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entitled 'Assessment of Public Law 106-303: The Role of Personnel 
Flexibilities in Strengthening GAO's Human Capital' which was released 
on June 27, 2003.

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Report to Congressional Committees:

United States General Accounting Office:

GAO:

June 2003:

ASSESSMENT OF PUBLIC LAW 106-303:

The Role of Personnel Flexibilities in Strengthening GAO's Human 
Capital:

Three-Year Assessment of Public Law 106-303:

GAO-03-954SP:

Contents:

Letter:

Introduction:

Implementation of the Act:

Public Law 106-303:

Section 1: Voluntary Early Retirement:

Section 2: Voluntary Separation Incentive Payments:

Section 3: Reduction in Force:

Section 4: Senior-Level Positions:

Employees', Personnel Appeals Board's, and Senior Executives' 
Assessments:

Appendix I: GAO Order 2831.1:

Appendix II: GAO Order 2351.1:

Appendix III: GAO Order 2319.1:

Table:

Table 1: Summary Data on Voluntary Early Retirements:

Figure:

Figure 1: GAO's Human Capital Profile:

United States General Accounting Office:

Washington, DC 20548:

Comptroller General of the United States:

June 27, 2003:

Congressional Committees:

Leading public organizations here and abroad have found that strategic 
human capital management must be the centerpiece of any serious change 
management initiative and effort to transform the culture of government 
agencies. GAO is not immune to these challenges facing the federal 
government. Over the past 3 years, however, we have made considerable 
progress toward addressing a number of our major human capital 
challenges through various initiatives. While many of the initiatives 
were administrative in nature, the additional flexibilities that the 
Congress authorized in Public Law 106-303 have helped to ensure that we 
have the right staff, with the right skills, in the right locations to 
better meet the needs of the Congress and the American people.

As we approach the third anniversary of Public Law 106-303's passage, 
we are submitting this assessment in accordance with section 6(b) of 
that law. This report contains information about our use of the 
flexibilities authorized by section 1, Voluntary Early Retirement; 
section 2, Voluntary Separation Incentive Payments; and section 3, 
Modified Reduction in Force Procedures; and presents our 
recommendations on the retention of sections 1 and 2. We do not have 
any recommendations for modifying section 3 at this time. To the extent 
possible, we have provided our assessment of the effectiveness of the 
flexibilities in addressing the challenges we faced when we requested 
the legislation. We have also included information about our use of the 
law's senior-level provision. Lastly, we have included a summary of the 
responses provided by the Personnel Appeals Board, GAO's Employee 
Advisory Council and GAO's senior executives with regard to this report 
and our recommendations.

If you or members of your staff have any questions or comments about 
matters discussed in this report, please contact me at (202) 512-5500 
or walkerd@gao.gov or Gene L. Dodaro, Chief Operating Officer, at (202) 
512-5600 or dodarog@gao.gov.

Sincerely yours,

David M. Walker 
Comptroller General of the United States:

Signed by David M. Walker:

List of Congressional Committees:

The Honorable Ted Stevens:

Chairman:

The Honorable Robert C. Byrd:

Ranking Minority Member:

Committee on Appropriations:

United States Senate:

The Honorable Ben Nighthorse Campbell:

Chairman:

The Honorable Richard J. Durbin:

Ranking Minority Member:

Subcommittee on the Legislative Branch:

Committee on Appropriations:

United States Senate:

The Honorable Susan M. Collins:

Chairman:

The Honorable Joseph I. Lieberman:

Ranking Minority Member:

Committee on Governmental Affairs:

United States Senate:

The Honorable Peter G. Fitzgerald:

Chairman:

The Honorable Daniel K. Akaka:

Ranking Minority Member:

Subcommittee on Financial Management, the Budget and International 
Security:

Committee on Governmental Affairs:

United States Senate:

The Honorable George V. Voinovich:

Chairman:

The Honorable Richard J. Durbin:

Ranking Minority Member:

Subcommittee on Oversight of Government Management, the Federal 
Workforce and the District of Columbia:

Committee on Governmental Affairs:

United States Senate:

The Honorable C. W. Bill Young:

Chairman:

The Honorable David Obey:

Ranking Minority Member:

Committee on Appropriations:

House of Representatives:

The Honorable Jack Kingston:

Chairman:

The Honorable James P. Moran:

Ranking Minority Member:

Subcommittee on Legislative:

Committee on Appropriations:

House of Representatives:

The Honorable Tom Davis:

Chairman:

The Honorable Henry A. Waxman:

Ranking Minority Member:

Committee on Government Reform:

House of Representatives:

The Honorable Jo Ann Davis:

Chairwoman:

The Honorable Danny K. Davis:

Ranking Minority Member:

Subcommittee on Civil Service and Agency Organization:

Committee on Government Reform:

House of Representatives:

[End of section]

Introduction:

The U.S. General Accounting Office exists to support the Congress in 
meeting its constitutional responsibilities and to help improve the 
performance and assure the accountability of the federal government for 
the benefit of the American people. Given GAO's role as a key provider 
of information and analyses to the Congress, maintaining the right mix 
of technical knowledge and subject matter expertise as well as general 
analytical skills is vital to achieving the agency's mission. GAO 
spends about 80 percent of its resources on its people. And yet, like 
other federal agencies, GAO has faced significant human capital 
challenges--challenges that if not effectively addressed, could impair 
the timeliness and quality of its work for its congressional clients 
and the American people they represent.

A number of these challenges were created by the significant reduction 
in the size of GAO undertaken in the mid-1990s. Specifically, from 1992 
through 1997, GAO underwent budgetary cuts totaling 33 percent in 
constant fiscal 1992 dollars. To achieve those budgetary reductions 
while meeting other agency needs, GAO reduced the number of its 
employees 39 percent through extensive field office closings and 
targeted reductions in headquarters staff. To conform to the reduced 
budgetary ceiling, GAO then instituted a virtual hiring freeze at the 
entry level, cut training for all staff, suspended agencywide incentive 
programs, and at times used mid-level promotions as a retention 
strategy. Because of the reduction in hiring, the average age of the 
agency's workforce increased, and the retirement eligibility of staff 
accelerated. GAO's analyses showed that by the end of fiscal 2004, 
about 34 percent of all GAO employees would be eligible to retire. For 
upper-level staff, the proportion eligible to retire was even larger--
48 percent of all band III management-level employees and 55 percent of 
all Senior Executive Service members.

Thus, as at many federal agencies, GAO's human capital profile 
reflected a workforce that was smaller, closer to retirement, and at 
increasingly higher-grade levels. In addition to the succession-related 
concerns raised by such a profile, GAO also faced a range of skills 
gaps. As major policy issues have become more complex and as technology 
has radically altered the way the federal government conducts business, 
the types of skills and knowledge needed by GAO staff have been 
evolving, and the need for sophisticated technical skills has been 
increasing.

Early in his tenure, Comptroller General David Walker recognized that 
GAO's human capital profile and selected skills gaps presented serious 
challenges to GAO's future ability to serve the Congress. Comptroller 
General Walker also sought to have GAO become a model federal agency 
and a world-class professional services organization that focuses on 
delivering positive results for the Congress and the country. The 
agency's ability to operate in an efficient, effective, and economical 
manner and meet the ever-changing and increasingly complex needs of the 
Congress could be seriously compromised if GAO's human capital 
challenges were not effectively addressed.

As a first step in addressing these concerns, GAO used its internal 
administrative authority to implement measures to improve the alignment 
of its human capital with the agency's overall strategic goals and 
objectives as contained in GAO's Strategic Plan. Subsequent to 
developing its first strategic plan, GAO undertook a number of major 
human capital initiatives, including an agencywide realignment and 
reorganization, an overall human capital self-assessment, the 
revitalization of its recruiting and college relations programs, an 
agencywide knowledge and skills inventory, the development of 
competency-based performance appraisal systems, the establishment of an 
Employee Advisory Council, the enhancement of GAO's employee benefit 
programs, a comprehensive employee feedback survey, a workforce-
planning process, and the establishment of a professional development 
program for entry-level analysts.

In addition to these initiatives, GAOs leadership recognized that 
additional steps to reshape the agencys workforce were necessary and 
that preexisting personnel authorities did not allow the agency to 
address these challenges effectively. Therefore, GAO sought legislation 
establishing narrowly tailored flexibilities that would help to reshape 
the agencys workforce and recruit and retain staff with needed 
technical skills. Based on a sound business case, Public Law 106-
303known as the GAO Personnel Flexibilities Actbecame law in October 
2000. The act authorized the Comptroller General to implement the 
following personnel flexibil:ities:

Offer voluntary early retirement to realign the workforce to meet 
budgetary constraints or mission needs; correct skill imbalances; or 
reduce high-grade, managerial, or supervisory positions.

Offer separation incentive payments to realign the workforce to meet 
budgetary constraints or mission needs; correct skill imbalances; or 
reduce high-grade, supervisory, or managerial positions.

Establish modified regulations for the separation of employees during a 
reduction or other adjustment in force.

Establish senior-level scientific, technical, and professional 
positions and provide those positions with the same pay and benefits 
applicable to the Senior Executive Service while remaining within GAO's 
current allocation of super-grade positions.

Implementation of the Act:

After the Congress passed the act in 2000 and the President signed it 
into law, GAO began the process of developing regulations to implement 
the four authorities it established. Because stakeholder involvement is 
a critical component of successful human capital management, 
particularly when initiatives are being introduced, GAO established a 
standard practice to ensure employee involvement in significant agency 
initiatives.

GAO's standard practice involves the initial discussion and 
presentation of draft proposals to members of GAO's Employee Advisory 
Council--a panel of employees representing a variety of employee 
constituent groups--and also to the agency's senior executives. The 
Comptroller General was personally involved in the vast majority of 
those exchanges, which afforded an opportunity for the direct 
communication of employees' and managers' reactions. After the views of 
employees and managers were considered, further changes were made, if 
needed, before the draft proposal was issued to all employees for their 
review and consideration. Materials were posted on GAO's intranet home 
page, and employees were notified by E-mail that proposals were 
available for their review, comments, and suggestions for a period of 
30 days. The documents were posted in a user-friendly format that 
allowed employees to access the documents and provide comments directly 
on any or all of the provisions. Generally, the regulations were 
accompanied by "Frequently Asked Questions," which elaborated on and 
explained the details of the provisions. The agency received 60 
comments on the voluntary early retirement order, 33 on the workforce 
restructuring order, and 12 on the senior-level order. These comments 
were collected, reviewed, and carefully considered by GAO's Executive 
Committee prior to finalizing the regulations.

The approaches that GAO took in implementing these four flexibilities 
as well as the results that the agency has achieved are described in 
the following four sections.

[End of section]

Public Law 106-303:

Section 1: Voluntary Early Retirement:

At the time the GAO Personnel Flexibilities Act was passed, GAO's 
workforce was sparse at the entry level and plentiful at the midlevel. 
The agency was concerned about its ability to support the Congress with 
experienced and knowledgeable staff, given the significant percentage 
of the agency's senior managers and analysts reaching retirement 
eligibility and the relatively small number of entry-level employees 
who were in training to replace more senior staff. The use of the 
voluntary early retirement authority provided in section 1 of the act 
is one of the tools that the agency has used to confront this serious 
issue--one that is facing much of the federal community.

The act allows the Comptroller General to offer voluntary early 
retirement to up to 10 percent of the workforce when necessary or 
appropriate to realign the workforce to address budgetary or mission 
constraints; correct skill imbalances; or reduce high-grade, 
supervisory, or managerial positions. This flexibility represents a 
proactive use of early retirement to shape the workforce to prevent or 
ameliorate future problems. GAO Order 2831.1, Voluntary Early 
Retirement, containing the agency's final regulations, was issued in 
April 2001 and is included in appendix I. Under the regulations, each 
time the Comptroller General approves a voluntary early retirement 
opportunity, he establishes the categories of employees who are 
eligible to apply. These categories are based on the need to ensure 
that those employees who are eligible to request voluntary early 
retirement are those whose separations are consistent with one or more 
of the three reasons for which the Comptroller General may authorize 
early retirements. Pursuant to GAO's regulations, these categories are 
defined in terms of one or more of the following criteria:

* organizational unit or subunit,

* occupational series,

* grade or band level,

* skill or knowledge requirements,

* performance appraisal average,

* geographic location, or:

* other similar factors that the Comptroller General deems necessary 
and appropriate.

Since it is essential that GAO retain employees with critical skills as 
well as its highest performers, certain categories of employees have 
been ineligible under the criteria. Some examples of ineligible 
categories are employees receiving retention allowances because of 
their unusually high or unique qualifications; economists, because of 
the difficulty that the agency has experienced in recruiting them; and 
staff in the information technology area. In addition, employees with 
performance appraisal averages above a specified level have not been 
eligible under the criteria.

To give the fullest consideration to all interested employees, however, 
any employee may apply for consideration when an early retirement 
opportunity is announced, even if he or she does not meet the stated 
criteria. The Comptroller General may authorize early retirements for 
these applicants on the basis of the facts and circumstances of each 
case. The Comptroller General or his Executive Committee designee(s) 
considers each applicant and makes final decisions on the basis of the 
institutional needs of GAO. Only employees whose release is consistent 
with the law and GAO's objective in allowing early retirement are 
authorized to retire early. In some cases, this has meant that 
employees' requests must be denied.

GAO held its first voluntary early retirement opportunity in July 2001. 
Employees who were approved for early retirement were required to 
separate in the first quarter of fiscal 2002. As required by the act, 
information on the fiscal 2002 early retirements was reported in an 
appendix to our 2002 Performance and Accountability Report. Another 
voluntary early retirement opportunity was authorized in fiscal 2003, 
and employees were required to separate by March 14, 2003. Table 1 
provides the data on the number of employees separated by voluntary 
early retirement as of May 30, 2003.

Table 1: Summary Data on Voluntary Early Retirements:

Applications/Status of applications: Total applications submitted; 
Fiscal year 2002: Number: 78; Fiscal year 2002: Percentage of total: 
100.0; Fiscal year 2003: Number: 39; Fiscal year 2003: Percentage of 
total: 100.0; Totals: Number: 117; Totals: Percentage of total: 100.0.

Applications/Status of applications: Approved applications; Fiscal 
year 2002: Number: 72; Fiscal year 2002: Percentage of total: 92.3; 
Fiscal year 2003: Number: 37; Fiscal year 2003: Percentage of total: 
94.8; Totals: Number: 109; Totals: Percentage of total: 93.1.

Applications/Status of applications: Disapproved applications; Fiscal 
year 2002: Number: 6; Fiscal year 2002: Percentage of total: 7.7; 
Fiscal year 2003: Number: 2; Fiscal year 2003: Percentage of total: 
5.1; Totals: Number: 8; Totals: Percentage of total: 6.8.

Applications/Status of applications: Approved applications withdrawn 
by employees; Fiscal year 2002: Number: 18; Fiscal year 2002: 
Percentage of total: 23.0; Fiscal year 2003: Number: 12; Fiscal year 
2003: Percentage of total: 30.7; Totals: Number: 30; Totals: Percentage 
of total: 25.6.

Applications/Status of applications: Applicants separated by voluntary 
early retirement; Fiscal year 2002: Number: 54; Fiscal year 2002: 
Percentage of total: 69.3; Fiscal year 2003: Number: 25; Fiscal year 
2003: Percentage of total: 64.1; Totals: Number: 79; Totals: Percentage 
of total: 67.5.

Source: GAO.

[End of table]

Of the 79 employees who separated from GAO through voluntary early 
retirement, 66, or 83.5 percent, were high-grade, supervisory, or 
managerial employees. High-grade, supervisory, or managerial employees 
are those who are in grade GS-13 or above, if covered by GAO's General 
Schedule, in band II or above, if covered by GAO's banded systems for 
Analysts and Attorneys or in any position in GAO's Senior Executive 
Service or Senior Level system.

GAO's transformation effort is a work-in-progress and, for that reason, 
the agency supports additional legislation to make the voluntary early 
retirement provision in section 1 of Public Law 106-303 permanent. 
While the overall number of employees electing early retirement has 
been relatively small, GAO believes that careful use of voluntary early 
retirement has been an important tool in incrementally improving the 
agency's overall human capital profile. Each separation has freed 
resources for another use, enabling GAO to fill an entry-level position 
or to fill a position that will reduce a skill gap or address other 
succession concerns. Importantly, these separations are accomplished 
voluntarily with the acquiescence of both the employee and the agency. 
Although GAO has made progress in improving its human capital profile, 
there is still work to do. GAO needs to retain its option to use this 
flexibility when necessary to address current and future concerns.

In making this recommendation, GAO points to its progress in changing 
the overall shape of the organization. As illustrated in figure 1, by 
the end of fiscal year 2002, GAO had almost a 74 percent increase in 
the proportion of staff at the entry level (Band I) compared with 
fiscal year 1998. Also, the proportion of the agency's workforce at the 
midlevel (Band II) decreased by about 16 percent.

Figure 1: GAO's Human Capital Profile:

[See PDF for image]

[A] Attorneys and criminal investigators.

[B] Mission support includes both mission and mission support offices.

[End of figure]

Since the beginning of fiscal 2001, a total of 447 employees have 
retired from GAO; 79 (or 17.6 percent) of those retirements are the 
result of GAO's early retirement offerings, and as noted above, 83.5 
percent of those retiring were high-grade, supervisory, or managerial 
employees. The loss of these higher-level staff, along with other 
employees whose skills are no longer essential to GAO has helped the 
agency address succession planning and skill imbalance issues, in 
addition to increasing the numbers of entry-level staff who can be 
hired.

Section 2: Voluntary Separation Incentive Payments:

In addition to authorizing voluntary early retirement for GAO 
employees, the act permits the Comptroller General to offer voluntary 
separation incentive payments--also known as "buyouts"--when necessary 
or appropriate to realign the workforce to meet budgetary constraints 
or mission needs; correct skill imbalances; or reduce high-grade, 
supervisory, or managerial positions. Under the act, up to 5 percent of 
employees could be offered such an incentive, subject to criteria 
established by the Comptroller General.

The act requires GAO to deposit into the U.S. Treasury an amount 
equivalent to 45 percent of the final annual basic salary of each 
employee to whom a buyout is paid. The deposit is in addition to the 
actual buyout amount, which can be up to $25,000 for an approved 
individual. Given the many demands on agency resources, these costs 
present a strong financial incentive to use the provision sparingly, if 
at all. GAO anticipates little, if any, use of this authority because 
of the associated costs. For this reason, as well as to avoid creating 
unrealistic employee expectations, GAO has not developed and issued 
agency regulations to implement this section of the act.

GAO also supports legislation making section 2---authorizing the 
payment of voluntary separation incentives--permanent. GAO notes that 
the Homeland Security Act of 2002 provides most federal agencies with 
buyout authority. Agencies with preexisting legislative authority to 
offer buyouts retain their authority, although they may be covered 
under the Homeland Security Act provision as well. Although GAO has not 
yet used its buyout authority and has no plans to do so in the 
foreseeable future, GAO recommends the retention of this flexibility 
and the elimination of the expiration date of December 31, 2003. The 
continuation of this provision maximizes the options available to the 
agency to deal with future circumstances. Since GAO is also eligible to 
request buyouts under the provisions of the Homeland Security Act, the 
agency will consider its options under this provision as well.

Section 3: Reduction in Force:

Section 3 of the act allows the Comptroller General to prescribe 
regulations for the separation of GAO employees during a reduction in 
force or other adjustment in force consistent with those issued by the 
Office of Personnel Management under section 3502(a) of title 5. In the 
event that GAO is required to initiate involuntary job reductions, 
employees would compete for retention on the basis of the following 
factors in descending order of priority: tenure, veteran's preference, 
performance ratings, and length of federal service. At the discretion 
of the Comptroller General, retention may also be based on other 
objective factors, including skills and knowledge in addition to the 
preceding criteria.

After careful analysis and deliberation, GAO Order 2351.1, Workforce 
Restructuring Procedures for the General Accounting Office, containing 
final agency regulations, was issued in January 2003. Those 
regulations, which are included in appendix II, provide for 
establishing "zones of consideration," which define the geographical 
and organizational boundaries within which employees compete for 
retention. All employees would be placed in "job groups" that comprise 
all positions within a zone of consideration that are at the same grade 
or band level and that perform the same duties and responsibilities. 
The highest priority would be placed on an employee's tenure of 
employment and veteran's preference. After consideration of those two 
factors, an employee would be ranked on the basis of his or her 
retention score. This score is based on the employee's 3-year appraisal 
average and his or her length of creditable federal service; greater 
weight is placed on performance than on length of service.

GAO has not taken any actions under its workforce restructuring 
regulations and is sensitive to concerns that were expressed prior to 
the passage of Public Law 106-303 about the potential impact of GAO's 
modified reduction in force procedures on veterans. GAO is committed to 
protecting the rights of veterans in a manner consistent with title 5 
and has retained all veterans' protections in GAO orders. Therefore, 
GAO does not foresee any impact on veterans that would differ from 
those at any other agency involved in realigning or reducing their 
workforce.

Section 3, authorizing the Comptroller General to develop modified 
regulations for the conduct of a reduction or other adjustment in 
force, is a permanent authority. The act requires GAO to provide any 
recommendations for changes to the section at this time. GAO is unable 
to offer recommendations, however, because the procedures have not yet 
been used. Circumstances leading to the decision to separate employees 
involuntarily are infrequent, and it may be years before the agency has 
any significant experience with the use of its procedures. Therefore, 
GAO has no recommendations for changes to section 3 at this time.

Section 4: Senior-Level Positions:

To address a variety of complex issues, GAO needed to increase its 
skill base in such highly competitive hiring areas as economics, 
information technology, actuarial science, and evaluation methodology. 
Section 4 of the act permits GAO to establish senior-level positions to 
meet critical scientific, technical, or professional needs. To recruit 
and retain qualified individuals, the act allows GAO to extend the 
rights and benefits of Senior Executive Service employees to these 
positions. GAO Order 2319.1, containing the agency's regulations for 
the employment of senior-level staff, was issued in March 2001 and is 
included in appendix III.

GAO has used this authority to fill eight senior-level positions, 
including that of a Chief Accountant, Chief Economist, Chief 
Statistician, and Chief Actuary. In addition, three senior-level 
technologists have been appointed as well as a senior-level 
technologist with expertise in cryptography. The expertise of these 
senior experts in highly specialized areas of economics, technology, 
statistics, and cryptography has contributed significantly to GAO's 
efforts to support the Congress. The accomplishments achieved with the 
expertise and contributions of the agency's senior-level employees 
include work on biometric technologies for U.S. border security, 
anthrax irradiation of U.S. mail, and National Missile Defense systems. 
These experts have also contributed to ensuring that GAO's work is 
based on the most technically accurate methodologies for conducting 
cost-benefit studies and for utilizing appropriate data sources. GAO 
has found this flexibility to be a critical component in its efforts to 
ensure that the agency maintains the skills and knowledge necessary to 
address the many highly complex areas of interest to the Congress.

The act does not require recommendations from GAO on section 4, which 
permits the agency to establish senior-level positions to meet critical 
scientific, technical, or professional needs.

[End of section]

Employees', Personnel Appeals Board's, and Senior Executives' 
Assessments:

When the act was under consideration, some GAO employees expressed 
their concerns about the legislation to their Congressional 
representatives. To ensure the active consideration of employees' 
views, the act requires that this report include any assessments or 
recommendations of the GAO Personnel Appeals Board and of any 
interested groups or associations representing officers or employees of 
GAO. GAO also agreed to include in this report information about any 
impact upon employees' attitudes and opinions, as measured by employee 
feedback survey responses.

In response to these requirements, GAO's Human Capital Officer sent a 
request soliciting recommendations for inclusion in this report to the 
Executive Director of the Personnel Appeals Board. The agency also 
alerted the members of GAO's Employee Advisory Council by sending all 
members a memorandum notifying them of this provision. The topic was 
included on the agenda of the council's quarterly meeting with the 
Comptroller General in March, and all members of the Employee Advisory 
Council were given a draft copy of the report for their review. GAO's 
managing directors were also given a draft of this report for review. 
In addition, on May 21, 2003, a meeting of all GAO's senior executives 
was held. At this meeting the Comptroller General solicited the views 
of senior staff on extending provisions of Public Law 106-303.

The Personnel Appeals Board did not submit a specific assessment of the 
act's implementation. However, in letter to GAO's Human Capital 
Officer, dated May 15, 2003, Beth Don, Executive Director of the 
Personnel Appeals Board, stated that the board would be "willing to do 
a more comprehensive report in a year or so, at which point we think 
there will be more information available on the implementation and 
effectiveness of the personnel flexibilities granted under the Act." 
Importantly, Ms. Don indicated that no cases had been filed with the 
Personnel Appeals Board concerning the matters covered by the act. She 
also stated that the board did not believe it was appropriate to 
comment, among other things, on the substantive nature of the 
regulations promulgated by GAO, or the manner in which the regulations 
were promulgated since the Board may be called upon to adjudicate 
matters relating to the act and its implementation. The Employee 
Advisory Council responded on May 13, 2002, that it did not have any 
comments on the report at this time. Using electronic polling 
technology that allows for confidential responses, GAO's senior 
executives were asked if the voluntary early retirement and voluntary 
separation incentive authorities should be made permanent. All but one 
of the 110 respondents agreed or strongly agreed that GAO should seek 
legislation to make these provisions permanent. One respondent was 
undecided.

As part of ongoing agency efforts to monitor progress in people 
measures, GAO conducted employee feedback surveys in 1999 and 2002--
before and after the act's passage. This survey asked employees for 
their agreement or disagreement with a variety of statements relating 
to their work life but was not designed to measure the impact of the 
act's flexibilities on employee satisfaction. The 2000 survey elicited 
an 89 percent response rate, which was even better than the outstanding 
87 percent achieved in 1999. On the basis of a comparison of responses 
to key questions in 2002 and 1999, employee satisfaction (as measured 
by the number of "strongly agree"/"agree" responses) was up in 50 of 
the 52 categories. Negative responses (as measured by the number of 
"strongly disagree"/"disagree" responses) also declined in 50 of 52 
categories.

GAO believes that the impact of the legislation on its employees has 
been positive. Clearly, the employees who requested and were approved 
for early retirement benefited from the act. Furthermore, the 
realignment of resources resulting from these retirements has had a 
positive impact on the remaining employees, as well. Ultimately, GAO's 
efforts to improve the strategic management of GAO's human capital, of 
which the legislation is a part, benefit all of GAO. Having the right 
people in the right places makes it easier for all GAO employees to be 
successful in accomplishing their part of the agency's mission. In the 
final analysis, the agency's efforts to maximize its value allow us to 
better serve the Congress and the American people.

[End of section]

Appendix I: GAO Order 2831.1:

United States General Accounting Office Operations Manual:

Order 2831.1

April 27, 2001

Subject: VOLUNTARY EARLY RETIREMENT AUTHORITYParagraph; 
Page.

l. Purpose: 

2. Definitions: 

3. Purposes of Early Retirement Authority: 

4. GAO Early Retirement Criteria:

5. Basic Early Retirement Requirements

6. Announcement of an Early Retirement Opportunity:

7. Documentation: 

8. Additional Authorizations of Early Retirement: 

9. Length of Early Retirement Announcement Periods: 

10. Additional Selection Criteria: 

11. Notification to Employees: 

12. Exception to Announcement Requirement: 

13. Delayed Retirement: 

14. Reassignments/Details:

15. Voluntary Nature of Authorizations: 

16. Agency Discretion with Respect to Early Retirement: 

17. Numerical Limitation: 

18. Termination of Authority: 

1. Purpose. This order establishes the regulations of the General 
Accounting Office (GAO) for voluntary early retirement under Pub. L. 
No. 106-303 (Oct. 13, 2000).

2. Definitions. The following terms used in this order are defined 
below:

a. Realignment. Any agency action that, among things, eliminates 
positions or functions, reallocates or relocates positions or 
functions, or reduces the number of employees associated with a 
function, regardless of whether the action results in an overall staff 
reduction.

b. Mission Needs means the resources that GAO must have to serve the 
Congress and the American people.

c. Service as used in para. 5 of this order means creditable service for 
retirement as defined in 5 C.F.R., Part 831, Retirement, Subpart C and 
5 C.F.K., Part 842, Federal Employees Retirement System Basic Annuity, 
Subpart C.

d. Skills Imbalances refers to a determination by the Comptroller 
General that there is an excess of and/or a shortage of specific skills 
and knowledge in the GAO workforce necessary to meet mission needs.

e. High-grade, Supervisory or Managerial refers to the following:

1) GS-13 and above positions,

2) Band lI and Band III positions in the PE pay plan,

3) Band 11 positions in the PA pay plan,

4) Senior Executive Service positions, and:

5) Senior Level positions.

f. Organizational Unit means the team, office or other entity defined by 
a GAO organizational code.

g. Occupational Series means the Office of Personnel Management or GAO-
specific category that corresponds to a recognized occupation in the 
Federal service. Each occupational series is identified by a numerical 
code that is listed in the Handbook of Occupational Groups and 
Families. Examples of occupational series are Analyst (347), Secretary 
(318), Auditor (511) and Computer Specialist (334).

h. Performance Appraisal Average means the overall average of properly 
executed and completed written performance appraisals received in GAO. 
To the extent they are available, performance appraisals for the three 
annual appraisal cycles prior to the date ofthe announcement will be 
used to arrive at the overall average. If there is no announcement, the 
performance appraisals for the three annual appraisal cycles prior to 
the date the completed retirement application is received in the 
designated office will be used. Appraisals from agencies or 
organizations outside of GAO will not be used.

i. Comptroller General means the Comptroller General of the United 
States or his designee.

3. Purposes of Early Retirement Authority. The Comptroller General may 
authorize voluntary early retirement to one or more employees when he 
deems it necessary or appropriate for one or more of the following 
purposes:

a. realigning GAO's workforce to meet budgetary constraints or mission 
needs, 

b. correcting skill imbalances, or:

c. reducing high-grade, managerial or supervisory positions.

4. GAO Early Retirement Criteria. If the Comptroller General decides to 
exercise his early retirement authority under para. 3, he will 
establish criteria to ensure the accomplishment of the purpose(s) for 
which such early retirement is authorized and decide the number of 
early retirement opportunities that he may authorize. Early retirement 
may be authorized for one or more employees based on one or more of the 
following criteria:

a. organizational unit or subunit,

b. occupational series,

c. grade or band level,

d. skill or knowledge requirements using relevant data (e.g., Knowledge 
and Skills Inventory),

e. performance appraisal average,

f. geographic location,

g. other similar factors as the Comptroller General deems necessary and 
appropriate.

5. Basic Early Retirement Requirements. In order to retire early under 
the provisions of this order, employees must meet basic early 
retirement requirements. An employee must:

a. have been on GAO's rolls continuously for at least the 31-day period 
preceding the first day of an early retirement period;

b. be serving on an appointment that is not time limited;

c. not have received a notice of involuntary separation for misconduct 
or unacceptable performance with respect to which final action remains 
pending; and:

d. have either (1) completed at least 20 years of creditable service and 
be at least age 50, or (2) have completed at least 25 years of 
creditable service regardless of age by the effective date of his or 
her retirement.

6. Announcement of an Early Retirement Opportunity. Except as set forth 
in para. 12, the Comptroller General will announce an early retirement 
opportunity by posting it on the GAO Intranet. The announcement will 
include the following information:

a. purposes of the early retirement opportunity,

b. early retirement criteria established pursuant to para. 4,

c. opening and closing dates for accepting early retirement applications 
from employees,

d. date by which employees granted early retirement must separate from 
GAO's rolls,

e. additional selection criteria established pursuant to para. 10, and:

f. procedures for applying for early retirement.

7. Documentation. In determining whether an employee meets GAO early 
retirement criteria as set forth in an early retirement announcement, 
GAO will use the following information, if relevant:

a. position and organization information contained in the Official 
Personnel Folder,

b. knowledge and skills data, including information from the Knowledge 
and Skills Inventory, and:

c. relevant performance appraisals contained in the employee's 
performance records.

The Chief Mission Support Officer (CMSO) or designee will resolve any 
questions of coverage relating to individual applications for voluntary 
early retirement.

8. Additional Authorizations of Early Retirement. In order to give the 
fullest consideration to all interested employees, any employee may 
apply for early retirement consideration when an early retirement 
opportunity is announced, even if he or she does not meet the criteria 
stated in the announcement. The Comptroller General may authorize 
additional early retirements to these applicants if he determines that 
such action is consistent with the purposes and early retirement 
criteria provided for under paras. 3 and 4 of this order.

9. Length of Early Retirement Announcement Periods. The closing date for 
accepting early retirement applications from employees should be at 
least 45 calendar days after the opening date. The Comptroller General 
may shorten or extend the closing date when he deems that there are 
extenuating circumstances requiring such action. GAO will notify 
employees of any such changes.

10. Additional Selection Criteria. One or more of the following 
additional selection criteria will be used when: (1) the number of 
applicants meeting the early retirement criteria set forth in the 
announcement exceeds the number of available early retirement 
opportunities for those applicants, and/or (2) the number of applicants 
applying pursuant to para. 8 exceeds the number of available early 
retirement opportunities for those applicants:

a. separation date as indicated by the employee on his or her retirement 
application, with first in time having preference;

b. length of service as determined by the employee's service computation 
date for retirement purposes, with most years having preference;

c. date the completed retirement application is received in the 
designated office, with first in time having preference; or:

d. performance appraisal averages, with lower averages having 
preference.

11. Notification to Employees. GAO will notify all employees who have 
applied for an early retirement whether they have been accepted or 
rejected for early retirement.

12. Exception to Announcement Requirement. When necessary and 
appropriate, the Comptroller General may forgo an agency-wide 
announcement and authorize early retirement for up to 5 employees in 
any organizational unit in any fiscal year, provided such early 
retirement authorizations are consistent with one or more of the 
purposes set forth in para. 3.

13. Delayed Retirement. GAO may condition its granting of early 
retirement upon the employee agreeing to remain on the rolls until a 
specified date, when the CMSO or designee deems such action necessary 
for the accomplishment of GAO mission or mission-related activities.

14. Reassignments/Details. Employees shall not be reassigned to 
positions and/or units solely for the purpose of making them eligible 
or ineligible for early retirement. If an employee has been reassigned 
for a business-related reason and is not eligible for an early 
retirement but for the reassignment, the employee may still apply 
provided his reassignment has been effective for no more than 60 days 
prior to the opening date of the announcement. Employees on detail will 
be considered on the basis of their official positions of record.

15. Voluntary Nature of Authorizations. GAO's authorization of early 
retirement to employees is made with the understanding that acceptance 
of early retirement is completely voluntary. Employees are free to 
accept or decline early retirement. The decision of an employee to take 
early retirement is a personal and completely voluntary act.

16. Agency Discretion with Respect to Early Retirement. Pursuant to his 
statutory authority, the Comptroller General is vested with authority 
to determine the number of early retirement opportunities and which 
employees, if any, will be granted an early retirement. The Comptroller 
General is under no obligation to grant a stated number of early 
retirements or an early retirement to any employee even if the employee 
meets the criteria set forth in an early retirement announcement.

17. Numerical Limitation. The number of employees permitted to take 
voluntary early retirement in any fiscal year under this authority 
shall not exceed 10 percent of GAO's workforce as of the start of the 
fiscal year.

18. Termination of Authority. The statutory provision authorizing this 
program of voluntary early retirement expires on December 31, 2003.

[End of section]

Appendix II GAO Order 2351.1:

United States General Accounting Office Operations Manual:

Order 2351.1:

WORKFORCE RESTRUCTURING PROCEDURES FOR THE GENERAL ACCOUNTING OFFICE:

January 21, 2003:

Distribution: GAO Intranet Initiated by: Human Capital:

2351.1:

1/21/03:

TABLE OF CONTENTS:

Chapter; Paragraph Title; Page.

CHAPTER 1.; GENERAL PROVISIONS: 

1.; Paragraph Title: GENERAL PROVISIONS: Purpose, Scope and 
Applicability: 

2.; Paragraph Title: GENERAL PROVISIONS: Supersession: 

3.; Paragraph Title: GENERAL PROVISIONS: References: 

4.; Paragraph Title: GENERAL PROVISIONS: Employees Covered: 

5.; Paragraph Title: GENERAL PROVISIONS: Definitions: 

6.; Paragraph Title: GENERAL PROVISIONS: Actions Covered: 

CHAPTER 2.; RETENTION CONSIDERATION:

1.; Paragraph Title: GENERAL PROVISIONS: Zone of Consideration: 

2.; Paragraph Title: GENERAL PROVISIONS: Job Group: 

3.; Paragraph Title: GENERAL PROVISIONS: Retention Factors: 

4.; Paragraph Title: GENERAL PROVISIONS: Tenure of Employment: 

5.; Paragraph Title: GENERAL PROVISIONS: Veterans' Preference:

6.; Paragraph Title: GENERAL PROVISIONS: Performance Ratings: 

7.; Paragraph Title: GENERAL PROVISIONS: Length of Federal Service: 

8.; Paragraph Title: GENERAL PROVISIONS: Other Objective Factors: 

9.; Paragraph Title: GENERAL PROVISIONS: Retention Score: 

10.; Paragraph Title: GENERAL PROVISIONS: Retention Registers: 

11.; Paragraph Title: GENERAL PROVISIONS: Placement on Retention 
Registers: 

12.; Paragraph Title: GENERAL PROVISIONS: Effective Date of 
Retention Standing: 

13.; Paragraph Title: GENERAL PROVISIONS: Records: 

CHAPTER 3.; RELEASE FROM JOB GROUP:

1.; Paragraph Title: GENERAL PROVISIONS: General:

2.; Paragraph Title: GENERAL PROVISIONS: Order of Release: 

3.; Paragraph Title: GENERAL PROVISIONS: Abolishing a Zone of 
Consideration: 

4.; Paragraph Title: GENERAL PROVISIONS: Exceptions to the Order of 
Release: 

5.; Paragraph Title: GENERAL PROVISIONS: Action Following Release from 
Job Group: 

6.; Paragraph Title: GENERAL PROVISIONS: Use of Furlough: 

CHAPTER 4.; ASSIGNMENT RIGHTS: 

1.; Paragraph Title: GENERAL PROVISIONS: General: 

2.; Paragraph Title: GENERAL PROVISIONS: Basic Rights:

3.; Paragraph Title: GENERAL PROVISIONS: Restrictions:

4.; Paragraph Title: GENERAL PROVISIONS: Bumping: 

5.; Paragraph Title: GENERAL PROVISIONS: Retreating:  

6.; Paragraph Title: GENERAL PROVISIONS: Grade/Band Limits: 

7.; Paragraph Title: GENERAL PROVISIONS: Use of Vacancies: 

8.; Paragraph Title: GENERAL PROVISIONS: Qualifications: 

CHAPTER 5.; NOTICE TO EMPLOYEES: 

1. Notice Period: 

2. Informational Notices: 

3. Content of Specific Notice: 

4. Expiration of Notice: 

5. New Notice Requirements: 

6. Status during Notice Period:

7. Certification of Expected Separation: 

8. Employee Entitlement to Federal Benefits: 

CHAPTER 6.; APPEALS: 

1. General: 

CHAPTER 7.; VOLUNTARY RELEASE ACTIONS: 

1. General: 

CHAPTER 8; TRANSFER OF FUNCTION: 

1. Applicability: 

2. Determining the Number of Positions Performing the Function; 

3. Identifying Competing Employees with the Function; 

4. Determining which Employees have Transfer Rights;

5. Volunteers for Transfer: 

6. Notice Period: 

7. Effect on Gaining Zone of Consideration:

8. Coordination Between a Transfer of Function and a WRA in the: 
Losing Zone: 

Appendix 1. Performance Appraisal Score Conversion: 

United States General Accounting Office Operations Manual:

Order 2351.1

January 21, 2003:

Subject: WORKFORCE RESTRUCTURING IN THE GENERAL ACCOUNTING OFFICE:

CHAPTER 1. PURPOSE, SCOPE AND APPLICABILITY:

1. PURPOSE, SCOPE, AND APPLICABILITY. This order contains the 
regulations of the General Accounting Office (GAO) applicable to any 
reduction in force or other adjustment in force in the GAO.

2. SUPERSESSION. This order supersedes GAO Order 2351.1, "Reduction in 
Force," dated February 28, 1996. Changes have been made to incorporate 
the provisions of P.L. 106-303 amending:

31 U.S.C. 732(h) and authorizing the comptroller general to prescribe 
regulations for the separation of employees of the General Accounting 
Office during a reduction in force or other adjustment in force.

3. REFERENCES.

a. P.L. 106-303, dated October 13, 2000. b. 4 C.F.R. Part 28.

c. 5 U.S.C. 2108, 8151,; 8336, 8412, 8414, and 8905..

d. 5 C.F.R. Parts 315, 351,; 550, 831, 841-846..

e. 10 U.S.C. ch. 67.: 

f. 31 U.S.C. 731(c).: 

g. 38 U.S.C. 101 and 301.

h. GAO Order 2211.1, "Veterans' Preference.":

i. GAO Order 2213.1, "Noncompetitive Positions.":

j. GAO Order 2315.1, "Status, Tenure, and Trial Periods." 

k. GAO Order 2317.1, "GAO's Senior Executive Service." 

l. GAO Order 2319.1, "GAO Senior Level Positions.":

m. GAO Order 2351.3, "Reemployment Priority Program.":

n. GAO Order 2531.4, "Priority Referral and Repromotion Program.":

o. GAO Order 2353.1, "Reemployment Rights of Members of the Uniformed 
Services." 

p. GAO Order 2432.1, "Dealing with Unacceptable Performance.":

q. GAO Order 2536.1, "Grade, Band, and Pay Retention." 

r. GAO Order 2630.1, "Leave Policies and Procedures.":

s. GAO Order 2630.2, "Voluntary Leave Transfer Program.":

t. GAO Order 2713.2, "Discrimination Complaint Processing." 

u. GAO Order 2752.1, "Adverse Actions.":

v. "CSRS/FERS Handbook for Personnel and Payroll Offices." 
w. "Guide to Processing Personnel Actions.":

4. EMPLOYEES COVERED. Except as specifically excluded below, this order 
applies to all employees of the U. S. General Accounting Office, 
permanent GAO staff of the Federal Accounting Standards Advisory Board, 
and employees of the GAO Personnel Appeals Board. Persons excluded from 
coverage are:

a. The comptroller general.

b. All members of GAO's Senior Executive Service (SES). Reduction in 
force regulations for the SES are contained in GAO Order 2317.1.

c. Senior Level employees. Reduction in force regulations for the 
Senior Level are contained in GAO Order 2319.1.

d. Board members of the Federal Accounting Standards Advisory Board. e. 
Board members of the Personnel Appeals Board.

f Employees appointed under 31 U.S.C. 731(e). 5. DEFINITIONS. In this 
order:

a. Competing employee means an employee in tenure group 1, II, or Ill. 
b. Day means a calendar day.

c. Function means all or a clearly identifiable segment of a mission 
(including all integral parts of that mission), regardless of how it 
is performed.

d. high-grade, supervisorv or managerial means:

(1) (2) (3) (4) (5):

GS-13 and above positions,

Band 11 and band III positions in the PE pay plan, Band 11 positions in 
the PA pay plan,

Senior Executive Service positions, and Senior Level positions.

e. Mission needs means the resources that the comptroller general 
believes GAO needs to serve the Congress and the American people.

f. Median rating means the overall performance appraisal average whose 
value falls in the middle of the overall averages given when arrayed 
from high to low, within a zone of consideration. An employee with no 
ratings (see ch. 2 para. 6b(6)) will be credited with the median 
overall performance appraisal average in his or her zone of 
consideration as of the rating cycle ending just prior to the issuance 
of reduction in force notices or other announced cutoff date. At the 
comptroller general's discretion, a median rating may be based on the 
median overall appraisal average assigned in a division of the agency 
larger than the zone of consideration.

g. Performance Appraisal Definitions:

(1) Individual performance appraisal average means the average of the 
checkmark ratings (see ch. 2 para. 6b(1)) on a performance appraisal, 
regardless of the time period covered by the appraisal.

(2) Annual performance appraisal average means the average of the 
individual performance appraisal averages received in a single 
appraisal year weighted by time (see ch.2 para. 6b(2)). For an employee 
who receives only one performance appraisal rating in a year, the 
individual performance appraisal average and the annual performance 
appraisal average will be the same.

(3) Overall performance appraisal average means the average of annual 
performance appraisal averages (see ch. 2 para. 6b(4)). To the extent 
that they are available, the overall performance appraisal average will 
be based on the employee's three most recent annual performance 
appraisal averages received during the 4 years prior to the date of 
issuance of a specific notice to the employee or other announced cutoff 
date.

h. Realignment or Reorganization means any agency action that, among 
things, eliminates, adds, reallocates or relocates positions, 
functions, or duties or reduces the number of employees associated with 
a function regardless of whether the action results in an overall staff 
reduction.

i. Representative rate means the fourth step of the grade for a position 
in the General Schedule (GS) and the second step of the grade for a 
Federal Wage System position.

j. Undue interruption means a degree of interruption that would prevent 
the completion of required work within allowable limits of time and 
quality, taking into account the pressures of priorities, deadlines, 
and other demands. Work generally would be unduly interrupted if the 
employee needed more than 90 days upon placement into the position to 
successfully perform the new position.

k. Skill imbalance refers to a determination by the comptroller general 
that there is an excess of and/or a shortage of specific skills and 
knowledge in the GAO workforce necessary to meet mission needs.

1. Workforce restructuring action (WRA) means any personnel action taken 
under the authority of this order.

6. ACTIONS COVERED. A workforce restructuring action will be taken under 
procedures in this order when both the action to be taken and the cause 
of the action meet the criteria below. An action that meets one but not 
both criteria is not a covered action and will be taken under other 
appropriate authorities.

a. Action to betaken is release of an employee from a job group by: (1) 
separation,

(2) demotion,

(3) reassignment requiring displacement, or:

(4) furlough for more than 30 days. b. Cause of the action is:

(3) (4) (5):

lack of work, shortage of funds, insufficient personnel ceiling, 
reorganization or realignment, an individual's exercise of reemployment 
or restoration rights, correction of skills imbalances, or 
reduction of high-grade, supervisory or managerial positions.

CHAPTER 2. RETENTION CONSIDERATION:

1. ZONE OF CONSIDERATION.

a. The zone of consideration defines the boundaries within which GAO 
employees compete for retention in a WRA. Employees in one zone of 
consideration compete only with each other and not with employees in 
another zone of consideration.

b. The chief mission support officer (CMSO) in consultation with the 
comptroller general will determine the specific zones of consideration, 
which will be defined in terms of organizational units, geographic 
locations and/or pay plans.

c. The minimum zone of consideration is all employees in a pay plan in 
a headquarters team, or other organization headed by a managing 
director, the regional location of a team, or a staff office headed by 
the chief quality officer, the general counsel, the inspector general, 
human capital officer, chief information officer, chief knowledge 
services officer, or the chief administrative officer. The CMSO may, 
however, combine more than one organizational unit, pay plan or 
geographic location into one zone of consideration.

d. Determination of an employee's assignment to a zone of consideration 
will be based on the employee's official position of record as 
indicated on his or her standard form 50, Notice of Personnel Action.

e. GAO will make available to all employees descriptions of GAO's zones 
of consideration. Any subsequent changes to the zones will be announced 
to all employees. Zones of consideration will be in effect at least 90 
days prior to the effective date of a WRA.

2. JOB GROUP.

a. GAO will establish job groups and assign each position to a group. 
Job group determinations are based on each employee's official position 
description and current organizational placement, not the employee's 
personal qualifications.

b. Job groups consist of all positions in a zone of consideration that:

(1) are in the same classification series, grade or band, and pay plan; 
and:

(2) are similar enough in duties and qualification requirements 
(including licensure, certification, education, or other specific 
knowledge requirements) that the incumbent of one position could 
successfully perform the duties of any other position upon entry into 
it, without undue interruption.

c. In addition, separate job groups will be established:

(1) By appointment authority in GAO Order 2213.1.

(2) By work schedule. Separate job groups shall be established for 
positions filled on a full-time, part-time or intermittent basis.

(3) For employees who were competitively selected for trainee status in 
a formally designated developmental program.

3. RETENTION FACTORS Employees will compete for retention based on the 
following factors in descending order of priority as described in 
paras. 4, 5, 6, 7, and 8 of this chapter:

a. tenure of employment; 

b. veterans preference;

c. performance appraisals; 

d. length of service; and:

e. other objective factors such as skills and knowledge that the 
comptroller general considers necessary and appropriate to realign or 
reorganize GAO's workforce for the reasons specified in 31 U.S.C.  
732(h)(1)(vi).

4. TENURE OF EMPLOYMENT. Employees will be placed in tenure groups 1, 
ii, iii or 0 based on the nature of their appointments and the length 
of their federal service.

a. Tenure group I includes all permanent employees who have acquired 
competitive status for appointment under 31 USC 732g or who have 3 or 
more years of continuous federal service as defined in 5 CFR, Part 315.

b. Tenure group 11 includes all permanent employees who are not in 
tenure group 1.

c. Tenure group III includes all employees serving under indefinite 
appointments, temporary appointments pending establishment of a 
register (TAPER), appointments with a specific time limitation of more 
than one year, or appointments limited to one year when the employee 
has completed one year of current continuous GAO service.

d. Tenure group 0 includes all employees serving under appointments 
limited to one year who do not have one year of current continuous GAO 
service as of the effective date of the WRA. These employees are in 
tenure group 0 and are not competing employees for WRA purposes.

5. VETERANS' PREFERENCE. Based on the provisions of GAO Order 2211.1, 
Veterans' Preference in the General Accounting Office, employees will 
be placed in a veterans' preference subgroup.

a. Subgroups.

(1) Subgroup AD includes each preference eligible employee who has a 
compensable service-connected disability of 30 percent or more.

(2) Subgroup A includes each preference eligible employee not included 
in subgroup AD.

(3) Subgroup B includes each employee who is not a preference eligible.

b. Veterans' Preference for Retired Members of the Uniformed Services. 
In order for a retired member of the uniformed services to be 
considered a preference eligible for purposes of this order, he or she 
must be in subgroup AD or A as set forth in para. 5a above and meet at 
least one of the conditions of the following paragraphs (1), (2), or 
(3) of this section, except as limited by paras. (4) or (5):

(1) 'The employee's military retirement is based on disability that 
either conflict, or:

A. Resulted from injury or disease received in the line of duty as a 
direct result of armed:

B. Was caused by an instrumentality of war incurred in the line of duty 
during a period of war as defined by 38 U.S.C.  101 and 301.

(2) The employee's retired pay from uniformed service is not based upon 
20 or more years of full-time active service, regardless of when 
performed but not including periods of active duty for training.

(3) The employee has been continuously employed as a federal civilian 
employee since November 30, 1964, without a break in service of more 
than 30 days.

(4) An employee retired at the rank of major or above (or equivalent) 
is considered a preference eligible under this order if such employee 
is a disabled veteran as defined in 5 U.S.C. 2108(2), and meets one of 
the conditions in paragraphs (1), (2), or (3) above.

(5) An employee who is eligible for retired pay under ch. 67 of title 
10, United States Code (covering the category generally known as 
"reservists"), and who retired at the rank of major or above (or 
equivalent) is considered a preference eligible under this order at age 
60, only if such employee is a disabled veteran as defined in 5 U.S.C. 
2108(2).

6. PERFORMANCE RATINGS. Employees' performance appraisals will be used 
to determine the performance component of the retention score.

a. Creditable Appraisals.

(1) Official Ratings of Record Only official performance appraisals will 
be used for purposes of determining employees' individual, annual and 
overall performance appraisal averages. To be creditable for this 
purpose, ratings must have been issued to the employee, with all 
appropriate reviews and maintained in the official performance records 
of the employee's unit. An employee may not be assigned a new rating 
for the sole purpose of affecting his or her retention score.

(2) Time Period. An employee's overall performance appraisal average 
will be based on the employee's three most recent annual performance 
appraisal averages for the 4 years prior to the date of issuance of a 
specific notice to the employee pursuant to ch. 5, para. 3 or other 
announced cutoff date.

b. Determining Appraisal Averages.

(1) Calculation of an Individual Performance Appraisal Average. An 
individual performance appraisal average will be determined by 
averaging the checkmark ratings for all evaluated performance 
dimensions or competencies. A numerical value will be assigned for each 
performance level as indicated in the following table:

[See PDF for table] 

[End of table]

The values for all dimensions or competencies will be totaled and 
divided by the number of dimensions or competencies rated to yield an 
average rounded to four decimal places. An element with no rating or a 
"No Basis" rating will not be counted and, therefore, will not affect 
the average.

(2) Calculation of an Annual Performance Appraisal Average. Each rating 
received during an appraisal cycle, including those resulting in the 
placement of an employee in an opportunity period as provided in GAO 
Order 2432.1, will be considered an individual performance appraisal 
and averaged as specified in para. 6b(1) of this chapter. The 
individual performance appraisal averages will be totaled and divided 
by the number of appraisals to yield an average rounded to four decimal 
places. In totaling the scores, the individual performance appraisal 
averages will be weighted based on the period of time each appraisal 
covers.

(3) Appraisals that extend bevond the end of an appraisal cycle. Any 
rating that overlaps into more than one appraisal cycle will be 
prorated into the separate cycles based on the number of days it covers 
in each cycle.

(4) Calculation of an Overall Performance Appraisal Average. Subject to 
paras. 4, 5 and 6, annual appraisal averages for the three most recent 
performance cycles within the past 4 years will be averaged and rounded 
to 4 decimal places.

(5) Employees with fewer than three annual appraisal averages. An 
employee who has annual performance appraisal averages for at least one 
but fewer than three previous years during the 4-year period shall 
receive credit for performance based on the overall average of the 
available annual averages.

(6) Employees with no ratings. An employee who has no rating of record 
during the 4-year period shall receive credit for performance based on 
the median rating as defined in ch. 1, para. 5 of this order.

c. Employees with Appraisals from Other Federal Agencies.

(1) An employee who has received one or more appraisals from other 
federal agencies covered by the provisions of 5 U.S.C., ch. 43 and 5 
C.F.R., part 430, subpart B within the time period cited in para. 6a2 
of this chapter will be credited with the summary ratings assigned 
under those agencies' performance appraisal systems. Ratings from other 
federal agencies not covered by 5 U.S.C., ch. 43, and 5 C.F.R., part 
430, subpart B will be used to calculate the retention score only if 
GAO determines that such ratings are equivalent. Points will be 
assigned and averages calculated consistent with para. 6 of this 
chapter.

(2) If no summary rating was given, an overall rating will be assigned 
using the method in para. 6b(1).

(3) Previous appraisals that were narrative only will not be counted.

7. LENGTH OF FEDERAL SERVICE. The length of federal service is based on 
the employee's service computation date. The service computation date 
(SCD) is determined as follows:

a. Creditable service includes any federal government employment (both 
civilian and military) that meets the requirement for a particular type 
of benefit, such as leave accrual, retirement, or retention. Detailed 
information on creditable service can be found in the Office of 
Personnel Management's "Guide to Processing Personnel Actions," and the 
"CSRS and FERS Handbook for Personnel and Payroll Offices." An 
employee's SCD is whichever of the following dates reflects the 
employee's creditable service:

(1) The date the employee entered on duty with the federal government, 
when he or she has no previous creditable service; or:

(2) The date obtained by subtracting the employee's total creditable 
previous service from the date he or she last entered on duty.

b. An employee who is a retired member of a uniformed service is 
entitled to credit for:

(1) The length oftime in active service in the armed forces during a 
war, or in a campaign or expedition for which a campaign badge had been 
authorized; or:

(2) The total length of time in active service in the armed forces if 
the employee is considered a preference eligible under para. 5b of this 
chapter.

c. An employee's SCD will be corrected to withhold service credit for 
noncreditable time (e.g., leave without pay in excess of 6 months in a 
calendar year).

8. OTHER OBJECTIVE FACTORS At his discretion, the comptroller general 
may use other objective factors such as skills and knowledge to 
determine the retention standing of employees subject to the following:

a. The factors and the method by which credit will be assigned to 
employees will be announced in writing in advance of the WRA. A comment 
period of 30 days will be provided for all employees.

b. Only factors that the comptroller general considers necessary and 
appropriate to realign or reorganize the agency's workforce to meet 
current and future mission needs, correct skill imbalances and/or to 
reduce high-grade, supervisory or managerial positions will be used to 
determine retention standing.

9. RETENTION SCORE. GAO shall establish a retention score for each 
employee in any applicable zone of consideration when a WRA occurs. 
Retention scores shall be based on performance ratings and length of 
service. At the discretion of the comptroller general, retention scores 
may also be based on other objective factors including skills and 
knowledge.

a. Retention Score based on Performance and Service. If the comptroller 
general decides to base retention scores on performance and service 
only, the following method will be used to determine the score. The 
employee's overall performance appraisal average will determine a 
maximum of 65 points of the score. One additional point will be 
credited for each year of creditable service.

(1) Performance Component. Employees will receive between 9 and 65 
points for performance as set forth in Appendix 1 except that employees 
with overall appraisal averages less than 1.5 will receive no credit 
for performance.

(2) Service Component. The number of days between the employee's service 
computation date and the effective date of the WRA or other announced 
cutoff date will be converted into years expressed as a decimal rounded 
to four places.

(3) Retention Score. The point values for each component will be added 
together for an overall retention score.

b. Retention Score based on Performance, Service and other Objective 
Factors. If the comptroller general decides to base retention scores on 
performance, service and other objective factors, the following method 
will be used. The employee's overall performance appraisal average will 
determine a maximum of 50 points and other objective factors will 
determine a maximum of 15 points. One additional point will be credited 
for each year of creditable service.

(1) Performance Component. Employees will receive between 8 and 50 
points for performance as set forth in Appendix 1 except that employees 
with overall appraisal averages less than 1.5 will receive no credit 
for performance.

(2) Service Component. The number of days between the employee's service 
computation date and the effective date of the WRA or other announced 
cutoff date will be converted into years expressed as a decimal rounded 
to four decimal places.

(3) Other Objective Factors Component. Employees will be credited with 
up to 15 points for possession of other objective factors.

(4) Retention Score. The point values for each component will be added 
together for an overall retention score.

10. RETENTION REGISTERS:

a. When a competing employee is to be released from a job group under 
this order, a retention register will be established for that job 
group. Except for employees on military duty with restoration rights 
under GAO Order 2353.1, the retention register will contain the name of 
each employee who:

(1) is officially assigned to a position in the job group; or:

(2) is temporarily promoted from the job group by time-limited 
promotion.

b. An employee who has received a written decision of demotion or 
reassignment under GAO Orders 2432.1 or 2752.1 is listed on the 
retention register in the position to which he or she will be demoted 
or reassigned.

c. An employee who has received a written decision of removal under GAO 
Orders 2432.1 or 2752.1 is not included on the retention register.

11. PLACEMENT ON RETENTION REGISTERS:

a. By tenure group. Employees in tenure group I are first, followed by 
tenure group 11, and then tenure group III.

b. By veterans' preference subgroup. Within each tenure group, 
employees are placed in subgroups based on their entitlement to 
veterans' preference as defined in para. 5 of this chapter. Subgroup AD 
is first, followed by subgroup A, and then subgroup B.

c. By overall retention score. Within each veteran's preference 
subgroup, employees are placed in order of their overall retention 
score from highest to lowest:

12. EFFECTIVE DATE OF RETENTION STANDING.

a. An employee's retention standing is determined as of the effective 
date of the WRA or other announced cutoff date.

b. The retention standing of an employee retained as an exception under 
ch. 3, paras. 4a and 4b is determined as of the date the employee would 
have been released from the job group had the exception not been used.

c. If GAO discovers an error in the determination of an employee's 
retention standing, it will correct the error and adjust any erroneous 
actions in accordance with the employee's actual retention standing.

13. RECORDS. After conducting a workforce restructuring action, GAO 
will preserve intact all registers and records relating to an employee 
for at least 1 year from the date the employee is issued a specific 
notice, except when there is an active proceeding related to the 
records. In that case, any relevant records are kept until the 
proceeding has been closed. GAO will allow an employee to inspect 
relevant retention registers, job group definitions, and data used in 
the assignment of the employee's tenure group, veterans' preference 
subgroup, service computation date and retention score, including 
information related to credit given for other objective factors, to the 
extent that they have a bearing on a specific action taken, or to be 
taken, against the employee.

CHAPTER 3. RELEASE FROM JOB GROUP:

1. GENERAL This chapter explains the order of release of employees from 
a job group in a WRA. Competition to remain in a job group is called 
first round competition.

2. ORDER OF RELEASE.

a. All tenure group 0 employees must be released from a job group 
before a tenure group I, 11, or III employee may be released from that 
job group.

b. Competing employees will be released in the inverse order of their 
retention standing beginning with the employee having the lowest 
standing on the retention register. That is, all employees in tenure 
group III are released before any employee in tenure group II is 
released; and all employees in tenure group II are released before any 
employee in tenure group I is released. Within each tenure group, all 
employees in subgroup B are released before any employee in subgroup A 
is released; and all employees in subgroup A are released before any in 
subgroup AD. Within each subgroup, employees are released in the order 
of their overall retention scores beginning with the lowest score. 
Examples:

(1) A II-B employee with a retention score of 85 is released before a I-
B employee with a retention score of 75 because all group II employees 
must be released before any group I employee.

(2) A I-A employee with a retention score of 80 is released from a job 
group before a 1-A employee with a retention score of 85. Both 
employees are in the same tenure group and subgroup, but the employee 
with a score of 80 is lower on the register than the employee with a 
score of 85.

c. When two or more employees in the same tenure group and veterans' 
preference subgroup have identical retention scores, and at least one, 
but not all, of the employees has to be released from the job group, 
employees will be released in order of their overall performance 
appraisal averages from lowest to highest.

3. ABOLISHING A ZONE OF CONSIDERATION. When GAO will abolish all 
positions in a zone of consideration within 180 days, all employees 
will be released in group and subgroup order consistent with ch. 3, 
para. 2 (i.e., III-B employees are released before III-A employees who 
are released before III-AD employees, etc.) At the discretion of the 
comptroller general, employees may be released in group order without 
regard to their retention standing within the subgroup. When GAO uses 
this provision, it will notify all employees within the affected zone 
of consideration and also give them the date on which all positions 
will be abolished. The only exception to this provision involves 
employees who must be retained under a mandatory exception in 
accordance with para. 4a below.

4. EXCEPTIONS 1'O THE ORDER OF RELEASE. GAO may release a competing 
employee from a job group while temporarily retaining in that group 
another competing employee with lower retention standing if the action 
is authorized as an exception under this paragraph. The reason tot any 
exception to the regular order of release will be recorded on the 
retention register. The fact that a lower standing employee is 
temporarily retained in a job group does not mean that an additional 
higher standing employee must be released. Rather, the lower standing 
employee's release is simply temporarily delayed.

a. Mandatory exceptions.

(1) Uniformed services restoration rights. Tenure group I and 11 
employees granted restoration after military service under GAO Order 
2353.1 must be retained over other employees in the same subgroup for 
the period of retention specified by that order. GAO may not separate 
such employees by a WRA during the retention period following 
restoration.

(2) Annual leave to attain eligibility for an annuity and/or health 
benefits coverage. Consistent with 5 CFR 351.606(b), GAO shall retain 
on accrued annual leave an employee who will attain first eligibility 
for an immediate retirement benefit under 5 U.S.C. 8336, 8412, or 
8414, and/or will establish eligibility under 5 U.S.C. 8905 to carry 
health benefits coverage into retirement during the period represented 
by the amount of the employee's accrued annual leave.

b. Permissive exceptions. The human capital officer must approve all 
permissive exceptions. Higher standing employees reached for release 
from a job group where a lower standing employee is being temporarily 
retained will be notified in writing of the reasons for the exception.

(1) Exception to avoid undue interruption. GAO may make an exception to 
temporarily keep an employee in a position that no higher standing 
employee can take over without undue interruption to the work.

(2) Government obligation. GAO may make a temporary exception to satisfy 
a government obligation to the retained employee. For example, an 
exception may be made to delay the effective date of an employee's 
release long enough to allow a full 60-day notice when he or she is 
absent from the duty station and cannot receive notice on the same day 
as other employees or when a new notice must be given.

(3) Medical deferral GAO may retain a lower standing employee on 
approved sick leave due to medical necessity. Use of sick leave for 
this purpose must be in accordance with the requirements in GAO Orders 
2630.1 and 2630.2. Other types of leave will not be granted if sick 
leave is exhausted.

(4) Deferral of separation date. Employees who receive a specific notice 
pursuant to ch. 5, para. 3 and who, as of the effective date of the 
WRA, (a) will be within one year of meeting eligibility requirements 
for an immediate annuity (either early or optional retirement) or (b) 
have applied to OPM for disability retirement benefits, may request 
that GAO defer their separation dates. The deferral may not exceed the 
date the employee first becomes eligible for the immediate annuity or 
the date OPM's decision is rendered on the disability retirement, and 
may not exceed 12 months. The human capital officer may permit the 
limited use of work time, leave without pay, and annual leave during 
the deferral period. The terms of such a deferral, including duration 
and limitations, will be provided in writing to the employee and must 
be agreed to by both GAO and the employee.

5. ACTION FOLLOWING RELEASE FROM JOB GROUP. An employee reached for 
release from a job group will be offered assignment to another 
position, if a position is available and the employee has rights to it 
under ch. 4 of this order. If an employee has no right of assignment to 
another position or turns down an offered position satisfying the 
assignment right, the employee will be furloughed or separated.

6. USE OF FURLOUGH.

a. Furlough means the placement of an employee in a temporary nonduty 
and nonpay status for more than 30 consecutive calendar days, or more 
than 22 workdays if done on a noncontinuous basis, but not more than I 
year, when the action is based on one of the reasons set forth in ch. 
l, para 6 and is not in accordance with preestablished conditions of 
employment. If employees are furloughed for less than 30 days, the 
provisions of this order do not apply. GAO Order 2752.1 covers 
furloughs of less than 30 days.

b. Competing employees maybe furloughed only when GAO intends to recall 
them to duty in the same position within 1 year.

c. Employees may not be furloughed for more than I year.

d. If all employees furloughed from a job group are not recalled at the 
same time, employees will be recalled according to their retention 
standing beginning with the highest standing employee.

e. Employees may not be separated through WRA while an employee with 
lower retention standing in the same job group is on furlough.

CHAPTER 4. ASSIGNMENT RIGHTS:

1. GENERAL This chapter explains an employee's eligibility for 
assignment to a position occupied by another employee or to a vacant 
position following release from a job group. Exercise of assignment 
rights constitutes the second round of competition when employees 
compete for positions in other job groups.

2. BASIC RIGHTS.

a. When a tenure group I or 11 employee with an annual performance 
appraisal average for the most recent year of 1.5 or higher is released 
from a job group, GAO will offer assignment to a position if one is 
available and the employee has a right to it under the provisions of 
this chapter, rather than furlough or separate the employee. When more 
than one available position will satisfy an employee's assignment 
right, the employee is entitled to the position with the highest grade, 
band, or representative rate. When two or more positions with the same 
grade, band, or representative rate are available, GAO may offer the 
employee any one of them. An employee does not have the right to choose 
a position. Representative rates will be used to determine equivalent 
grade levels and the best offer when comparing positions in the general 
schedule and wage system.

b. Upon accepting an offer of assignment, or displacing another 
employee under the provisions of this order, an employee retains his or 
her same status and tenure in the new position.

c. An employee released from a job group as a result of the procedures 
in this order maybe entitled to grade/band and pay retention (see GAO 
Order 2536.1).

3. RESTRICTIONS.

a. An employee may not be assigned under this order to a position at a 
higher grade, band, or representative rate than that of the employee's 
current position.

b. An employee serving in a position under an authority in GAO Order 
2213.1 has assignment rights only to other positions filled under the 
same appointing authority as the position held. For example, a 
presidential management intern (PMI) has assignment rights only to 
another PMI position. Employees appointed under authorities other than 
those specified in GAO Order 2213.1, have no assignment rights to 
positions filled under that order.

c. An employee's assignment rights may not be satisfied by assignment 
to a position with a different work schedule. A full-time employee may 
not be assigned to a part-time or intermittent position. A part-time 
employee may not be assigned to a full-time or intermittent position 
and an intermittent employee may only be assigned to an intermittent 
position.

d. An employee whose annual overall rating for the most recent cycle is 
below 1.5 has no assignment rights.

e. An available position satisfying an assignment right must be in the 
same zone of consideration, be expected to last a minimum of 3 months, 
and be one for which the employee qualifies, unless GAO chooses to 
waive qualifications under para.7d of this chapter.

f. The promotion potential of a position is not a consideration in the 
identification of an available position for satisfying an assignment 
right.

g. An employee is entitled to only one offer and is entitled to no 
further offer if he or she accepts, rejects, or fails to reply to that 
offer. GAO will, however, make a better offer if a position at a higher 
grade 
or band becomes available on or before the effective date of the WRA. 
In this case, it makes no difference whether the employee has accepted 
or rejected a previous offer.

h. The supervisory probation provisions of GAO Order 2315.1, "Status, 
Tenure, and Trial Periods," apply to an employee placed in a 
supervisory position under this order.

4. BUMPING.

a. Bumping is an employee's right of assignment to a position occupied 
by another employee in a lower tenure group, or in a lower subgroup 
within the same tenure group. Upon release from a job group, an 
employee is entitled to an available position in another job group in 
the same zone of consideration that:

(1) is held by another employee in a lower tenure group or in a lower 
subgroup within the released employee's own tenure group; and:

(2) is the same grade/band as the position from which the employee was 
released or no lower than the limit set in para. 6.

b. An employee with an overall performance appraisal average below 1.5 
cannot bump into a position occupied by an employee with an overall 
average of 1.5 or higher.

5. RETREATING.

a. Retreating is an employee's right of assignment to a position 
formerly held, or essentially identical to the one previously held, 
when the position is occupied by a lower-standing employee in the same 
tenure group and subgroup. Upon release from a job group, an employee 
is entitled to an available position in another job group in the same 
zone of consideration that:

(1) is held by an employee with lower retention standing in the same 
tenure group and subgroup;

(2) is the same grade/band as the position from which the employee was 
released or no lower than the limit set in para. 6; and:

(3) is the same position, or an essentially identical position, as a 
position previously held by the released employee in a federal agency. 
The employee must have held the previous position as a competing 
employee, i.e., the employee must not have been on detail, on a time-
limited promotion, or on a temporary appointment with less than 1 year 
of continuous service in the position.

b. An employee with an overall performance appraisal average below 1.5 
cannot retreat to a position occupied by an employee with an overall 
average of 1.5 or higher.

6. GRADE/BAND LIMTYS. Except as allowed in para. e below, the grade/band 
limits for bumping and retreating are as follows:

a. General Schedule positions. The limit for general schedule positions 
is three grades or grade intervals below the position from which the 
employee is released. The grade limits are determined by the grade 
progression of the position from which the employee is released. For 
example, a GS-11 employee in a one-grade interval position may move 
three grades lower to GS-8; a GS-11 employee in a two-grade interval 
position may move three grade intervals lower to GS-5.

b. Wage Grade positions. The limit for wage grade positions is three 
grades or grade intervals below the position from which the employee is 
released using the normal line of progression established by GAO for 
the position. For example, if the normal line of progression for a WG-
12 position in a particular series is determined to be WG-5-8-10-12, 
the WG-12 employee may move to positions as low as WG-5.

c. Banded Positions - Analysts and Related Positions. The limit for 
banded positions in the analyst pay-for-performance system is band I.

d. Banded Positions - Attorneys. The limit for banded positions in the 
attorney pay-for-performance system is band ID for band 11 and 1F 
positions.

e. Special Provision for Subgroup AD. The retreat limit for 30 percent 
disabled veterans is one band lower or two grades lower than the limits 
stated in para. 6a. The bump limit for 30 percent disabled veterans is 
the same as for subgroups A and B.

Example: The lowest level to which a GS-13 AD in a two-grade interval 
position can retreat is to a GS-5 and bump is to a GS-9.

7. USE OF VACANCIES.

a. Agency discretion. This order does not require GAO to fill vacant 
positions. However, if at its discretion, GAO chooses to fill a vacancy 
with an employee who has been reached for release from a job group, 
then the provisions of this section apply.

b. Using vacancies to satisfy an assignment right. An employee's 
assignment right may be satisfied by assigning the employee to a vacant 
position in the same zone of consideration, including a temporary 
position that will last at least 3 months. The employee's right to the 
position is determined in the same way as the right to bump or retreat 
insofar as the vacant position must be within the grade/band 
limitations in para. 6 above, and the employee's right to the position 
is based on tenure group and subgroup superiority (a released employee 
in subgroup I-A is offered assignment to a vacant position before 
offering assignment to a released employee in subgroup I-B).

c. Using vacancies to place employees in lieu of separation. If a 
vacancy is being offered to place an employee in lieu of separation:

(1) the grade/band limits do not apply;

(2) the restriction on assignment to positions with different work 
schedules does not apply; GAO may offer a vacant part-time position to 
a full-time employee and or offer a vacant full-time position to a 
part-time employee, and:

(3) placements must be made in accordance with merit promotion 
requirements if the offered position has more promotion potential than 
the employee's present position.

d. Waiver of Qualification Requirements. Unit heads may request 
approval from the human capital officer to waive qualification 
standards and requirements, except for minimum education requirements, 
in offering an employee released from ajob group assignment to a 
vacancy. The human capital officer may approve such requests when it is 
in the interest of GAO and will not cause undue interruption. The 
employee must have the capacity, adaptability, and special skills 
needed to satisfactorily perform the duties and responsibilities of the 
position.

8. QUALIFICATIONS:

a. Except as provided in para. 7d, to be qualified for assignment to an 
available or a vacant position, an employee must:

(1) meet the GAO qualification requirements for the position including 
any minimum education requirements and any selective placement factors 
established for the position. These requirements are typically 
expressed in terms of various kinds and levels of experience, 
education, and/or training and, for most positions, require at least 
one year of specialized experience equivalent to the next lower grade/
band. Specialized experience is experience that is in, or related to, 
the work of the position being filled.

(2) be physically qualified, with reasonable accommodation where 
appropriate, to perform the duties of the position; and:

(3) have the capacity, adaptability, and special skills needed to 
satisfactorily perform the duties of the position without undue 
interruption. The employee ought to be as well qualified for the 
position as if he or she had already performed successfully in a 
similar position.

b. An employee who is released from a job group during a leave of 
absence because of a compensable injury may not be denied an assignment 
right solely because the employee is not physically qualified for the 
duties of the position if the physical disqualification resulted from 
the compensable injury. Such an employee must be afforded appropriate 
assignment rights subject to recovery, as provided by 5 U.S.C. 8151.

c. If GAO determines, on the basis of evidence before it, that a 
preference eligible employee with a compensable service-connected 
disability of 30 percent or more is not able to fulfill the physical 
requirements of a position to which the employee would otherwise have 
been assigned under this chapter, the employee shall be notified of 
GAO's decision and to be given an opportunity to respond to the 
qualifications determination. The employee will have 15 days to respond 
to the human capital officer. The human capital officer will review the 
record of the proposed disqualification, including the employee's 
response, and notify the employee of the final determination.

d. When an employee's assignment right can be satisfied only by an 
offer of a position requiring a security clearance, the assignment will 
generally not be denied solely because the employee does not have the 
appropriate security clearance. However, GAO may consider whether the 
time period required to obtain a security clearance will result in 
undue interruption to the program, and will apply that standard in 
assessing whether the employee should be considered qualified for the 
assignment.

c. GAO may ask employees to update their qualifications statements 
(e.g., OF-612, resume, etc.) prior to a WRA and may establish a formal 
deadline for the receipt of such material. GAO is not obligated to 
consider material received after the deadline in determining an 
employee's qualifications for assignment to other positions.

CHAPTER 5. NOTICE TO EMPLOYEES:

1. NOTICE PERIOD.

a. Except as provided in para. 1 b, each employee identified for 
release from a job group is entitled to a specific written notice at 
least 60 days before the effective date of release. There is no maximum 
notice period.

b. When a WRA is caused by circumstances not reasonably foreseeable, 
the comptroller general or designee may authorize a notice period of 
less than 60 days but at least 30 days before the effective date of the 
personnel action caused by WRA.

c. The notice period begins the day after the employee receives the 
notice.

2. INFORMATIONAL NOTICES. GAO may, at its discretion, issue an advance 
informational notice to alert employees that workforce restructuring 
may be necessary. However, an informational notice does not satisfy an 
employee's right to a specific notice, nor does an informational notice 
count toward the mandatory notice period for a specific notice.

3. CONTENT OF SPECIFIC NOTICE. A notice will state specifically:

a. the personnel action to be taken, reason for the action and its 
effective date;

b. the employee's zone of consideration, job group, tenure group, 
veteran's preference subgroup, retention score, service computation 
date, most recent annual appraisal score, overall performance appraisal 
average and credit for other objective factors;

c. the place where the employee may inspect the order and records 
pertinent to this case;

d. the employee's right to appeal to the GAO Personnel Appeals Board, 
where applicable, or other rights which may be available;

e. procedures applicable to the identification of the employee for 
release;

f. the employee's ranking relative to other competing employees and how 
such ranking was determined; and:

g. eligibility for reemployment priority.

4. EXPIRATION OF NOTICE. A notice expires when followed by the action 
specified or by an action less severe than specified in the notice or 
in an amendment to the notice. No action will be taken prior to the 
effective date stated in the notice.

5. NEW NOTICE REQUIREMENTS. An employee i s entitled to a new written 
notice of at least 60 days (or 30 days if such a period was authorized 
under para. lb of this chapter), if GAO decides to take an action more 
severe than that first specified. A new 60-day notice period is not 
required when the same, or a less severe, action than specified in the 
prior notice is taken.

6. STATUS DURING NOTICE PERIOD. Employees will remain in an active duty 
status or will be placed on administrative leave, at management's 
discretion, during the notice period.

7. CERTIFICATION OF EXPECTED SEPARATION. For the purpose of enabling 
otherwise eligible employees to be considered for eligibility to 
participate in dislocated workers programs under the Job Training 
Partnership Act administered by the U.S. Department of Labor, the human 
capital officer may issue a Certificate of Expected Separation to a 
competing employee whom GAO believes, with a reasonable degree of 
certainty, will be separated from federal employment under this order.

8. EMPLOYEE ENTITLEMENT TO FEDERAL BENEFITS. Employees who receive a 
specific notice of separation or demotion as provided for in para. 3 of 
this chapter may be eligible for certain benefits subject to GAO and 
federal regulations as follows:

a. Grade/Band and Pay Retention. Employees who are demoted under the 
provisions of this order are eligible for grade and pay retention 
subject to the provisions of GAO Order 2536.1, Grade and Pay Retention.

b. Severance Pay. Employees who are separated under the provisions of 
this order are eligible for severance pay subject to 5 C.P.R., subpart 
G.

c. Retirement. Employees' eligibility for discontinued service 
retirement is subject to 5 C.F.R., part 831 (Civil Service Retirement 
System) and parts 841 through 846 (Federal Employees' Retirement 
System.):

d Repromotion. Employees who are demoted under the provisions of this 
order are eligible for repromotion consideration subject to GAO Order 
2531.4, Priority Referral and Repromotion Program.

e. Reemployment. Employees who are separated under the provisions of 
this order are eligible for reemployment consideration subject to GAO 
Order 2531.3, Reemployment Priority Program.

CHAPTER 6. APPEALS:

1. GENERAL.

a. An employee who has been furloughed for more than 30 days, 
separated, or demoted by an action taken under this order may file an 
appeal with the GAO Personnel Appeals Board (PAB) if he or she believes 
that the regulations in this order have not been followed. With regard 
to claims of prohibited personnel practice(s), an employee may file 
with the PAB in accordance with 4 CFR, Part 28. With regard to claims 
of discrimination, an employee may file with the Office of Opportunity 
and Inclusiveness in accordance with GAO Order 2713.2, "Discrimination 
Complaint Processing" or in some circumstances with the PAB in 
accordance with 4 C.F.R. 28.98(c). An employee who accepts an offer of 
assignment to another position at the same grade/band or the same 
representative rate may not appeal the action to the PAR:

b. An appeal must be filed with the PAB during the 30-day period 
beginning with the day after the effective date of the action.

c. A final decision of the General Accounting Office Personnel Appeals 
Boards maybe reviewed by the United States Court of Appeals for the 
Federal Circuit consistent with 31 U.S.C. 755.

CHAPTER 7. VOLUNTARY RELEASE ACTIONS:

1. GENERAL.

a. When GAO separates an employee under the provisions of this order, a 
permanent employee who is unaffected by any WRA may volunteer to take 
the place of an affected employee. The volunteer must occupy the same 
or a similar position as the affected employee. Where it is determined 
that the otter will promote the efficiency of the agency and minimize 
disruption, GAO may accept the volunteer's offer. In that case, the 
volunteering employee will be released without regard to his or her 
retention standing and will receive a specific notice of separation. 
Employees released under this provision will be involuntarily 
separated.

b. Employees released under this provision who meet eligibility 
requirements for severance pay will receive the full amount of the 
severance pay to which they are entitled.

c. Employees released under this provision who would be eligible for an 
annuity may apply for an annuity based on discontinued service 
retirement and cannot receive severance pay.

CHAPTER 8. TRANSFER OF FUNCTION:

1. APPLICABILITY.

a. A transfer of function is (1) the transfer of the performance of a 
continuing function from one zone of consideration to another zone in 
GAO or to another federal agency, or (2) the movement of the zone of 
consideration in which a function is performed to another commuting 
area. There is no transfer of function if the function continues in the 
losing zone; was already being performed, prior to the transfer, in the 
gaining zone; or the function is not expected to continue for more than 
60 days at the gaining zone.

b. "Losing zone" refers to the zone of consideration or other federal 
agency from which a function is being transferred; "gaining zone" 
refers to the zone of consideration or other federal agency to which 
the function is being transferred. Zones of consideration are those 
established in accordance with ch. 2 of this order.

c. Where a function is transferring between GAO and another federal 
agency, the provisions of this chapter apply only to the GAO portion of 
the transfer.

d. Where two or more related functions are being transferred at the 
same time from one zone to another, GAO may consider the multiple 
functions as a single function for purposes of determining transfer 
rights.

2. DETERMINING THE NUMBER OF POSITIONS PERFORMING THE FUNCTION. Once it 
has been determined that a transfer of function under this chapter will 
occur, management in the losing zone will determine the number of 
positions that it has needed to perform the function.

3. IDENTIFYING COMPETING EMPLOYEES WITH THE FUNCTION.

a. Employees will be identified with the function based on work 
performed during a defined period of time preceding the transfer. The 
same period of time will be used for identifying all employees 
performing the function. The minimum period is 90 days; the maximum is 
one year. Employees, who prior to the transfer, have been reassigned to 
a function other than that being transferred, are not considered in the 
identification of employees for transfer.

b. Management in the losing zone will identify the competing employees 
performing the function using the two methods set out below. 
Identification with the function is based on the employees' official 
position band descriptions of record. In determining the percentage of 
time that an employee spends performing the function, Time and 
Attendance Reports, organizational reports, work products, and other 
evidence may be considered.

(1) Method One. Under this method, a competing employee is identified 
with a function if the employee performs the function during the 
majority of his or her work time, or if, regardless of the amount of 
time the employee performs the function, the function includes the 
duties which control the employee's grade or band.

(2) Method Two. Under this method, which is used if method one is not 
applicable, employees are identified with the function if they perform 
the function during less than half their work time and if the duties of 
the function do not control the employees' grade or band. Management 
may decline to identify employees who perform the function during a 
very limited portion of their work time.

4. DETERMINING WHICH EMPLOYEES HAVE TRANSFER RIGHTS.

a. All employees identified under method one have transfer rights. 
Unless transfer is precluded by reasons beyond the control of GAO, 
these employees may not be separated or demoted by WRA (see para. 8, 
below). The number of method one employees transferring may exceed the 
number of positions identified under para. 2, above.

b. Unless agreed otherwise by the losing and gaining zones, the number 
of method two employees who will transfer with the function will not 
exceed (1) the number of positions identified as needed to perform the 
work minus (2) the number of method one employees who are transferring. 
Unless transfer is precluded by reasons beyond the control of GAO, 
fewer employees may be transferred only if doing so will not lead to 
the separation or demotion of an employee who would otherwise have the 
right to transfer under this chapter.

c. No employee has the right to transfer with the function unless the 
alternative is separation or demotion in the losing zone.

d At any time prior to the transfer of function, management in the 
losing zone may change the responsibilities or reassign employees 
performing the function, as a result of which they no longer perform 
the function.

e. Once the losing zone decides how many employees within a particular 
job group will transfer, identification of the specific employee(s) who 
will transfer is based on retention standing. Specifically, where some 
but not all method two employees in a job group will be transferred 
with the function, the losing zone will establish retention registers 
following the criteria set out in ch. 2 of this order (that is, 
employees in the job group will be ranked based on their tenure group, 
veteran preference subgroup, and retention score). These retention 
registers will differ from WRA retention registers in one respect only: 
they will include only employees identified under method two. Where 
management decides to transfer none, or all, of the method two 
employees in a particular job group, no retention registers need be 
established.

(1) If management decides to transfer one or more employees in a 
particular job group, the employees to be transferred will generally be 
selected based on inverse retention standing (that is, beginning with 
the employee at the bottom of the retention register), except as 
provided in (2) below.

(2) If the losing zone is concurrently conducting a WRA, and some of 
the employees in the job group will be separated or demoted by WRA if 
they are not transferred, those employees may have transfer rights. 
These transfer rights are implemented by selecting employees for 
transfer based on actual retention standing (that is, beginning with 
the employee with the highest retention standing among the employees 
for whom the alternative is separation or demotion). Para. 8, below, 
addresses concurrent WRAs and transfers of function.

^ If an employee identified for transfer declines to transfer, the 
losing zone may separate the employee under adverse action procedures 
pursuant to GAO Order 2752.1. Such separation may not occur prior to 
the date of the transfer of function.

5. VOLUNTEERS FOR TRANSFER GAO may permit other employees to volunteer 
for transfer with the function in lieu of employees identified by 
management. However, transfer of volunteers is not permitted where it 
would cause any competing employee identified under method one or two 
to be separated or demoted. If the number of volunteers exceeds the 
number of positions needed to perform the function in the gaining zone, 
preference will be given based on the retention standing of the 
volunteers.

6. NOTICE PERIOD. Except where exigent circumstances necessitate a 
shorter period, employees identified for a transfer of function are 
entitled to specific written notice at least 60 days before the date of 
the transfer of function advising them that they have been identified 
for transfer, the basis for that identification, and the effect of 
declining to transfer with the function.

7. EFFECT ON GAINING ZONE OF CONSIDERATION.

a. The transfer of function provisions do not affect employees of the 
gaining zone unless that zone conducts a WRA under this order.

b. If the gaining zone does conduct a WRA at the time of the transfer 
of function or later, the WRA will be conducted consistent with the 
order. Transferring employees will compete in the WRA on retention 
registers that will include both the transferring employees and 
employees already working in the gaining zone at the time of transfer. 
Any assignment rights of the transferred employees will be in the 
gaining zone rather than the losing zone.

8. COORDINATION BETWEEN A TRANSFER OF FUNCTION AND A WRA IN THE LOSING 
ZONE.

a. The losing zone may not carry out a WRA solely for employees who 
decline to transfer with their function. If that zone is conducting a 
concurrent WRA, however, employees identified under method two maybe 
included in that WRA. A WRA is considered concurrent if the effective 
date of WRA notices is expected to be within 60 days of the date of the 
transfer of function.

b. Where a transfer of function and a WRA are to occur concurrently in 
the losing zone, GAO will coordinate them to the maximum possible 
extent. In particular, before an employee performing the transferring 
function may be separated or demoted as part of the WRA, it must be 
determined whether the employee has transfer rights under this chapter.

Appendix 1. Performance Appraisal Score Conversion:

1. General Information. In order to convert an overall performance 
appraisal average into points for a retention score, you must first 
determine the factors upon which the retention score will be based. 
Retentions scores may be based on:

a. Retention Based on Overall Performance Appraisal Average and Federal 
Service Only. The maximum number of performance points when a retention 
score is based on appraisals and service only is 65. Performance points 
will be determined using the following equation:

(16 x Overall performance appraisal average) -15 = performance points.

b. Explanation of Equation in Para. la.. This equation calculating the 
values awards 65 points (the maximum) for the highest possible 
appraisal average of 5.0 and 9 points for the appraisal average of 1.5 
(meets expectations.) The equation determines the value of all 
appraisal averages that fall between the highest and lowest values when 
x = performance appraisal average and y = performance points.

(1.5, 9) (5.0, 65) m=56/3.5=16 y-9=16 (x-1.5) y-9=16x-24 y = 16x - 15:

c. Retention Based on Overall Performance Appraisal Average, Federal 
Service and Other Objective Factors. The maximum number of performance 
points when a retention score is based on appraisals, service and other 
objective factors is 50. Performance points will be determined using 
the following equation:

(12 x Overall performance appraisal average) -10 = performance points.

d. Explanation of Equation in Para. lc. This equation calculating the 
values awards 50 points (the maximum) for the highest possible 
appraisal average of 5.0 and 8 points for the appraisal average of 1.5 
(meets expectations.) The equation determines the value of all 
appraisal averages that fall between the highest and lowest values when 
x - performance appraisal average and y = performance points.

(1.5, 8) (5.0, 50) m - 42/3.5 = 12 y-8=12 (x-1.5) y-8=12x-18 y - 12x - 
10:

2. Examples. Using an overall appraisal average of 3.5119, an example 
of a calculation using each of the equations cited is provided below.

 

a. Overall performance appraisal average and federal service (65-point) 
equation: (16 x Overall performance appraisal average) - 15 = 
performance points Example: (16 x 3.5119) - 15 --41.1904:

b. Overall performance appraisal average, federal service and other 
objective factors (50-point) e uq ation:

(12 x Overall performance appraisal average) - 10 =performance points 
Example: (12 x 3.5119) - 10 = 32.1428:

[End of section]

Appendix III: GAO Order 2319.1:

Order  

GAO SENIOR LEVEL POSITIONS:



United States:

General Accounting Office Operations Manual:

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Order:

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GAO SENIOR LEVEL POSITIONS March 22, 2001:

 

TABLE OF CONTENTS:

CHAPTER I.; INTRODUCTION; 

1. Purpose, Scope, and Applicability: 

2. Supersession: 

3. References: 

4. Responsibilities: 

CHAPTER 2.; SENIOR LEVEL SYSTEM; 

1. Applicability of Senior Executive Service Order to Senior Level 
Positions:

2. Objectives: 

3. Establishing SL Positions: 

4. Qualification Standards: 

5. Types of SL Appointments: 

6. Merit Staffing Process: 

7. Career Reassignments: 

8. Reinstatement in SL Positions: 

9. Reemployment and Restoration Rights: 

CHAPTER 3.; SENIOR LEVEL PERFORMANCE APPRAISAL; 

1. Purpose and Uses: 

2. Establishing SL Performance Contracts: 

3. Performance Appraisal: 

4. Responsibilities: 

APPENDIX 1.; INSTRUCTIONS FOR SL PERFORMANCE CONTRACT/ASSESSMENT: 

APPENDIX 2.; OVERVIEW OF PERSONNEL PROVISIONS, INCENTIVES, AND 
BENEFITS BY TYPE OF APPOINTMENT FOR SL POSITIONS:

United States General Accounting Office Operations Manual:

Order 2319.1:

March 22, 2001:

Subject: GAO SENIOR LEVEL POSITIONS:

CHAPTER 1. INTRODUCTION:

1. PURPOSE, SCOPE, AND APPLICABILITY. This order describes GAO Senior 
Level (SL):

positions established by Pub.L.106-303. October 13, 2000, and states the 
policies for appointing, reassigning, developing, evaluating, and 
compensating GAO SL staff. These policies apply to all applicants for 
or incumbents of SL positions except where otherwise noted.

2. SUPERSESSION. This is anew GAO order being issued for the first time.

3. REFERENCES.

a. 31 U.S.C.  732a as amended by Pub. L. 106-303, October 13, 2000.

b. Civil Service Reform Act of 1978 (Pub.L.95-454, October 13, 1978).

c. 31 U.S.C.  731-33.

d. GAO Order 2317.1, GAO's Senior Executive Service.

e. GAO Order 2352.1, Reemployment Rights Resulting from Employment 
Outside of GAO.

f. GAO Order 2353.1, Reemployment Rights of Employees of the Uniformed 
Services.

g. GAO Order 2810.1, Line-of-Duty Injury Benefits for GAO Employees 
Under the Federal Employees' Compensation Act.

4. RESPONSIBILITIES.

a. The Chief Mission Support Officer. The Chief Mission Support Officer 
has overall program responsibility for SL positions including human 
capital planning, position management, staffing and forecasting, 
training, and pay administration.

b. GAO Executive Committee. The GAO Executive Committee, consisting of 
the Comptroller General, Chief Operating Officer, Chief Mission Support 
Officer and General Counsel of the GAO:

(1) establishes policy for SL staffing, performance appraisal, rewards, 
removal, and reduction in force; and:

(2) determines bonuses and rank awards.

c. Executive Resources Board. The Executive Resources Board (ERB) 
oversees and makes recommendations to the Comptroller General 
concerning the merit staffing process for SL positions and reviews the 
qualifications of career appointees. At the request of an SL member, 
the ERB reviews the overall performance rating assigned to the member 
and, if warranted, makes changes in the rating.

d. Managing Directors. With respect to the SL employees they supervise, 
Managing Directors, or their designees, are responsible for defining 
duties and responsibilities, developing position descriptions, setting 
performance expectations and evaluating performance, initiating 
training and development, and carrying out such other responsibilities 
as deemed appropriate.

e. Human Capital Officer. The Human Capital Officer assists the GAO 
Executive Committee, the ERB and the Managing Directors in executing 
their SL management functions and responsibilities.

CHAPTER 2. SENIOR LEVEL SYSTEM:

1. APPLICABILITY OF SENIOR EXECUTIVE SERVICE ORDER TO SENIOR LEVEL 
POSITIONS. 31 U.S.C.  732a as amended by Pub. L. 106-303, October 13, 
2000, established GAO SL positions that are subject to the same laws 
and regulations that are applicable to the GAO Senior Executive Service 
(SES) under title 3 I U.S.C.  733, with respect to rates of basic pay, 
performance appraisal, performance awards and ranks, carry-over of 
annual leave, benefits, removal or suspension, and reduction in force. 
Therefore, this order incorporates by reference the following 
provisions of GAO Order 2317.1, GAO's Senior Executive Service which 
are applicable to SL positions:

a. Chapter 4, Pay, in its entirety;

b. Chapter 6, Performance Appraisal, para. 3 (Performance Appraisal);

c. Chapter 6, Performance Appraisal, para. 4 (Responsibilities);

d. Chapter 7, Recognition and Incentives, in its entirety;

d. Chapter 8, Removal, Suspension, Reduction in Force, Furlough, in its 
entirety;

f. Chapter 9, Other Provisions Affecting SES Members, in its entirety; 
and:

g. Appendix 4, Reduction in Force Procedures in the SES, in its 
entirety.

2. OBJECTIVES. The purpose of GAO SL positions is to be responsive to 
GAO's needs, policies, and goals and otherwise be ofthe highest 
quality. To achieve this purpose, GAO SL positions are to be 
administered with the following objectives:

a. attracting and retaining highly competent SL staff,

b. assigning SL staff where they will be most effective in 
accomplishing GAO's mission; c. providing for the selection and 
development of SL staff,

d. holding SL staff accountable for their effectiveness and 
productivity; 

e. rewarding outstanding performers;

f. dealing with poor performance; and:

g. providing an SL personnel system free of prohibited personnel 
practices. 

3. ESTABLISHING SL POSITIONS.

a. Criteria for Determining SL positions. An SL position is a position 
which is properly classified above the Band III/GS-15 level or in level 
V of the Executive Schedule (or their equivalents) and which carries 
out critical scientific, technical or professional work of the GAO. 
These positions do not generally include managerial or supervisory 
responsibilities.

b. Position Descriptions. Position descriptions and qualifications 
standards are developed by the immediate supervisor of the position and 
the Director, Center for Recruitment and Human Capital Operations and 
are approved by the Human Capital Officer. Approved position 
descriptions and qualification standards are on file in Center for 
Recruitment and Human Capital Operations.

4. QUALIFICATION STANDARDS. Qualification standards for individual SL 
positions or for groups of similar positions are based on ajob analysis 
which identifies the scientific/tcehnical/professional skills, 
knowledge, abilities, and other qualifications which would enable an 
individual to perform these duties and meet responsibilities and 
performance expectations. The standards must be job related and devoid 
of criteria prohibited by law or regulation, e.g., race, color, 
religion, sex, national origin, age, disability, political affiliation, 
marital status, or sexual orientation.

5. TYPES OF SL APPOINTMENTS.

a. Career Appointments. Career appointments are made without time 
limitation under the following conditions:

(1) selection under competitive procedures for an initial appointment to 
a SL position;

(2) selection under noncompetitive procedures based on transfer without 
a break in service of an SL employee serving in a permanent, continuing 
career-type position in the executive branch SL or another federal 
system equivalent to the SL;

(3) selection under noncompetitive procedures based on transfer without 
a break in service of an SES employee serving in a permanent, 
continuing career-type position in the executive branch SES or another 
federal system equivalent to the SES;

(4) selection under noncompetitive procedures based on reinstatement of 
a SL or SES career appointee who has successfully completed a I -year 
probationary period and left for reasons other than misconduct, neglect 
of duty, malfeasance, or less than fully successful performance; or:

(5) appointment to an SL position from a GS-15 or a band equivalent 
position under noncompetitive procedures when the employee's position 
is reconstituted in the SL due to the accretion of higher level duties 
and responsibilities. The SL position must be the clear successor to 
the former position having absorbed the duties of the former position, 
that is, the incumbent continues to perform all the basic functions of 
the former position in addition to the higher-level functions.

b. Limited Term Appointments.

(1) Limited term appointments under 31 U.S.C.  731(e)(1) for up to 3 
years, that may be renewed for an additional 3 years, are made without 
competition based on GAO certification that the appointee meets the 
qualification of the SL position.

(2) For competitive time-limited appointments, see GAO Order 2316.1, 
Competitive Time-Limited Employment.

6. MERIT STAFFING PROCESS.

a. Recruitment Area. Recruitment of career appointees includes, at a 
minimum, all groups of qualified individuals within GAO. GAO may also 
recruit qualified individuals who occupy positions in the executive, 
judicial, and legislative branches, or qualified individuals from 
outside the government when deemed appropriate.

b. Vacancy Announcements. GAO SL vacancies for career appointees must 
be open for a minimum period of 14 calendar days. The announcement 
specifies the qualification requirements and the forms and procedures 
for applying for vacancies.

c. Qualifications. A determination must be made that a candidate for 
initial career appointment to a GAO SL position possesses sufficient 
breadth and depth of scientific/technical/professional qualifications.

d. Evaluation Process. All eligible candidates are evaluated on the 
basis of job-related factors. The ERB or a panel considers the 
qualifications of candidates, including making reference checks as 
appropriate. The ERB or a panel makes recommendations to the 
Comptroller General or designee, who makes the selection. Appropriate 
records will be maintained to document the process.

e. Applicant Inquiries. Applicants are entitled, upon request, to know 
whether they were found eligible for the position and whether they were 
referred to the selecting official for consideration for appointment.

f. Probationary Period. Each new career appointee in an SL position 
must serve a 1-year probationary period, before the appointment becomes 
final, unless a probationary period was completed in another GAO SL or 
SES position. An SL employee who has completed a probationary period 
elsewhere in government must still serve a 1-year GAO probationary 
period.

7. CAREER REASSIGNMENTS.

a. Conditions. An SL career appointee may be reassigned to fill another 
SL or SES position for which the individual is qualified. Ifthe new 
position is within the local commuting area (non-geographic 
reassignments) the appointee will receive at least 15 days notice prior 
to the effective date, except in cases of emergency or when the SL 
employee agrees to a lesser notice period. For reassignments outside the 
commuting area (geographic reassignments), the appointee is given, 
prior to the reassignment, reasonable notice which will not be less 
than 30 days, except in cases of emergency or where the SL employee 
agrees to a lesser advance notice period. The SL employee may elect to 
waive the notice period by submitting a waiver to the Chicf Human 
Capital Officer. GAO pays for applicable relocation expenses connected 
with a directed reassignment to a different commuting area.

Note: An SES career appointee may be reassigned to fill another SL 
position for which the individual is qualified under the same 
conditions in para. 7a of this chapter.

b. 120-day Moratorium. A career appointee may not be involuntarily 
reassigned within 120 calendar days after the appointment of a new 
Comptroller General.

c. Failure to Accept a Directed Reassignment. In cases where the 
proposed reassignment requires geographic relocation of the career 
appointee to a different commuting area, the individual may decline the 
reassignment and is entitled to discontinued service retirement, if 
eligible (see GAO Order 2317.1, GAO's SES).

8. REINSTATEMENT IN SL POSITIONS. Reinstatement in an SL position as a 
career appointee is limited to individuals with prior career service in 
an SL or SES position (1) who have successfully completed the 1-year 
St, or SES probationary period, and (2) who left an SL or SES position 
for reasons other than misconduct, neglect of duty, malfeasance, or 
less than fully successful performance. Reinstatement is not subject to 
merit staffing requirements nor must the position be advertised, but 
the individual must meet the qualification requirements of the position 
to which reinstated.

9. REEMPLOYMENT AND RESTORATION RIGHTS.

a. Reem llooyment Rights. Reemployment rights for SL staff apply when 
accepting assignments covered in GAO Order 2352.1, Reemployment Rights 
Resulting from Employment Outside of GAO.

b. Restoration Rights. Restoration rights for SL stafffollowing 
military duty is covered in GAO Order 2353.1, Reemployment Rights of 
Employees of the Uniformed Services. Restoration rights for SL staff 
following recovery from compensable injury is covered in GAO Order 
2810.1, Line-of-Duty Injury Benefits for GAO Employees Under the 
Federal Employees' Compensation Act.

CHAPTER 3. SENIOR LEVEL PERFORMANCE APPRAISAL:

1. PURPOSE AND USES. GAO SL performance appraisal is established to:

a. enhance individual motivation and encourage excellence in GAO SL 
positions;

b. increase scientific, technical, professional and organizational 
effectiveness;

c. systematically appraise and fairly and accurately reflect the 
performance of each employee; and:

d. identify performance deserving special recognition and awards.

2. ESTABLISHING SL PERFORMANCE CONTRACTS. Performance contracts must be 
established for all SL employees. The contract provides a documented 
record of management expectations and individual job accomplishments. 
Contracts will be established between the SL employee and the 
supervisor, but the supervisor has the final authority for approval of 
the contract.

a. Form. See app. I for instructions for completing GAO Form 57813, SL 
Performance Contract/Assessment.

b. Appraisal Criteria. Appraisals of performance of SL employees will 
be based on the individual's performance taking into account the 
following factors:

work results,

(2) improving professional competence,

thinking critically, and:

(4) collaborating with others.

3. PERFORMANCE APPRAISAL. This order incorporates by reference ch. 6, 
para. 3, Performance Appraisal, of GAO Order 2317.1, GAO's Senior 
Executive Service which is applicable to SL positions.

4. RESPONSIBILITIES. This order incorporates by reference ch. 6, para. 
4, Responsibilities, of GAO Order 2317.1, GAO's Senior Executive 
Service which is applicable to Sl, positions.

APPENDIX 1. INSTRUCTIONS FOR SL PERFORMANCE CONTRACT/ASSESSMENT:

This appendix provides instructions for completing GAO Form 57813, SL 
Performance Contract/Assessment, which is a one-page form with three 
parts to be completed for each SL employee no matter what type of 
appointment the individual occupies. Part 1 is completed at the 
beginning of each assessment period by the SL employee being rated. 
Part 2 is completed at the end of the assessment period by both the 
ratee and his or her supervisor. Part 3 is also completed at the end of 
the assessment period by the ratee's supervisor. SL employees on duty 
less than 120 days as of the end of the assessment period do not 
receive an appraisal for the current year. Their performance during 
this time, however, will be included in the following year's appraisal.

Form 57813 is designed to capture the information needed to serve the 
purposes of GAO SL performance appraisal. Each part of the form 
provides only a limited amount of space to highlight the most relevant 
aspects of the SL employee's performance. The form is designed with 
blank spaces to accommodate the entry of the unique and specialized 
performance requirements of the position.

Instructions for completing each part of form 57813 follow.

IDENTIFYING INFORMATION:

The top of form 57813 asks for information to identify the SL employee 
and the period covered by the appraisal. Space is provided for the 
name; dates of the rating period; and the employee's level, title and 
unit. A ratee may also use the title/unit space to record any special 
responsibilities or tasks not evident from his or her title.

PART 1: INDIVIDUALIZED PERFORMANCE OBJECTIVES:

Part I is used by the SL employee being rated to include the 
performance objectives that have been agreed to by the ratee and his or 
her immediate supervisor. Individualized performance objectives can be 
tailored to each SL employee based on his or her unique role as 
determined by the supervisor. Performance expectations may be critical 
or noncritical based on input from the SL employee, however, the 
supervisor makes the final decision.

PART 2: OVERALL ACHIEVEMENTS:

Part 2 is used by the SL employee being rated to provide a narrative of 
key accomplishments that support how well his or her performance at the 
end of the assessment period addressed the requirements of his/her 
position. Space is provided for four standard elements of achievement: 
work results, improving professional competence, thinking critically, 
and collaborating with others. In addition, space is provided for a 
fifth objective which can be used to record any other achievements, 
including those which are unit-or position-specific, that the 
supervisor deems to be relevant.

Part 2 is also used by the ratee's immediate supervisor to check the 
appropriate rating box for each element of achievement to indicate the 
degree to which the ratee's overall achievements satisfied the 
performance objectives. In making this assessment, the supervisor also 
considers the substance and level of efforts made and other available 
information. Three levels of achievement are possible:

--exceeded expectations, --met expectations, and:

--did not meet expectations.

PART 3: SUPERVISOR'S ASSESSMENT OF PERFORMANCE:

Part 3 is used by the immediate supervisor to provide a proposed 
overall rating. The following five levels of performance are possible 
for this overall rating:

--exceptional, --superior,

--fully successful,

--minimally satisfactory, and --unsatisfactory.

At his or her discretion, the supervisor may include a brief narrative 
assessment of the ratee's overall performance. If called upon later, 
the supervisor must be able to articulate more detailed reasons for 
specific ratings. This is especially important when a supervisor 
decides a ratee's performance is other than Fully Successful.

APPENDIX 2. OVERVIEW OF PERSONNEL PROVISIONS, INCENTIVES, AND BENEFITS 
BY TYPE OF APPOINTMENT FOR SL POSITIONS:

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