 CFR 351.702)
An agency may not deny a released employee assignment rights solely because an employee on leave of absence due to a compensable injury is not physically qualified for a position when the disqualification results from the compensable injury. (5 CFR 351.702(c))
Instead, the agency makes a decision on the employee's physical qualifications when the employee requests a return to duty under 5 CFR 353.302 and 5 CFR 353.303. (5 CFR 351.702(c))
In determining whether the assignment of a released employee would result in undue interruption to the activity under 3-A-25-2-(4) above, the agency may not use the “RECENCY OF EXPERIENCE” provision to disqualify an employee simply because the employee has not worked for some time in a particular function or occupation. (5 CFR 351.702(a)(4))
The agency may use a recency of experience requirement in determining the employee's assignment right only for a position where the agency can demonstrate that this added requirement is appropriate for successful performance on the job. (5 CFR 351.702(a)(4))
Before the agency may restrict assignment of a released employee to certain positions because the employee lacks a security clearance, the agency must consider additional undue interruption issues that are covered in Section 3-A-27.
ASKING EMPLOYEES FOR A QUALIFICATIONS UPDATE
(see 3-B-25-4 for additional information)
An agency may ask employees to update their qualifications statements prior to a reduction in force and may establish a formal deadline for the receipt of this material. (5 CFR 351.702(a))
The agency is not obligated to consider material received after the deadline in determining the employee's qualifications for assignment to other positions.
MAKING QUALIFICATIONS DETERMINATIONS-GENERAL
(see 3-B-25-5 for additional information)
The agency reviews available records (e.g., the employee's Official Personnel Folder, a personal qualifications update, etc.) with information on the released employee's education, training, and experience to determine whether the employee is qualified for assignment to a position in a different competitive level.
MAKING QUALIFICATIONS DETERMINATIONS-PHYSICAL QUALIFICATIONS DETERMINATIONS
(see 3-B-25-6 for additional information)
The agency determines on the basis of available information whether an employee is physically qualified, with reasonable accomodation if necessary, for a position. (5 CFR 351.702(a)(2))
The agency's determination on whether a released employee is physically qualified for assignment to another position does not require that the agency conduct a separate medical examination for that purpose.
OPM approval of a decision that an employee is not physically qualified is not required except in the case of employees who are 30 percent or more disabled veterans, as covered in paragraph 3-A-23-7 below.
An agency may not deny reduction in force assignment rights to an employee who is reached for release from a competitive level during a leave of absence that resulted from a compensable injury solely because the employee is physically disqualified as a result of the compensable injury. (5 CFR 351.702(c)).
The agency must determine whether the injured employee is entitled to any reduction in force assignment rights, subject to recovery from the injury as provided by 5 U.S.C. 8151 and 5 CFR Part 353. (5 CFR 351.702(c))
MAKING QUALIFICATIONS DETERMINATIONS-PHYSICAL QUALIFICATIONS DETERMINATIONS FOR CERTAIN DISABLED VETERANS
If the agency determines on the basis of available evidence that a veteran with a compensable service-connected disability of 30 percent or more is not able to fulfill the physical requirements of a position which the employee otherwise would have been offered, the agency must notify OPM of this determination. (5 CFR 351.201(d))
The agency must send the case to:
Office of Personnel Management
Associate Director,
Employment Service
Staffing Reinvention Office
1900 E Street, N.W.
Washington, D.C. 20415
(Telephone: 202-606-0830; Fax: 202-606-0390)
WAIVER OF QUALIFICATIONS REQUIREMENTS IN OFFERING RIF ASSIGNMENT TO VACANT POSITIONS
In offering a released employee assignment to a vacant position, an agency, at its discretion, may waive OPM's qualifications standards and requirements for the position, if the agency determines that the employee: (5 CFR 351.703)
Has the capacity, adaptability, and special skills needed to satisfactorily perform the duties and responsibilities of the position. (5 CFR 351.703(a)(2).
Section 3-A-21 covers the use of vacant positions in meeting employees' assignment rights.
MODIFICATION OF QUALIFICATIONS IN OFFERING POSITIONS IN LIEU OF RIF SEPARATION OR OTHER RIF ACTIONS
The Qualifications Standards Handbook provides that an agency, at its discretion, may modify qualifications standards for inservice placement actions if the agency determines that the employee can successfully perform the work of a position even though the employee may not meet all the requirements in the OPM qualification standard.
Paragraph 3-A-21-5 covers the use of vacant positions as offers in lieu of separation or other reduction in force actions.
ASSIGNMENT TO A TRAINEE OR DEVELOPMENTAL POSITION
An agency must consider three additional qualifications requirements when determining whether a released employee has assignment rights to a position held by a lower-standing employee in a formally-designated trainee or developmental position: (5 CFR 351.702(e))
If (a) and (b) are applicable, whether undue interruption would result if the higher-standing employee displaced the employee holding the trainee or developmental position.
These additional conditions apply when the released employee is otherwise qualified for assignment to the position, as covered in Section 3-A-25.
DEFINITION OF A TRAINEE OR DEVELOPMENTAL POSITION
(see 3-B26-2 for additional information)
A formally designated trainee or developmental position is in a program that:
Is fully implemented, with the participants chosen through standard selection procedures. (5 CFR 351.702(e)(4))
Positions identified simply as “career ladder” positions, which do not meet all of the four characteristics covered above are not considered as trainee or developmental positions for reduction in force purposes.
FULLY TRAINED EMPLOYEES HAVE NO ASSIGNMENT RIGHTS TO A TRAINEE OR DEVELOPMENTAL POSITION (see 3-B-26-3 for additional information)
OPM's reduction in force regulations do not authorize assignment of a higher-standing employee who has completed a course of training or development, or who is otherwise fully trained, into a position in a formally designed trainee or dvelopmental program because the employee no longer meets the conditions for entry into the program. (5 CFR 351.702(e))
A released employee may displace a lower-standing employee in a trainee or developmental position only if the released employee is otherwise qualified for assignment to the position, and no undue interruption would result from the placement. (5 CFR 351.702(e))
MAKING QUALIFICATIONS DETERMINATIONS WHEN CONSIDERING ASSIGNMENT RIGHTS TO A TRAINEE OR DEVELOPMENTAL POSITION
An agency first reviews a released employee's qualifications for assignment to a formally-designated trainee or developmental position under the qualifications standard covered in Section 3-A-25. (5 CFR 351.702(e))
In order to be considered qualified for assignment to a trainee or developmental position when undue interruption may not be a consideration (e.g., when the formally-designated trainee or developmental program started less than 90 days before the effective date of the reduction in force, an employee must meet all of the conditions required for selection and entry into the program. (5 CFR 351.702(e)(4))
ASSIGNMENT TO A SENSITIVE POSITION
An agency first determines an employee's qualifications for assignment to a sensitive position in the same manner that it makes qualifications determinations for assignment to other positions (see Section 3-A-25)
An employee who does not have a right of assignment to a sensitive position because approval of the security clearance would result in undue interruption is not qualified for assignment to that position, but still has potential assignment rights to other positions with the same or a lower representative rate. (5 CFR 351.701(a))
AGENCY MUST INITIATE CLEARANCE PROCESS WHEN IT DETERMINES POTENTIAL RIGHT OF ASSIGNMENT
When an agency can satisfy an employee's right of assignment only by an offer of a sensitive position, the agency may not delay or deny the assignment solely because the employee does not have the appropriate security clearance or is in the process of obtaining the clearance.
WORK ASSIGNMENTS WHILE APPROVAL OF CLEARANCE IS PENDING
While the security clearance is being processed, the agency may assign the employee to the sensitive position on the effective date of the reduction in force. If the agency cannot allow the employee access to classified material or permit the employee to perform the duties of the sensitive position, in some situations the agency may:
Use a discretionary temporary exception to the regular order of release from a competitive level (see paragraphs 3-A-17-9 through 3-A-17-12).
ASSIGNMENT RIGHTS WHEN CLEARANCE IS DENIED
When an agency can satisfy an employee's right of assignment only by an offer of a sensitive position, but the employee fails the security clearance and is therefore not qualified for assignment to the sensitive position, the agency has two principal options:
Separate the employee by reduction in force from the position the employee holds at the time of release from the competitive level because the employee has no right of assignment to the position; (5 CFR 351.603), or
In this situation, the agency would have used a discretionary temporary exception to retain the released employee past the effective date of the reduction in force.
In this situation, the agency would have placed the employee through reduction in force procedures into the sensitive position with the security clearance.
An agency may, at its discretion, adopt any of the three options in paragraphs 3-A-28-2 through 3-A-28-4 below for assigning employees in a reduction in force. (5 CFR 351.705(a))
These options are subject to the restrictions covered in paragraphs 3-A-28-5 and 3-A-28-6 below. (5 CFR 351.705(b))
An agency may permit competing employees in tenure Group I and Group II to displace other employees with lower retention standing within the same subgroup. (5 CFR 351.705(a)(1))
The agency may use this option only to offer a released employee assignment to a position with a representative rate higher than that provided by the usual bumping procedures (i.e., displacing an employee on a different competitive level who is in a lower tenure Group, or in a lower subgroup within the same subgroup as the released employee). (5 CFR 351.705(a)(1))
BUMPING RIGHTS FOR EMPLOYEES IN TENURE GROUP III (see 3-B-283 for additional information)
An agency may permit competing employees in tenure Group III to bump other employees in tenure Group III. (5 CFR 351.705(a)(2))
An agency may not provide a Group III employee with retreat rights. (5 CFR 351.705(a)(2))
ASSIGNMENT RIGHTS FOR EXCEPTED SERVICE EMPLOYEES
An agency may establish a system of assignment rights for competing employees in the excepted service to other excepted positions filled under the same appointing authority as the position held by the released employee. (5 CFR 351.705(a)(3))
An agency may not provide excepted employee assignment rights to other excepted positions filled under different appointing authorities than the position held by the released employee. (5 CFR 351.705(a)(3))
REQUIREMENT THAT ADMINISTRATIVE ASSIGNMENT RIGHTS MUST BE CONSISTENT WITH THE RIF REGULATIONS
If the agency offers employees assignment rights under any of the three administrative assignment options covered in paragraphs 3-A-26-2 through 3-A-26-4 above, the provisions must be consistent with OPM's reduction in force regulations. (5 CFR 351.705(b)(1))
The agency must apply the administrative assignment provisions uniformly and consistently in any one reduction in force. (5 CFR 351.705(b)(2))
RESTRICTIONS ON ADMINISTRATIVE ASSIGNMENT RIGHTS
If the agency offers employees assignment rights under any of the three administrative assignment options covered in paragraphs 3-A-28-2 through 3-A-28-4 above or under authority, the agency may not authorize:
Assignment of an employee in the excepted service to a position in the competitive service. (5 CFR 351.705(b)(6))
DEFINITION OF A SPECIFIC RIF NOTICE
A specific reduction in force notice is a written communication from an agency official to an individual employee stating that the employee will be reached for a reduction in force action. (5 CFR 351.801(a)(1))
As used in this Section, “REDUCTION IN FORCE NOTICE” means a specific reduction in force notice.
CERTIFICATION OF EXPECTED SEPARATION
An agency may issue an employee a “CERTIFICATION OF EXPECTED SEPARATION” (CES) to assist the employee in pre-RIF placement assistance and early outplacement assistance. (5 CFR 351.807)
Section 3-A-32 covers the CES option.
At its discretion, an agency may issue an advance informational notice to alert employees that a reduction in force may be necessary.
An informational notice does not satisfy an employee's right to a specific reduction in force notice.
CONTENT OF SPECIFIC RIF NOTICE (see 3-B-29-4 for additional information)
A specific reduction in force notice must contain the following information: (5 CFR 351.802)
If applicable, the reasons for retaining a lower-standing employee under a mandatory exception (5 CFR 351.606), a discretionary continuing exception (5 CFR 351.607), or a discretionary temporary exception (5 CFR 351.608); (5 CFR 351.802(a)(3))
For additional information on exceptions to the order of release, see paragraphs 3-A-17-5 through 3-A-17-15.
If applicable, explain that employees are being separated under the liquidation procedures without regard to retention standing within the subgroup, and the date the liquidation reduction in force will be completed; (5 CFR 351.605), and
For additional information on the liquidation provision in reduction in force, see paragraphs 3-A-17-11 and 3-A-17-12.
As applicable, the employee's right to appeal the reduction in force action to the Merit Systems protection Board under the provisions of the Board's regulations, or to grieve the action under a negotiated grievance procedure; (5 CFR 351.802(a)(6)).
REQUIREMENT TO PROVIDE EMPLOYEE WITH A COPY OF OPM's RIF REGULATIONS
When an agency issues a specific reduction in force notice to an employee, the agency must, at the employee's request, provide the employee with a copy of OPM's retention regulations found in 5 CFR Part 351. (5 CFR 351.802(b))
ADDITIONAL NOTICE REQUIREMENTS WHEN EMPLOYEES ARE SEPARATED BY RIF IN FORCE INCLUDING THE REVISED NOVEMBER 24, 1997, RIF REGULATIONS
OPM published final retention regulations in the Federal Register on November 24, 1997, at 62 FR 62495, with revised procedures providing additional notice requirements when employees are separated by reduction in force.
Appendix C of Module 3, Unit A, covers the additional notice requirements when employees are separated by reduction in force under under OPM's January 1, 1997, retention regulations.
ADDITIONAL NOTICE REQUIREMENTS WHEN EMPLOYEES ARE SEPARATED BY RIF-50 OR MORE SEPARATIONS FROM A COMPETITIVE AREA
When an agency separates 5O or more employees from a competitive area, the agency has additional notice requirements to OPM, and to other Federal and nonfederal organizations: (5 CFR 351.804(b) and (c))
Paragraphs 3-A-30-4 through 3-A-30-8 contain information on these requirements.
NOTICE TO BARGAINING UNIT REPRESENTATIVE
At the same time the agency issues a reduction in force notice to an employee, the agency must also notify the exclusive representative(s), as defined in 5 U.S.C. 7103(a)(16), of each affected employee at the time of the notice. (5 CFR 351.801(a)(3))
This notification requirement does not relieve the agency of any obligations under the Federal Labor Management Relations Statute, or an applicable collective bargaining agreement.
LENGTH OF RIF NOTICE-MINIMUM 60-DAY RIF NOTICE FOR ALL EMPLOYEES
An agency must give each competing employee at least 60 days specific written notice before the effective date of the reduction in force action. (5 CFR 351.801(a)(1))
The applicable minimum notice period is applicable to all reduction in force actions, including separation, demotion, and furlough.
LENGTH OF RIF NOTICE-MINIMUM 120-DAY RIF NOTICE FOR CERTAIN DOD EMPLOYEES
Each competing employee of the Department of Defense (DoD) is entitled, under implementing regulations issued by DoD, to a specific written notice at least 120 full days before the effective date of the reduction in force action when a significant number of employees will be separated by reduction in force. (5 CFR 351.801(a)(2)).
The special 120-day reduction in force notice requirement for DoD is applicable during the period from January 20, 1993, through January 31, 2000. (5 U.S.C. 3502(d))
LENGTH OF RIF NOTICE-NEW NOTICE REQUIRED FOR MORE SEVERE RIF ACTION
An employee is entitled to a new reduction in force notice and notice period of, as applicable, at least 60 days or 120 days (or 30 days if the agency has obtained OPM approval for a shorter notice period under 5 CFR 351.801(b)) only if the agency takes a more severe reduction in force action than stated in the prior notice to the employee. (5 CFR 351.805(a))
A new 60- or 120-day notice period is not required when an agency takes the same, or a less severe, reduction in force action, than specified in the prior notice.
LENGTH OF RIF NOTICE-NO MAXIMUM RIF NOTICE
There is no maximum reduction in force notice period under OPM's notice regulations. (5 CFR 351.801(a)(1))
LENGTH OF RIF NOTICE-REQUESTING OPM APPROVAL FOR A SHORTER RIF NOTICE PERIOD
An agency may request OPM to authorize a notice period of less than the minimum standard when a reduction in force is caused by unforeseeable circumstances. (5 CFR 351.801(b))
The agency's request may cover either the 60 days reduction in force notice requirement applicable to all agencies, or the 120 days reduction in force notice requirement applicable when to a significant reduction in force in DoD.
SAME NOTICE REQUIREMENTS WHEN USING AN INDIVIDUAL EXCEPTION TO THE RIF ORDER OF RELEASE
When an agency makes an individual exception to the regular reduction in force order of release under a mandatory, continuing, or temporary exception, the retained employee is entitled to a specific written notice at least 60 or 120 days, as appropriate, before the effective date of the reduction in force, unless the agency has obtained OPM approval for a notice period shorter than the minimum standard (see 3-A-29-9 and 3-A-29-10 above). (5 CFR 351.801(d)).
The agency may not continue the reduction in force notice period beyond the employee's retention period. (5 CFR 351.801(d))
COMPUTING THE RIF NOTICE PERIOD
The notice period begins the day after the employee receives the reduction in force notice. (5 CFR 351.801(c))
An agency may not count a Saturday, Sunday, or legal holiday as the last day of the minimum notice period. (5 CFR 210.102(b)(3))
AMENDED RIF NOTICE-LATER RIF DATE
An agency must give an employee an amended reduction in force notice if the reduction in force is changed to a later date. (5 CFR 351.805(b)
A reduction in force action taken after the date specified in the notice given to the employee is not invalid for that reason, except when it is challenged by a higher-standing employee in the competitive level who is reached out of order for a reduction in force action as a result of the change in dates. (5 CFR 351.805(b))
AMENDED RIF NOTICE-EARLIER RIF DATE
An agency may not take a reduction in force action before the effective date in the notice given to the employee. (5 CFR 351.804(b))
AMENDED RIF NOTICE-BETTER OFFER OF ASSIGNMENT
An agency must give an employee an amended reduction in force notice and allow the employee to decide whether to accept a better offer of assignment to a position with a higher representative rate that becomes available before, or on, the effective date of the reduction in force. (5 CFR 351.805(c))
The employee is still entitled to only one offer of assignment and may be separated by reduction in force if the employee rejects the better offer, or fails to reply to the better offer within a reasonable time. (5 CFR 351.603)
EXPIRATION OF RIF NOTICE-IMPLEMENTATION OF ACTION
A reduction in force notice expires when it is followed by the reduction in force action specified in the notice. (5 CFR 351.804(a))
EXPIRATION OF RIF NOTICE-IMPLEMENTATION OF LESS SEVERE ACTION
A reduction in force notice expires when it is followed by a reduction in force action that is less severe than specified in the prior notice, or in an amendment to the notice, before the agency takes the action. (5 CFR 351.804)
EMPLOYEE'S DUTY STATUS DURING RIF NOTICE PERIOD
When in an emergency the agency lacks work or funds for all or part of the notice period, the agency may, with or without the employee's consent, place the employee:
In a nonpay status. (5 CFR 351.806)
When possible, the agency must retain the employee on active duty during the reduction in force notice period. (5 CFR 351.806)
ADDITIONAL NOTICE REQUIREMENTS
The notice requirements in this Section are in additional to the reduction in force notice provisions covered in Section 3-A-29. (5 CFR 351.803(b))
ADDITIONAL NOTICE REQUIREMENTS WHEN EMPLOYEES ARE SEPARATED BY RIF IN FORCE UNDER THE REVISED NOVEMBER 24, 1997, RETENTION REGULATIONS (see 3-B-30-2-(c)-(7) for additional information)
OPM published final retention regulations in the Federal Register on November 24, 1997, at 62 FR 62495, with revised procedures providing additional notice requirements when employees are separated by reduction in force.
In a Note to revised 5 CFR 351.803(a), OPM states that subject to the requirements of 5 U.S.C. 7116(a)(7), agencies may implement revised 5 CFR 351.803(a) with these new notice requirements at any time between December 24, 1997 and October 1, 1998.
Paragraph 3-A-30-2-(c) below covers additional notice requirements, based upon the regulations OPM published on November 24, 1997, that are applicable when employees are separated by reduction in force.
For reduction in force actions effective between December 24, 1997 and September 30, 1998, agencies may use either 5 CFR 351.803(a) effective December 24, 1997, or the prior 5 CFR 351.803(a) in 5 CFR part 351 (January 1, 1997 edition).
-a new option of authorizing the release of a displaced employee's resume to potential employers (see 3-A-30-2-(c)-(7) below).
If the employee receives a notice of separation because of reduction in force, along with the reduction in force notice of separation (i.e., either in or with the reduction in force notice, or as a separate supplemental notice to the released employee), the agency must also give the employee information concerning: (5 CFR 351.802(a)(5); 5 CFR 351.803(a))
Restructuring Information Handbook Module 6 covers the Reemployment Priority List.
The agency's Career Transition Assistance Plan (CTAP) for Local Surplus and Displaced Employees; (5 CFR 351.803(a))
CTAP provides surplus employees with priority for certain vacancies in their present agency, and is authorized by 5 CFR Subpart 330-F.
The Interagency Career Transition Assistance Plan (ICTAP) for Displaced Employees; (5 CFR 351.803(a))
ICTAP provides surplus employees with priority for certain vacancies in other agencies, and is authorized by 5 CFR Subpart 330-G.
A release to authorize, at the employees' option, the release of the employee's resume and other relevant employment information for employment referral to State dislocated worker unit(s), and potential public or private sector employers. (5 CFR 351.803(a))
ADDITIONAL NOTICE REQUIREMENTS WHEN EMPLOYEES ARE SEPARATED BY RIF-50 OR MORE SEPARATIONS FROM A COMPETITIVE AREA-NOTICES TO UNEMPLOYMENT INSURANCE SERVICE
The Department of Labor requires that agencies advise it when separating 50 or more employees in a commuting area by reduction in force.
Unemployment Insurance Service
Employment and Training Administration-TEUMI
United States Department of Labor
200 Constitution Avenue, M1
Washington, DC 20210
ADDITIONAL NOTICE REQUIREMENTS WHEN EMPLOYEES ARE SEPARATED BY RIF-50 OR MORE SEPARATIONS FROM A COMPETITIVE AREA-GENERAL
When an agency separates 5O or more employees from a competitive area, the agency has additional notice requirements to OPM, and to other Federal and nonfederal organizations: (5 CFR 351.804(b) and (c))
The agency must send this additional notice to the three organizations listed in 3-A-30-6 through 3-A-30-8 at the same time it issues the separation notices to the employees. (5 CFR 351.803(c))
ADDITIONAL NOTICE REQUIREMENTS WHEN EMPLOYEES ARE SEPARATED BY RIF-50 OR MORE SEPARATIONS FROM A COMPETITIVE AREA-CONTENT OF NOTICE
The additional notice to the three organizations listed in 3-A-30-6 through 3-A-30-8 must include: (5 CFR 351.803(c))
Any other information required by OPM, including information needs identified from consultation between OPM and the Department of Labor to facilitate delivery of placement and related services. (5 CFR 351.803(c)(3))
ADDITIONAL NOTICE REQUIREMENTS WHEN EMPLOYEES ARE SEPARATED BY RIF-50 OR MORE SEPARATIONS FROM A COMPETITIVE AREA-STATE DISLOCATED WORKER UNIT
The agency must provide a notice with the information in 3-A-30-5 above to the appropriate State dislocated worker unit, as designated or created under title III of the Job Training Partnership Act; (5 CFR 351.803(b)(1))
ADDITIONAL NOTICE REQUIREMENTS WHEN EMPLOYEES ARE SEPARATED BY RIF-50 OR MORE SEPARATIONS FROM A COMPETITIVE AREA-LOCAL GOVERNMENTAL OFFICIAL
The agency must provide a notice with the information in 3-A-30-5 above to the chief elected governmental official of local government(s) within which these separations will occur; (5 CFR 351.803(b)(2))
ADDITIONAL NOTICE REQUIREMENTS WHEN EMPLOYEES ARE SEPARATED BY RIF-50 OR MORE SEPARATIONS FROM A COMPETITIVE AREA-OPM
The agency must provide a notice with the information in 3-A-30-5 above to the OPM Service Center with jurisdiction over the worksite. (5 CFR 351.803(b)(3))
OPM APPROVAL FOR RIF NOTICE LESS THAN 60 DAYS-GENERAL
When a reduction in force is caused by unforeseeable circumstances, an agency may request OPM to authorize a notice period of less than 60 days, or the 120 days requirement applicable to a significant reduction in force in the Department of Defense (DoD). (5 CFR 351.801(b))
The agency is still required to provide at least 30 full days notice before the effective date of the reduction in force action. (5 CFR 351.801(b))
OPM APPROVAL FOR RIF NOTICE LESS THAN 60 DAYS-REQUEST FROM HEADQUARTERS
An agency's request for an exception to the minimum 60-day specific notice period must be signed by the head of the agency or a specific designee in the headquarters. (5 CFR 351.801(b))
OPM APPROVAL FOR RIF NOTICE LESS THAN 60 DAYS-CONTENT OF AGENCY'S REQUEST
Content of agency's request. An agency's request to OPM for a shorter reduction in force notice period must cover:
The name, telephone number, and title of an agency contact person in the event OPM requires additional information on the request. (5 CFR 351.801(b)(4))
OPM APPROVAL FOR RIF NOTICE LESS THAN 60 DAYS-OPM ADDRESS FOR SUBMITTING A REQUEST
Agencies must submit a request for a shorter reduction in force notice period to:
Office of Personnel Management
Associate Director
Employment Service
1900 E Street, NW
Washington, DC 20415
An agency may FAX a request to:
Office of Personnel Management
Workforce Restructuring Office
Room 6500
Washington, DC 20415
FAX- 202-606-2329; telephone- 202-606-0960.
PURPOSE OF CERTIFICATION OF EXPECTED SEPARATION
The “CERTIFICATION OF EXPECTED SEPARATION” (CES) allows otherwise eligible employees to participate in dislocated worker programs under the Job Training Partnership Act administered by the U.S. Department of Labor. (5 CFR 351.807(a))
MAXIMUM TIME LIMIT FOR CERTIFICATION OF EXPECTED SEPARATION
An agency may issue a Certification of Expected Separation up to 6 months prior to the expected effective date of a reduction in force. (5 CFR 351.807(a))
REQUIREMENTS FOR AGENCIES TO USE THE CERTIFICATION OF EXPECTED SEPARATION
At its option, an agency may issue a Certification of Expected Separation to a competing employee only when the agency determines: (5 CFR 351.807(b))
If eligible for optional retirement, the employee has not filed a retirement application or otherwise indicated in writing an intent to retire. (5 CFR 351.807(b)(4))
CONTENT OF CERTIFICATION OF EXPECTED SEPARATION
(see 3-B-32-4 for additional information)
A Certification of Expected Separation must: (5 CFR 351.807(c))
Contain a description of available Job Training Partnership Act Programs, the agency's Reemployment Priority List, and OPM's Interagency Placement Program
A CERTIFICATION OF EXPECTED SEPARATION IS NOT A RIF NOTICE
An agency may not use a Certification of Expected Separation to meet any of the reduction in force notice requirements covered in Section 3-A-29. (5 CFR 351.807(d).
NO RIGHT TO APPEAL A CERTIFICATION OF EXPECTED SEPARATION.
(5 CFR 351.807(e))
An employee may not appeal an agency determination of eligibility for a Certification of Expected Separation to OPM, or to the Merit Systems Protection Board. (5 CFR 351.807(e))
EMPLOYEES' ELIGIBILITY FOR ADDITIONAL OUTPLACEMENT ASSISTANCE AFTER RECEIVING A CERTIFICATION OF EXPECTED SEPARATION
An agency may enroll an employee who has received a Certification of Expected Separation in OPM's Interagency Placement Program, and in the agency's own reemployment priority list. (5 CFR 351.807(f))
Module 7 covers the Interagency Placement Program.
BASIC EMPLOYEE RIGHT TO APPEAL A RIF ACTION
An employee has a basic right to file a reduction in force appeal to the Merit Systems Protection Board (MSPB) under the provisions of the Board's regulations if, under authority of OPM's 5 CFR Part 351 reduction regulations, the employee was:
Furloughed for more than 30 days. (5 CFR 351.901); (5 CFR1201.3(a)(10))
Paragraphs 3-A-34-3 through 3-A-34-5 cover this exception.
TIME LIMITS FOR FILING AN APPEAL TO THE BOARD
An employee may file an appeal with the Board during the 30-day period beginning with the day after the effective date of the action being appealed. (5 CFR 1201.22(b))
The Board will not accept an appeal that is filed on or before the effective date of the action. (5 CFR 1201.3(a)(10))
AGENCY NOTICE OF APPEAL RIGHTS TO EMPLOYEES
When an agency issues a decision notice to an employee on a matter appealable to MSPB, the agency must provide the employee with the following information:
A copy, or access to a copy, of the Board's regulations found in 5 CFR 1201; (5 CFR 1201.21(b))
Agencies should consult the Board's current regulations (found in 5 CFR 1201) prior to a reduction in force in order to have necessary information on the appeals process ready for distribution to affected employees.
A copy of the appeal form found in 5 CFR 1201-Appendix I of the Board's regulations; (5 CFR 1201.21(c)), and
CORRECTIVE ACTION ON APPEAL-ACTION REVERSED OR MODIFIED
In adjudicating a reduction in force appeal, the Board determines whether the agency has correctly applied OPM's regulations and, if an error is found, may direct appropriate corrective action. (5 CFR 1201.111(a)(5))
CORRECTIVE ACTION ON APPEAL-ACTION REVERSED OR MODIFIED WITH INTERIM RELIEF
If the appellant is the prevailing party in an initial appeal to the Board, the initial decision provides interim relief under 5 U.S.C. 7701(b)(2) to the appellant unless the Board's administrative judge determines that the granting of interim relief is not appropriate. (5 CFR 1201.111(c))
Interim relief is effective upon the date of the initial decision, and remains in effect until the date of the final order of the Board on any petition for review. (5 CFR 1201.111(c))
BASIC EMPLOYEE RIGHT TO GRIEVE A RIF ACTION
An employee in a bargaining unit covered by a negotiated grievance procedure that does not exclude reduction in force must use the negotiated grievance procedure and may not appeal the reduction in force action to the Merit Systems Protection Board. (5 CFR 1201.3(c)(1))
Paragraph 3-A-34-3 below covers an exception to the basic right of filing a grievance on a reduction in force action.
TIME LIMITS FOR FILING A GIREVANCE
The time limits for filing a grievance under a negotiated grievance procedure are spelled out in the applicable collective bargaining agreement. (5 CFR 1201.3(c)(1))
EXCEPTION TO THE BASIC EMPLOYEE RIGHT TO GRIEVE A RIF ACTION-GENERAL
Section 5 U.S.C. 7121(d) provides an exception to paragraph 3-A-33-1 above and the basic right of an eligible employee to only file a grievance on a reduction in force action. (5 CFR 1201.3(c)(2))
EXCEPTION TO THE BASIC EMPLOYEE RIGHT TO GRIEVE A RIF ACTION-ELECTION OF PROCEDURE (see 3-B-34-4 for additional information)
The agency must advise each employee having the right to grieve a reduction in force matter under a negotiated grievance procedure that the employee has the option of filing a reduction in force appeal to the Board when a discrimination issue is raised. (5 CFR 1201.3(c)(2))
EXCEPTION TO THE BASIC EMPLOYEE RIGHT TO GRIEVE A RIF ACTION-TIME LIMITS FOR ELECTION (see 3-B-34-4 for additional information)
An employee may not file a reduction in force appeal before the effective date of the reduction in force action, even when the employee's basic right is to file a grievance under a negotiated grievance procedure. (5 CFR 1201.3(a)(1))
An employee who chooses to file a grievance follows the provisions of the negotiated procedure. (5 CFR 1201.3(c)(1))
CORRECTIVE ACTION ON GRIEVANCE
In adjudicating a reduction in force grievance under a negotiated grievance procedure, an arbitrator may determine whether than agency has correctly applied OPM's regulations and, if an error is found, may direct appropriate corrective action.
Appendix A SECTION 15. CREDIT FOR PERFORMANCE IN REDUCTION IN FORCE UNDER OPM'S JANUARY 1, 1997, RETENTION REGULATIONS
A1. OPM published final retention regulations in the Federal Register on November 24, 1997, with revised procedures on the crediting of employees' performance ratings in reduction in force. (62 FR 62495)
In a Note to revised 5 CFR 351.504, OPM states that subject to the requirements of 5 U.S.C. 7116(a)(7), agencies may implement revised 5 CFR 351.504 with these new performance provisions at any time between December 24, 1997 and October 1, 1998.
Section 3-A-15 found in Appendix B includes the prior Section 15, Unit A, of Module 3 covering retention credit for performance based upon the regulations in effect on January 1, 1997.
GENERAL. “PERFORMANCE” is one of the four retention factors required in 5 U.S.C. 3502(a). (5 U.S.C. 3502(a)(4))
TIME PERIOD COVERED BY EMPLOYEES' PERFORMANCE RATINGS. Each employee receives additional retention service credit based upon the average of the employee's three most recent annual performance ratings of record received during the 4-year period prior to the date that the agency either:
Freezes ratings before issuing specific reduction in force notices (see 3-A-15-3 below). (5 CFR 351.504(b)(2)
FREEZING RATINGS. To provide time to properly determine employee retention standing prior to a reduction in force, agencies may establish a policy providing for a cutoff date a specified number of days prior to the date it issues specific reduction in force notices. (5 CFR 351.504(a)(2); 5 CFR 351.504(d)(4)(111))
If adopted, this policy must be:
Documented in the agency's performance management plan or other appropriate issuance. (5 CFR 351.504(a)(2); 5 CFR 351.504(d)(4)(111))
MISSING RATINGS. If an employee has not received three annual performance ratings of record during the 4-year period, credit is given for an assumed ratings of Fully Successful (Level 3) to bring the employee's annual ratings up to three. (5 CFR 351.504(c).
There is no authority for an agency to issue a retroactive annual performance rating of record for RIF purposes if the employee lacks three actual annual performance ratings of record during the 4-year period.
DETERMINING RETENTION CREDIT FOR PERFORMANCE. Additional service credit is based on annual performance ratings of record received under a performance appraisal system required by 5 C.F.R. Part 430, or under a different appraisal system if Part 430 is not applicable. (5 CFR 351.504(a))
5 CFR Part 430 authorizes annual performance ratings, including equivalent ratings when applicable, of “Outstanding” (Level 5), “Exceeds Fully Successful” (Level 4), “Fully Successful” (Level 3), “Minimally Successful” (Level 2), and “Unacceptable” Level 1). (5 CFR 351.504(a))
OTHER THAN FIVE RATING LEVELS. To determine additional service credit when any of an employee's three previous annual performance ratings of record used other than five summary levels as required by 5 C.F.R. Part 430, the agency determines equivalent rating levels between the systems and credits the employee accordingly.
AMOUNT OF CREDIT. An employee is given additional service credit based on the mathematical average (rounded in the case of a fraction to the next higher whole number) for the value of the employee's last three (actual and/or assumed) annual performance ratings of record received during 4-year period prior to the date the agency issues specific RIF notices. (5 CFR 351.504(d))
In determining this average, the following value is assigned to each annual performance rating of record:
12 additional years of service for each performance rating of “Fully Successful” (Level 3). (5 CFR 351.504(d)(3))
No additional service credit for retention is given for performance ratings below “Fully Successful.”
RATINGS USED FOR RIF PURPOSES. Annual performance ratings of record that are used for RIF purposes are written ratings of record covering official appraisal periods which:
To avoid confusion and insure proper application in reduction in force, each agency must specify in its performance management plan, or other appropriate issuance:
If the agency elects to use a cutoff date and freeze performance ratings, the number of days prior to the issuance of reduction in force notices after which no new notices will be put on record and used for determining employees' retention standing. (5 CFR 351.504(4)(iii)
AVAILABILITY OF RATINGS. To be creditable for reduction in force purposes, ratings must have been issued to the employee, with all appropriate reviews and signatures, and must also be on record. (5 CFR 351.504(b)(3))
On record and available for use by the office responsible for preparing retention registers (e.g., the rating is final and has been entered into the agency's personnel records system). (5 CFR 351.504(b)(3))
Since rating procedures may vary under individual agency performance management systems, each agency must set its own internal policy for processing ratings and putting them on record for reduction in force purposes, and this policy must be:
MORE THAN THREE RATINGS. If an employee had more than three annual performance ratings of record during the 4-year period, the three most recent annual performance ratings of record are used. (5 CFR 351.504(b)(1))
RATINGS IN OTHER AGENCIES. Regardless of whether the employee's service occurred in the present or a former agency, the employee's actual ratings are used to the extent they are available. (5 CFR 351.504(b)(1))
If ratings in a prior agency are not available in the employee's official records, the current employing agency can accept the employee's copies of annual performance ratings of record for this purpose.
NARRATIVE RATINGS. If a previous appraisal was narrative only, an agency either may assign a summary rating if feasible or may use an assumed rating of Fully Succesful (Level 3) for the period covered by the narrative evaluation.
CURRENT ANNUAL PERFORMANCE RATING OF RECORD. A current annual performance rating of record is generally the employee's last actual annual performance rating of record (5 CFR 351.504(e), except that:
An employee who is demoted or reassigned under authority of 5 CFR 432 due to unacceptable performance has a current presumed rating of “Fully Successful,” provided that the employee has not received a performance rating in the new position. (5 CFR 351.504(e)(2))
An employee's current annual performance rating of record must be identified not only for crediting additional service, but also for determining assignment rights (see 3-A-18-2-(c) and 3-A-19-2 for additional information on the use of performance ratings in determining employees' assignment rights).
UNACCEPTABLE PERFORMANCE-PROPOSED DECISION TO REMOVE OR DEMOTE. An employee with a current annual performance rating of record of “Unacceptable” who has not received a final written decision of removal or demotion under 5 CFR Part 432 due to unacceptable (or equivalent) performance (e.g., an employee on an opportunity period) is not penalized, and is listed on the retention register with other employees. (5 CFR 351.504(e)(1))
The employee also receives any service credit to which entitled for the other two previous annual performance ratings of record.
UNACCEPTABLE PERFORMANCE-FINAL DECISION TO REMOVE OR DEMOTE. An employee with a current annual performance rating of record of “Unacceptable” who has received a final written decision of removal under 5 CFR Part 432 due to “Unacceptable” (or equivalent) performance is listed differently from an employee who has received a final written decision of demotion due to unacceptable (or equivalent) performance:
An employee who has received a final written decision of demotion under 5 CFR 432 is listed on the retention register for the position to which the employee will be demoted. (5 CFR 351.405)
UNACCEPTABLE PERFORMANCE-ELIMINATION OF “UNACCEPTABLE” RATING. If because of performance improvement during the notice period of a proposed action under authority of 5 CFR Part 432 an employee is not demoted or separated, and performance continues to be acceptable for 1 year after the notice, any record of the unacceptable performance is removed from agency records. (5 CFR 293.404(a)(3))
There is no authority for an agency to remove an employee's “Unacceptable” rating except under authority of 5 CFR 293.404(a)(3) covered above, or under other appropriate authority (e.g., an award resulting from a grievance, equal employment opportunity complaint, etc.).