OPM.GOV MARCH 2017

Workforce Reshaping

Operations Handbook

A Guide for Agency Management

and Human Resource Offices

United States Office of Personnel Management
Table of Contents 

Purpose of the Workforce Reshaping Operations Handbook............................................. 3 

Audience ............................................................................................................................. 3 

Materials needed ................................................................................................................. 3 

How the handbook is organized.......................................................................................... 3 

Chapter I: Management’s Role and Responsibilities......................................................... 4 

Section A: Developing, Reviewing, and Analyzing Mission Requirements ................ 4
 

Section B: Identifying Critical Management Considerations When Reshaping ........ 5
 

Section C: Minimizing the Need for Reduction in Force as a Result of Reshaping 6
 

Section D: Deciding Whether to Implement a RIF.................................................... 12
 

Section E: Communicating the Reshaping Effort...................................................... 12
 

Chapter II: Human Resource’s Role and Responsibilities............................................... 13 

Section A: Establishing the Human Resources Office’s RIF Team ......................... 13
 

Section B: Taking Preliminary Actions ...................................................................... 19
 

Section C: Preparing and Using Retention Registers ................................................ 19
 

Section D: Determining Rights to Other Positions..................................................... 19
 

Section E: Issuing RIF Notices................................................................................... 20
 

Section F: Counseling Employees on Procedures and Options................................. 21
 

Chapter III: Reduction in Force........................................................................................ 22 

Section A: Management Rights .................................................................................. 22
 

Section B: Compliance with the RIF Regulations ..................................................... 23
 

Section C: Coverage of the RIF Regulations ............................................................. 23
 

Section D: Reorganization, Misclassification, and Job Erosion ............................... 28
 

Section E: Competitive Area........................................................................................ 29
 

Section F: Competitive Level....................................................................................... 33
 

Section G: Establishing Retention Registers.............................................................. 38
 

Section H: Determining Employees’ Retention Standing.......................................... 39
 

Section I: Retention Tenure Groups........................................................................... 40
 

Section J: Veterans’ Preference in RIF...................................................................... 42
 

Section K: RIF Service Credit..................................................................................... 44
 

Section L: Additional RIF Service Credit for Performance ...................................... 45
 

Section M: Personnel Records in RIF........................................................................ 51
 

Section N: Release From the Competitive Level ........................................................ 52
 

Section O: Actions Following Release From the Competitive Level......................... 58
 

Section P: Determining Employees’ Assignment Rights ........................................... 58
 

Section Q: Bump and Retreat for Assignment ........................................................... 62
 

Section R: Vacancies for Assignment......................................................................... 64
 

Section S: Vacant Temporary Positions as Placement Offers ................................... 68
 

Section T: Consideration of Grades in Assignment................................................... 69
 

Section U: Consideration of Representative Rates in Assignment ............................ 73
 

Section V: Consideration of Qualifications in Assignment....................................... 74
 

Section W: Trainee and Developmental Positions for Assignment........................... 78
 

Section X: Consideration of Security Clearances in Assignment.............................. 80
 

Section Y: Administrative Assignment Options ......................................................... 81
 

Section Z-1: RIF Notices to Employees...................................................................... 82
 
Section Z-2: Additional Notice Requirements for RIF Separations.......................... 86
 

Section Z-3: Requesting an Exception to the Minimum RIF Notice Period ............ 87
 

Section Z-4: Certification of Expected Separation .................................................... 88
 

Section Z-5: RIF Appeals............................................................................................ 89
 

Section Z-6: RIF Grievances ...................................................................................... 91
 

Chapter IV: Post-RIF Actions........................................................................................... 92 

Section A: Career Transition Assistance Plan (CTAP) ............................................. 92
 

Section B: Interagency Career Transition Assistance Plan (ICTAP) ....................... 95
 

Section C: Reemployment Priority List....................................................................... 97
 

Section D: Retraining Options Under the Workforce Investment Act of 1998......... 98
 

Chapter V: Transfer of Function....................................................................................... 99 

Section A: Applicability............................................................................................... 99
 

Section B: Agency Responsibility.............................................................................. 101
 

Section C: How to Apply the Regulations................................................................. 101
 

Section D: Identification of Employees and Positions With a Transferring Function
 

..................................................................................................................................... 102
 

Section E: Identification Method One ...................................................................... 103
 

Section F: Identification Method Two ...................................................................... 104
 

Section G: Employees of Losing Competitive Area............................................... 106
 

Section H: Employees of Gaining Competitive Area ............................................... 107
 

Section I: Transfer for Liquidation........................................................................... 108
 

Section J: Canvass Letters......................................................................................... 109
 

Section K: Volunteers for Transfer .......................................................................... 110
 

Section L: Appeals and Grievances .......................................................................... 111
 

Chapter VI: Glossary of Terms....................................................................................... 112 

2
 
Purpose of the Workforce Reshaping Operations Handbook 

OPM is issuing this Workforce Reshaping Operations Handbook to provide assistance to 

agencies that are considering and/or undergoing some type of reshaping (e.g., 

reorganization, management directed reassignments, furlough, transfer of function, 

reduction in force). This handbook provides agencies with guidance, options, and, where 

necessary, specific operational procedures designed to ensure that reshaping efforts 

comply with merit system laws and regulations. 

Audience 

This handbook is designed for any agency leader or manager and human resources office 

staff that is considering or undergoing workforce reshaping, especially those who find 

their reshaping efforts will result in a reduction in force. 

Materials needed 

Agencies should use this handbook in conjunction with: 

• Specific authorities cited in the agency’s policy

 • Applicable articles contained in the agency’s collective bargaining agreement(s) 

• Applicable laws in title 5, United States Code; and 

• Regulations published in title 5, Code of Federal Regulations (CFR). 

(While the information in this handbook is current as of the date of issue, any changes in 

regulation or law will supersede the information in this handbook.) 

How the handbook is organized 

OPM has organized this handbook in a manner that corresponds to the reshaping process, 

starting with developing, reviewing and analyzing mission requirements and finishing 

with post-RIF tools such as the Career Transition Assistance Plan. These major steps fall 

into two areas of responsibility—management and human resources: 

• Management’s Role and Responsibilities (Chapter I); 

--Developing, Reviewing and Analyzing Mission Requirements (Section A); 

--Identifying Critical Management Considerations When Reshaping (Section B); 

--Minimizing the Need for RIF as a Result of Reshaping (Section C); 

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--Deciding Whether to Implement a RIF (Section D); and 

--Communicating the Reshaping Effort (Section E) 

• Human Resource’s (HR) Role and Responsibilities (Chapter II) 

--Establishing a RIF Team (Section A); 

--Taking Preliminary Actions (Section B); 

--Preparing and Using Retention Registers (Section C); 

--Determining Rights to Other Positions (Section D); 

--Issuing RIF Notices (Section E); and 

--Counseling Employees on Procedures and Options (Section F) 

Readers can find guidance on conducting a reduction in force in Chapter III. Post-RIF 

actions are discussed in Chapter IV, and transfer of function is covered in Chapter V. 

The Appendixes outline specific, step-by-step guidance on topics ranging from assigning 

responsibilities to facilitate the RIF to implementing voluntary early retirement authority. 

Chapter I: Management’s Role and Responsibilities 

Chapter I provides guidance to managers on: 

•	 Developing, reviewing, and analyzing mission requirements (Section A) 

•	 Identifying critical management considerations when reshaping (Section B) 

•	 Minimizing the need for reduction in force (RIF) as a result of reshaping 

(Section C) 

•	 Deciding whether to implement a RIF (Section D) 

•	 Communicating the reshaping effort (Section E) 

Section A: Developing, Reviewing, and Analyzing Mission Requirements 

The first step management must take to prepare for workforce reshaping is to develop, 

review, analyze, and prioritize mission requirements. Overlooking this essential step will 

undermine the effectiveness of the workforce reshaping process. 

Some areas management should consider when developing, reviewing and analyzing 

mission requirements include: 

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•	 Current and emerging mission requirements, including technology. 

•	 Knowledge, skills, and abilities needed for current and future positions. 

•	 Positions (by series, grade and location) that are required to perform the 

current and emerging mission. 

•	 Current and projected education levels, training, and/or cross-training required 

for current and future positions that will perform the mission. 

•	 Positions (by series, grade, and location) that do not support the reshaped, 

reorganized, reduced, or unfunded mission. 

•	 Current and projected attrition and turnover rates (including retirement 

eligibles over at least the next one to five years). 

•	 Current and projected accession rates. 

Section B: Identifying Critical Management Considerations When Reshaping 

Top Leadership Commitment. Do the organization’s top leadership and line management 

support the proposed reshaping effort, to include any management-directed reassignments 

or reductions in force (RIF) that may occur? The commitment of the agency’s top 

leadership to the reshaping effort is critical to its overall success. 

Purpose of Reshaping. What is the principal reason for the reshaping effort (e.g., 

budgetary shortfall, privatization of work, change in program priorities, mission 

transferred to another organization)? Sometimes the purpose is both mission-related and 

budget-driven. 

Scope. What is the size of the reshaping effort in terms of the number of positions 

affected by management’s actions? The size and reasons for the reshaping effort will 

directly affect the agency’s options for minimizing the impact on employees. For 

example, closure of a large activity will result in more disruption to the organization and 

may require more extensive outplacement efforts than a reorganization within a division, 

which may result in a few involuntary reductions in grade. 

Timing. How much time does management have to implement the workforce reshaping 

effort? Typically, the more time an organization has to implement its workforce 

reshaping, the less likely the need to conduct a formal reduction in force (RIF). 

General versus Specific. Does management need to reduce whole numbers as in “across 

the board cuts,” or is there the possibility of reshaping specific functions within the 

5
 
organization? There is typically less disruption to an organization when specific 

functions are reshaped than when entire operations are closed. 

Strategies. Is management prepared to offer a variety of strategies (e.g., voluntary and 

management-directed reassignments, cross-training, voluntary early out retirement 

authority (VERA), and voluntary separation incentive pay (VSIP)) to avoid a RIF? These 

decisions should be considered well in advance of the announcement of the reshaping 

effort, and should take into account the costs of such strategies. 

Communication. Does management have an effective communication strategy for all 

parts of the organization? It is important to address all levels of the organization (i.e., 

leadership, unions, and employees). There are several ways this can be accomplished— 

“town halls,” staff meetings, email, agency website, and letters mailed to employees’ 

homes. 

Labor-Management Relations. Does management have union support for the reshaping 

effort? While management has the right to reshape its workforce, including running a 

RIF, many aspects of the impact and the implementation of such efforts are negotiable. 

Management must fulfill any collective bargaining obligations and should consult with 

labor relations staff prior to announcing a reshaping effort. 

Other Considerations 

•	 Are agency personnel records current and readily available? 

•	 Is the human resources staff ready to support reshaping efforts? If not, are more 

resources needed to conduct the reshaping efforts? 

•	 What is the status of performance appraisals? Are they going to be issued in the 

near future? Are they filed properly in the Official Personnel File? Does the 

agency plan to freeze ratings prior to the reshaping effort, in particular if a RIF is 

conducted? 

•	 Does the agency have the budget available to support VERA/VSIP or other 

outplacement services? 

•	 What is the current RIF competitive area? Is it based on geographic location and 

organizational elements? RIF competitive areas should be clearly defined and 

published (e.g. Departmental manuals, agency policy statements) for all 

employees and managers. 

Section C: Minimizing the Need for Reduction in Force as a Result of Reshaping 

There are numerous ways to minimize the need for a RIF as a result of management’s 

reshaping efforts. This section describes different options to minimize or even avoid RIF 

6
 
 

separations, reassignments and downgrades as a result of reshaping. They are not in 

order of preference. 

Detail Employees to Other Agencies on a Reimbursable Basis. A reimbursable detail 

to a different agency allows management to retain its skilled workforce even though the 

employees may temporarily be surplus. The employee on an interagency detail retains 

the same rights and benefits based on the employee’s official position of record in the 

agency from which the employee was detailed because a detail does not change the 

employee’s official position of record. This option works well when another agency has 

a temporary need for the specific skills of the surplus employees. An interagency 

reimbursable detail may also assist the agency in permanently placing the surplus 

employee in the different agency. An interagency reimbursable detail may not be a 

viable option if the employee’s present agency is faced with budgetary constraints, an 

immediate downsizing (such as a closure), or finds that the employee’s position will 

likely continue to be surplus in the future. 

Freeze Hiring and Promotion Actions. If the agency finds that its reshaping plan will 

result in surplus or displaced employees, the agency may freeze personnel actions to best 

fit its individual situation rather than automatically adopting a blanket freeze on all 

personnel actions. In a mid- or long-term implementation of its reshaping plan, the 

agency may adopt a freeze on a ratio or a percentage basis, such as filling one position for 

every two vacated positions. 

In general, a freeze on internal promotions (if the agency adopts that option) requires 

more attention from the human resources office than a blanket freeze on external or even 

internal hires. For example, the agency will need to determine whether to freeze: 

•	 All promotions, only promotions for certain positions, only promotions at certain 

grade levels, or some combination of these; 

•	 All career ladder promotions; and 

•	 Optional promotions based on accretion of duties. 

If budgetary factors are driving the reshaping effort, an immediate freeze on filling all 

new positions is one way to stabilize personnel costs. When combined with continuing 

attrition within the agency, a freeze on filling new positions will reduce personnel costs, 

particularly over a longer period of time, thereby potentially avoiding the need for a RIF. 

On the down side, a freeze on filling new positions may eventually restrict the capacity of 

the agency to perform its work, especially if continuing attrition reduces the number of 

available employees below a critical mission level. Further, the agency should consider 

whether freezing promotions will affect the morale of the workforce. The agency may be 

required to implement at least a partial freeze of personnel actions since the Career 

Transition Assistance Plan (CTAP) provides the agency’s surplus or displaced 

competitive service employees with intra-agency non-promotion selection priority to 

competitive service vacancies in the employees’ local commuting areas. 

7
 
Regardless of the extent of a freeze on personnel actions, the agency policy should 

include a “safety valve” policy permitting exceptions to the freeze. This allows the 

agency to fill essential positions if an unexpected situation develops (e.g., additional 

reimbursable work unexpectedly is available, or a natural disaster occurs), while still 

maintaining the general intent of the agency’s freeze. The agency’s freeze policy should 

specify the agency official with authority to approve an exception to the freeze. 

Furlough. An agency may temporarily reduce personnel costs by furloughing employees. 

A furlough is the placement of an employee in a temporary nonduty, nonpay status 

because of lack of work or funds, or other nondisciplinary reasons. 

A furlough that is expected to last more than 30 continuous calendar days or 22 

discontinuous workdays (e.g., one workday per week for 25 weeks) is effected under 5 

CFR part 351 (RIF) procedures. A furlough expected to last less than 30 continuous 

calendar days or 22 discontinuous workdays (e.g., one workday per week for 25 weeks) 

is carried out under 5 CFR part 752 (adverse action) procedures. 

The agency should discuss its furlough plans with employees, managers, supervisors, and 

union officials to explain that the temporary measure of a furlough is a better alternative 

for both the agency and its employees than involuntarily separating employees by RIF. 

In general, an agency must give each covered employee a written notice at least 30 days 

before the effective date of an adverse action furlough. When some but not all employees 

in a given competitive level are being furloughed, the notice must state the basis for 

selecting a particular employee for furlough, as well as the reasons for the furlough. A 

shorter notice period is an option in an emergency situation (e.g., a natural disaster such 

as hurricane or tornado). An agency must give each competing employee a minimum 60-

day specific written notice before the effective date of a RIF furlough. The same notice 

periods apply whether the furlough is continuous or discontinuous. 

Furlough is not a viable option if the agency finds it is faced with a continuing, rather 

than temporary, lack of work and/or funds. For example, an agency may furlough an 

employee under RIF regulations only when the agency plans to recall the employee to 

duty within 1 year in the position the employee held when furloughed. 

OPM’s website at: https://www.opm.gov/policy-data-oversight/pay-leave/furlough-guidance/

contains additional information on furloughs. 

Modify or Waive Qualifications. An agency may modify or even waive minimum 

qualification requirements if the agency finds an employee has the capacity, adaptability, 

and special skills needed to perform the duties of a vacant position. An agency may 

modify or waive qualification requirements when reassigning an employee to another 

position, or when offering an employee a voluntary change to lower grade. 

OPM’s Operating Manual, Qualification Standards for General Schedule Positions 

contains general information on waiving or modifying qualification requirements when 

placing employees as in-service placement actions apart from the RIF regulations. The 

8
 
 

agency may not waive minimum positive education requirements under the RIF 

regulations or under Qualification Standards for General Schedule Positions. 

The Operating Manual is available on OPM’s website at: 

http://www.opm.gov/qualifications/index.asp. See Section II.E.8.(c) of the Operating 

Manual for additional information on modifying or waiving qualifications. 

Reassign Surplus Employees to Other Positions. An agency may reassign an employee to 

another position at the same grade, as long as the agency has a legitimate management 

need for the employee in the position to which reassigned. This option is often the best 

tool for avoiding involuntary separations and downgrades. If the agency has a pool of 

vacancies (particularly after freezing positions), the agency may be able to maintain 

continuity of operations and retain its investment in its current employees by using the 

reassignment option when possible. 

An agency may reassign an employee without regard to the RIF regulations when the 

vacant position is at the same grade or rate of pay (i.e., if the movement is between pay 

systems) as the employee’s present position. The position to which the employee is 

reassigned may be located in the same or a different competitive level, competitive area, 

or local commuting area. An agency may not reassign an employee to a position with 

more promotion potential unless the agency fills the position through merit competition. 

The agency may make the reassignment without regard to the employee’s RIF retention 

standing, including veterans’ preference status. At its discretion, an agency may limit its 

basic right to reassign by using impartial considerations such as retention standing, 

creditable service with the agency or within the organization (such as a division or 

branch), length of service in the present position, length of service in the present 

organization, etc. 

An employee has no right to be in RIF competition unless the employee is faced with 

separation or downgrading for a reason such as reorganization, lack of work, shortage of 

funds, etc. Reassignment to a position in a different local commuting area does not 

provide the right to compete for a position in the present competitive area under the RIF 

regulations even if the employee declines the reassignment and the agency subsequently 

separates the employee under the adverse action regulations. 

If an agency separates an employee for declining reassignment to a position in a different 

local commuting area, the employee qualifies for most of the benefits available to an 

employee who is separated by RIF (e.g., severance pay or discontinued service 

retirement, certain placement assistance programs). However, the employee is not 

eligible for the agency’s Reemployment Priority List (RPL). 

Separate Temporary Employees. A competitive service temporary employee serves at 

the will of the agency and can be terminated without regard to the RIF regulations. 

9
 
Separate Reemployed Annuitants. A reemployed annuitant serves at the will of the 

agency and, regardless of type of appointment, can be terminated without regard to the 

RIF regulations. In some situations the termination of a reemployed annuitant will both 

reduce the agency’s payroll costs and free up a continuing position for a surplus 

employee. If the agency does not separate the reemployed annuitant prior to the RIF 

effective date, the reemployed annuitant competes in the RIF on the same basis as other 

employees holding the same type of appointment. 

Train Employees for Other Positions. An agency may train (or retrain) employees for 

placement into vacant positions as an alternative to minimize involuntary separations and 

downgrades by RIF. An agency may train its employees for placement in another 

agency, if the head of the agency determines that this is in the Government’s interest. 

Such a determination should be part of an agency’s training policy. An agency may use 

its appropriated funds for training or retraining surplus or displaced employees for 

positions outside the Federal Government only when specifically authorized by 

legislation. 

Training helps employees better perform their current positions, while retraining prepares 

employees for different careers, or teaches them how to perform in other occupational 

fields. 

Retraining as a tool to increase the voluntary attrition of employees in excess positions to 

other positions includes training and development to close skills gaps and to give an 

employee the knowledge and skills leading to another occupation. By retraining these 

proven employees into a related or even a new line of work, the agency may be able to 

most efficiently resolve significant present or projected skills gaps in its workforce. 

Added retraining benefits include minimizing disruption to the work environment and 

building workforce morale, particularly when the agency uses retraining as an alternative 

to involuntary separations and demotions from downsizing. 

Retraining programs generally concentrate on the basic competencies an employee needs 

to successfully perform a new or redesigned position. Retraining generally does not aim 

to provide advanced-level technical skills in a new line of work. 

Voluntary Change to Lower Grade. An agency may offer an employee a voluntary 

change to lower grade without using RIF procedures. Employees have the right to 

compete for retention under the RIF regulations before involuntary separation or 

downgrade due to a reason such as reorganization, lack of work, or shortage of funds. In 

some situations, a voluntary change to lower grade allows an agency to staff a vacancy 

with a proven employee, while providing continued employment to a surplus employee 

without forcing RIF actions. Most organizational changes meet the definition of 

“reorganization,” which can affect one position, many positions, and/or reporting 

relationships in an organization. An agency may provide an otherwise eligible employee 

with grade retention when making a management-initiated offer of a lower-graded 

position to an employee during a reorganization announced in writing. The agency has 

10
 
three potential options, which include offering (1) grade retention, (2) pay retention, or 

(3) neither grade retention nor pay retention.

Voluntary Early Retirement Authority. Voluntary Early Retirement Authority (VERA) 

allows permanent employees to retire early if their organization is undergoing a RIF,

reorganization, transfer of function or other workforce shaping. VERA is a valuable tool 

that helps an agency create placement opportunities for employees who would otherwise 

be involuntarily separated or downgraded, and by avoiding displacements in actual RIFs. 

Agencies, except for the Department of Defense (DoD), must request approval from 

OPM for VERA authority. DoD components must request approval from the Secretary 

of Defense. Agencies may make decisions relative to which employees will be covered 

by VERA, how long to open the window for VERA, and how many employees may 

retire under VERA. The agency decides which employees are covered by VERA, based 

on nonpersonal factors related to the employee’s position (e.g., grade, series, title, 

organization, duty location). 

Before requesting VERA from OPM, agencies should consider other RIF avoidance 

alternatives such as furlough, hiring freezes, reassignments, etc. An agency should not 

use VERA as a quick fix for a short-term problem, such as to achieve short-term 

budgetary savings for the remainder of the fiscal year. 

An agency may submit a VERA request to OPM once it is signed by the head of the 

agency, or by a specific agency designee with delegated authority. After OPM approves 

a VERA authority, the agency, based on management considerations, may subsequently 

modify the closing date for the VERA window period and/or revise the number of 

employees who may retire under the authority. OPM’s approval letter to the agency 

authorizing VERA covers options to manage the early retirements. 

OPM’s website at KWWSZZZRSPJRY provides additional information on VERA. 

Voluntary Reduction of Hours. The agency may consider a policy that allows employees 

to voluntarily reduce their scheduled work hours for a period of time (e.g., 

take one day a week or one day a pay period in a voluntary nonpay status), or even to 

convert from a permanent full-time to a permanent part-time work schedule. A reduction in 

an employee’s scheduled work time will result in an immediate reduction in personnel costs, 

but may also result in a loss of organizational productivity. 

A temporary or permanent change in work schedule will provide an employee with 

greater flexibility to participate in non-work-related needs (e.g., family, educational, 

volunteer groups, medical, elder care). When considering this option, the agency should 

survey employees to determine the level of interest, particularly if the agency is faced 

with a short-term shortage of work or funds. However, before adopting this option, the 

agency should first consider whether a formal policy is needed covering how to select 

11
 
employees while maintaining continuity of agency operations. This option may depend 

on the scope of the agency’s reshaping efforts 

The agency should advise employees concerning the implications of the reduction in 

hours. For example, an employee who converts from a permanent full-time to a 

permanent part-time schedule follows a different formula to calculate health benefit costs 

and retirement deductions. Similarly, an employee who is in a voluntary or involuntary 

leave without pay status may have a reduction in the leave credit that the employee would 

have earned had the employee been in a full-time pay and duty status. The agency should 

advise its employees to consult with the agency’s human resources office when 

considering a change to work schedule. 

Voluntary Separation Incentive Payment. The VSIP (or buyout) option allows an agency 

to offer a permanent employee a lump-sum payment up to $25,000 if the employee 

voluntarily retires or resigns. An agency must have specific legislative authority in order 

to offer a buyout. Many agencies are covered under the buyout authority provided for in 

the Chief Human Capital Officers (CHCO) Act of 2003. Agencies covered under the Act 

must have OPM approval before paying any buyouts. Agencies with prior VSIP 

authority reported that buyouts were a successful tool that notably increased voluntary 

attrition, particularly for VERA retirements of employees in excess positions. 

OPM’s website at http://www.opm.gov/ contains additional 

information on VSIP. 

Section D: Deciding Whether to Implement a RIF 

When agency management makes the decision to run a RIF, the first step should be to 

consult with the agency Human Resources Officer (HRO) or servicing HR staff before 

finalizing the timing and scope of the RIF. The HRO can advise managers regarding the 

current competitive areas, creation of retention registers, any labor relations obligations, a 

timeline for running a RIF, and can provide technical guidance on the impact of decisions 

that the agency must make before issuing RIF notices to employees. This is a critical 

step, and the importance of it cannot be emphasized enough. 

See Appendix G, Management’s Decision to Implement RIF Checklist, for a complete 

listing of all actions management should consider when they have made the decision to 

implement a RIF. 

Section E: Communicating the Reshaping Effort 

Agency management should consult with their HR, public affairs, Congressional relations 

and communications offices to establish an effective communication strategy. The 

agency’s goal should be to develop a coordinated communication plan that will provide 

timely, accurate, and complete information to all parties on issues relating to 

12
 
 

 

organizational change and the RIF. Effective, open communication with immediate 

supervisors, nonsupervisors, and other affected parties (including the union(s)) can 

minimize losses to organizational productivity. 

The HRO, with direct support of agency management, should, to the extent possible, 

provide employees with access to pertinent information concerning RIF procedures, 

programs available to surplus or displaced employees, and employee benefits such as 

retirement, health benefits, and life insurance. Potential methods of communication 

include: 

•	 Written communication, which is the best way to provide a record of accurate 

information; options include scheduled bulletins, as-needed bulletins, brochures, 

pamphlets, newsletters, and e-mail; 

•	 Direct personal communication, which provides a personal approach to 

disseminating the information and answering a diverse range of questions; options 

include large groups, small groups, and organization or subject-based groups; 

•	 Information by video; options include live television broadcasts, videotapes, CDs, 

and streaming video accessed through personal computers; and 

•	 Audio information; options include taped telephone messages to work phones and 

CDs to listen to at home. 

Chapter II: Human Resource’s Role and Responsibilities 

Chapter II provides guidance to Human Resource (HR) offices on: 

•	 Establishing the HR office’s RIF team (Section A) 

•	 Taking preliminary actions (Section B) 

•	 Preparing and using retention registers (Section C) 

•	 Determining rights to other positions (Section D) 

•	 Issuing RIF notices (Section E) 

•	 Counseling employees on procedures and options (Section F) 

Section A: Establishing the Human Resources Office’s RIF Team 

Establishing the RIF Team. Both the size and the composition of the HRO’s RIF team 

depend on factors relative to the agency’s RIF situation, such as size (e.g., two excess 

positions, 160 excess positions), location (e.g., one duty site, multiple duty sites), and 

reason (e.g., reorganization, closure, consolidation). Most RIF actions require some 

employees to work full-time on personnel actions related to the RIF. For example, 

13
 
agencies need to ensure their personnel records are up to date, because a Federal 

employee’s rights and benefits are based upon the employee’s official position of record. 

Even with an automated personnel records system, a RIF requires the agency to manually 

verify all relevant information, such as each employee’s official position description, 

three most recent performance ratings of record, retention service computation date, and 

veterans’ preference status. A RIF team allows the HRO to successfully perform the 

temporary increased workload that is required to prepare for and implement the RIF. 

If possible, at least one person on the team should have prior RIF training or experience. 

Appendix N includes a skills inventory that an agency may use to identify HRO 

employees with prior RIF or other downsizing experience. The agency may use the 

downsizing skills inventory in deciding whether some or all members of the team need 

training related to the RIF (e.g., training on the mechanics of the RIF regulations, career 

transition options, benefits for displaced employees). Appendix O also has additional 

guidance on subjects that should be included in a RIF training skills program for 

members of the team. 

When establishing the HRO’s RIF team, the agency should immediately designate a 

leader of the team to coordinate all aspects of the team’s work. This may include: 

•	 Recommending other staff with specific technical skills to serve on the team; 

•	 Requesting any training needed by the team; 

•	 Developing the agency’s own RIF action checklist; 

•	 Ensuring that the team meets all deadlines required by either agency managers or 

the checklist; 

•	 Requesting any support staff needed to assist the team; 

•	 Requesting any additional resources, facilities, or equipment needed to assist the 

team; and 

•	 Providing other needed support and assistance to team members as the RIF 

progresses. 

The RIF team usually includes human resources specialists with skills in staffing, 

classification, and position management. As needed, the team should include employees 

with other skills, such as employee benefits, labor and employee relations, and automated 

systems, especially if the agency will use an automated RIF system (e.g., “AutoRIF”) to 

prepare retention registers used to determine how the RIF will affect the agency’s 

employees. See Appendix O for information on the Department of Defense’s AutoRIF 

software package, which is also available to non-Defense agencies. See Appendix C for 

information on counseling employees. 

Even a mid-size RIF (e.g., 10 to 49 actions) may require team members to perform some 

overtime work. The agency should include possible overtime as an estimated RIF cost. 

Finally, each member of the RIF team must be able to cope with additional stress and 

pressure associated with implementing a RIF. The team leader should always be 

14
 
 

available to offer assistance to a team member who is experiencing stress as a result of 

the RIF. 

RIF Team Leader. The RIF team leader is responsible for coordinating the team’s work 

with both the HRO and with agency management, as appropriate. The leader of the RIF 

team must play many roles as the agency first prepares for a RIF, then actually carries out 

RIF actions, and finally manages post-RIF issues (e.g., selection priority programs for 

displaced employees, appeals and grievances filed by employees). 

The RIF team leader is responsible for accurately determining employees’ retention 

rights under OPM’s RIF regulations. This includes implementing all of management’s 

decisions relating to the RIF, and coordinating the team’s actions with the HRO. In 

addition, the team leader is responsible for providing technical assistance to the RIF 

team. 

Support Staff. For maximum effectiveness, the agency should provide the HRO’s RIF 

team with sufficient staff and the skills needed to support the team. The skills needed by 

an individual agency’s RIF team and its RIF support team may differ from one agency to 

another. For example, one agency may have a need for a labor-management specialist on 

the principal team, while a second agency may need its labor-management specialist to 

serve only as a member of the support team. 

The RIF support team may include employees with a wide range of skills, such as: 

•	 Staffing Assistants. Tasks may include making service credit determinations, 

calculating service computation dates, making veterans’ preference 

determinations, and downloading data from the agency’s personnel data files. 

•	 Clerical Support Staff. Tasks may include copying RIF notices and other 

downsizing documents, assembling informational packets for employees, 

preparing final copies of slides used for briefings, scheduling meetings involving 

the RIF team, reserving rooms needed by the team for meetings and briefings, and 

coordinating any travel by team members to other duty sites. 

•	 Benefits Specialists. Tasks may include advising both team members and 

displaced employees concerning entitlements such as retirement benefits, health 

benefits, life insurance, and the Thrift Savings Plan. 

•	 Computer Specialists. Tasks may include downloading personnel data needed by 

the team to prepare RIF registers and making the data available for use by the 

team in an automated program such as DoD’s AutoRIF. 

Facilities. The agency should provide the HRO’s RIF team with one or more secure 

rooms that are appropriate to the situation. The RIF team needs secure space with 

restricted access. Because of the sensitivity of RIF actions and the need to secure 

personnel records, which contain personally identifiable information, the agency should 

15
 
limit entry to the space to members of the RIF team (including support team members) 

and others with a specific need for access. If necessary, the agency should provide extra 

security for the facilities used by the RIF team. If possible, the agency should also 

provide the team with access to a conference room that can include all members of the 

RIF teams. 

Equipment and Supplies. The agency should provide the HRO’s RIF team with 

necessary equipment and supplies. Necessary equipment and supplies for the RIF team 

may include: 

•	 Desks and/or tables, as appropriate. Some agencies prefer to have the RIF team 

work at a large table rather than at individual desks. In some situations, the team 

may find that extra tables are useful to temporarily hold material such as Official 

Personnel Folders, employees’ RIF notices and benefits packages, and similar 

materials. 

•	 Telephones. The agency should ensure that the team’s telephones have voice 

mail, call-forwarding capability, and TDY capability for the hearing impaired. 

•	 Fax machines. Fax machines are especially important if the RIF involves 

different geographic locations, or if the agency maintains its personnel records at 

different sites. 

•	 Computers and printers. The number of computers, printers, and related 

equipment that the team needs depends on the situation. At a minimum, the 

agency should use only one computer for the employee database, and another 

only for RIF software such as DoD’s AutoRIF. The agency should provide 

password protection for each of the team’s computers, along with e-mail and 

internet access for team members. 

•	 Copy machines. The team needs at least one copy machine and a backup that are 

always maintained in working condition. 

•	 File Folders. The team needs a file folder for each employee involved in the RIF 

to compile and verify RIF data, correspondence, RIF notices, RIF counseling 

documentation, and similar material. 

•	 Other office supplies, as needed. The team needs a steady supply of related 

material such as paper in the appropriate formats (e.g., plain white paper, 

letterhead paper for RIF notices and possibly for internal memos, tinted paper for 

posted announcements), notepads, binders, dividers, large and small envelopes, 

pens, staples, paper clips, and tape. The team also needs a place to store material 

in an organized manner. 

•	 Shredder. The team needs a shredder and disposal bags (possibly including burn 

bags) to dispose of excess paper related to the team’s work. 

16
 
• File cabinets. In the team’s secure area, the team needs one or more lockable file

cabinets, as appropriate to the situation.

• Erasable marker board and/or large paper flip charts. The team needs the board

and flip charts to cover team assignments, timelines, priorities, specific items on

RIF or downsizing procedures, etc.

Personnel Records. The agency should provide the HRO’s RIF team with secure access 

to the Official Personnel Folders (OPF) and other records (e.g., official position 

descriptions) of agency employees who are competing in the RIF. The agency must 

ensure that the team’s actions are consistent with the requirements covering access and 

maintenance of personnel records in part 293 of title 5, Code of Federal Regulations 

(Personnel Records) and the agency’s policy pertaining to safeguarding personally 

identifiable information. 

The agency’s responsibility includes actions involving application of the Privacy Act and 

the Freedom of Information Act (FOIA) to requests for access to personnel records. The 

agency’s responsibility also includes actions involving other records associated with the 

RIF (e.g., qualifications updates submitted to determine employees’ retention rights to 

other positions). 

Reference Materials. The agency should provide the HRO’s RIF team with access to 

other information needed to conduct the RIF. Additional information needed by the RIF 

team may include: 

• Personnel rosters of the organizations both before and after the RIF. The

organization’s personnel rosters document occupied and vacant positions in both

the present organization, and in the organization after the RIF is completed. As

necessary, the team should also have timely access to agency management at the

appropriate level if the team needs clarification of issues related to the personnel

rosters (e.g., timing of the RIF, available vacancies in the new organization,

subsequent actions in a phased reorganization, impact of new legislation).

• Title 5, United States Code (U.S.C.). The text of the United States Code is

available at http://uscode.house.gov. Governmentwide regulations are derived

from the statutory provisions of title 5, United States Code.

• Title 5, Code of Federal Regulations (CFR). OPM publishes its regulations in

title 5, Code of Federal Regulations. The current text of the CFR is available at

http://www.ecfr.gov.

• Agency’s internal personnel manual. The team should also have a copy of

documents related to the agency’s RIF policies, such as the agency’s policy on

freezing performance ratings of record and providing retention service credit for

performance in situations where the agency has flexibility, using vacant positions 

17
 
as offers to employees reached for RIF actions, and repromotion priority for 

employees demoted by RIF. 

•	 Collective bargaining agreements that cover employees competing in the RIF. If 

a collective bargaining agreement is revised during the process of preparing for 

the RIF, the agency should provide the team with a copy as soon as possible. 

•	 Applicable OPM manuals, handbooks, and guides. For example, the team should 

have copies of relevant OPM issuances such as Introduction to the Position 

Classification Standards, Qualification Standards for General Schedule 

Positions, CSRS and FERS Handbook for Personnel and Payroll Offices, Guide 

to Processing Personnel Actions, VetGuide, and other relevant material available 

from the OPM website. 

•	 Applicable appeals and grievance decisions. The team should have timely access 

to appeals decisions of the Merit Systems Protection Board (www.mspb.gov), the 

United States Court of Appeals for the Federal Circuit 

(http://www.cafc.uscourts.gov/), and the Federal Labor Relations Authority 

(http://www.FLRA.gov). When not directly available from the internet or the 

team’s own files, the team should have an agency contact (e.g., in the agency’s 

legal office) who can provide a copy of a requested decision. 

Support for Other RIF-Related Teams. The agency should provide similar support for 

other specialized teams involved in preparing for and carrying out the RIF. As needed, 

the agency often establishes other teams to supplement the core RIF and RIF support 

teams. These other teams may be comprised of employees other than those on the basic 

teams. For example, an agency may find a need to establish a team solely devoted to 

reviewing employees’ personnel records for accuracy, to calculate employees’ service 

computation dates, to deal with fiscal matters associated with the RIF, etc. 

When an agency will actually separate employees by RIF, the agency should establish 

and implement a separate outplacement team even before the agency issues RIF notices. 

This will maximize outplacement assistance available to displaced employees. Usually 

voluntary attrition will increase, reducing the number of involuntary RIF separations. 

Especially in a mid-size (i.e., 10 to 49 actions) or large (i.e., over 50 actions) RIF, the 

agency should establish a separate team to develop and implement its outplacement 

program. Otherwise, the priorities involved in conducting the RIF may significantly 

reduce the time available to assist employees in exploring available career options. 

Skills Update. Appendix N, RIF Team Skills Inventory Checklist, provides a means to 

document the current skills of the RIF team members. Appendix O, RIF Team Skills 

Update, summarizes subject areas that should be included in training members of the 

agency’s RIF team. 

18
 
Section B: Taking Preliminary Actions 

The RIF team should: 

•	 Identify all positions in each RIF competitive area 

•	 Document noncompeting employees on nonpermanent assignments 

•	 Document other noncompeting employees 

•	 Document employees in a nonpay status 

•	 Document employees away on active armed forces duty with a restoration right 

•	 Document employees who have returned from the armed forces with a current 

restoration right 

•	 Document employees receiving injury compensation payments from the 

Department of Labor 

•	 Review position descriptions 

•	 Review competitive levels for accuracy 

•	 Determine employees’ veterans’ preference rights for retention 

•	 Determine employees’ basic RIF service computation dates 

•	 Verify employees’ performance ratings of record that are used for retention 

•	 Determine employees’ adjusted RIF service computation dates 

•	 Review essential retention data for each employee 

For further information pertaining to the RIF team preliminary actions, see Appendix M, 

RIF Team Preliminary Actions. 

Section C: Preparing and Using Retention Registers 

The first step for the RIF team is to prepare retention registers, determine which 

employees are released from these registers because of position abolishments, and 

determine whether the released employees have a right to a continuing position on a 

different retention register. 

See Appendix J, Preparing and Using Retention Registers, for additional information on 

preparing retention registers, projecting employee retention data to the RIF effective date, 

separating noncompeting employees before releasing competing employees from the 

competitive level, and identifying employees released from the competitive level in firstround competition. 

Section D: Determining Rights to Other Positions 

After the RIF team determines which employees are released from the agency’s retention 

registers in first-round RIF competition, the team then proceeds with second-round RIF 

competition to determine whether each released employee has an assignment right to a 

position on a different retention register (i.e., a different competitive level). 

Competitive service employees in tenure group I or II with current performance ratings of 

at least Minimally Successful (or equivalent) who are reached for release from the 

19
 
 

 

 

competitive level are entitled to an offer of assignment if they have bump or retreat rights 

to an available position in the same competitive area, and they would otherwise be 

separated or demoted by RIF. 

The existence of an available position establishes the employee’s right to be offered a 

position at that grade level. However, agencies retain the discretion to determine which 

position is offered to an employee when more than one available position exists. 

An employee with an excepted service appointment has no assignment rights under 

OPM's RIF regulations. However, at its discretion an agency may elect to provide its 

excepted service employees with RIF assignment rights. 

Appendix D, Determining Rights to Other Positions, provides additional information on 

determining employees’ representative rates, normal line of progression for each position, 

identification of vacancies available for assignment and other placement offers, released 

employees’ qualifications for assignment, released employees’ assignment rights, and 

running a mock RIF and reviewing results for accuracy. 

Section E: Issuing RIF Notices 

When agency management gives final approval for RIF actions, the RIF team, in 

coordination with the HRO, uses the official date of the RIF to determine the retention 

rights of each competing employee before preparing specific written notices and related 

materials for distribution to individual employees. 

. 

The team should alert the HRO if the planned effective date of the RIF may compromise 

the team’s ability to provide complete information to employees who receive specific 

written RIF notices. The HRO should then advise agency management of the situation so 

they may consider whether to revise the RIF effective date, given the timeframe for 

implementing the agency’s strategic plan. If the RIF team previously completed a mock 

RIF, the team may be able to use some results of the mock RIF in determining the 

retention rights of employees in a subsequent RIF. 

For further information regarding determining each released employee’s eligibility for 

benefits, preparing specific written RIF notices and mandatory attachments, sending 

notices to other organizations if 50 or more employees receive separation notices, 

notifying bargaining unit representatives, determining how to deliver RIF notices, 

preparing packages for separating employees, delivering RIF notices, and re-running RIF 

to reflect changes to the personnel roster in the competitive area, see Appendix F, Issuing 

RIF Notices. 

20
 
Section F: Counseling Employees on Procedures and Options 

The HRO should emphasize to agency management and members of its RIF-related 

teams that effective counseling is critical to minimize disruption resulting from the 

agency’s RIF. When possible, the HRO should offer counseling that is appropriate to the 

situation. For example, if the agency implemented an effective communications policy 

covering implementation of the agency’s strategic plan and the need for a RIF, the office 

may find that released employees will focus more on RIF mechanics or benefits rather 

than questioning the need for the agency’s actions. 

Under the communication plan the HRO may have opted to provide general RIF and 

benefits briefings to all employees in the agency based on the possibility of a RIF. Even 

if the agency simply provided summaries of OPM’s RIF procedures and/or RIF benefits 

to all employees before issuing RIF notices, many released employees will have a 

working knowledge of the subjects and will use the counseling sessions to clarify specific 

rather than general issues. OPM provides agencies and employees with current electronic 

summaries of RIF procedures, RIF benefits, and career transition assistance programs. 

Individual agencies or activities may also develop their own summaries that include 

agency-specific policies or placement programs. 

In a small RIF (i.e., fewer than 10 actions), the HRO may choose to use members of a 

single team to provide counseling to released employees at small group or individual 

sessions. In a large RIF (i.e., 50 or more actions), the office should have more options, 

including individual counseling sessions, as well as small and/or large group counseling 

sessions. Whichever approach the agency chooses, the counselors must have accurate 

information concerning each respective subject area. Also, the counselors must be able 

to obtain accurate information on exceptional situations that may require clarification 

from a higher level of the agency or from OPM. 

See Appendix C for additional information on planning for effective counseling, and 

effective outplacement counseling. 

21
 
 

Chapter III: Reduction in Force
 

Chapter III provides guidance on the Govermentwide reduction in force (RIF) 

regulations: 

• Management Rights (Section A) 

• Compliance with OPM’s RIF Regulations (Section B) 

• Coverage of the RIF Regulations (Section C) 

• Reorganization, Misclassification, and Job Erosion (Section D) 

• Competitive Area (Section E) 

• Competitive Level (Section F) 

• Establishing Retention Registers (Section G) 

• Determining Employees’ Retention Standing (Section H) 

• Retention Tenure Groups (Section I) 

• Veterans’ Preference in RIF (Section J) 

• RIF Service Credit (Section K) 

• Additional RIF Service Credit for Performance (Section L) 

• Personnel Records in RIF (Section M) 

• Release From the Competitive Level (Section N) 

• Actions Following Release From the Competitive Level (Section O) 

• Determining Employees’ Assignment Rights (Section P) 

• Bump and Retreat for Assignment (Section Q) 

• Vacancies for Assignment (Section R) 

• Vacant Temporary Positions as Placement Offers (Section S) 

• Consideration of Grades in Assignment (Section T) 

• Consideration of Representative Rates in Assignment (Section U) 

• Consideration of Qualifications in Assignment (Section V) 

• Trainee and Developmental Positions for Assignment (Section W) 

• Consideration of Security Clearances in Assignment (Section X) 

• Administrative Assignment Options (Section Y) 

• RIF Notices to Employees (Section Z-1) 

• Additional Notice Requirements for RIF Separations (Section Z-2) 

• Requesting an Exception to the Minimum RIF Notice Period (Section Z-3) 

• Certification of Expected Separation (Section Z-4) 

• RIF Appeals (Section Z-5) 

• RIF Grievances (Section Z-6) 

Section A: Management Rights 

Right to Reorganize the Workforce. The agency has the responsibility to determine its 

mission-based workforce requirements, define its priorities, and apply available resources 

in order to best meet mission requirements. 

RIF Decisions. Each agency is responsible for deciding what positions are abolished, 

whether a RIF or transfer of function is necessary, and (if applicable) when a RIF will 

22
 
 

take place. This also includes the right of the agency to decide which positions are 

required after a reorganization or other organizational change, where the positions are 

located, and when the positions are to be filled, abolished, or vacated. 

Right to Take Other Personnel Actions. An agency’s need to apply RIF procedures does 

not suspend the agency’s authority and responsibility to take other personnel actions such 

as reassignment, promotion, change of duty station, or demotion for cause or 

unacceptable performance. An agency may effect other personnel actions before, during, 

or after a RIF. 

Section B: Compliance with the RIF Regulations 

Agency Responsibility. An agency, in taking RIF actions, must comply with all 

applicable laws, regulations, formal agency policies, and the terms of any applicable 

negotiated bargaining agreements. Also, the agency is responsible for uniformly and 

consistently applying the retention regulations in any RIF. The use of RIF procedures to 

avoid required procedures for other situations is improper (for example, conducting a RIF 

rather than using adverse action procedures to release an employee with a history of 

conduct problems). 

OPM Review of Agency’s RIF Plans. OPM may examine an agency’s preparation for 

RIF at any stage. If OPM finds that an agency’s RIF preparations are contrary to the 

express provisions, or the spirit and intent, of the applicable regulations or would violate 

employee rights or equities, OPM may recommend corrective action with respect to those 

preparations. 

Section C: Coverage of the RIF Regulations 

Employees Covered by the RIF Regulations. Except as noted elsewhere in this 

section, unless excluded by statute, the RIF regulations cover each Federal civilian 

employee in: 

1.	 The executive branch of the Federal Government; or 

2.	 A position outside the executive branch that is subject by statute to competitive 

service requirements or is determined by the appropriate legislative or judicial 

administrative body to be covered by the retention regulations. 

Modifications to General Coverage of the RIF Regulations. 

1.	 Administrative law judges are subject to the modified RIF procedures in part 930 

of title 5, Code of Federal Regulations, that do not consider performance in 

determining retention standing. 

2.	 Certain positions covered by Indian preference laws are subject to modified RIF 

procedures pursuant to section 472a of title 25, United States Code. 

23
 
 

3.	 Employees of the U.S. Postal Service who are eligible for veterans’ preference in 

retention are covered by part 351 of title 5, Code of Federal Regulations, under 

authority of section 1005(a)(2) of title 39, United States Code. 

Postal Service employees who are not eligible for veterans’ preference are not 

covered by the RIF regulations. 

4.	 “Hybrid” health care personnel of the Department of Veterans Affairs, as 

provided under title 38, United States Code, compete as excepted service 

employees under the RIF regulations. 

“Non-hybrid” health care personnel of the Department of Veterans Affairs whose 

employment is governed in significant part by chapter 74 of title 38, United States 

Code, are covered by the RIF regulations. (Part-time health care professionals of 

the Department of Veterans Affairs who are appointed under authority of section 

7405(a)(1) of title 38, United States Code, are not covered by part 351 of title 5, 

Code of Federal Regulations.) 

Employees Excluded From Coverage of the RIF Regulations. The RIF regulations do not 

apply to: 

1.	 A National Guard Technician; 

2.	 A member of the Senior Executive Service; 

3.	 An employee in a position outside the executive branch, except for a position that 

is subject by statute to competitive service requirements, or is determined by the 

appropriate legislative or judicial administrative body to be covered by the RIF 

regulations; 

4.	 An employee whose appointment is required by Congress to be confirmed by, or 

made with the advice and consent of, the United States Senate; 

5.	 A reemployed annuitant, unless the appointing officer determines that an 

annuitant may compete under the RIF regulations (an annuitant serves at the will 

of the appointing officer and may be separated at any time at the discretion of the 

appointing officer, but if the agency does not separate the annuitant prior to a RIF, 

the agency determines the annuitant’s retention standing on the basis of the 

employee's actual appointment; the annuitant then competes in the RIF in the 

same manner as other competing employees); 

6.	 A foreign national employee appointed under programs authorized by section 408 

of the Foreign Service Act of 1980 (22 U.S.C. 3968), which may include special 

plans for RIF (in these plans an agency may give effect to local labor laws and 

24
 
7.	 A member of the Public Health Service (PHS) (Note—A member of the PHS is a 

member of a “uniformed service” and is not a civilian employee covered by the 

RIF regulations); 

8.	 A Department of Defense Nonappropriated Fund (NAF) employee, who competes 

for retention with other NAF employees on the basis of agency-specific RIF 

procedures); 

9.	 Some employees included in an alternative personnel system authorized as a 

demonstration project or similar alternative personnel system (Note—The 

implementing regulations and related implementing issuances covering the 

demonstration project or alternative personnel system document any applicable 

modified RIF procedures); and 

10. A part-time health care professional of the Department of Veterans Affairs who is 

appointed under authority of section 7405(a)(1) of title 38, United States Code, is 

excluded from civil service laws, rules and regulations, including the RIF 

regulations. 

RIF Actions and Reasons. A personnel action must be effected under RIF procedures 

when both the action to be taken and the reason for the action are covered by the RIF 

regulations. An action that meets one, but not both, conditions, is not a RIF action and 

must be taken under other appropriate authority. “Action to be taken” is the release of an 

employee from a RIF competitive level by: 

1.	 Separation; 

2.	 Demotion; 

3.	 Furlough for more than 30 continuous days or more than 22 discontinuous 

workdays; or 

4.	 Reassignment requiring displacement in first-round RIF competition (i.e., 

competition to remain in the same competitive level) or in second-round 

competition (i.e., competition to displace a lower-standing employee in a different 

competitive level). 

“Reason for the action” is: 

1.	 Lack of work; 

2.	 Shortage of funds; 

25
 
3.	 Insufficient personnel ceiling; 

4.	 Reorganization; 

5.	 An individual’s exercise of reemployment rights or restoration rights; or 

6.	 Reclassification of an employee’s position due to erosion of duties when this 

action will take effect after an agency has formally announced a RIF in the 

employee's competitive area, and the RIF will take effect within 180 days. 

The RIF regulations do not allow an agency to conduct a RIF retroactively unless an 

intervening event has occurred (such as a RIF action that followed a retroactive 

restoration). 

Actions Excluded From RIF Coverage. The RIF regulations do not apply to: 

1.	 The termination of a temporary or term promotion, or the return of an employee 

to a position held before the temporary or term promotion or to a position of 

equivalent grade and pay; 

2.	 A change to lower grade based on the reclassification of an employee’s position 

due to the application of new classification standards or the correction of a 

classification error; 

3.	 A change to lower grade based on the reclassification of an employee’s position 

due to erosion of duties, except that this exclusion does not apply to 

reclassification actions that will take effect after an agency has formally 

announced a RIF in the employee’s competitive area and when the RIF will take 

effect within 180 days (this exception ends at the completion of the RIF); 

4.	 Placement of an employee serving on an on-call or seasonal basis in a nonpay, 

nonduty status in accordance with conditions established at time of appointment; 

5.	 A change in an employee’s work schedule from part-time to full-time (Note—An 

involuntary change from full-time to part-time is covered by the RIF regulations); 

6.	 A reduction in the number of scheduled hours within a part-time tour of duty (for 

example, from 32 to 16 scheduled hours per week); 

7.	 A reduction in rank (for example, a reassignment of an employee from a 

supervisory position to a nonsupervisory position); 

8.	 A constructive demotion (for example, an employee’s position is reclassified to a 

higher grade because of a new classification error and the employee is not 

26
 
promoted even though the employee is qualified for the higher-graded position); 

or 

9.	 A furlough of 30 or fewer continuous days, or of 22 or fewer discontinuous 

workdays. 

Agency Authority to Reassign. At its discretion, an agency may reassign an employee, 

without regard to RIF procedures, to a vacant position at the same grade and rate of pay. 

The position may be in the same, or in a different: 

1.	 Competitive level; 

2.	 Competitive area; or 

3.	 Local commuting area. 

A reassignment to a position in a different pay schedule (e.g., GS to FWS or vice versa) 

must not involve either a promotion or a demotion. 

Optional Use of RIF or Reassignment. At its discretion, an agency may provide an 

offer of a position at the same grade and pay to an employee who is reached for a RIF 

action by either: 

1.	 Offering the employee assignment under the RIF regulations to an encumbered or 

a vacant position; or 

2.	 Reassigning the employee to a vacant position. 

An agency is required to use the RIF regulations only if the employee is separated, 

downgraded, or placed in a nonpay status as a RIF furlough, because of an action and 

reason described in “RIF Actions and Reasons” above. 

No Special RIF Rights From Compensable Injury. An employee absent because of a 

work-related compensable injury has no special protection in a RIF. An employee is 

separated by RIF while the employee is receiving injury compensation benefits has no 

restoration rights based upon the injury. 

Employees May Volunteer for RIF Only if Authorized by Statute. The abolishment 

of a position and a subsequent RIF are agency-initiated actions. Without specific 

statutory authority, an employee may not volunteer for a RIF action. 

For example, section 3502(f) of title 5, United States Code, authorizes potential voluntary 

RIF actions in the Department of Defense (DoD) if the voluntary separation results in the 

retention of a DoD employee in a similar position who will otherwise be separated by 

RIF. Similarly, section 3136 of Public Law 106-398 authorizes potential voluntary RIF 

27
 
separations for Department of Energy employees at closure projects if the voluntary 

separation results in the retention of an Energy employee in a similar position who would 

otherwise be separated by RIF. 

Section D: Reorganization, Misclassification, and Job Erosion 

Reorganization Basics. “Reorganization” means the planned elimination, addition, or 

redistribution of functions or duties in an organization. 

Use of RIF Procedures in Reorganization. If a reorganization results in an employee 

being reached for separation or downgrading, the agency must follow the RIF 

regulations, but only at the time of actual separation or downgrading. The agency may 

implement a reorganization when organizational changes actually take place, or at a later 

date such as during a classification survey. 

Most RIF actions are actually reorganizations, resulting from lack of work, shortage of 

funds, or reduction in personnel ceiling. Also, an agency decision to privatize work 

under Office of Management and Budget (OMB) Circular A-76 or other authority 

(including a Most Efficient Organization (MEO) decision) is a reorganization covered by 

the RIF regulations for any employee separated or demoted as a result of the agency’s 

action. 

The agency has the right to conduct a reorganization and a RIF at any time, not just in 

direct response to an event such as a reduction in available funds. For example, the 

agency may decide to reorganize its workforce or reporting relationships to accommodate 

a shortage in available funds. As explained in Section C, under “Agency Authority to 

Reassign,” an agency may reassign an employee to another position at the same grade 

without regard to relative retention standing, and avoid the use of RIF procedures in a 

reorganization. 

Misclassification Due to New Classification Standard or Correction of Classification 

Error. If the grade of a position must be reduced because of the application of new OPM 

classification standards or the correction of a classification error, the agency does not use 

RIF procedures. In these situations, the duties of the position do not change; the grade of 

the position changes because of new classification standards or the correction of the 

classification error. 

Reclassification Due to Job Erosion. “Job erosion” describes a situation where the 

grade of a position must be reduced because duties have gradually drifted away through 

an extended erosion process. In job erosion cases, there is no record of: 

1.	 The reason why the grade-supporting duties of a position are no longer being 

performed; and 

2.	 The time frame when the change to grade-controlling duties actually occurred. 

28
 
 

 

Job erosion contrasts with a reclassification due to reorganization, where the agency 

carries out a planned change in duties when the record shows: 

1.	 A direct or indirect management decision resulting in the deletion of the 

grade-supporting duties of a position; and 

2.	 The time frame when management made this decision. 

Use of RIF in Job Erosion. The RIF regulations apply to job erosion reclassification 

actions when: 

1.	 The job erosion downgrading action will take effect after an agency has formally 

announced a RIF in the employee's competitive area; and 

2.	 The RIF will occur within 180 days after the effective date of the downgrading 

action. 

In deciding whether job erosion is an option, the agency must consider whether a RIF has 

been announced, and will take effect within 180 days, in the employee’s competitive 

area. 

Accretion of Duties. At its option, an agency may promote an employee without the 

usual competitive procedures if the agency reclassifies the position on the basis of 

additional duties and responsibilities. If the agency noncompetitively promotes 

employees on the basis of accretion of duties and responsibilities, the agency is 

responsible for establishing its formal policies to document that each promotion is 

legitimate. 

Section E: Competitive Area 

Competitive Area Basics. Each agency must establish competitive areas that are the 

boundaries within which employees compete for retention under the RIF regulations. 

The competitive area includes all employees within the organizational unit(s) and 

geographical location(s) that are included in the competitive area definition. In any one 

RIF, an agency may not use one competitive area for the first round of competition, and a 

different competitive area for the second round of competition. 

Employees in a competitive area compete for retention under the RIF regulations only 

with other employees in the same competitive area. Employees do not compete for 

retention with employees of the agency who are in a different competitive area. 

There is no minimum or maximum number of employees in a competitive area. An 

employee who teleworks competes in RIF on the basis of the duty station or work site 

documented for the employee’s official position of record. 

29 
Basis for Competitive Area. Generally, an agency must define each competitive area 

solely in terms of organizational unit(s) and geographical location(s). Agencies have the 

option of establishing a competitive area comprised only of pay band positions when the 

competitive area would otherwise include pay band positions and other positions not 

covered by a pay band. 

An agency may not define a competitive area on the basis of other considerations (such 

as bargaining unit membership, grade, occupation, etc.). 

The same competitive area standard applies to both headquarters and field activities: 

•	 A minimum headquarters or field activity competitive area is any organizational 

unit under separate administration (which is explained below) within the local 

commuting area. 

•	 The agency uses the same general minimum standard of separate administration 

within the local commuting area to establish competitive areas for both 

headquarters and field components. 

If two or more field activities are grouped at the same field installation, but are 

organizationally independent and separate from each other in operation, work function, 

staff, and personnel management, each activity may properly be designated a competitive 

area. 

Inspector General Competitive Areas. An agency must establish a separate 

competitive area for an Inspector General activity established under authority of the 

Inspector General Act of 1978 (Public Law 95-452, as amended). This competitive area 

consists of only employees of the Inspector General activity. 

Separate Administrative Management Authority in Competitive Area 

Determinations. As used for purposes of establishing a minimum competitive area, 

“separate administration”: 

1.	 Is the administrative authority to take or direct personnel actions (including the 

authority to establish positions, abolish positions, assign duties, etc.) rather than 

the issuance or processing of the documents by which these decisions are 

effected; 

2.	 Means that the organizational unit is separately organized and clearly 

distinguished from other organizational units within the same local commuting 

area in regard to operation, work function, staff, and personnel management; 

3.	 Recognizes that individual organizational components may be under separate 

administration even though many agencies reserve final approval of certain 

personnel actions to a higher level in the agency (including classification of 

30
 
positions, filling of higher-graded positions, processing of personnel actions, etc.); 

and 

4.	 Is evidenced by the agency’s organizational manual and delegations of authority 

that document where, in the organization, final authority rests to make decisions 

such as establishing positions, abolishing positions, assigning duties, etc. This is 

the standard for a minimum competitive area in a local commuting area, in either 

a headquarters organization or field component. 

The fact that the same personnel office services several activities does not constitute 

“separate administration” and does not, of itself, require that they be placed in the same 

competitive area. The personnel office merely processes personnel actions rather than 

having final responsibility to make decisions on whether to establish positions, abolish 

positions, assign duties, etc. 

Size of Competitive Area. An agency has considerable flexibility in defining a 

competitive area that is consistent with the RIF regulations. The RIF regulations do not 

require: 

1.	 A competitive area that is larger than the minimum standard covered in the “Basis 

for Competitive Area” paragraph above (a competitive area may not be smaller 

than the minimum standard covered in that paragraph); 

2.	 A minimum or maximum number of employees to be included in a competitive 

area; or 

3.	 A minimum or maximum organizational or geographic size for the competitive 

area. 

Local Commuting Area. The geographic area that usually includes one area for 

employment purposes, as determined by the agency. The local commuting area includes 

any population center (or two or more neighboring centers) and the surrounding localities 

in which people live and can reasonably be expected to travel back and forth every day to 

their usual employment. Each agency has the right and the responsibility to define local 

commuting areas and apply this definition. OPM has not established a mileage standard 

to determine when two local duty stations would be included in the same local 

commuting area. 

Local Commuting Area and Competitive Area. When an organization has components in 

more than one local commuting area, the agency may designate each local commuting 

area as a separate competitive area. When two or more different organizations of the 

same agency are located in the same local commuting area, to determine a minimum 

competitive area, the agency should refer to its controlling documentation to determine 

whether the organizations are under separate administration as described in the above 

paragraph, “Separate Administrative Management Authority in Competitive Area 

Determinations.” 

31
 
Record of Competitive Area Definitions. When an agency establishes or changes 

competitive areas, it must publish descriptions of the areas or otherwise make them 

readily available for review by employees and OPM. The agency usually includes its 

competitive area definition(s) in its internal personnel manual, or with similar documents 

relating to the agency’s specific RIF procedures. 

Restriction on Changing Competitive Area Definitions Within 90 Days of the RIF 

Effective Date. An agency must establish competitive areas at least 90 days prior to a 

RIF effective date unless, at its option, the agency requests an OPM exception to the 

usual 90-day competitive area requirement. A new competitive area does not result from 

changes within an existing competitive area such as the transfer of a function from 

another competitive area prior to the RIF effective date, or the updating of the 

competitive area definition to document other organizational changes that have taken 

place since the competitive area definition was last updated. 

Request to OPM for Exception to 90-Day Requirement. The agency should submit 

the request to OPM as soon as possible, and should include the following information: 

1.	 Identification of the proposed competitive area, including the organizational 

segment, geographic location, and limits of the local commuting area; 

2.	 A description of how the proposed area differs from the one previously 

established for the same unit and geographic area; 

3.	 An organizational chart of the agency showing the relationship between the 

organizational components within the competitive area and other components in 

the commuting area; 

4.	 The number of competing employees in the proposed competitive area; 

5.	 A description of the operation, work function, staff, and personnel administration 

of the proposed area and, where appropriate, a description of how the area is 

distinguished from others in these respects; and 

6.	 A discussion of the circumstances that led to the proposed changes less than 90 

days before a proposed reduction. 

OPM Address to Send Request. The agency should send its competitive area request 

to: 

Deputy Associate Director 

Recruitment and Hiring 

U.S. Office of Personnel Management 

1900 E Street NW, Room 6500 

Washington, DC 20415 

32
 
 

 

To expedite processing, the agency may also fax the request to 202-606-4430.

 

Section F: Competitive Level 

Competitive Level Basics. After establishing the competitive area, the agency establishes 

competitive levels that include groups of interchangeable positions. When the agency 

applies the four RIF retention factors (tenure, veterans’ preference, length of service, and 

performance ratings) to the competitive level, the competitive level becomes a retention 

register, which lists employees in the order of their relative retention standing. The terms 

“competitive level” and “retention register” are generally used in reference to a final 

retention register without regard to this distinction. 

Position Descriptions are Basis for Competitive Levels. The agency establishes 

competitive levels on the basis of each employee’s official position of record. Even 

when using an automated system to determine employees’ retention rights, the agency’s 

burden of proof in an employee’s appeal to the Merit Systems Protection Board is still the 

employee’s official position of record, including the position description. At its option in 

considering a competitive level appeal, the Board has the right to consider evidence other 

than the employee’s official position description. 

The agency determines the competitive level on the basis of the position’s classification 

series and/or grade on the effective date of the RIF. An agency may not place positions 

in a competitive level on the basis of the personal qualifications or performance levels of 

individual employees. 

Establishing Competitive Levels. A competitive level consists of positions in the 

competitive area that are: 

1.	 In the same grade (or occupational level); 

2.	 In the same classification series; and 

3.	 Similar enough in duties, qualification requirements, pay schedules, and working 

conditions, so that an agency may reassign the incumbent of one position to any 

of the other positions in the level without causing undue interruption in the 

agency’s work. 

The agency determines an employee’s RIF rights based on the actual grade of the 

employee’s permanent official position of record, not on a retained grade that the 

employee is receiving based on a prior RIF or other qualifying action. “Qualification 

requirements” for purposes of establishing competitive levels include medical standards 

approved by OPM and/or specific agency-established medical and physical requirements 

33
 
 

that are included in the position description of a competing employee’s official position 

of record. 

Interchangeable Positions are in the Same Competitive Level. Positions in the same 

competitive level are so similar that the agency may readily assign an employee in one 

position to any of the other positions in the competitive level: 

1.	 Without changing the terms of the employee’s appointment; and 

2.	 Without undue interruption to the agency’s work program. 

There is no minimum or maximum number of positions that can be placed in a 

competitive level; for example, a competitive level could potentially consist of one 

unique position. 

Application to Pay Band Positions. If a competitive area includes positions in one or 

more pay bands, each set of interchangeable positions in the pay band is a separate 

competitive level. If the positions are not interchangeable, the pay band may include 

multiple competitive levels. The agency uses the employees’ official position 

descriptions (or equivalent) rather than personal qualifications to establish each 

competitive level. As appropriate, the entire pay band may be one competitive level 

(e.g., all the positions in the pay band have the same or interchangeable position 

descriptions and are placed in one competitive level), or the pay band may include 

multiple competitive levels (e.g., the positions in the pay band have two or more position 

descriptions documenting distinct areas of expertise and are placed in different 

competitive levels within the pay band because the positions are not interchangeable). 

A competitive level in a pay band compensation system may include positions with 

different actual salaries. For example, a pay band competitive level could include 

interchangeable positions that, before implementation of the agency’s pay band 

compensation system, were classified from GS-11 through GS-13. In this situation the 

agency does not consider employees’ actual salaries in determining their relative 

retention standing. For comparison, a competitive level under a traditional compensation 

system includes only positions at the same grade (e.g., a GS-12 position would be 

included only on a competitive level with other interchangeable GS-12 positions). 

Separate Competitive Levels Required. Consistent with the standard for 

interchangeability covered above, the agency must establish separate competitive levels 

for certain positions: 

1.	 Competitive and Excepted Service: The agency must establish separate 

competitive levels for positions in the competitive service, and for positions in the 

excepted service. Employees who hold excepted service appointments in 

competitive service positions (e.g., Veterans Recruitment Appointments (VRA)) 

compete for retention in the excepted service, but do not compete for retention 

with employees who hold the same positions under competitive service 

appointments. 

34
 
2.	 Excepted Service Appointment Authority: The agency establishes separate 

competitive levels for excepted service positions filled under different appointing 

authorities. Employees who hold excepted service appointments in competitive 

service positions compete for retention in the excepted service only with other 

employees holding positions under the same excepted service appointing 

authority. For example, employees holding excepted service VRA positions 

compete for retention only with other employees who hold the same positions 

under VRA appointments. 

3.	 Pay System: The agency establishes separate competitive levels for positions 

filled under different pay systems or pay schedules. 

4.	 Work Schedule: The agency establishes separate competitive levels for positions 

filled on different work schedules— 

•	 Full-time; 

•	 Part-time; 

•	 Intermittent; or 

•	 Seasonal. 

An agency has no authority to establish separate competitive levels based upon 

subsets of the four work schedule categories covered above (e.g., an agency may 

not establish one competitive level for full-time seasonals and a second for parttime seasonals when the positions are otherwise interchangeable). 

5.	 Formally Designated Trainee or Developmental Positions: The agency 

establishes separate competitive levels for positions filled by employees in a 

formally designated trainee or developmental program that has the following 

characteristics: 

•	 Is designed to meet the agency’s needs and requirements for the 

development of skilled personnel; 

•	 Is formally designated as a trainee or developmental program, with its 

provisions announced to employees and supervisors; 

•	 Is developmental by design, offering planned growth in duties and 

responsibilities and providing advancement in recognized lines of career 

progression; and 

•	 Is fully implemented, with the participants chosen for the program through 

standard selection procedures. 

35
 
 

6.	 Supervisory Positions and Competitive Levels: The RIF regulations no longer 

have a specific requirement that an agency must establish a separate competitive 

level solely because an employee holds a supervisory rather than a 

nonsupervisory position. (Note: The duties and responsibilities of a supervisory 

position will generally preclude placement of the position in a competitive level 

that includes a nonsupervisory position.) 

7.	 Mixed Tours Positions and Competitive Levels. An employee serving on a mixed 

tour of duty is placed in an other-than-full-time competitive level consistent with 

the employment agreement between the agency and the employee serving in the 

mixed tour of duty position. 

A mixed tours position is never placed in a competitive level established for fulltime positions. If the mixed tours employment agreement between the agency 

and the employee provides that the agency may schedule the mixed tours 

employee only for full-time and part-time service (i.e., the agreement does not 

cover intermittent service), the agency places the employee in the appropriate 

competitive level for part-time positions. If the mixed tours employment 

agreement between the agency and the employee provides that the agency may 

schedule the mixed tours employee for full-time, part-time, and intermittent 

service, the agency places the employee in an appropriate competitive level for 

intermittent positions. 

Separate Competitive Levels Prohibited. An agency may not place a position on a 

separate competitive level based solely on: 

1.	 The gender of an employee, except when OPM has determined that certification 

of eligibles by gender is justified; 

2.	 A requirement to serve a probationary period for initial appointment to a 

supervisory or managerial position; 

3.	 A difference in the number of hours or weeks scheduled to be worked by 

other-than-full-time employees who otherwise would be in the same competitive 

level; 

4.	 A requirement to work changing shifts; 

5.	 The grade promotion potential of the position; 

6.	 A difference in the local wage areas when a competitive area includes positions 

covered by more than one locality pay area in which wage grade positions are 

located; 

36
 
 

7.	 A difference in locality payments under 5 U.S.C. 5304 and subpart F of part 531 

of title 5, Code of Federal Regulations, when a competitive level includes more 

than one locality pay area listed in section 531.603 of title 5, Code of Federal 

Regulations; or 

8.	 Representative rates in different local commuting areas when a competitive area 

includes General Schedule (GS) and wage grade positions in multiple GS locality 

pay areas, and/or Federal Wage System (FWS) local wage areas. 

•	 One example would involve a competitive area that includes GS positions 

in both Norfolk and Richmond, Virginia. The agency would decide 

whether to establish GS competitive levels on the basis of the 

representative rate in Norfolk or the rate in Richmond. 

•	 In a different example, where a competitive area includes FWS positions 

in both Pensacola, Florida, and Gulfport, Mississippi, the agency would 

decide whether to establish FWS competitive levels on the basis of the 

representative rate in Pensacola or the rate in Gulfport. 

•	 A third example might involve a competitive area that includes more than 

one local commuting area. The agency would use the same local 

commuting area to establish its competitive levels for both GS and FWS 

positions. 

In the second example above with Pensacola and Gulfport, the agency would decide 

whether to establish all its competitive levels on the basis of representative rates in 

Pensacola, or the rates in Gulfport. The agency may not use one local commuting area in 

the competitive area to establish representative rates for one pay schedule (e.g., GS), and 

a different local commuting area in the competitive area to establish representative rates 

for a different pay schedule (e.g., FWS) used in the same RIF. The agency may not use 

the Pensacola representative rates for GS positions, and the Gulfport representative rates 

for FWS positions. 

See Section U of this chapter for information on consideration of representative rates in 

determining employees’ assignment rights when a competitive area includes positions in 

multiple locality pay areas. 

Mobility Agreements and Travel Not Considered in Competitive Levels. An agency 

has no authority under the RIF regulations to establish separate competitive levels based 

upon a position’s requirement for: 

1.	 A mobility agreement; or 

2.	 Travel. 

37
 
 

 

 

Consideration of Security Clearances When Establishing Competitive Levels. If one 

position has a security clearance requirement in its official position description or 

otherwise officially required in the position, but an otherwise interchangeable second 

position does not have an equivalent security clearance requirement in its official position 

description or otherwise officially required in the position, the agency would establish 

separate competitive levels for the two positions if the process to require equivalent 

clearances for the two positions would extend more than 90 days past the RIF effective 

date, resulting in undue interruption, which is defined in Chapter VI, Glossary. 

In making a qualifications determination on whether otherwise interchangeable positions 

with different security clearance requirements are placed in the same competitive level or 

placed in different competitive levels, the agency considers whether the time period 

required for completion of a security clearance will result in undue interruption to the 

activity. 

Whether or not a security clearance requirement is contained in the employees’ official 

position descriptions, the agency could establish separate competitive levels if the 

clearance approval process would extend more than 90 days past the effective date of the 

RIF. 

Section G: Establishing Retention Registers 

Retention Register Basics. The retention register applies the four retention factors 

required by law (i.e., tenure, veterans’ preference, length of service, and performance 

ratings) to the competitive level. The retention register lists all competing employees in 

the order of their relative retention standing in a single competitive level. 

Employees Listed on the Retention Register. The retention register includes the name of 

each competing employee who holds an official position of record in the competitive 

level and is: 

1.	 Serving in that position; 

2.	 Temporarily promoted from the competitive level by either temporary promotion 

or term promotion; or 

3.	 Detailed from the competitive level under section 3341 of title 5, United States 

Code, or under other authority. 

Employees Not Listed on the Retention Register Because of Armed Forces Restoration 

Rights. The retention register does not include the name of a competing employee on 

military duty with a restoration right to the competitive level. The employee does not 

compete for retention under the RIF regulations; instead, the employee has a restoration 

right based on his or her military service. 

Employees Listed Apart From the Retention Register. Employees holding certain 

positions in a competitive level do not compete for retention in that competitive level. 

38
 
 

The agency identifies these employees by entering the name of each noncompeting 

employee on a separate list. 

For example, the agency enters on the separate list the name of each employee who is 

serving in the competitive level under a: 

1.	 Time-limited temporary appointment; 

2.	 Term promotion; or 

3.	 Temporary promotion. 

The agency also enters on the separate list the name of each employee who holds an 

official position of record in the competitive level and who has received a final written 

decision of removal or demotion because of Unacceptable (or equivalent) performance, 

or because of adverse action. 

An employee who has received a written decision of demotion because of Unacceptable 

(or equivalent) performance, or because of adverse action, competes for retention from 

the position to which the employee will be, or has been, demoted. 

Section H: Determining Employees’ Retention Standing 

Retention Standing Basics. The four statutory retention factors are implemented in the 

following order on the retention register: 

1.	 Tenure is the first factor and is implemented through three tenure groups on the 

retention register, which are described in Section I below; 

2.	 Veterans’ preference is the second factor and is implemented through three tenure 

subgroups on the retention register, which are described in Section J below; 

3.	 Service is the third factor and is implemented through each employee’s service 

computation date on the retention register; and 

4.	 Performance is the fourth factor and is implemented through additional service 

added for retention to the employee’s service computation date on the retention 

register. 

Order of Employees on the Retention Register. The agency lists competing employees 

on the retention register in the following order: 

1.	 Tenure Groups. The order of the three retention tenure groups on the retention 

register is: 

•	 Group I; 

39
 
•	 Group II; and 

•	 Group III. 

2.	 Tenure Subgroups. The order of the three veterans’ preference retention tenure 

subgroups on the retention register is: 

•	 Subgroup AD; 

•	 Subgroup A; and 

•	 Subgroup B. 

3.	 Service Credit. Within each subgroup, the agency first establishes a service 

computation date for each competing employee. 

4.	 Performance. Then within each subgroup, the agency adds additional service 

credit for performance, listing the employee with the earliest service computation 

date for RIF at the top of the subgroup. 

Section I: Retention Tenure Groups 

Competitive Service Tenure Groups. The RIF regulations define three competitive 

service tenure groups. 

1. Group I includes each career employee who is not serving a probationary period 

for appointment to a competitive position. 

An employee serving a probationary period required for a supervisory or 

managerial position does not affect the tenure group designation. 

The following employees are in tenure group I as soon as they complete any 

required probationary period for initial appointment: 

•	 An appointment for whom substantial evidence exists of eligibility to 

immediately acquire status and career tenure and whose case is pending final 

resolution by OPM (including cases under Executive Order 10826 to correct 

certain administrative errors); 

•	 An employee who acquires competitive status and satisfies the service 

requirement for career tenure when his or her position is brought into the 

competitive service; 

•	 An administrative law judge; 

40 
 

•	 An employee appointed under section 3104 of title 5, United States Code, 

(which provides for the employment of specifically qualified scientific and 

professional personnel) or a similar authority; and 

•	 An employee who acquires status under section 3304(c) of title 5, United 

States Code, on transfer to the competitive service from the legislative or 

judicial branches of the Federal Government. 

2.	 Group II includes: 

•	 Each career-conditional employee; 

•	 Each employee serving a probationary period for initial appointment to a 

competitive position; and 

•	 An employee is in tenure group II when substantial evidence exists of 

eligibility to immediately acquire status and career-conditional tenure and the 

employee’s case is pending final resolution by OPM (including cases under 

Executive Order 10826 to correct certain administrative errors). 

3.	 Group III includes each employee serving under: 

•	 Indefinite appointment; 

•	 Temporary appointment pending establishment of a register (TAPER); 

•	 Term appointment; 

•	 Status quo appointment; 

•	 A provisional appointment; or 

•	 Any other nonstatus nontemporary appointment. 

A competitive service employee serving under a temporary limited appointment is not in 

tenure group III and is not a competing employee (tenure group “0”), except when the 

employee serves in a provisional appointment that was: 

•	 Granted by OPM; or 

•	 Made under an authority established by law, Executive order, or regulation. 

Excepted Service Tenure Groups. The RIF regulations define three excepted 

service tenure groups. 

41
 
 

1.	 Group I includes each permanent employee whose appointment carries no 

restriction or condition such as conditional, indefinite, specific time limit, or trial 

period. 

2.	 Group II includes each employee: 

•	 Serving a trial period; or 

•	 Whose tenure is equivalent to a career-conditional appointment in the 

competitive service in agencies having these appointments. 

3.	 Group III includes each employee: 

•	 With indefinite tenure (an appointment without a specific time limit, but not 

actually or potentially permanent); 

•	 Under an appointment with a specific time limitation of more than 1 year; or 

•	 Who is currently serving under a temporary appointment limited to 1 year, but 

has completed one year of current continuous service under a temporary 

appointment with no break in service of 1 workday or more. 

Section J: Veterans’ Preference in RIF 

General Eligibility for Veterans’ Preference in RIF. Except for an employee who is a 

retired member of the Armed Forces, an employee who is eligible for veterans’ 

preference for purposes of initial appointment to the Federal service is also eligible for 

veterans’ preference under the RIF regulations. See “Veterans’ Preference in RIF When 

the Employee is Retired From a Uniformed Service” below for additional information. 

In making an official determination of whether an employee is entitled to veterans’ 

preference for retention, or to determine whether an employee’s service in the Armed 

Forces is creditable for retention, refer to OPM’s VetGuide, which is available on the 

OPM website at www.opm.gov. 

An agency has no authority to apply a “freeze” and restrict an employee from updating 

veterans’ preference records prior to the effective date of a RIF. An agency is not 

required to consider veterans’ preference records that are not available until after the 

effective date of the RIF. 

Tenure Subgroups. The RIF regulations define three tenure subgroups. Within each of 

the three tenure groups on a retention register, the agency places the names of competing 

employees in veterans’ preference tenure subgroups. The same tenure subgroups are 

used for positions filled under competitive and excepted appointments. 

1. Subgroup AD includes each veterans’ preference-eligible employee who has a 

compensable service-connected disability of 30 percent or more. 

42 
 

2. Subgroup A includes each veterans’ preference-eligible employee not in subgroup 

AD, including all employees eligible for “derivative preference” under section 

2108(3)(D)-(G) of title 5, United States Code. 

3. Subgroup B includes each employee not eligible for veterans’ preference under 

the RIF regulations. 

Derivative Preference in RIF. Veterans’ preference also extends to four types of 

employees who are eligible for derivative preference, and who are therefore in retention 

subgroup A: 

1. The unmarried widow or widower of a veteran, as “veteran” is defined in section 

2108(1)(A) of title 5, United States Code (5 U.S.C. 2108(3)(D)); 

2. The spouse of a service-connected disabled veteran, as “disabled veteran” is 

defined in section 2108(2) of title 5, United States Code, who has been unable to 

qualify for a Federal position (5 U.S.C. 2108(3)(E)); 

3. The mother of a veteran (as “veteran” is defined in section 2108(1)(A) of title 5, 

United States Code) who died in a war or campaign, provided that the mother also 

meets other statutory conditions covered in section 2108(3)(F) of title 5, United 

States Code (5 U.S.C. 2108(3)(F)); or 

4. The mother of a permanently disabled veteran (as “disabled veteran” is defined in 

section 2108(2) of title 5, United States Code), provided that the mother also 

meets other statutory conditions covered in section 2108(3)(G) of title 5, United 

States Code (5 U.S.C. 2108(3)(G)). 

There is no authority to place an employee in retention subgroup AD on the basis of 

derivative preference. 

Veterans’ Preference in RIF When the Employee is Retired From a Uniformed Service. 

The law limits veterans’ preference for retired members of a uniformed service to an 

employee who meets one of the following two conditions: 

1. The employee’s retirement from a uniformed service without regard to benefits 

from the Department of Veterans Affairs is based on a disability that either: 

•	 Resulted from injury or disease received in the line of duty as a direct result of 

armed conflict, or 

•	 Was caused by an instrumentality of war, and was incurred in the line of duty 

during a period of war as defined by sections 101 and 301 of title 38, United 

States Code; 

43
 
2. The employee’s retirement from a uniformed service is based on less than 20 

years of full-time active service, excluding periods of active duty for training, 

regardless of when performed, and either: 

•	 Retired at the rank of major (or equivalent) or higher, and is a disabled 

veteran, as defined in section 2108(2) of title 5, United States Code; or 

•	 Retired below the rank of major (or equivalent). 

The restrictions on veterans’ preference for RIF also apply to early retirement from the 

Armed Forces under Public Law 102-484 based upon a minimum of 15 (rather than 20) 

years of active military service. 

Veterans’ Preference in RIF When the Employee is Retired From the Armed Forces as a 

Reservist. A veteran who becomes eligible for retired pay at age 60 as a reservist is not 

subject to the same restrictions on preference because the retirement from the Armed 

Forces is based on less than 20 years of creditable active service. If the employee 

otherwise meets the requirements for veterans’ preference, the reservist is eligible for 

veterans’ preference in RIF until age 60 when the Armed Forces retirement pay 

commences. 

To retain RIF preference at age 60, the reservist must have either: 

1. Retired at the rank of major (or equivalent) or higher, and be a “disabled veteran,” 

as defined in section 2108(2) of title 5, United States Code; or 

2. Retired below the rank of major (or equivalent). 

Section K: RIF Service Credit 

Service Credit on the Retention Register. The agency lists competing employees on the 

retention register within tenure groups and subgroups by length of service, in descending 

order starting with the earliest service computation date for RIF. 

Responsibility of the Agency to Determine Employee’s Retention Service Dates. The 

agency is responsible for determining each employee’s retention service date (defined in 

Chapter VI, Glossary of Terms) as of the RIF effective date. The agency has no authority 

to use a “freeze” date as the basis to exclude creditable retention service credit that is 

verified before the RIF effective date. The agency is also responsible, if necessary, for 

correcting the retention service date of an employee to withhold retention service credit 

for noncreditable service. 

Creditable Service for Retention. Employees receive RIF service credit for: 

1. All civilian service performed as a Federal employee that meets the definition of 

“employee” in section 2105(a) of title 5, United States Code; 

44
 
 

2. Civilian service that does not meet the definition of “employee” in section 

2105(a) of title 5, United States Code, if a controlling statute specifically defines 

this service as creditable under the RIF regulations; and 

3. All active duty performed in a uniformed service, except as restricted by law for 

certain members of the Armed Forces who are receiving retired pay. 

An employee may not receive dual retention service credit for service performed on 

active duty in the Armed Forces that was performed during concurrent employment as a 

Federal civilian employee. 

Determining the Retention Service Date. An employee’s retention service date under the 

RIF regulations is one of the three following dates, as applicable: 

1. If the employee has no previous creditable service, the date that the employee 

entered on duty; or 

2. If the employee has previous creditable service, the date obtained by subtracting 

the employee’s total previous creditable service from the date that the employee 

last entered on duty; then as the final step 

3. The date obtained by subtracting from the applicable date in 1 or 2 above, any 

retention service credit based on performance to which the employee is entitled 

under the RIF regulations. 

Determining the Retention Service Date of Retired Members of the Armed Forces. The 

law limits the amount of military service that most retired members of the Armed Forces 

may credit under the RIF regulations. 

If the retired member of the Armed Forces is not eligible for veterans’ preference under 

the RIF regulations, the employee receives retention credit only for creditable active 

military service: 

1. During a war declared by Congress (including World War II, which covers the 

period from December 7, 1941, to April 28, 1952); or 

2. Actually performed in a campaign or expedition for which a campaign badge has 

been authorized. 

If the retired member of the Armed Forces is eligible for veterans’ preference under the 

RIF regulations, the employee receives retention credit for all creditable active service in 

the Armed Forces. 

Section L: Additional RIF Service Credit for Performance 

Time Period Covered by Employees’ Ratings of Record. Each employee receives 

additional RIF service credit for performance based upon the average of the employee’s 

45
 
three most recent ratings of record received during the 4-year period prior to the date that 

the agency either: 

1. Issues specific RIF notices; or 

2. Freezes ratings before issuing specific RIF notices. 

Ratings of Record Used for RIF. An agency may use only a rating of record or an 

equivalent rating of record as the basis for granting retention service credit under the RIF 

regulations. 

1. Employees who received ratings of record receive additional retention servi ce 

credit based upon those ratings. 

2. For an employee who is not covered by chapter 43 of title 5, United States Code, 

or by part 430 of title 5, Code of Federal Regulations, “rating of record” for 

purposes of part 351 of title 5, Code of Federal Regulations, means the officially 

designated performance rating, as provided for in the agency’s appraisal system, 

that is considered to be an equivalent rating of record under the provisions of 

section 430.201(c) of title 5, Code of Federal Regulations. 

Employees receive additional retention service credit based upon those ratings only if the 

agency conducting the RIF determines that the ratings are “equivalent ratings of record.” 

If an agency has administratively adopted and applied the procedures of part 430, subpart 

B, of title 5, Code of Federal Regulations, to evaluate the performance of its employees, 

the ratings of record resulting from that evaluation are considered equivalent ratings of 

record for purposes of the RIF regulations. 

Any other performance evaluation given while an employee is not covered by the 

provisions of part 430, subpart B, of title 5, Code of Federal Regulations, is considered to 

be a rating of record for purposes of the RIF regulations when the performance 

evaluation: 

•	 Was issued as an officially designated evaluation under the employing 

agency’s performance evaluation system; 

•	 Was derived from the appraisal of performance against expectations that are 

established and communicated in advance and are work-related; and 

•	 Identified whether the employee performed acceptably. 

When the performance evaluation does not include a summary level designator and 

pattern comparable to those established at section 430.208(d) of title 5, Code of Federal 

Regulations, the agency may identify a level and pattern based on information related to 

the appraisal process. 

46
 
 

Ratings Must Be on Record. To be creditable for RIF purposes, a rating of record must 

have been issued to the employee, with all appropriate reviews and signatures, and must 

also be on record. This means that the rating was: 

1.	 Issued to the employee; 

2.	 Returned with all appropriate reviews and signatures; and 

3.	 On record and available for use by the office responsible for preparing retention 

registers (i.e., the rating of record is final and has been entered into the agency’s 

personnel records system). 

Policy on Ratings of Record. Agencies must ensure that ratings of record are issued in 

accordance with established schedules and forwarded to the appropriate office on a 

timely basis. Because agencies’ rating procedures may vary, each agency must set its 

own internal policy for processing ratings and putting them on record for RIF purposes; 

this policy must be: 

1.	 Included in the agency’s appropriate issuances that implement these performance 

management policies; and 

2.	 Applied on a uniform and consistent basis in the competitive area where the RIF 

will take place. 

Issuance on Performance Management Policy. The agency’s issuances that implement its 

performance management policies must specify: 

1.	 The conditions under which a rating of record is considered to have been received 

for purposes of determining whether it is within the 4-year period prior to either--

•	 The date the agency issues RIF notices or 

•	 The agency-established cutoff date for ratings of record, as appropriate. 

2.	 If the agency elects to use a cutoff date, the number of days prior to the issuance 

of RIF notices after which no new ratings of record will be put on record and used 

to determine employees’ retention standing; and 

3.	 If the agency has employees in a competitive area who have ratings of record 

under more than one pattern of summary levels, the number of years of additional 

retention service credit that it will establish for the summary levels. 

The agency must make this information available for review. 

Freezing Ratings. To provide time to properly determine employee retention standing 

prior to a RIF, the agency may establish a policy providing for a cutoff date that is a 

specified number of days prior to the date it issues a specific RIF notice. After the cutoff 

47
 
date, the agency may not put new ratings of record on record for RIF purposes. If 

adopted, this policy must be: 

1.	 Applied on a uniform and consistent basis in the competitive area where the RIF 

will occur; and 

2.	 Documented in the agency’s performance management policies or other 

appropriate issuance. 

Missing Ratings. If an employee has not received three actual ratings of record during 

the applicable 4-year period prior to the date the agency issues specific RIF notices or 

freezes ratings, the agency provides additional retention service credit for performance 

under the following procedures: 

1.	 An employee who has not received any rating of record during the applicable 

4-year period receives retention service credit for performance based on the 

modal rating for the summary level pattern that applies to the employee’s official 

position of record at the time of the RIF (more information on modal ratings is 

provided below); or 

2.	 An employee who has received at least one, but fewer than three, previous ratings 

of record during the applicable 4-year period, receives retention service credit for 

performance on the basis of the value of the actual rating(s) of record divided by 

the number of actual ratings received. 

For example, an employee who has received only two actual ratings of record during the 

applicable 4-year period receives retention service credit for performance by adding 

together the value of the two ratings, then dividing the sum by two and rounding to the 

next higher whole number if the result is a fraction, to determine the amount of additional 

retention service credit. For another example, an employee who has received only one 

actual rating of record during the applicable 4-year period receives retention service 

credit for performance on the basis of the value of the single rating. 

Modal Ratings. For each employee with no rating of record, the agency must determine: 

•	 The employee’s position of record; 

•	 The performance appraisal program covering that position; and 

•	 The summary level pattern covering the position on the RIF effective date. 

The agency must use the same modal rating for all employees in the competitive area 

who: 

1.	 Have no ratings of record within the 4-year period preceding the RIF notice or the 

cutoff date; and 

48
 
2.	 Are in positions of record covered by appraisal programs that use the same 

summary pattern. 

The agency may not determine the modal rating based upon a smaller grouping, such as 

only employees in an occupation or a classification series. As applicable, the agency 

determines separate modal ratings for each of the (up to) eight different summary level 

patterns potentially used by the agency’s appraisal programs. In making this 

determination, the agency may find that more than one pattern has the same modal rating. 

For example, based on the agency’s performance records, the agency may find that Level 

3 (Fully Successful, or equivalent) is the modal rating for both Pattern A (a two-level 

Pass/Fail pattern) and Pattern H (a traditional five-level pattern). In this example, the 

agency then determines whether to provide the same or different amounts of retention 

service credit for Level 3 or higher ratings under Pattern A and Pattern H (e.g., at its 

option, the agency could provide the same retention credit for the Level 3 rating in 

Pattern A and for all three ratings from Level 3 through Level 5 in Pattern H). 

Amount of Credit; Single Rating Pattern. If the agency finds that all employees in a RIF 

competitive area received all of their ratings of record under a single pattern of summary 

levels as covered in section 430.208(d) of title 5, Code of Federal Regulations, the 

agency gives additional retention service credit to the employees in additional years of 

service on the basis of the mathematical average of each employee’s ratings of record: 

1.	 20 additional years of service for each rating of record of Outstanding or 

equivalent summary (Level 5); 

2.	 16 additional years of service for each rating of record of Exceeds Fully 

Successful or equivalent summary (Level 4); and
 

3.	 12 additional years of service for each rating of record of Fully Successful or 

equivalent summary (Level 3). 

If the average is a fraction, the agency rounds up the fraction to the next higher whole 

number. The agency may not give any additional retention service credit ratings for a 

rating of record below Fully Successful or equivalent. For example, the agency may not 

give any additional retention service credit for ratings of record of Minimally Successful 

or equivalent (Level 2), or Unacceptable or equivalent summary (Level 1). 

Amount of Credit; Multiple Single Rating Patterns. If an agency has employees in a 

competitive area who have received ratings of record under more than one pattern of 

summary levels, as covered in section 430.208(d) of title 5, Code of Federal Regulations, 

the agency must consider the mix of patterns and provide additional retention service 

credit for performance to employees, expressed in additional years of service, as follows: 

1.	 The additional years of service for RIF purposes consist of the mathematical 

average (rounded in the case of a fraction to the next higher whole number) of the 

additional retention service credit that the agency established for the summary 

levels of the employee’s applicable rating(s) of record. 

49
 
 

2.	 The agency must establish the amount of additional retention service credit 

provided for summary levels only in full years. 

3.	 The agency may not establish additional retention service credit for summary 

levels below Level 3 (Fully Successful or equivalent). 

4.	 When establishing additional retention service credit for the summary levels at 

Level 3 (Fully Successful or equivalent) and above, the agency must provide at 

least an additional 12 years, but no more than 20 additional years, of additional 

retention service credit for a summary level. 

5.	 The agency may establish the same number of years of additional retention 

service credit for more than one summary level. 

6.	 The agency must establish the same number of years of additional retention 

service credit for all ratings of record with the same summary level in the same 

pattern of summary levels. (See section 430.208(d) of title 5, Code of Federal 

Regulations, for information on patterns of summary levels used in appraisal 

programs). 

7.	 The agency may establish a different number of years of additional retention 

service credit for the same summary level in different patterns. 

8.	 In providing service credit for retention to employees who are under more than 

one pattern of summary levels, the agency must specify the number of years of 

additional retention service credit that it will establish for summary levels (5 CFR 

351.504(e)(7)). 

The agency must make this information available for review in the appropriate issuances 

that implement the agency’s performance management policies. 

Proposed Decision to Remove or Demote Because of Unacceptable Performance. An 

employee with a current Level 1 (Unacceptable or equivalent) rating of record who has 

not received a final written decision of removal or demotion because of unacceptable 

performance is not penalized in first-round RIF competition, and is listed on the retention 

register with other employees. The employee has no rights to positions in second-round 

RIF competition. 

The employee is assigned to the appropriate group and subgroup and receives credit for 

all applicable service. The employee also receives any service credit to which entitled for 

the other two previous ratings of record. 

Proposed Decision to Remove or Demote Because of Adverse Action. An employee with 

a proposed, but not a final, written decision of removal or demotion because of a pending 

adverse action, is not penalized solely on that basis in first or second-round RIF 

competition, and is listed on the retention register with other employees. 

50 
 

 

 

Final Decision to Remove or Demote . An employee who has received a final written 

decision of removal because of unacceptable (or equivalent) performance competes 

differently from an employee who has received a final written decision of demotion due 

to unacceptable (or equivalent) performance: 

•	 An employee who, as of the effective date of the RIF, has received a final written 

decision of removal because of unacceptable performance, or because of adverse 

action, is listed apart from the retention register and does not compete in first or 

second-round RIF competition. 

•	 An employee who has received a final written decision of demotion because of 

unacceptable performance, or because of adverse action, is listed on the retention 

register for the position to which the employee will be demoted. 

Elimination of Unacceptable Rating. If, because of performance improvement during the 

notice period of a proposed removal or demotion action because of unacceptable (or 

equivalent) performance, an employee is not demoted or separated and the employee’s 

performance continues to be acceptable for 1 year after the notice, any record of the 

unacceptable performance is removed from agency records. In this situation, no record 

of the Level 1 (Unacceptable) rating would exist. 

There is no authority for an agency to remove an employee’s Level 1 rating except under 

authority of section 293.404(a)(3) of title 5, Code of Federal Regulations, covered above, 

or under other appropriate authority (for example, an award resulting from a grievance, 

equal employment opportunity complaint, or similar complaint). 

Section M: Personnel Records in RIF 

Responsibility of Agency to Maintain Personnel Records. The agency is responsible for 

maintaining the personnel records that are used to determine the retention standing of 

competing employees. 

Employee Access to Retention Records. The agency must allow its retention registers 

and related records to be inspected by: 

1.	 An employee of the agency who has received a specific RIF notice, or the 

employee’s representative; and 

2.	 A representative of OPM. 

An employee who has not received a specific RIF notice has no right to review the 

agency's retention registers and related records. 

Review of Retention Register With Employee’s Name. An employee who has received a 

specific RIF notice has the right to review the complete retention register used by the 

51
 
 

agency to determine the employee’s retention standing in a RIF action that the agency has 

taken, or will take, including: 

1.	 The names of all other employees listed on that register; 

2.	 The employees’ respective individual RIF service computation dates; 

3.	 The employees’ respective individual RIF service computation dates adjusted for 

additional service credit; and 

4.	 The complete retention register so that the employee may consider how the 

agency constructed the competitive level, and how the agency determined the 

relative retention standing of the competing employees. 

The personal representative of an employee who has received a specific RIF notice has 

the same right to access these retention records. 

Review of Other Retention Registers. An employee who has received a specific RIF 

notice has the right to review the complete retention registers for other positions that 

could affect: 

1.	 The composition of the employee’s own competitive level; and/or 

2.	 The determination of the employee’s assignment rights to positions on other 

competitive levels. 

The employee’s personal representative has the same right to access these retention 

records. 

Retention of Records for Minimum of 1 Year. The agency must preserve all registers and 

records relating to a RIF for at least 1 year after the date it issues a specific RIF notice. 

Also, the agency should always retain any retention records that are, or may be, subject to 

review in an appeal or grievance without regard to the general 1-year limit for preserving 

records related to the RIF. 

Section N: Release From the Competitive Level 

Date Used to Determine Retention Standing. The agency determines each employee’s 

retention standing as of the effective date of the RIF. The effective date of the RIF is the 

date that the employee is released from the competitive level, not the date the employee 

receives a RIF notice. 

Release of Noncompeting Employees. Before a competing employee (i.e., an employee 

in tenure group I, II, or III) may be released from a competitive level, the agency must 

first release from that competitive level each employee who: 

1.	 Holds a temporary appointment to a position in that competitive level; 

52 
 

2.	 Holds a term promotion or temporary promotion to a position in that competitive 

level (these employees are returned to their permanent positions of record, or 

equivalent); 

3.	 Has received a written decision of removal or demotion because of unacceptable 

(or equivalent) performance, or because of adverse action, from a position in that 

competitive level. 

An employee who has received a written decision of demotion because of unacceptable 

performance or adverse action competes for retention from the position to which the 

employee will be, or has been, demoted. 

Order of Releasing Employees From the Competitive Level. The agency releases 

competing employees from the RIF retention register in the inverse order of the 

employees’ relative retention standing: 

•	 The first employee released is the employee who has the lowest retention standing 

on the retention register; and 

•	 The employee with the next lowest standing on the retention register is the second 

employee released, and the same order is followed until the required number of 

employees are released from the retention register. 

An employee in an abolished position has a right to a position held by a lower-standing 

employee in the same competitive level rather than being released from the level; if the 

employee in the abolished position has the lowest standing, the employee is the one 

released from the competitive level. At its option, an agency may provide for intervening 

displacement within the competitive level before final release of the employee with the 

lowest retention standing from the competitive level. 

The displacement of a lower-standing employee by a higher-standing employee in the 

same competitive level is not a RIF action for the higher-standing employee, who is 

reassigned to the position rather than released from the competitive level. A higherstanding employee who displaces a lower-standing employee in the same competitive 

level retains the same status and tenure upon encumbering the position of the lowerstanding employee. For example, a subgroup I-B employee who displaces a subgroup 

III-B term employee retains the same I-B status and tenure while encumbering the term 

position. 

Under limited conditions, an agency may release a competing employee from a 

competitive level, and still retain a lower-standing competing employee in the same level, 

only if the agency uses a mandatory, discretionary, or liquidation exception, which is also 

covered in this section. 

53
 
Breaking Ties in Retention Standing. When employees in the same retention subgroup 

have identical service dates and are tied for release, the agency has the right to determine 

the order in which the tied employees are released. 

Mandatory Exception to the Regular Order of Release Based upon Service in a 

Uniformed Service. The agency must use a mandatory exception to the regular order of 

releasing employees in order to retain a tenure group I or group II employee who has 

restoration rights after returning from active duty in a uniformed service. 

A mandatory exception applies to employees with restoration rights for either 6 months, 

or 1 year, as appropriate. Before release from the competitive level by RIF, each 

employee with a restoration right based on active duty in a uniformed service must be 

retained over other employees in the tenure group and subgroup until the end of the 

applicable 6 months or 1-year mandatory retention period. 

If an employee with this restoration right is reached for release from a competitive level 

during the applicable mandatory retention period (for example, 6 months or 1 year 

following restoration from the Armed Forces), the agency is obligated to find another 

position for the employee under the provisions of the restoration regulations, if possible, 

rather than separate the employee by RIF. 

The agency must record on the retention register the reason(s) for using a mandatory 

exception to the regular order of release. Each employee listed on the retention register 

has the right to review the reason(s) for the use of the mandatory exception to the regular 

order of release. 

Mandatory Exception to the Regular Order of Release and the Use of Annual Leave to 

Reach Title to an Immediate Annuity and/or to Continue Health Benefits. An agency 

must use a mandatory exception to the regular order of releasing employees from the 

competitive level in order to retain an employee who is being involuntarily separated 

from the agency by RIF if the employee elects to use annual leave and remain on the 

agency’s rolls after the effective date that the employee would otherwise have been 

separated, for the purpose of establishing initial eligibility for: 

1.	 Immediate Civil Service Retirement System (CSRS) or Federal Employees’ 

Retirement System (FERS) retirement (including optional, voluntary early 

retirement (VERA), discontinued service retirement (DSR), and FERS 

MRA+10)); and/or 

2.	 Continuation of Federal Employees Health Benefits (FEHB) coverage into 

immediate retirement. 

An employee retained under this provision must be covered by the leave provisions of 

chapter 63 of title 5, United States Code. An agency may not retain an employee under 

this provision past the date that the employee first becomes eligible for immediate 

retirement, and/or for continuation of health benefits into retirement, except that an 

54
 
employee may be retained long enough to satisfy both retirement and health benefits 

requirements. 

Except as permitted as a permissive temporary exception under authority of section 

351.608(d) of title 5, Code of Federal Regulations, for an employee on approved sick 

leave, an agency may not approve the employee’s use of any other type of leave after the 

employee has been retained under a mandatory exception for the purpose of gaining 

initial eligibility for immediate retirement and/or continuation of health benefits into 

retirement. Section 630.212 of title 5, Code of Federal Regulations, defines annual leave 

that is available for purposes of a mandatory exception under this paragraph. 

The agency must record on the retention register the reason for using a mandatory 

exception to the regular order of release. Each employee listed on the retention register 

has the right to review the reason for the use of the mandatory exception to the regular 

order of release. 

An agency may use a permissive temporary exception to the regular order of releasing 

employees in order to retain an employee who is covered by a Federal leave system under 

authority other than chapter 63 of title 5, United States Code, for the purpose of 

establishing initial eligibility for an immediate retirement, and/or continuation of health 

benefits coverage into immediate retirement. The agency determines the retention 

standing of an employee who is retained under a mandatory exception as of the date the 

employee would have been released from the competitive level had the agency not used 

the exception. 

Use of Annual Leave in Relocation Situations to Obtain Retirement Benefits and/or to 

Continue Health Benefits Coverage. An employee who is being involuntarily separated 

by adverse action because of the employee’s decision to decline relocation to a different 

local commuting area (including transfer of function, reassignment, realignment, change 

of duty station, etc.) may elect to use annual leave and remain on the agency’s rolls after 

the date the employee otherwise would have been separated by adverse action, in order to 

establish initial eligibility for: 

1.	 Immediate CSRS or FERS retirement (including optional, VERA, DSR, and 

FERS MRA+10); and/or 

2.	 Continuation of FEHB coverage into immediate retirement. 

An employee retained under this provision must be covered by chapter 63 of title 5, 

United States Code. Under this provision, an agency may not retain an employee past the 

date the employee first becomes eligible for immediate retirement, or past the date the 

employee satisfies the requirement for continuing health benefits coverage into 

retirement, except if necessary to enable the employee to meet both the retirement and 

health benefits requirements. Section 630.212 of title 5, Code of Federal Regulations, 

defines “annual leave” for purposes of this paragraph. 

55
 
Permissive Continuing Exception to the Regular Order of Release. An agency may use a 

permissive continuing exception to the regular order of releasing employees in order to 

retain an employee for more than 90 days in a position that no higher-standing employee 

can take over: 

1. Within 90 days; and 

2. Without undue interruption to the agency. 

The agency determines the retention standing of an employee who is retained in the 

competitive level under a permissive continuing exception as of the date the employee 

would have been released from the competitive level had the agency not used the 

exception. 

When an agency retains an employee under a permissive continuing exception, the 

agency must give each higher-standing employee reached for release from the same 

retention register: 

1. A written notice of the exception; and 

2. The reason for the exception. 

Permissive Temporary Exception for Undue Interruption. An agency may use a 

permissive temporary exception for not more than 90 days to the regular order of 

releasing employees in order to retain an employee in a position that no higher-standing 

employee can take over within 90 days without undue interruption to the agency. 

Permissive Temporary Exception to Satisfy Government Obligation. An agency may use 

a permissive temporary exception, without regard to time limit, to the regular order of 

releasing employees in order to retain an employee in order to satisfy a Government 

obligation to the retained employee. For example, an agency may use a permissive 

temporary exception in order to provide an employee with a 60-day minimum RIF notice 

when the agency was otherwise unable to give a timely notice to the employee. 

For another example, an agency may use a permissive temporary exception in order to 

provide an employee with a new 60-day minimum RIF notice when the agency gives the 

employee a new notice because the employee is being reached for a more severe RIF 

action. 

Permissive Temporary Exception for Sick Leave. An agency may use a permissive 

temporary exception to the regular order of releasing employees in order to retain an 

employee who is on approved sick leave on the effective date of the RIF. The agency 

may retain the employee under this provision for a period not to exceed the date the 

employee’s sick leave is exhausted. Use of sick leave for this purpose must be in 

accordance with the requirements in part 630, subpart D, of title 5, Code of Federal 

Regulations, or other applicable leave system for Federal employees. 

56
 
Permissive Temporary Exception and the Use of Annual Leave to Obtain Retirement 

Benefits and/or to Continue Health Benefits. An agency may use a permissive temporary 

exception to the regular order of releasing employees in order to retain an employee who: 

1.	 Is being involuntarily separated by RIF under the regulations; and 

2.	 Is covered by a Federal leave system under authority other than chapter 63 of title 

5, United States Code; and during the period represented by the amount of the 

employee’s accrued annual leave: 

•	 Will attain first eligibility for an immediate CSRS or FERS annuity or other 

retirement benefit, and/or 

•	 Will establish FEHB or other eligibility to carry health benefits coverage into 

immediate retirement. 

This option allows an agency that is covered by the RIF regulations, but is not covered by 

a Federal leave system under chapter 63 of title 5, United States Code, to retain a released 

employee past the planned separation date for purposes of reaching first eligibility for an 

immediate annuity, and/or establishing eligibility to continue health benefits into 

retirement. An agency may not approve an employee’s use of any other type of leave 

after the agency retains the employee as a permissive temporary exception under this 

provision. 

This permissive temporary exception may not extend past the date the employee first 

becomes eligible for immediate retirement or for continuation of health benefits into 

retirement, except that an employee may be retained long enough to satisfy both 

retirement and health benefits requirements. 

Accrued annual leave available under this permissive temporary exception includes all 

accumulated, accrued, and restored annual leave, as applicable, in addition to annual 

leave earned and available to the employee after the effective date of the RIF. When 

approving a permissive temporary exception under this provision, an agency may not 

advance annual leave or consider any annual leave that might be credited to an 

employee’s account after the effective date of the RIF, other than annual leave earned 

while in an annual leave status. 

Discretionary Temporary Exception and Other Exceptions. An agency may use a 

permissive temporary exception to the regular order of releasing employees in order to 

extend an employee’s separation date beyond the effective date of the RIF when the 

temporary retention of a lower-standing employee does not adversely affect the right of 

any higher-standing employee who is released ahead of the lower-standing employee. 

The agency may establish a maximum number of days, up to 90 days, for which a 

permissive temporary exception may be approved under this provision. There is no 

57
 
 

authority under this provision for an agency to retain an employee for the purpose of 

gaining eligibility for immediate CSRS or FERS retirement, and/or for continuation of 

FEHB coverage. 

The agency determines the retention standing of an employee who is retained in the 

competitive level under a permissive temporary exception as of the date the employee 

would have been released from the competitive level had the agency not used the 

exception. When an agency retains an employee under a permissive temporary exception 

for more than 30 days after the date a higher-standing employee is released from the 

same retention register, the agency must: 

1.	 Give written notice, to each higher-standing employee in the competitive level 

who is reached for release, of the reason for the exception and the date the 

lower-standing employee’s retention will end; and 

2.	 List opposite the retained employee’s name on the retention register the reasons 

for the exception, and the date the employee’s retention will end. 

Exceptions to the Regular Order of Release with the Liquidation Exception. When an 

agency will abolish all positions in a competitive area within 180 days, it must release the 

employees in subgroup order, but may release them regardless of their retention standing 

within a subgroup. 

An agency may not use the liquidation exception to release an employee who is under a 

mandatory exception covered by a “mandatory exception to the regular order of release 

based upon service in a uniformed service,” which is explained above in this section. 

When an agency uses the liquidation provision, it must: 

1.	 Notify affected employees; and 

2.	 Give the date the liquidation will be completed. 

Section O: Actions Following Release From the Competitive Level 

Offer of Another Position. An employee reached for release from a competitive level 

may have a right under the RIF to a position in a different competitive level. 

Separation or Furlough. The agency may use RIF procedures to separate or furlough the 

released employee only if the employee: 

1.	 Has no assignment right to another position; or 

2.	 Declines an offer of assignment to another position that would have satisfied the 

employee’s assignment right. 

Section P: Determining Employees’ Assignment Rights 

Bump and Retreat Rights. The RIF regulations provide released employees with three 

types of potential assignment rights to positions in different competitive levels through 

assignment by: 

58
 
 

1.	 “Bumping,” which is the assignment of an employee to a position in a different 

competitive level that is held by another employee in a lower retention tenure 

group, or in a lower subgroup within the same tenure group; see Section Q for 

informati on on bump rights; 

2.	 “Retreating,” which is the assignment of an employee to a position in a different 

competit ive level that is held by another employee with less service in the same 

retention subgroup; see Section Q for information on retreat rights; and 

3.	 Offers of vacant positions, which are based on the same retention standing 

procedures that apply to an employee’s bump and retreat rights; see Section R f or 

information on assignment to vacancies. 

Employees With Assignment Rights. The RIF regulations provide mandatory assignmen t 

rights to an employee who: 

1.	 Holds a position under a competitive service appointment; 

2.	 Is in retention tenure group I or group II; and 

3. Has a current performance rating of at least Minimally Successful or equivalent. 

Employees With No Assignment Rights. The RIF regulations do not provide assignment 

rights to an employee who: 

•	 Is in retention tenure group III, although the agency at its opt ion can 

administratively offer limited assignment rights (“bumping” rights) to its group III 

employees; 

•	 Holds a position under an excepted service appointment, although the agency at 

its option can administratively offer assignment rights to its excepted employees 

to positions under the same appointing authority; or 

•	 Has a current annual performance rating of Unacceptable or equivalen t. 

See Section Y for information on administrative assignment rights. 

Available Position. An available position that satisfies an employee’s RIF assignment 

right must: 

1.	 Be in the competitive service; 

2.	 Be in the same competitive area as the position the individual currently oc cupies; 

3.	 Last at least 3 months; 

59
 
 

4.	 Be a position for which the released employee qualifies, unless the agency, at its 

discretion, chooses to waive qua lifications in offering the employee assignment to 

a vacant position; 

5.	 Have a representative rate that is equal to or less than that of the position held by 

the released employee; 

6.	 Be occupied by a lower-standing employee in a different competitive level who 

can be displaced by the released employee by bumping rights, or by retreating 

rights; and 

7.	 Have the same type of work schedule (full-time, part-time, intermittent, seasonal, 

or on-call) as the position from which the higher-standing employee is released. 

Positions Occupied by Temporary Employees. Released employees do not have 

assignment rights to positions occupied by temporary employees (tenure group “0”) in 

another competitive level. 

Limitations in Offering Employees Assignment to Other Positions. An agency may not: 

1.	 Assign an employee to a position with a representative rate higher than that of the 

employee’s current position; 

2.	 Assign an other-than-full-time employee to a position held by a full-time 

employee, or satisfy an other-than-full-time employee’s right of assignment by 

assigning the employee to a vacant full-time position; 

3.	 Assign a full-time employee to a position held by an other-than-full-time 

employee, or satisfy the full-ti me employee’s right of assignment by assigning the 

employee to a vacant other-than-full-time position; 

4.	 Assign an employee to a temporary position (i.e., a position under an appointme nt 

not to exceed 1 year), except as an offer of assignment in lieu of separation by 

RIF when the employee has no other assignment right; 

5.	 Assign an employee to a position held by an employee with a different type of 

work schedule (full-time, part-time, intermittent, sea sonal, or on-call), or satisfy 

the employee’s right of assignment by assigning the employee to a vacant position 

with a different type of work schedule; 

6.	 Assign an employee in the competitive service to a posi tion in the excepted 

service; or 

7.	 Assign an employee in the excepted service to a position in the competitive 

service. 

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More Than One Available Position for Assignment. When an employee has a potential 

right of assignment to two or more positions with the same representative rate, the ag ency 

may satisfy the employee’s righ t of assignment by offering any one of the positions. An 

employee has no right to choose among positions with the same representative rate. 

One Offer of As signment. An employee is entitled to only one offer of assignment, and, 

except as provided in the next paragraph, is not entitled to any further offers if the 

employee: 

1.	 Accepts an offer; 

2.	 Rejects an offer; or 

3.	 Fails to reply to an offer within the timeframe established by specific agenc y 

policy. 

Requirement to Make Addi tional Offer of Assignment. Even though an employee is 

entitled to only one offer of assignment, the agency must make a better offer of 

assignment (i.e., to a position with a higher representative rate) to a released employee if 

a position becomes available before, or on, the effective date of the RIF. The released 

employee is entitled to any better offers of assignment regardless of whether the 

employee previously accepted or declined an o ffer of assignment. For example, a better 

offer of assignment may become available when another employee rejects an offer or 

vacates a position by resignation, retirement, etc. 

Alternative Offer. After determining an employee’s assignment right, the agency, at its 

discretion, may also make an alternative offer of a vacant position with the same or a 

lower representative rate than that of the position to which the employee was enti tled. 

The alternative offer is an offer of a vacant position in lieu of RIF separation or other RIF 

action, not an offer of assignment under the RIF regulations. See Section S for 

information on offering vacant positions to employ ees in lieu of separation RIF actions. 

The agency may not make an alternative offer of a vacant position if the employee’s 

acceptance of the offer would result in a more severe RIF action for another competing 

employee. In making an alternative offer of a vacant position with a lower representat ive 

rate, the agency must ensure that the employee has also received notice of his or her 

entitlement to assignment under the RIF regulations. 

Employees’ Status and Tenure After Accepting an Offer of Assignment. An employee 

retains the same status and tenure in the new position after: 

1.	 Displacing a lower-standing employee in the same competitive level in first-round 

RIF competition; or 

2.	 Accepting an offer of assignment to a position in a different competitive level in 

second-round RIF competition. 

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Promotion Potential of a Position Offered for Assignment. The promotion potential of a 

position is not a consideration in determining an employee’s assignment rights to an 

available position, whether the position is encumbered or vacant. An agency may assign 

an employee under the RIF regulations to positions with higher promotion potential; after 

assignment, the agency noncompetitively promotes the employee to the full performance 

level of that position in the same manne r as if the agency had selected the employee 

through merit competition. 

Supervisory Positions. The RIF regulations do not prohibit an otherwise qualified 

employee who is presently a nonsupervisor from having assignment rights to a 

supervisory position. For example, a qualified nonsupervisor could potentially have 

bump or retreat rights to a supervisory position that the released employee formerly held. 

Displacing Employee Must Actually Perform Position. A released employee who ha s 

bumping or retreating rights to a position held by a lower-standing employee must 

actually perform the duties of that position after entering the position. The agency may 

not displace a lower-standing employee merely as a paper exercise. 

Mobility Agreement and Travel Requirement Not Considered in Determining 

Assignment Rights. There is no authority under the RIF regulations for an agency to 

consider a position’s mobility agreement or travel requirement in: 

1.	 Determining a released employee’s assignment rights, or 

2.	 Making the employee a RIF offer of assignment to a vacant position. 

Section Q: Bump and Retreat for Assignment 

Bump Rights. A released employee has a right of assignment to a p osition in a different 

competitive level when that position is: 

1.	 Held by an employee in a lower tenure group, or in a lower tenure subgroup 

within the same tenure group; and 

2.	 At the same grade, or down to three grades or grade intervals (or equivalent) 

below the position of the released employee. See Section T for an explanation of 

the difference between grades and grade intervals. 

A released employee has bumping rights to a position based on the employee’s personal 

qualifications in relation to the position held by the lower-standing employee. A released 

employee may have bumping rights to a pos ition regardless of whether or not the 

employee previously held the position of the lower-standing employee. 

An agency is not required to consider employees’ respective retention service dates in 

determining bumping rights. At its option the agency may implement a policy to 

consider employees’ respective RIF service dates in offering bump offers of assig nment 

(e.g., the employee with the most service receives an offer of assignment before an 

employee with less service). 

62
 
Section T covers grades and grade intervals used in determining employees’ RIF rights. 

See Section U for information on how the agency uses representative rate in determining 

employees’ assignment rights. See Section V for information on employees’ 

qualifications for assignment to another position. 

Retreat Right Basics. A released employee has a right of assignment to a position in a 

different competitive level when that position is: 

1.	 Held by another employee in the same retention tenure group and subgroup who 

has less total creditable service for retention (including additional service credit 

for performance); 

2.	 The same grade, or down to three grades o r three grade intervals (or equivalent) 

below the position from which the employee is released; and 

3.	 The same position as, or a position that is essentially identical to, a position 

previously held by the released employee on a permanent basis in any Federal 

agency. 

In determining retreat rights the agency must also consider that: 

1.	 A released employee with a current annual performance rating of Minimally 

Successful (e.g., Level 2) or equivalent has the right to retreat only to a position 

that is held by another employee who has a current performance rating of 

Minimally Successful or equivalent, or a lower performance rating. 

2.	 A released employee has no retreat rights based solely upon the employee’s 

personal qualifications to perform the position held by an employee with less 

service in the same subgroup. 

3.	 The grade progression of the released employee’s official position of record is 

used to determine the applicable grades (or grade intervals or equivalent) o f the 

employee’s retreat right (i.e., the agency does not consider the grade progression 

of the position to which the employee has a retreat right). 

Retreat Rights— Essentially Identical Position. In determining employees’ retreat rights, 

a position is considered essentially identical to a position that the released employee 

previously held if: 

1.	 The released employee held the previous position as a competing employee in a 

Federal agency (i.e., when held by the released employee i n an executive, 

legislative, or judicial branch agency, the position would have been placed in 

tenure group I, II, or III, or equivalent, per the definition of a competing 

employee); and 

63
 
 

 

 

2.	 The agency determines on the basis of available information that the released 

employee previously held an essentially identical position based on the 

competitive level criteria found in Section G, but not necessarily in regard to the 

two positions’ respective: 

•	 Grades; 

•	 Classification series; 

•	 Type of work schedule; or 

•	 Type of service (e.g., competitive or excepted) 

A released employee may have a ri ght to retreat to an essentially identical position in the 

present competitive area that is filled at a different grade, classification series, work 

schedule, appointing authority, etc., than the position the released employee actually 

encumbered, provided that the two positions meet the standard described above in this 

paragraph. 

Retreat Rights—Expanded Grade Limits for Disabled Veterans in Subgroup AD. A 

released employee has the right to retreat to a position at the same grade, or down to five 

grades or five grade intervals (or equivalent) below the positi on from which the employee 

is released, if the employee is: 

1.	 Eligible for veterans’ preference under the RIF regulations; and 

2.	 Receiving a compensable service-connected disability of 30 percent or more (th e 

emp loyee is in retention subgroup AD). 

Except for the change in grade limits, the other conditions regarding employees’ retre at 

rights described elsewhere in this section also apply. 

Section R: Vacancies for Assignment 

Management’s Decision to Fill Vacant Positions During a RIF. An agency is not 

required to fill vacant positions in a RIF, but the agency may decide to fill all, some, or 

no vacant positions. 

Making RIF Offers of Vacant Positions to Released Employees. An agency may offer a 

released retention group I or II employee (but not a group III employee) assignment to a 

vacant position in order to satisfy the employ e’s right to assignment, or offer the e 

employee assignment in lieu of separation by RIF. An agency may satisfy a released 

employee's RIF assignment right by offering the employee assignment to a vacant 

position that: 

1.	 Is in the same competitive area; 

64
 
 

 

2.	 Has a representative rate at least equal to a position that the employee is en titled 

to on the basis of bump or retreat rights; and 

3.	 Is within the same grade and grade interval limits that apply to offers of 

assignment based on bump and retreat rights. 

An agency may also offer an employee assignment to a vacant position in lieu of 

separation by RIF, subject to the same conditions covered above. 

See Section Q for information on the three-grade and grade-interval limits for bump 

rights, and the three and five-grade and grade-interval limits for retreat rights. The 

provisions of Section P also apply to RIF offers of assignment to vacant positions (for 

example, the employee has no right to choose among offers of assignment; the employee 

is entitled to only one offer of assignment). 

Consideration of Retention Standing in Offering Vacant Positions. When an agency 

chooses to fill a vacant position with an employee released from a competitive le vel, the 

agency must make the offer consistent with the RIF re gulations. A vacant position that is 

filled ef fective at the beginning of the day after the effective date of the RIF, or 

immediately after the effective date, is an available position for purposes of determ ining 

employees’ assignment rights. See Section P for information on w hat is an available 

position for purposes of RIF assignment rights. 

When an agency decides to use a vacant position as a RIF offer of assignment to a 

released employee, the agency determines whether it can offer the position to the releas ed 

employee, provided that another released employee who has higher retention standing 

would not have a bump or retreat right to the vacant position. The agency must consider 

the relative subgroup standing of competing employees before offering a released 

employee assignment to a vacant position (e.g., the agency offers a released employee in 

subgroup I-A assignment to a vacant position before offering assignment to a released 

employee in subgroup I-B). However, when offering a released employee assignment to 

a vacant position, the agency is not required to consider the relative service computation 

dates of released employees in the same retention subgroup, unless one employee: 

1.	 Formerly held a position that is essentiall y identical to the vacant position; 

2.	 Has more service credit than a second employee in the same subgroup; and 

3.	 Would have a right to the position on the basis of retreat rights if the agency filled 

the vacancy with another employee who has less retention service credit. 

Consideration of Undue Interruption in Determining Qualifications for Assignment to 

Vacant Positions. An employee released from a competitive level by RIF has an 

assignment right to another position (through bump, retreat, or an offer of a vacant 

65
 
position) held by an employee with lower retention standing only if the released 

employee is qualified for assignment. 

Except as covered in Section V, concerning a waiver of qualifications in offering 

assignment to a vacant position, a released employee is qualified for assignment to an 

available position if the employee: 

1.	 Is otherwise qualified for the position; and 

2.	 Has the capacity to perform the duties of the position without undue interruption 

to the agency. 

See Chapter VI, Glossary, regarding “undue interruption.” As appropriate, the agency 

may apply the usual 90-day undue interruption definition in offering assignment to a 

vacancy when the vacant position is in a high-priority program. 

Waiver of Qualification Requirements in Offering RIF Assignment to Vacant Posi tions. 

At its option, an agency may waive qualification standards and requirements in offering a 

released employee assignment to a v acant position. However, in doing so, an agency 

may not waive any minimum education requirements. 

In order to waive qualifications for assignment to a vacant position, the agency must 

determine that the employee has the capacity, adaptability, and special skills needed to 

satisfactorily perform t he duties and responsibilities of the position. See Section V for 

information on how the agency: 

•	 Considers a released employee’s qualifications for assignment; and 

•	 May waive qualifications when offering an employee assignment to a vacant 

position. 

Offering Vacant Positions as Offers to Place Employees in Lieu of Separation or in Lieu 

of Other RIF Actions. Section A explains that the agen cy has the basic right to take other 

personnel actions, including the filling of vacant positions using authority other than the 

retention regulations, before, during, and after a RIF, unless the agency has limited th is 

right as a matter of policy. The agency’s rights include making a voluntary offer of a 

vacant position to a released employee as: 

1.	 An offer in lieu of separation by RIF; 

2.	 An offer in lieu of downgrading by RIF; or 

3.	 An alternative offer in lieu of an offer of assignment by RIF. 

Although the employee was reached for a RIF, these voluntary offers are not offers of 

assignment under the retention regulations. The placement action is processed as a 

66
 
 

reassignment, position change, change to lower grade, or change in work schedule and 

should be documented to show that the employee accepted the position as a voluntary 

offer in lieu of RIF. As an offer made apart from the RIF regulations, the agency must 

provide for competition through its internal staffing plan if the offered position has more 

promotion potential than the employee’s present position. 

Before making an offer in lieu of RIF, the agency should consider that a vacant position 

that is filled on or after the effective date of the RIF , or immediately after the effective 

date, is a potential available position for purposes of determining the assignment rights of 

other competing employees in the competitive area. The agency may not make an offer 

of a vacancy in lieu of RIF if the position, when filled, would be an available offer for an 

employee with higher retention standing. 

A voluntary offer of a vacancy in lieu of RIF to a released employee is not subject to 

grade-level limits that apply to an offer of assignment under the RIF regulations. An 

agency may also make a voluntary offer of a vacancy with a different work schedule tha n 

the position of the released employee (e.g., the agency could offer a vacant 

other-than-full-time position to a full-time employee or offe r a vacant full-time position 

to an other-than-full-time employee). 

Acceptance of a voluntary offer of a lower-graded position in lieu of a RIF action is, 

absent contrary evidence, presumed to be a voluntary action. An employee who accepts a 

voluntary offer of a lower-graded position in lieu of RIF but believes the offer was 

involuntary or was based upon erroneous information may have the right to appeal or 

grieve the offer as a RIF action. 

Voluntary offers of vacant positions that are in a different competitive area within the 

same local commuting area must be consistent with the Reemployment Priority List 

(RPL), and any other applicable transition programs. Voluntary offers of vacant 

positions that are in both a different competitive area and a different local co mmuting 

area are not subject to the RPL, but may be covered by other applicable agency-specific 

transition programs. 

67
 
 

Modification of Qualification Requirements in Offering Positions in Lieu of Separation 

or Other RIF Actions. At its option, an agency may modify OPM’s qualification 

standards and requirements in offering a vacant position to a released employee in lieu of 

separation or other RIF action. The offer may be a reassignment or a voluntary change to 

lower grade. 

Section S: Vacant Temporary Positions as Placement Offers 

Competitive S ervice Temporary Positions Are Not Available Positions. A competitive 

service employee released from a competitive level by RIF does not have assignment 

rights to a position in a different competitive level that is held by a temporary employe e. 

A competitive service temporary employee (tenure group “0”) is a noncompeting 

employee in RIF competition. Section N explains that, under the RIF regulations, an 

agency must separate all temporary employees from a competitive level before the 

agency releases a competing employee from that level by RIF. 

Using a Temporary Position as a RIF Offer of Assignment. At its discretion, an agency 

may use a vacant competitive service temporary position that will last at least 3 months 

as a RIF offer of assignment only if a competing employee has no assignment right to 

another position, and will otherwise be separated by RIF. The agency makes the offer of 

the vacant temporary position as a RIF offer of assignment on the same basis as other 

vacant positions offered in RIF, including the three-grade or grade-interval limits. 

When an employee accepts a temporary position as a RIF offer of assignment, the 

employee retains the same status and tenure (for example, a competitive service 

employee in subgroup I-B retains the I-B status after entering on duty in the temporary 

position). If the temporary appointment expires or the agency abolishes the position, the 

employee is again entitled to compete under the RIF regulations based on the retained 

status and tenure if the employee is faced with separation or downgrading. 

Using a Temporary Position for Reemployment Following RIF Separation. At its 

discretion, an agency may offer reemployment in a vacant temporary position if a 

competing employee has no right of assignment. When an employee accepts a tem porary 

position as an offer of reemployment following separation by RIF, the action is processed 

as a separation followed by a new temporary appointment. 

The agency must follow tenure group and subgroup standing in offering an employee 

appointment to a temporary position in the same local commuting area as the RIF. The 

requirement to follow tenure group and subgroup standing ensures compliance with the 

agency’s RPL. If the position is located in a different local commuting area, the RIF 

regulations do not require the agency to follow tenure group and subgroup standing. 

The agency may reemploy the separated employee in the temporary position with no 

break in service, or following a break in service. In the temporary position, the 

employee’s status and tenure are changed to that which is appropriate for the tem porary 

appointment (tenure group “0”), reflecting that the employee is not covered by the RIF 

68
 
regulations. If the temporary appointment expires or the agency abolishes the temporary 

position, the agency may separate the employee without regard to the RIF regulations. 

At the time of separation, the temporary employee is not eligible for intra-agency 

selection priority in the agency through CTAP or through the RPL. The employee is also 

not eligible for interagency selection priority in other agencies through the Interagency 

Career Transition Assistance Plan (ICTAP). 

Conversion to a Temporary Position in Lieu of RIF Separation. The agency may offer an 

employee who has received a notice of separation by RIF the opportunity to convert to a 

temporary (tenure group “0”) position in lieu of involuntary separation. In making an 

appointment to the temporary position, the agency must follow tenure group and 

subgroup standing in order to comply with the agency’s RPL. 

Upon separation, the temporary employee is not eligible for selection priority in the 

agency through CTAP or through the RPL. The employee is also not eligible for 

interagency selection priority in other agencies through the ICTAP. 

Excepted Service Temporary Positions. Excepted temporary positions in tenure group III 

may be an available position if the agency administratively decides to provide its 

excepted service employees with RIF assignment rights to other positions under the same 

appointing authority. See Section Y for information on administrative assignment rights 

for tenure group III employees and for excepted service employees. 

Section T: Consideration of Grades in Assignment 

Range of Grade Limits for Assignment. Section Q covers the range of grade limits that 

apply to employees’ bump and retreat rights: 

•	 Employees have bump and retreat rights to positions at the same grade, or 

down to three grades or grade intervals (or equivalent) below the position 

from which they are released; and 

•	 Employees who are eligible for veterans’ preference in RIF and are receiving 

a service-connected compensable disability of 30 percent or more have retreat 

rights to positions at the same grade, or down to five grades or grade intervals 

(or equivalent) below the position from which they are released. 

The same grade limits apply to a RIF offer of assignment to a vacant position. 

Position of Record Determines Grade and Grade Interval Range. The agency uses the 

grade progression of the released employee’s official position of record to determine the 

grade limits of the employee’s assignment rights. 

69
 
Distinction Between Grade and Grade Interval . The difference between successive 

grades in a one-grade occupation is a “grade difference,” while the difference in a 

multi-grade occupation is a “grade interval difference.” For example, a position with a 

one-grade progression consists of consecutive grade levels (GS-5-6-7-8), while a position 

with a two-grade, or other multi-grade progression consists of nonconsecutive grade 

levels (GS-5-7-9-11). After the agency determines the range, an employee has 

assignment rights to positions at all grades within the grade interval limits, including 

positions in intervening grades within the grade interval progression in both the 

employee’s present pay system, and positions in other pay systems. 

Determining the Grade Interval Progression for General Schedule Positions. For 

positions covered by the General Schedule, the agency must determine whether a onegrade, two-grade, or mixed-grade interval progression is applicable to the position of the 

released employee. For General Schedule positions, in general, a two-grade interval 

progression applies to the occupations listed in the “Introduction to the Position 

Classification Standards,” available at http://www.opm.gov/. 

The use of grade intervals extends only to the entry level of the position with a two-grade 

progression (for example, GS-9-7-5 when the entry level of the two-grade progression is 

GS-5). If applicable, the agency provides the employee with assignment rights of three 

grades or grade intervals by using a one-grade basis to determine grade limits below the 

entry level of the position with a two-grade progression (GS-9-7-5-4 when the entry level 

of the two-grade progression is GS-5). 

An employee who is released from a two-grade interval position has assignment 

rights to positions at all intervening grade levels within these grade limits, including 

positions that are not part of the two-grade progression. For example, a released 

employee has an assignment right to an intervening GS-8 position when the position 

from which she was released had a two-grade progression (GS-9-7-5-4), based upon 

an entry-level GS-5 position. 

Employees released from one-grade interval positions have assignment rights to positions 

up to three grade levels below the employee’s present position (for example, GS-7-6-5-4 

when the entry level of the one-grade progression is GS-4). For mixed-interval jobs (for 

example, a GS-9 position that progresses GS-5-6-7-9), the assignment right grade limits 

are based on progression to the present position. If the employee holds a position that is 

less than three grades above the lowest grade in the classification system, the employee 

still has potential assignment rights to positions in other pay systems with a 

representative rate lower than the position held by the released employee. 

Agency Responsibility to Determine the Grade Interval Line of Progression for Positions 

Not Covered by the General Schedule. For positions not covered by the General 

Schedule, the agency has the responsibility to establish the normal line of progression for 

each occupational series and grade level, and to then apply employees’ assignment limits 

based on this determination. 

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Scope of Positions Considered by the Agency in Determining the Grade Interval 

Progression for Positions Not Covered by the General Schedule. At its discretion, the 

agency may establish the normal line of progression for positions not covered by the 

General Schedule on the basis of: 

1. Competitive area; 

2. A larger subdivision of the agency including multiple competitive areas; or 

3. An agency-wide or department-wide basis. 

Consideration of Movement Between Positions in Determining the Grade Interval 

Progression for Positions Not Covered by the General Schedule. Each single or 

multi-grade movement within the normal line of progression is considered a grade 

interval for purposes of applying the grade range limitations on assignment rights. The 

normal line of progression may include grade levels in different pay systems. 

Once the agency establishes the normal line of progression for a particular series and 

grade level, the same grade-level limits for bump and retreat are applied to all employees 

in that series and grade level without regard to an employee’s actual progression to that 

grade level. The agency determines grade limits below the starting point of the normal 

line of progression on a one-grade basis (for example, WG-10-8-5-4 when the entry level 

of the progression is WG-5). 

Determining the Grade Interval Progression for Positions Not Covered by the General 

Schedule When No Progression Exists. In some situations, the agency may determine 

that there is no line of progression to a particular series and grade level (e.g., when an 

agency normally fills a particular series and grade at the journeyman level from outside 

the agency). In this situation, grade interval progression is not applicable and the agency 

provides the employee with assignment rights to positions up to three grades lower, as 

determined on a one-grade basis (e.g., a WG-10 employee in a series and grade that has 

no line of progression would have assignment rights to positions based upon 

WG-10-9-8-7). 

Determining the Grade Interval Progression for Positions Not Covered by the General Schedule 

When No Grade Structure Exists. In a situation where no grade structure exists (the agency uses 

negotiated pay rates), the agency determines whether a line of progression exists for each 

occupation/pay rate and provides assignment rights to positions up to three grade intervals lower 

on that basis. 

Determining the Grade Interval Range for Pay Band Positions. If a competitive area includes 

positions under one or more pay bands, the agency determines assignment rights to a position in 

an equivalent pay band or: 

1. One pay band lower than the pay band from which the employee was released; or 

71
 
2.	 Up to two pay bands lower than the pay band from which the employee was 

released if the employee is a preference eligible with a service-connected 

disability of 30 percent or more. 

Determining the Grade Interval Range Involving Pay Band and Other Positions. If a 

competitive area includes positions under one or more pay bands and other positions not 

covered by a pay band (e.g., GS or FWS positions), the agency provides assignment 

rights by: 

1.	 Determining the representative rate of positions not covered by a pay band; 

2.	 Determining the representative rate of each pay band or competitive level within 

the pay band; and 

3.	 Determining applicable assignment rights after considering: 

•	 The grade intervals for positions not covered by a pay band; and 

•	 The grade intervals for pay band positions. 

For example, an agency has a pay band that includes positions traditionally classified 

from GS-11 through GS-13. The employees’ official positions are identical and are 

otherwise interchangeable for purposes of retention registers described in Section G. In 

this example, the pay band comprises one retention register with one representative rate 

even though employees’ actual salaries may vary. 

The agency uses the representative rate of the pay band retention register in determining 

whether pay band employees have potential assignment rights to positions not included in 

the pay band. If the agency sets the representative rate of the competitive level 

equivalent to GS-12/4, employees released from the pay band would have potential 

assignment rights to GS and FWS positions with representative rates in the range from 

GS-12 through GS-7. 

The agency would also use the representative rate of the pay band to determine whether 

employees in positions not included in a pay band have potential assignment rights to 

positions in this pay band. Released GS and FWS employees holding positions with 

representative rates from GS-12/4 or higher also would have potential assignment rights 

to positions in this pay band. 

Example: An agency has a pay band that includes positions traditionally classified from 

GS-4 through GS-7. The pay band includes three different types of positions (i.e., 

separate official positions of record that are not interchangeable). Each of the three types 

of positions also has a different salary from the other positions in the pay band, 

equivalent to GS-5, GS-6, and GS-7. 

The agency could establish one representative rate for all three types of positions in the 

pay band, or the agency could establish different representative rates for each of the three 

72
 
different competitive levels in the pay band. If the agency found that the representative 

rate for all positions in the pay band was GS-6/4, then employees in the pay band 

released by RIF would have assignment rights to GS and FWS positions in the 

competitive area having a representative rate of GS-6/4 or less. GS and FWS employees 

released from their respective competitive levels by RIF would have assignment rights to 

pay band positions based upon the same GS-6/4 representative rate designated for the pay 

band. 

If the agency found that the representative rates for the three competitive levels in the pay 

band were, respectively, GS-7/4, GS-6/4, and GS-5/4, then employees in the pay band 

released by RIF would have assignment rights to GS and FWS positions in the 

competitive area based upon the representative rate designated for their competitive level. 

GS and FWS employees released from their respective competitive levels by RIF would 

have potential assignment rights to pay band positions in the three competitive levels 

based upon the representative rate designated for that competitive level. 

Section U: Consideration of Representative Rates in Assignment 

Comparing Positions. Agencies may need to compare positions in different pay 

schedules to determine an employee’s eligibility to bump or retreat to a position in a 

different pay schedule. When two or more positions are in different pay schedules, the 

agency uses the representative rate of the positions to determine equivalent grade levels 

and the best offer of assignment for a released employee. The agency does not use the 

representative rates when the positions are in the same pay schedule; in this situation, the 

agency directly compares the grades or levels of the positions. 

When a competitive area includes more than one local commuting area or locality pay 

area, the agency determines assignment rights on the basis of the representative rate(s) for 

one local commuting area within the competitive area; the agency uses the same local 

commuting area it used to establish competitive levels in Section F. 

Pay Schedules. “Pay schedule” means any one set of pay rates identified by statute or by 

an agency as applying to a group of occupations. The General Schedule (GS) is one pay 

schedule, regardless of special rates. The regular nonsupervisory, leader, and supervisory 

FWS schedules are considered to be separate pay schedules regardless of special rates. 

Agency special wage schedules for positions not under the regular schedules of the FWS 

are considered to be separate pay schedules. 

Representative Rate Explanation. In RIF competition, “representative rate” does not 

include: 

• Overtime; 

• Night differential; 

• Cost-of-living allowances; or 

73
 
•	 Premium pay. 

Representative Rate Calculation. For General Schedule positions and other positions 

with per annum salary, the hourly equivalent of the representative rate is obtained by 

dividing the annual rate by 2,087 with the result adjusted to the nearest cent, rounding 

one-half and over to the next whole cent. 

Representative Rate and the Rate Used to Determine Retention Rights. The agency 

compares employees’ representative rates that are in effect on the date the agency issues 

specific RIF notices, unless the agency knows that new pay rates: 

1.	 Have officially been approved, and 

2.	 Will be effective by the effective date of the RIF. 

Application of Representative Rates in Determining Employees’ Assignment Rights. To 

determine whether a position in a different pay schedule is within the bump and retreat 

grade limits, the agency determines the representative rates for the employee’s current 

position and for the lowest grade to which the employee has bump and retreat rights. The 

agency compares these limits with the representative rates in the different pay schedule, 

and determines the range of grades the employee may be assigned to in the other pay 

schedule. 

The highest grade for an assignment right to a position in the other pay schedule is the 

highest grade with a representative rate that does not exceed the representative rate of the 

employee’s current position. The lowest grade for an assignment right to a position in the 

other pay schedule is the lowest grade with a representative rate that is not less than the 

representative rate of the lowest grade to which the employee has bump and retreat rights. 

Section V: Consideration of Qualifications in Assignment 

Only Qualified Employees Have Assignment Rights. An employee released from a 

competitive level by RIF has bump or retreat rights to another position held by an 

employee with lower retention standing only if the released employee is qualified for 

assignment. 

Qualification Standard. Except as covered in “Waiver of Qualification Requirements in 

Offering RIF Assignment to Vacant Positions” in Section R, a released employee is 

qualified for assignment to an available position if the employee: 

1.	 Meets OPM-established requirements for the position, including any minimum 

educational requirement, and any selective placement factors established by the 

agency; 

2.	 Is physically qualified, with reasonable accommodation where appropriate, to 

perform the duties of the position; 

74
 
 

3.	 Meets any OPM-approved special qualifying condition for the position; and 

4.	 Clearly demonstrates, based on overall background, including recency of 

experience when appropriate, the ability to successfully perform the duties of the 

position upon assignment to it without undue interruption to the activity beyond 

that normally expected in the orientation of any new but fully qualified employee. 

Section R covers the looser undue interruption standard that the agency may apply in 

offering a released employee assignment to a vacant position. 

Other Qualifications Considerations. An agency must, when applicable, also consider 

other factors such as the following in determining whether a released employee is 

qualified for assignment to another position: 

1.	 Before an agency may assign a released employee to a trainee or developmental 

position, the employee must meet additional conditions in Section W; 

2.	 The agency may not consider the gender of a released employee in determining 

the employee’s qualifications for assignment, except for positions where OPM 

has approved certification of eligibles by gender; 

3.	 An agency may not deny a released employee assignment rights solely because an 

employee on leave of absence due to a compensable injury is not physically 

qualified for a position when the disqualification results from the compensable 

injury. Instead, the agency makes a decision on the employee’s physical 

qualifications when the employee requests a return to duty under the restoration 

regulations; 

4.	 In determining whether the assignment of a released employee would result in 

undue interruption to the activity, the agency may not use the “recency of 

experience” provision to disqualify an employee simply because the employee has 

not worked for some time in a particular function or occupation. (Note: The 

agency may use a recency of experience requirement in determining the 

employee’s assignment right only for a position where the agency can 

demonstrate that this added requirement is appropriate for successful performance 

on the job); and 

5.	 Before the agency may restrict assignment of a released employee to certain 

positions because the employee lacks a security clearance, the agency must 

consider additional undue interruption issues that are covered in Section Y. 

Asking Employees for a Qualifications Update. An agency may ask employees to update 

their qualifications statements prior to a RIF and may establish a formal deadline for the 

receipt of this material. The agency is not obligated to consider material received after 

75
 
 

the deadline in determining the employee’s qualifications for assignment to other 

positions. 

Making Qualifications Determinations—Basics. The agency reviews available records 

(including the employee’s Official Personnel Folder, a personal qualifications update, 

etc.) with information on the released employee’s education, training, and experience to 

determine whether the employee is qualified for assignment to a position in a different 

competitive level. 

Making Qualifications Determinations—Physical Qualifications Determinations. The 

agency determines, on the basis of available information, whether an employee is 

physically qualified, with reasonable accommodation, if necessary, for a position. 

An agency may require an employee who is released from a competitive level by RIF to 

undergo a relevant medical evaluation if the employee has potential assignment rights to 

a position with different: 

1.	 OPM-approved medical standards; 

2.	 Specific physical requirements; and/or 

3.	 Performance tests (including physical fitness and physical agility). 

Physical Qualifications Determinations and Undue Interruption. The undue interruption 

standard may also apply to an agency’s decision regarding whether, for purposes of RIF 

assignment rights, a released employee meets a position’s: 

1.	 OPM-approved medical standards; 

2.	 Specific physical requirements; and/or 

3.	 Performance tests (including any physical fitness and physical agility described in 

the position description). 

The agency’s determination on whether a released employee is physically qualified for 

assignment to another position does not always require that the agency conduct a separate 

medical examination for that purpose. The agency may require a physical examination 

when the agency is considering the employee for a position that is subject to physical or 

medical standards, is covered by a medical surveillance program established by agency 

regulations, or has important duties that are more physically arduous than the position 

previously held. 

OPM approval of a decision that an employee is not physically qualified is not required 

except in the case of employees who are 30 percent or more disabled veterans, as 

discussed below. 

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Physical Qualifications Determinations and Injured Employees. An agency may not deny 

RIF assignment rights to an employee who is reached for release from a competitive level 

during a leave of absence that resulted from a compensable injury solely because the 

employee is physically disqualified as a result of the compensable injury. However, 

Section C explains that an employee carried on an agency’s rolls because of a 

compensable injury is subject to RIF actions the same as if the injury had not occurred. 

Also, if the employee is separated by RIF while the employee is on compensation, the 

employee loses all restoration rights based upon the compensable injury. 

The agency must determine whether the injured employee is entitled to any RIF 

assignment rights, subject to recovery from the injury. The agency also applies the undue 

interruption standard to an agency’s decision on whether or not the employee meets the 

medical standards, and/or specific physical requirements of a position for purposes of 

RIF assignment rights. 

Making Qualifications Determinations—Physical Qualifications Determinations for 

Certain Disabled Veterans. If the agency determines, on the basis of available evidence, 

that a preference eligible with a compensable service-connected disability of 30 percent 

or more is not able to fulfill the physical requirements of a position which the employee 

otherwise would have been offered by RIF assignment, the agency must notify OPM of 

this determination. At the same time, the agency must notify the employee of the 

determination, the reasons for the finding, and the employee’s right to respond to OPM 

within 15 days of the notification. The agency is also required to demonstrate to OPM 

that the notification was timely sent to the employee’s last known address. 

 A veteran is entitled to this procedure if the employee has a compensable serviceconnected disability of 30 percent or more, even though the employee may not be a 

preference eligible in RIF competition (for example, the employee is retired from the 

Armed Forces under a provision that excludes veterans’ preference for retention 

purposes). 

 The agency may not assign any other person to the position until OPM has made a final 

determination concerning the physical qualifications of the employee for the position. 

After OPM has completed its review of the proposed disqualification, it will send its 

findings to both the agency and the employee. The agency is required to comply with 

OPM’s findings. 

The agency must submit the reasons for the determination to OPM, along with the 

complete medical information on which the determination was based. The agency sends 

the case to: 

U.S. Office of Personnel Management 

Strategic Human Resources Policy Division 

Center for Talent and Capacity Policy—Medical
 

1900 E Street, NW, Room 6500 

Washington, D.C. 20415-9500 

Telephone: 202-606-0830; Fax: 202-606-0864. 

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Waiver of Qualification Requirements in Offering RIF Assignment to Vacant Positions. 

In offering a released employee assignment to a vacant position, an agency, at its 

discretion, may waive OPM’s qualification standards and requirements for the position, if 

the agency determines that the employee: 

1.	 Meets any minimum education requirement for the position; and 

2.	 Has the capacity, adaptability, and special skills needed to satisfactorily perform 

the duties and responsibilities of the position. 

The promotion potential of the offered vacant position is not a consideration in offering 

employees assignment. 

Modification of Qualifications in Offering Positions in Lieu of Separation or Other RIF 

Actions. The OPM Operating Manual, Qualification Standards for General Schedule 

Positions (which is available on the OPM website, www.opm.gov) provides that an 

agency, at its discretion, may modify qualification standards for in-service placement 

actions if the agency determines that the employee can successfully perform the work of 

a position even though the employee may not meet all the requirements in the OPM 

qualification standard. See Section S for information on the use of vacant positions as 

offers in lieu of separation or other RIF actions. 

Section W: Trainee and Developmental Positions for Assignment 

Assignment to a Trainee or Developmental Position. An agency must consider three 

additional qualification requirements when determining whether a released employee has 

assignment rights to a position held by a lower-standing employee in a 

formally-designated trainee or developmental position: 

1.	 Whether the lower-standing employee holds a formally designated trainee or 

developmental position; 

2.	 Whether the higher-standing employee meets all of the conditions for selection 

and entry into the formally designated trainee or developmental program; and, 

3.	 If 1 and 2 above apply, whether undue interruption would result if the 

higher-standing employee displaced the employee holding the trainee or 

developmental position. 

These additional conditions apply when the released employee is otherwise qualified for 

assignment to the position. See Section V for information on qualifications for 

assignment. 

Characteristics of Trainee or Developmental Positions. For purposes of RIF competition 

under the regulations, a formally designated trainee or developmental position is a 

position in a program that: 

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1.	 Has been designed to meet the agency’s needs and requirements for the 

development of skilled personnel; 

2.	 Has been formally designated, with its provisions announced to employees and 

supervisors; 

3.	 Is developmental by design, offering planned growth in duties and responsibilities 

and providing advancement in recognized lines of career progression; and 

4.	 Is fully implemented, with the participants chosen through standard selection 

procedures. 

Positions in programs that do not meet all of these conditions are not considered trainee 

or developmental positions for purposes of the RIF regulations. For example, positions 

identified simply as career ladder positions, which do not meet all of the four 

characteristics covered above, are not considered trainee or developmental positions for 

RIF purposes. 

Fully Trained Employees Have No Assignment Rights to a Trainee or Developmental 

Position. The RIF regulations do not authorize assignment of a higher-standing 

employee who has completed a course of training or development, or who is otherwise 

fully trained, into a position in a formally designed trainee or developmental program 

because the employee no longer meets the conditions for entry into the program. These 

restrictions prevent a journeyman from bumping or retreating into an apprenticeship 

program for the same trade or craft, or for the graduate of an intern program to bump or 

retreat into the same intern program, although the RIF regulations do not specifically bar 

higher-standing employees from displacing employees in trainee or developmental 

positions. 

A released employee may displace a lower-standing employee in a trainee or 

developmental position only if the released employee is otherwise qualified for 

assignment to the position, and no undue interruption would result from the placement. 

In order to be considered qualified for assignment to a trainee or developmental position, 

an employee must meet all of the conditions required for selection and entry into the 

program. 

Since a formally-designated trainee or developmental program always includes planned 

career advancement based upon progressive training or rotational assignments, undue 

interruption would normally result if a higher-standing employee was assigned to a 

trainee or developmental position after the program started. Also, because the definition 

of a formally-designated trainee or developmental position states that “participants (are) 

chosen through standard selection procedures” (i.e., merit staffing procedures), an agency 

may not make an offer of assignment to a vacant formally-designated trainee or 

developmental position. 

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Section X: Consideration of Security Clearances in Assignment 

Assignment to a Sensitive Position. An agency first determines an employee’s 

qualifications for assignment to a sensitive position in the same manner, covered in 

Section V, that it makes qualifications determinations for assignment to other positions. 

See “Consideration of Security Clearances When Establishing Competitive Levels” in 

Section F for related information on security clearances. 

In making a qualifications determination involving assignment to a sensitive position, the 

agency may consider whether the time period required for completion of a security 

clearance will result in undue interruption to the activity, and apply that standard in 

determining whether the released employee has a potential right of assignment. An 

employee who does not have a right of assignment to a sensitive position because 

approval of the security clearance would result in undue interruption is not qualified for 

assignment to that position, but still has potential assignment rights to other position. 

Agency Should Initiate Clearance Process When It Determines Potential Right of 

Assignment. When an agency can satisfy an employee’s right of assignment only by an 

offer of a sensitive position, the agency may not delay or deny the assignment solely 

because the employee does not have the appropriate security clearance or is in the process 

of obtaining the clearance. When the agency determines that an employee has a right of 

assignment to a sensitive position and that the employee’s lack of a security clearance 

will not result in undue interruption, the agency at that time should initiate the actions to 

obtain the clearance. 

Work Assignments While Approval of Clearance is Pending. While the security 

clearance is being processed, the agency may assign the employee to the sensitive 

position on the effective date of the RIF. If the agency cannot allow the employee access 

to classified material or permit the employee to perform the duties of the sensitive 

position, the agency may: 

1.	 Give the employee nonsensitive duties of the position to perform; 

2.	 Detail the employee to a nonsensitive position, or set of duties; 

3.	 Grant leave upon the employee’s request; 

4.	 Suspend the employee as provided in part 732 of title 5, Code of Federal 

Regulations; 

5.	 Temporarily give the duties of the sensitive position to another qualified 

employee with the requisite security clearance; or
 

6.	 Use a discretionary temporary exception to the regular order of release from a 

competitive level. 

See Section N for information on temporary exceptions to the regular order of release. 

80
 
 

 

Assignment Rights When Clearance Is Denied. When an agency can satisfy an 

employee’s right of assignment only by an offer of a sensitive position, but the employee 

fails the security clearance and is therefore not qualified for assignment to the sensitive 

position, the agency has two principal options: 

1.	 Separate the employee by RIF from the position the employee holds at the time of 

release from the competitive level because the employee had no right of 

assignment to the position (e.g., the agency would use a discretionary temporary 

exception to retain the released employee past the effective date of the RIF); or 

2.	 Assign the employee into the sensitive position with the security clearance on the 

RIF effective date, and then upon the later completion of the security clearance 

process, the agency may take any appropriate action, possibly including removal, 

as provided in part 752 of title 5, Code of Federal Regulations, for failure to meet 

the requirements of the new position. 

Section Y: Administrative Assignment Options 

Assignment Options. An agency may, when applicable and at its discretion, adopt any of 

the three options in the paragraphs below for assigning employees in a RIF. 

Bumping in the Same Subgroup. An agency may permit competing employees in tenure 

groups I and II to displace other employees with lower retention standing within the same 

subgroup. The agency must determine each employee’s same subgroup bumping rights 

consistent with the bumping provisions covered in Section Q. 

The agency may use this same subgroup bumping option only to offer a released 

employee assignment to a position with a representative rate higher than that provided by 

the usual bumping procedures (displacing an employee on a different competitive level 

who is in a lower tenure group, or in a lower subgroup within the same subgroup as the 

released employee). 

Bumping Rights for Employees in Tenure Group III. An agency may permit competing 

employees in tenure group III to bump other employees in tenure group III. Unless 

provided by the agency, tenure group III employees have no right of assignment under 

the RIF regulations. 

An agency may not: 

1.	 Provide a group III employee with retreat rights; or 

2.	 Offer a group III employee a vacant position as a RIF offer of assignment. 

Assignment Rights for Excepted Service Employees. An agency may provide bump and 

retreat rights for competing employees in the excepted service to other excepted positions 

filled under the same appointing authority as the position held by the released employee. 

81
 
Unless provided by the agency, excepted employees have no right of assignment under 

the RIF regulations. An agency may provide an excepted employee with assignment 

rights only to a position filled under the same appointing authority as the position held by 

the released employee. 

Requirement that Administrative Assignment Rights Must Be Consistent with the RIF 

Regulations. If the agency offers employees assignment rights under any of the three 

administrative assignment options described in the paragraphs above, they must be 

consistent with the RIF regulations. For example, any offers must apply retention 

standing consistent with Section H. 

Also, the agency must apply the administrative assignment provisions uniformly and 

consistently in any one RIF. For example, the agency could not limit administrative RIF 

assignment assignments to positions covered by only one of several excepted appointing 

authorities. 

Restrictions on Administrative Assignment Rights. If the agency offers employees 

assignment rights under any of the three administrative assignment options described 

above in this section, the agency may not authorize: 

1.	 Displacement of an employee except by an employee with higher retention 

standing as determined under the RIF regulations; 

2.	 Assignment of an other-than-full-time employee to a full-time position, except as 

an offer of assignment to a vacant position in lieu of separation by RIF; 

3.	 Assignment of a full-time employee to an other-than-full-time position, except as 

an offer of assignment to a vacant position in lieu of separation by RIF; 

4.	 Assignment of an employee in the competitive service to a position in the 

excepted service; or
 

5.	 Assignment of an employee in the excepted service to a position in the 

competitive service. 

Section Z-1: RIF Notices to Employees 

Specific RIF Notice Basics. A specific RIF notice is a written communication from an 

agency official to an individual employee stating that the employee will be reached for a 

RIF action. An agency is required to issue a RIF notice only for a RIF reason and action. 

See Section C for information on reasons and actions covered by the RIF regulations. 

Notice of Position Abolishment for DSR Eligibility. A notice of position abolishment 

for purposes of establishing eligibility for discontinued service retirement (DSR) is not a 

specific notice of RIF under the regulations. Chapter 44 of the CSRS and FERS 

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Handbook for Personnel and Payroll Offices (CSRS/FERS Handbook) contains 

complete information on DSR, including a sample notice of position abolishment for 

purposes of establishing eligibility for DSR. 

Certification of Expected Separation. At its option, an agency may issue an employee 

a Certification of Expected Separation (CES) to assist the employee in pre-RIF placement 

assistance and early outplacement assistance. A CES is not a RIF notice. See Section Z4 for information on the CES option. 

Informational Notice. At its option, an agency may issue an advance informational 

notice to alert employees that a RIF may be necessary. An informational notice is not a 

RIF notice and does not count toward the mandatory notice period for a specific RIF 

notice. An informational notice does not satisfy an employee’s right to a specific RIF 

notice. The RIF regulations do not provide any requirements for an agency’s optional 

informational notice. 

Mock RIF Notice. At its option, an agency may issue a mock RIF notice to alert 

employees that they may be reached for RIF actions. The RIF regulations do not include 

a definition of “mock RIF.” A mock RIF notice is not a RIF notice and does not count 

toward the mandatory notice period for a specific RIF notice. A mock RIF notice does 

not satisfy an employee’s right to a specific RIF notice. 

Content of Specific RIF Notice. A specific RIF notice must contain the following 

information: 

1.	 What RIF action the agency is taking (for example, the employee will be 

separated, demoted, or furloughed for more than 30 days); 

2.	 The reasons for the RIF action; 

3.	 The effective date of the RIF action; 

4.	 The employee’s competitive area, competitive level, retention subgroup, retention 

service date, and annual performance ratings of record received during the last 4 

years before the agency issues RIF notices, or freezes ratings used to determine 

employees’ retention standing; 

5.	 The place where the employee may inspect the regulations and records pertinent 

to his or her case; 

6.	 If applicable, the reasons for retaining a lower-standing employee under a 

mandatory exception, a permissive continuing exception, or a permissive 

temporary exception;
 

7.	 If applicable, notification that employees are being separated under the 

“liquidation provision” without regard to retention standing within the subgroup, 

and the date the liquidation RIF will be completed; and 

83
 
8.	 If applicable, the employee’s right to appeal the RIF action to the Merit Systems 

Protection Board under the provisions of the Board’s regulations, or to grieve the 

action under a negotiated grievance procedure. 

Requirement to Provide Employee with a Copy of the RIF Regulations. When an 

agency issues a specific RIF notice to an employee, the agency must, at the employee’s 

request, provide the employee with a copy of the RIF regulations (part 351 of title 5, 

Code of Federal Regulations). 

Additional Notice Requirements When 50 or More Employees Are Separated By 

RIF from a Competitive Area. When an agency separates 50 or more employees by 

RIF from a competitive area, the agency has additional notice requirements to OPM, and 

to other Federal and non-Federal organizations. See Section Z-2 for information on these 

requirements. 

Notice to Bargaining Unit Representative. At the same time the agency issues a RIF 

notice to an employee, the agency must also notify the exclusive representative, as 

defined in section 7103(a)(16) of title 5, United States Code, of each affected employee at 

the time of the notice. This notification requirement does not relieve the agency of any 

obligations under the Federal Labor Management Relations Statute, or an applicable 

collective bargaining agreement. 

Minimum 60-Day RIF Notice for All Employees. An agency must give each competing 

employee at least 60 days specific written notice before the effective date of the RIF 

action. The 60-day minimum notice period applies to all RIF actions, including 

separation, demotion, and furlough. The 60-day notice period is a statutory requirement. 

An agency, as a matter of its own policy, may provide for a longer minimum RIF notice 

period. 

An agency may use a “permissive temporary exception to satisfy a Government 

obligation” to the regular order of release in order to provide an employee with a 

minimum RIF notice when the agency was otherwise unable to give a timely notice to the 

employee. See Section N for information on permissive temporary exceptions. 

New Notice Required For More Severe RIF Action. An employee is entitled to a new 

RIF notice, and a new notice period of at least 60 days, only if the agency takes a more 

severe RIF action than stated in the prior notice to the employee. For example, a change 

from a one-grade demotion to separation is an example of a more severe RIF action. 

If necessary, an agency may use a permissive temporary exception to the regular order of 

release in order to meet the minimum notice requirement when the agency issues a new 

notice to an employee because of a more severe action. See Section N for information on 

permissive temporary exceptions. 

An employee is also entitled to a new RIF notice, and a new notice period of at least 30 

days, if the agency takes a more severe RIF action than stated in the prior notice to the 

employee, and the agency has obtained OPM approval for a shorter notice period, as 

84
 
 

covered in Section Z-3. A new 60-day notice period is not required when an agency 

takes the same, or a less severe, RIF action than specified in the prior notice. 

No Maximum Length of RIF Notice. The RIF regulations do not establish a maximum 

period for RIF notices. 

Requesting OPM Approval for a Shorter RIF Notice Period. An agency may request 

OPM to authorize a notice period of less than the minimum standard when a RIF is 

caused by unforeseeable circumstances (e.g., an earthquake or other unexpected natural 

disaster). See Section Z-3 for information on how an agency submits a request to OPM 

for a shorter RIF notice period. 

Same Notice Requirements When Using an Individual Exception to the RIF Order of 

Release. When an agency makes an individual exception to the regular RIF order of 

release under a mandatory, continuing, or permissive exception, the retained employee is 

entitled to a specific written notice at least 60 days before the effective date of the RIF. 

The implementation date of a RIF action for an employee covered by a permissive 

continuing exception, or a permissive temporary exception, is the date on which the 

exception expires. The agency may not continue the RIF notice period beyond the 

employee’s retention period. See Section N for information on exceptions to the regular 

order of release by RIF. 

Computing the RIF Notice Period. The notice period begins the day after the employee 

receives the RIF notice. The agency does not count the date the employee receives the 

notice, or the effective date of the RIF action, in computing the minimum RIF notice 

period. An agency may not count a Saturday, Sunday, or legal holiday as the last day of 

the minimum RIF notice period. 

Amended RIF Notice—Later Effective Date. An agency must give an employee an 

amended RIF notice if the RIF effective date is changed to a later date than in the original 

notice. The amended RIF refers back to the prior notice, and contains updated 

information on the employee’s retention standing (such as the employee’s revised service 

computation date). A RIF action taken after the date specified in the notice given to the 

employee is not invalid for that reason, except when it is challenged by a higher-standing 

employee in the competitive level who is reached out of order for a RIF action as a result 

of the change in dates. 

Amended RIF Notice—Earlier Effective Date. An agency may not take a RIF action 

before the effective date in the notice given to the employee. To take a RIF action before 

the effective date in the notice, the agency must cancel the RIF notice and issue the 

employee a new minimum 60-day RIF notice. 

Amended RIF Notice—Better Offer of Assignment. An agency must give an 

employee an amended RIF notice and allow the employee to decide whether to accept a 

better offer of assignment to a position with a higher representative rate that becomes 

available before, or on, the effective date of the RIF. The agency must give the employee 

an amended notice regardless of whether the employee has accepted or rejected a 

85
 
previous offer. The employee is still entitled to only one offer of assignment and may be 

separated by RIF if the employee rejects the better offer, or fails to reply to the better 

offer within a reasonable time. 

Expiration of RIF Notice—Implementation of Action. A RIF notice expires when it is 

followed by the RIF action specified in the notice. 

Expiration of RIF Notice—Implementation of Less Severe Action. A RIF notice 

expires when it is followed by a RIF action that is less severe than specified in the prior 

notice (or than specified in an amendment to the notice), before the agency takes the 

action. 

Employee’s Duty Status During RIF Notice Period. When, in an emergency, the agency 

lacks work or funds for all or part of the RIF notice period, the agency may, with or 

without the employee’s consent, place the employee: 

1.	 On annual leave; 

2.	 In a leave without pay status; or 

3.	 In a nonpay status. 

When possible, the agency must retain the employee on active duty during the RIF notice 

period. 

Section Z-2: Additional Notice Requirements for RIF Separations 

Additional Notice Requirements. The notice requirements in this Section are in addition 

to the RIF notice provisions covered in Section Z-1. 

More Information for Employees. When an agency separates an employee by RIF, the 

agency must provide the employee (either in or with the RIF notice, or as a separate 

supplemental notice to the released employee), with information on: 

1.	 Severance pay if the displaced employee is eligible, including an estimate; 

2.	 Benefits available through the State under the Workforce Investment Act of 1998 

(Public Law 105-277); 

3.	 Authorizing the release of the displaced employee’s resume to potential 

employers; 

4.	 Registration for the RPL; 

5.	 The agency’s CTAP for local surplus and displaced employees; 

6.	 The interagency ICTAP program; and 

86
 
7. How to apply for unemployment insurance through the appropriate State office. 

Notice to Other Organizations When 50 or More Employees Receive RIF Separation 

Notices. When an agency separates 50 or more employees from a competitive area, the 

agency has additional notice requirements to OPM, and to other Federal and non-Federal 

organizations. The additional information is described in the next paragraph. The 

agency must send this additional notice to the three organizations below at the same time 

it issues the separation notices to the employees. 

The agency must provide a notice with the information to: 

•	 The appropriate State program authorized by the Workforce Investment Act 

(WIA) of 1998; 

•	 The chief elected government official of the local government(s) within which 50 

or more employees will be separated by RIF; and 

•	 The OPM at the address below: 

Deputy Associate Director 

Recruitment and Hiring 

U.S. Office of Personnel Management 

1900 E Street NW, Room 6500 

Washington, DC 20415 

To expedite processing, the agency may also fax the request to 202-606-4430.

Content of Notifications to Other Organizations. The additional notices to the three 

organizations listed in the paragraph above (i.e., State dislocated worker program, local 

governmental unit, and OPM) must include: 

1.	 The number of employees the agency will separate by RIF, broken down by 

geographic area or other basis specified by OPM; 

2.	 The effective date of the RIF separations; and 

3.	 Any other information required by OPM, including information needs identified 

from consultation between OPM and the Department of Labor to facilitate 

delivery of placement and related services. 

Section Z-3: Requesting an Exception to the Minimum RIF Notice Period 

OPM Approval Required for RIF Notice of Less Than 60 Days. When a RIF is cau sed 

by unforeseeable circumstances, an agency may request OPM to authorize a notice perio d 

of less than 60 days. The agency is still required to provide at least 30 full days’ notice 

before the effective date of the RIF action. 

Request From Agency’s Headquarters for OPM Approval of RIF Notice of Less Than 60 

Days. An agency’s request for an exception to the minimum 60-day specific RIF notice 

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period must be signed by the head of the agency or a specific designee in the 

headquarters. 

Content of Agency’s Request to OPM. An agency’s request to OPM for a shorter RIF 

notice period must specify: 

1.	 The organization and geographic location for which an exception is requested; 

2.	 The effective date of the RIF; 

3.	 The number of employees who will be issued RIF notices; 

4.	 The number of days by which the agency requests the notic e period be shortened; 

5.	 The reasons why a shorter RIF notice period is needed; and 

6.	 The name, telephone number, and title of an agency contact p erson in the event 

OPM needs additional information about the request. 

OPM Address for Submitting a Request. Agencies must subm it a request for a shorter 

RIF notice period to: 

Deputy Associate Dire ctor 

Recruitment and Hiring 

U.S. Office of Personnel Management 

1900 E Street NW, Room 6500 

Washington, DC 20415 

To expedite processing, the agency may also fax the request to 202-606-4430. 

Section Z-4: Certification of Expected Separation 

The Certification of Expected Separation (CES) allows otherwise eligib le employees to 

participate in dislocated worker programs under the State WIA programs administered by 

the U.S. Department of Labor. 

Maximum Time Limit for CES. An agency may issue a CES up to 6 months prior to the 

expected effective date of a RIF . 

A CES is Not a RIF Notice. An agency may not use a CES to meet any of the RIF notice 

requirements covered in Section Z -2. 

Conditions for Agencies to Use the CES. At its option, an agency may issue a CES to a 

competing employee only when the ag ency determines: 

1.	 There is a likelihood that the employee will be sep arated by RIF; 

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2.	 Employment opportunities in the same or similar position in the local commuting 

area are limited or nonexistent; 

3.	 Placement opportunities within t he employee’s own agency or other Federal 

agencies in the local commuting area are limited or nonexistent; and 

4.	 If eligible for optional retirement (including voluntary early retiremen t), the 

employee has not filed a retirement application or otherwise indicated in writing 

an intent to retire. 

An agency may not issue a CES on the basis of an employee’s possible separation as the 

result of declining geographic relocation resulting from reassignment, transfer of 

function, realignment, change of duty station, or similar action. 

Content of CES. A CES must: 

•	 Be addressed to each individual eligible employee; 

•	 Be signed by an appropriate agency official; 

•	 Contain the expected date of the RIF; 

•	 Confirm that each factor covered in the paragraph above is met; and, 

•	 Include a description of available WIA programs, the agency’s RPL, C TAP, 

and ICTAP. 

Employees’ Eligibility fo r Additional Outplacement Assistance After Receiving a CES. 

An agency provides intra-agency selection priority to an employee who has received a 

CES through CTAP and the RPL. An employee who has received a CES is not eligible 

for interagency selection priority through ICTAP. 

Section Z-5: RIF Appeals 

Right to Appeal a RIF Action. An employee has a right to file a RIF appeal to the Merit 

Systems Protection Board unde r the provisions of the Board ’s regulations if, under 

authority of the RIF regulations, the employee was: 

1.	 Separated; 

2.	 Demoted; or 

3.	 Furloughed for more than— 

•	 30 consecutive calend ar days, or 

•	 22 discontinuous workdays, 

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but not more than 1 year. 

An emp loyee who accepts an offer o f assignment to another position at the same 

representative rate may not appeal the RIF action to the Board. 

Section Z-6 addresses the situation of an employee in a bargainin g unit covered by a 

negotiated grievance procedure with exclusive procedures for resolving any personnel 

action (including a RIF) that could otherwise be appealed to the Board. Such an 

individual must use the negotiated grievance procedure in lieu of appealing the RIF 

action to the Board unless, as provided in section 7121(d)) of title 5, United States Code, 

the employee alleges discrimination. If the negotiated grievance procedure excludes RIF 

actions, then the employee may not use the grievance procedure, but instead may appeal 

the RIF action to the Board. 

Time Limits for Filing an Appeal. An employee may file an appeal with the Board 

during the 30-day period beginning with the day after the effective date of the action 

being appealed. The Board will not accept an appeal that is filed on or before the 

effective date of the action. The Board may accept an appeal filed after the 30-day pe riod 

if the agency did not advise the employee of the right to appeal an action or if the 

employee can establish the employee exercised due diligence or ordinary prudence under 

the circumstances. The MSPB may accept an appeal from employees alleging the agency 

used bad faith acts such as misrepresentation or coercion to downgrade or separate them. 

Notice of Appeal Rights. When an agency issues a decision notice to an employee on a 

matter appealable to the Merit Systems Protection Board, the agency must provide the 

employee with the following information: 

1.	 Notice of the time limits for appeali ng to the Board; 

2.	 Any applicable limits on the employee’s right to file an appeal because of a 

bargaining agreement; 

3.	 If applicable, the right of the employee to elect whether to file a RIF appeal to the 

Board based on discrimination, in lieu of a grievance; 

4.	 The address of the appropriate Board office where the employee should file the 

appeal; and 

5.	 A copy, or access to a copy, of the Board’s regulations. 

Agencies should consult the Board’s current regulations (part 12 01 of title 5, Code of 

Federal Regulations) prior to a RIF in order to have necessary information on the appeals 

process ready for distribution to affected employees. A copy of the appeal form is fou nd 

in the Board’s regulations. The address for the Board’s website, with complete 

information on filing an appeal, is www.mspb.gov. 

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Section Z-6: RIF Grievances 

Employee Right to Grieve a RIF Action. An employee covered by a collective 

bargaining agreement that is the exclusive procedure for a RIF action must use that 

procedure to file a grievance if the employee believes that the agency failed to properly 

apply the RIF regulations. 

As provided in section 7121(d) of title 5, United States Code, an employee covered 

by the exclusive grievance procedure who alleges discrimination under section 

2302(b)(1) of title 5, United States Code, has the option of either filing a grievance 

under the negotiated grievance procedures or filing an appeal with the Merit 

Systems Protection Board. 

If the negotiated grievance procedure excludes RIF actions, then the employee may 

appeal the RIF action to the Board, but may not use the grievance procedure. 

Time Limits for Filing a Grievance. The time limits for filing a grievance under a 

negotiated grievance procedure are spelled out in the applicable collective bargaining 

agreement. 

Election of Procedure Under the Exception to Grieve. The agency must advise each 

employee who would otherwise have only a grievance right under a negotiated grievance 

procedure that the employee also has the option of filing a RIF appeal to the Board when 

a discrimination issue is raised under section 2302(b)(1) of title 5, United States Code. 

An employee may not file a RIF appeal before the effective date of the RIF action, even 

when the employee’s basic right is to file a grievance under a negotiated grievance 

procedure. The employee may then file an appeal with the Board during the 30-day 

period beginning with the day after the effective date of the action being appealed. An 

employee who files a grievance follows the provisions of the negotiated procedure. 

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Chapter IV: Post-RIF Actions
 

Chapter IV provides guidance on post-RIF actions: 

•	 Career Transition Assistance Plan (CTAP) (Section A) 

•	 Interagency Career Transition Assistance Plan (ICTAP (Section B) 

•	 Reemployment Priority List (Section C) 

•	 Retraining Options Under the Workforce Investment Act of 1998 (Section D) 

Section A: Career Transition Assistance Plan (CTAP) 

Establishing Career Transition Assistance Plans. OPM requires that each agency 

establish a CTAP to actively assist its surplus and displaced employees. Each agency 

must ensure that it applies CTAP uniformly and consistently to all eligible employees. 

The agency head, department head, a deputy secretary, or an under secretary (as 

applicable), must approve the agency’s CTAP. Agencies must send their approved plans, 

and any later modifications, to OPM. 

Career Transition Services. An agency’s CTAP must include policies to provide the 

following types of career transition services to all employees who are surplus or 

displaced because of downsizing or restructuring (including employees in the excepted 

service and the Senior Executive Service): 

•	 Excused absence for employees to use the career transition services and facilities; 

•	 Continued employee access to the career transition services or facilities even if 

the employee is separated; 

•	 A specific orientation session for surplus and displaced employees on the use of 

career transition services, the eligibility requirements for selection priority under 

both CTAP and the Interagency Career Transition Assistance Plan (ICTAP), and 

information on how to apply for vacancies under both CTAP and ICTAP; 

•	 Retraining opportunities for employees; 

•	 Access by employees, including those with disabilities, to career transition 

services at all locations, including headquarters, field offices, and remote site 

locations; 

•	 Access to resource information on other forms of Federal, State, and local 

assistance which are available to support career transition for employees with 

disabilities; 

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•	 Role of employee assistance programs in providing career transition services; and 

•	 Designation of career transition priority based upon individual agency 

components, if the agency elects this option. 

Agency Special Selection Priority. An agency’s CTAP must include policies to provide 

special selection priority to well-qualified surplus and/or displaced agency employees 

who apply for agency vacancies in the local commuting area. 

Surplus and displaced employees receive selection priority through CTAP when they 

apply for vacant positions. The requirement to establish an internal agency selection 

priority program does not affect the Department of Defense, which uses its Priority 

Placement Program (PPP) to provide comparable selection priority to its employees. 

When agencies recruit to fill vacancies, they must notify their surplus or displaced 

employees of these opportunities. This agency selection priority applies before the 

agency can select any other candidate from either within or outside the agency. This 

selection priority covers all agency components in the same local commuting area of the 

employee’s present position. The agency’s CTAP must describe agency procedures for 

reviewing questions concerning qualifications of the agency’s surplus and/or displaced 

employees. 

Reemployment Priority List. An agency’s CTAP must include policies that implement 

selection priority procedures for current or former employees who are eligible for the 

agency’s RPL. In order to have CTAP selection priority, the employee must still be on 

the agency’s rolls. 

Career and Career-Conditional Employees. For purposes of eligibility for CTAP, 

“surplus employee” includes a current career or career-conditional competitive service 

employee in RIF retention tenure group I or II who holds a position at GS-15 or below 

(or equivalent), and has received: 

•	 A Certification of Expected Separation (CES) 

•	 A notice stating that the employee is eligible for discontinued service retirement 

(DSR) (see Chapter 44 of the CSRS and FERS Handbook for Personnel and 

Payroll Offices for information on DSR. The Handbook is available on the OPM 

website at www.opm.gov); or 

•	 A notice of position abolishment, or an equivalent notice indicating that the 

employee’s position is surplus for purposes of CTAP eligibility. 

Excepted Service Employees With Statutory Selection Priority. For purposes of 

eligibility for CTAP, “surplus employee” includes an employee in the executive branch 

serving on an excepted service appointment without time limit at GS-15 or below (or 

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equivalent), who is eligible for noncompetitive appointment eligibility and special 

selection priority by statute for positions in the competitive service, and who has 

received: 

•	 A CES; 

•	 A notice stating that the employee is eligible for DSR; or 

•	 A notice of position abolishment, or an equivalent notice indicating that the 

employee’s position is surplus for purposes of CTAP eligibility; or 

•	 A notice of separation by RIF or by adverse action for declining a position in a 

different local commuting area because of a transfer of function, realignment, 

reassignment, change of duty station, or similar reason. 

Other Excepted Service Employees. For purposes of eligibility for CTAP, “surplus 

employee” includes a current employee who holds an excepted service appointment 

without time limit at GS-15 or below (or equivalent), and who has received: 

•	 A CES; 

•	 A notice stating that the employee is eligible for DSR; 

•	 A notice of position abolishment, or an equivalent notice indicating that the 

employee’s position is surplus for purposes of CTAP eligibility; or 

•	 A notice of separation by RIF or by adverse action for declining a position in a 

different local commuting area because of a transfer of function, realignment, 

reassignment, change of duty station, or similar reason. 

If the agency provides this option, the employee has selection priority for permanent 

excepted service positions in the same agency that are located within the same local 

commuting area as the employee’s current position. The position to which the employee 

is appointed must have the same appointing authority (for example, Schedule A or 

Schedule B) as the excepted service position from which the employee is being 

involuntarily separated. 

See Appendix B, Career Transition Assistance Plan (CTAP), for additional information 

on other qualifying conditions for eligibility, beginning date of eligibility, ending date of 

eligibility, notification requirements, order of selection, exceptions to the special 

selection order, application for vacancies, proof of eligibility, agency selections for 

vacancies, and oversight, complaints and appeals. 

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Section B: Interagency Career Transition Assistance Plan (ICTAP) 

ICTAP provides eligible displaced competitive service employees with external selection 

priority over other outside candidates for competitive service vacancies that other 

agencies are filling in the same local commuting area as the employee’s present agency 

from which the employee was, or will be, separated. 

Agency Special Selection Priority. ICTAP is based on an “employee empowerment” 

approach, through which eligible displaced employees receive selection priority when 

they apply for vacant positions in other agencies in the local commuting area. ICTAP 

does not provide a displaced employee with selection priority to positions in the agency 

from which the employee was, or will be, separated. An employee separated by RIF has 

selection priority over other outside candidates through the Reemployment Priority List 

(RPL). See Section C of this chapter for information on the RPL. 

Career and Career-Conditional Employees. For purposes of eligibility for ICTAP, 

“displaced employee” includes a current or former career or career-conditional 

competitive service employee in retention tenure group I or II who holds a position at 

GS-15 or below (or equivalent), and has received: 

1.	 A specific notice of separation by RIF; or 

2.	 A written notice of proposed removal (including a final decision) by adverse 

action for declining a directed reassignment, transfer of function, or other similar 

reason, outside of the employee’s current local commuting area. 

An employee who retired on the effective date of the RIF is eligible for ICTAP. An 

employee who declined a RIF offer of assignment is eligible for ICTAP. A Department 

of Defense employee who volunteers for RIF separation under section 3502(f) of title 5, 

United States Code, or other applicable authority is eligible for ICTAP on the same basis 

as other eligible employees. 

The ICTAP definition of “displaced employee” excludes employees displaced from 

positions above GS-15, including Administrative Law Judge and Senior-Level (SL) 

positions. An employee who has received only a CES is not eligible for ICTAP. 

Prior Removal Because of Compensable Injury. For purposes of eligibility for ICTAP, 

“displaced employee” includes a former career or career-conditional competitive service 

employee in retention tenure group I or II who was separated from a position at GS-15 or 

below (or equivalent) and: 

1.	 Whom the former agency separated because of compensable injury or illness; 

2.	 Whose compensation from the Department of Labor’s Office of Workers 

Compensation Programs (OWCP) is now terminated; and 

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3.	 Whom the former agency is unable to place through the RPL. See Section C for 

information on the RPL. 

Termination of Disability Annuity. For purposes of eligibility for ICTAP, “displaced 

employee” includes a former career or career-conditional competitive service employee: 

1. Who retired with a disability annuity under the Civil Service Retirement System 

(CSRS) or under the Federal Employees’ Retirement System (FERS); and, 

2.	 Whose disability annuity has been, or is being, terminated. 

Prior Discontinued Service Retirement After Receiving RIF Separation Notice. For 

purposes of eligibility for ICTAP, “displaced employee” includes a former career or 

career-conditional competitive service employee in retention tenure group I or II who 

received a notice of separation by RIF from a position at GS-15 or below (or equivalent) 

and retired under the discontinued service retirement (DSR) option. 

An individual who retired under the DSR option after receiving only a notice of position 

abolishment for purposes of DSR (i.e., the employee did not receive a specific notice of 

RIF separation), is not considered a displaced employee and is not eligible for ICTAP. 

Chapter 44 of the CSRS and FERS Handbook for Personnel and Payroll Offices contains 

more information about DSR and is available on the OPM website at www.opm.gov. 

Disabled Reserve or National Guard Technician. For purposes of eligibility for ICTAP, 

“displaced employee” includes a former Military Reserve Technician, or a former 

National Guard Technician, who is receiving a special disability retirement annuity from 

OPM under CSRS or FERS. 

Excepted Service Employees With Statutory Selection Priority. For purposes of 

eligibility for ICTAP, “displaced employee” includes a current Senior Executive Service 

member serving in the executive branch on an excepted service appointment without time 

limit, who is eligible for both noncompetitive appointment and special selection priority 

by statute for positions in the competitive service, and has received: 

1.	 A specific notice of separation by RIF; or 

2.	 A written notice of proposed removal (including a final decision) by adverse 

action for declining a directed reassignment, transfer of function, or other similar 

reason, outside of the employee’s present local commuting area. 

See Appendix E, Interagency Career Transition Assistance Plan (ICTAP), for additional 

information on other qualifying conditions for eligibility, beginning date of eligibility, 

ending date of eligibility, notification requirements, order of selection, exceptions to the 

96
 
special selection order, application for vacancies, proof of eligibility, agency selections 

for vacancies, and oversight, complaints and appeals. 

Section C: Reemployment Priority List 

General Requirements. Each agency must establish and maintain a RPL for each local 

commuting area in which: 

•	 The agency separates, or will separate, one or more competitive service 

employees by reduction in force (RIF); or 

•	 A former employee of the agency recovers from a compensable injury after more 

than 1 year. 

Coverage of RPL Regulations. The RPL regulations in subpart B of part 330, Code of 

Federal Regulations, apply to each agency with competitive service employees, or with 

employees who by statute have the same rights as competitive service employees. For 

example, a preference eligible employee of the Postal Service is covered by the RPL 

regulations. 

When an agency establishes a RPL, all components of the agency in the local commuting 

area are responsible for giving priority consideration to all of the registrants on the List. 

If an agency has different components in a local commuting area, the agency may allow 

employees to indicate their availability on the RPL only for certain activities or locations 

within the local commuting area. 

A Department of Defense employee who volunteers for RIF separation under section 

3502(f) of title 5, United States Code, or similar authority, is eligible for the RPL on the 

same basis as other eligible employees. 

Exception to RPL Coverage. An agency is not required to establish a RPL for employees 

who were, or will be, separated by RIF, if the agency: 

1.	 Operates a placement program for its employees; and 

2.	 Obtains OPM approval that the program satisfies the basic regulatory 

requirements covering the RPL. 

This option allows individual agencies to implement different placement strategies that 

are effective for their particular programs, and still meet employees’ legal entitlements to 

priority consideration for reemployment. 

Requirement to Notify Eligible Employees. The agency must give each eligible 

employee information about the RPL at the same time the agency gives the employee a 

specific RIF notice of separation. 

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See Appendix K, Reemployment Priority List, for additional information on eligibility 

based on RIF, eligibility based on compensable injury, length of eligibility for selection, 

early loss of eligibility, employee registration based on RIF, employee registration based 

on compensable injury, employee consideration based on RIF, employee consideration 

based on injury compensation, restrictions on filling positions, RPL selections—general, 

selection from the RPL—retention standing order procedure, selection from the RPL— 

rating and ranking order procedure, exceptions to the regular order of selection, 

qualifications for selection, alternative individual agency placement programs, RPL 

appeals and grievances and corrective action. 

Section D: Retraining Options Under the Workforce Investment Act of 1998 

The Workforce Investment Act (WIA) of 1998 provides both training and retraining 

options to assist displaced employees who are unlikely to return to their previous 

occupation. The WIA requires each State to provide employment assistance to all 

displaced workers, including Federal employees. The WIA program is administered by 

the Department of Labor. The WIA provides a wide range of services to help individuals 

displaced from their positions because of workforce reshaping. These services include 

skills assessments, job development, counseling, job search assistance, and training or 

retraining. Specific services are available through State and local employment offices. 

The RIF regulations require that an agency must provide each employee who receives a 

RIF notice of separation with information about the WIA program. See Section Z-3 in 

Chapter III for information on the special notice requirements when an agency separates 

employees by RIF. 

CES Option. At its option, an agency may issue a Certificate of Expected Separation 

(CES) to an employee who is likely to be separated within 6 months by RIF. (An 

employee who is excess because of possible relocation is not eligible to receive a CES.) 

The CES makes a surplus employee eligible for some or all WIA services before the 

employee actually receives a specific notice of RIF separation. Note that even with the 

CES, most States will not provide retraining services until the employee is actually 

separated by RIF. 

The State-based WIA offices offer many services for employees faced with involuntary 

separation because of RIF or relocation. The WIA representatives will often come onsite 

to explain the benefits available to displaced employees, and then register the displaced 

employees for available programs. In most situations, the WIA representatives are 

extremely flexible in providing valuable transition services to displaced employees. The 

agency should contact the appropriate WIA and related State offices as soon as the 

agency finds that it may be necessary to carry out involuntary separations. The 

Department of Labor’s website provides links to State-based WIA offices and other State 

and local services for displaced employees at: http://www.careeronestop.org/. 

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Chapter V: Transfer of Function 

This chapter offers the following guidance for agencies on transfer of function and 

related actions: 

•	 Applicability (Section A) 

•	 Agency Responsibility (Section B) 

•	 How to Apply the Regulations (Section C) 

•	 Identification of Employees and Positions with a 

Transferring Function (Section D) 

•	 Identification Method One (Section E) 

•	 Identification Method Two (Section F) 

•	 Employees of Losing Competitive Area (Section G) 

•	 Employees of Gaining Competitive Area (Section H) 

•	 Transfer for Liquidation (Section I) 

•	 Canvass Letters (Section J) 

•	 Volunteers for Transfer (Section K) 

•	 Appeals and Grievances (Section L) 

Section A: Applicability 

Must Continue in Identifiable Form. In a transfer of function, the function must: 

1.	 Cease in the losing competitive area(s) at the time of transfer; and 

2.	 Be performed in an identifiable form in a different competitive area (or areas) 

where the function was not being performed at the time of transfer. 

The “identifiable form” requirement means that the transfer of function regulations apply 

only when the transferred function will be performed by competing employees in the 

gaining competitive area. A transfer of function does not take place when the function of 

competing employees will not be performed by competing employees in the gaining 

competitive area; for example, a function is not performed in an identifiable form if th e 

function transfers to a gaining competitive area and is outsourced for performance by 

contract employees, in a different competitive area, or by members of the Armed Force s, 

rather than by competing employees in the gaining competitive area. 

Authority for a Transfer of Function. The transfer of function regulations apply whether 

or not the movement of work is authorized by: 

•	 A statute; 

•	 An Executive order; 

99
 
•	 A formal reorganization plan; or 

•	 Other authority. 

A Transfer of Function May be Intra- or Interagency. The transfer of function 

regulations use the same procedures for both intra- and interagency transfers. An 

interagency transfer of a function and/or personnel requires specific statutory 

authorization. Without a specific statutory basis, there is no authority for an ag ency to 

permanently transfer a function and/or personnel to another agency on the basis of a 

memorandum of understanding, a directive from the Executive Office of the Presiden t, a 

reimbursable agreement, or other administrative procedure. 

Statutory Exceptions to Usual Transfer of Function Requirements. Congress has the 

authority to: 

•	 Exempt, expand, or modify intra- and interagency transfers of function and 

personnel from the transfer of function regulations; or 

•	 Expand, limit, and/or modify the procedures agencies use to identify employees 

for intra- and interagency transfers of function. 

Movement of a Function Within a Competitive Area is not a Transfer of Function. The 

movement of a function within a competitive area does not meet either of the two transfer 

of function conditions. The movement of a function within a competitive area is a 

reorganization. 

Transfer of a Function for Liquidation. Under the transfer of function regulations, a 

competing employee who is identified with a function that will be liquidated or 

terminated does not have a right to any continuing positions in the gaining comp etitive 

area. An employee whose position is transferred as a transfer of function solely for 

liquidation is not a competing employee for other positions in the competitive area 

gaining the function. 

The liquidation exception to the transfer of function regulations applies to any function 

that is not specifically authorized at the time of transfer to continue in operation for mor e 

than 60 days in the gaining competitive area (i.e., the function is transferred to the 

gaining competitive area for termination). The transfer of function regulations do not 

apply to the transfer of a function that is associated solely with the completion of a 

terminated program, even when the closeout work continues in the gaining competit ive 

area for more than 60 days. 

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Section B: Agency Responsibility 

Management’s Right to Make Transfer of function Decisions. The agency has the 

right and responsibility to determine whether the transfer of function regulations apply to 

the movement of work from one competitive area to another, or to the movement of the 

entire competitive area to a different local commuting area. 

Management’s Right to Take Other Actions. A transfer of function does not suspend 

management’s right to take other personnel actions before, concurrent with, or after the 

transfer of function. 

Basis for Transfer of function Decisions. The losing and the gaining competitive areas 

refer to relevant documents in determining whether the transfer of function regulations 

apply. The reference point for a transfer of function determination is the organizational 

manual and delegations of authority for the losing and gaining competitive areas, 

supplemented, if necessary, by the enabling legislation and other implementing 

instructions that serve as the basis for the performance of the function. 

These documents provide evidence regarding whether the work that is being transferred 

meets the definition of a function. A function is defined as all or a clearly identifiable 

segment of an agency’s mission (including all integral parts of that mission) regardless of 

how it is performed. If the work meets the definition of a function, these documents then 

serve as the basis for a decision on whether the transfer of function regulations apply to 

the movement of work to one or more gaining competitive areas. 

Section C: How to Apply the Regulations 

The Agency Considers the Same Transfer of function Criteria in Any Movement of Work 

Situation. Section B covers the general conditions under which the transfer of function 

regulations apply to the movement of work. The agency considers the same criteria in 

any movement-of-work situation, including: 

A potential transfer of function may involve any or all of the situations covered in the 

examples below. By isolating each transferring function as the work is documented by 

the losing competitive area and then determining if the same class of activity is 

performed by the gaining competitive area at the time of transfer, the losing and the 

gaining competitive areas may determine whether the transfer of function regulations 

apply to any situation. 

•	 The transfer of a function that supports a different transferring function; 

•	 The consolidation of a function from more than one competitive area into a single 

competitive area; 

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•	 The fragmentation of a function from one competitive area to two or more 

different competitive areas; 

•	 A phased transfer of function in which portions of the function transfer to one or 

more different competitive areas over a period of time; 

•	 A phased transfer of function in which employees who are performing the 

transferring function move to a different duty site over a period of time; 

•	 The closure of an activity under the jurisdiction of one agency (or subagency), 

with a different agency (or subagency) assuming responsibility for a successor 

activity at the same duty site; 

•	 The transfer of one of several functions performed by a manager or supervisor; or 

. 

A potential transfer of function may involve any or all of the situations covered in the 

examples above. By isolating each transferring function as the work is documented by 

the losing competitive area and then determining if the same class of activity is 

performed by the gaining competitive area at the time of transfer, the losing and the 

gaining competitive areas may determine whether the transfer of function regulations 

apply to any situation. 

Importance of Cooperation Between the Losing and the Gaining Competitive Areas. The 

competitive areas that are losing and gaining a function must cooperate in meeting their 

responsibility to determine: 

1.	 Whether the transfer of function regulations apply to the movement of work from 

one competitive area to another; 

2.	 Based on the transfer of function determination, which competitive area is 

responsible for personnel actions if competing employees are subsequently 

separated or downgraded; and 

3.	 If the agency separates or downgrades competing employees following the 

transfer of the function, what specific personnel procedures the agency used (for 

example, RIF or adverse action procedures) to carry out the action. 

Section D: Identification of Employees and Positions With a Transferring Function 

Responsibility of the Losing Competitive Area to Identify Positions and Employees. The 

competitive area losing the function is responsible for identifying positions and 

employees for transfer with the function. 

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The Two Procedures Agencies Use to Identify Positions and Employees for Transfer. 

The transfer of function regulations provide for two procedures that the losing 

competitive area must use in identifying both positions and employees for transfer: 

1.	 Identification Method One; and 

2.	 Identification Method Two 

The Two Identification Procedures are Mandatory. The losing competitive area may use 

only Identification Method One or Identification Method Two to identify employees for 

transfer with a function. The losing competitive area may not substitute a different 

procedure that would change the right of an employee identified under Identification 

Method One or Identification Method Two to transfer with a function. 

Identification Method One generally applies to line positions (for example, positions in 

an engineering development function), while Identification Method Two generally 

applies to support positions (for example, positions in a typing pool that service the 

engineering development function as well as other functions). The losing competitive 

area may allow employees not identified under Method One or Method Two to volunteer 

for transfer only if no employee with a right to transfer is separated or downgraded 

because of this decision. See Section L for information on providing volunteers the 

opportunity to transfer with a function. 

Use of Identification Method One Versus Use of Identification Method Two. The losing 

competitive area must use Identification Method One to identify each employee for 

transfer when this procedure applies to the situation. The losing competitive area uses 

Identification Method Two only to identify positions not covered by Identification 

Method One. 

Using the Position Description to Identify Employees for Transfer. The losing 

competitive area identifies each competing employee with a transferring function on the 

basis of the employee’s official position description. 

Supplementing the Position Description to Identify Employees for Transfer. In 

determining what percentage of time an employee performs a function, the losing 

competitive area may supplement the official position description by the use of material 

such as official work reports, organizational time logs, and similarly appropriate items. 

Section E: Identification Method One 

Under Identification Method One, the losing competitive area ide ntifies a competing 

employee with a transferring function if: 

1.	 The employee performs the function during at least half of the employee’s work 

time; or 

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2.	 Regardless of the amount of time that the employee performs the function, the 

function includes the employee’s grade-controlling duties under position 

classification standards. 

Grade-Controlling Duties Must Support Entire Grade of Position. The losing competitive 

area identifies a competing employee with a transferring function based on 

grade-controlling duties only if the employee’s work on the transferring function would, 

by itself, support the employee’s current grade. 

Identification Method Two—Transfer of Positions When Both Method One and Method 

Two Apply to the Same Retention Register. In some situations, the agency may find that 

some employees are identified for transfer under Identification Method One, and other 

employees in the same position are properly identified for transfer under Identification 

Method Two. See Section F for information on identifying positions for transfer when 

both Identification Method One and Identification Method Two apply to the same 

retention register. 

Section F: Identification Method Two 

An agency uses Identification Method Two to identify a competing employee with a 

transferring function if: 

1.	 The employee performs the function during less than half of the employee’s work 

time; and, 

2.	 The employee’s duties on the function are not grade-controlling. 

Identification Method Two—Number of Employees with a Right to Transfer. Under 

Identification Method Two, the losing competitive area must first identify the number of 

positions it needs to perform the transferring function. The number of employees with 

the right to transfer with the function under Identification Method Two is the number of 

positions that the losing competitive area needs to perform the transferring function. 

Identification Method Two does not provide employees a transfer of function right based 

upon less than one position (for example, if the losing competitive area needed less than 

one position to perform the transferring function no employee would have a transfer of 

function right), or for a fraction of a position (for example, if the losing competitive area 

needed 2.5 positions to perform the transferring function, the losing competitive area 

identifies two positions). 

Identification Method Two—Developing Retention Registers. After determining the 

number of positions it needs to perform the transferring function, the losing competitive 

area must then establish retention registers that include only the names of all competing 

employees who perform the function and are not covered by Identification Method One. 

This means that the agency does not automatically use the same retention registers that 

would be used for RIF competition. 

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Identification Method Two—Using Retention Registers to Identify Employees for 

Transfer with the Function. To determine which competing employees are identified for 

transfer under Identification Method Two, the losing competitive area uses the retention 

registers it established under the paragraph above and identifies employees in the inverse 

order of their retention standing, except as provided below. Under this basic procedure, 

the agency identifies the employee with the lowest standing on the retention register for 

transfer with the function. 

If, for any retention register, the agency’s use of the basic Identification Method Two 

procedure above would result in the separation or demotion by RIF of an employee with 

higher retention standing than the employee who would be transferred under Identification 

Method Two, the agency identifies competing employees on that register for transfer in the 

actual order of their retention standing (i.e., beginning with the highest standing employee 

on that retention register). 

For example, under this alternative Identification Method Two procedure, the agency 

identifies the employee with the highest standing on the retention register, rather than the 

employee with the lowest standing on the retention register, for transfer with the function. 

This may occur in a closure or similar shutdown situation when the losing agency is being 

abolished, a continuing function will transfer to a continuing competitive area, and 

employees who do not transfer are faced with separation or downgrading by RIF in the 

losing competitive area. 

In a transfer of function held concurrently with a RIF in the losing competitive area, the 

agency may find that, under Identification Method Two, on some retention registers it 

identifies employees for transfer in the inverse order of their retention standing, and on 

other registers, the agency identifies employees in the actual order of their retention 

standing. Regardless of the order of retention standing, under Identification Method Two 

the losing competitive area identifies for transfer only the number of positions it needed to 

perform the transferring function. 

Identification Method Two—Transfer of Positions when Both Method One and Method 

Two Apply to the Same Retention Register. The agency may find, in developing a 

retention register under Identification Method Two, that some employees on the retention 

register are actually identified for transfer under Identification Method One, and other 

employees on the same retention register are identified for transfer under Identification 

Method Two. 

This situation can develop when some employees working in support of a transferring 

function spend at least half of their work time on the transferring function, while other 

employees working in support of the same function spend less than half of their work time 

on the transferring function, and the balance of their work time supporting other functions. 

In this situation, the losing competitive area first identifies all employees with transfer of 

function rights under Identification Method One, without regard to the total number of 

employees that the losing competitive area needs to perform the transferring function. 

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The losing competitive area then refers to the total number of positions it needs to 

perform the transferring function. If the losing competitive area finds that the total number 

of positions needed to perform the transferring function is: 

1.	 The same or less than the number of employees identified for transfer under 

Identification Method One, then all of the Method One employees are identified for 

transfer; or 

2.	 Greater than the number of employees identified for transfer under Identification 

Method One, then the losing competitive area uses Identification Method Two to 

identify the remaining employees for transfer until the total number of employees 

identified under Identification Methods One and Two equals the total number of 

positions needed to perform the transferring function. 

Section G: Employees of Losing Competitive Area 

Right of an Employee to Transfer with the Function. Regardless of an employee’s 

personal preference, a competing employee who is identified for transfer under 

Identification Method One or Identification Method Two has no right to transfer with a 

function unless the alternative is separation or downgrading of the employee by RIF in 

the competitive area losing the function. This means that a competing employee who is 

identified with a transferring function has the right to transfer with the function to the 

gaining competitive area if, after the transfer of function, the employee will be separated 

or downgraded by RIF in the losing competitive area. 

Separation of an Employee Who Refuses to Transfer with the Function. The losing 

competitive area uses adverse action procedures if it chooses to separate an employee 

who declines to transfer with the function to a different local commuting area. See 

Section J for information on transfer of function canvass letters only with a functional 

transfer to a different local commuting area. In lieu of using adverse action procedures 

to separate the employee who refuses to transfer with the function to a different local 

commuting area, the agency may instead: 

•	 Reassign the employee to another continuing position under the agency’s general 

authority to reassign employees; or 

•	 Allow the employee to compete for positions in a concurrent RIF in the losing 

competitive area. 

An employee has no opportunity to decline transfer with the function to a position in the 

same local commuting area. At its option, the gaining competitive area of a transfer of 

function involving one local commuting area may separate an employee who declines to 

report, using adverse action procedures. 

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Use of RIF Procedures in the Losing Competitive Area. The losing competitive area may 

not conduct a RIF solely for the employees who decline to transfer with their function. 

At its option, the losing competitive area may include employees who decline to transfer 

with their function as part of a concurrent RIF conducted for other reasons. 

Section H: Employees of Gaining Competitive Area 

No Impact of the Transfer of Function on Employees of the Gaining Competitive Area 

without Other Organizational Changes. The transfer of function regulations do not affect 

employees of the gaining competitive area if the transfer does not require a RIF or other 

personnel actions in that organization. 

Transferring Employees Compete for Positions on the Basis of Their Positions of Record. 

The losing competitive area transfers each employee identified for transfer with the 

function to the gaining competitive area on the basis of the position that the employee 

held prior to the transfer. If the gaining competitive area conducts a RIF at the same 

time as the transfer of function, the transferred employee competes for retention on 

the basis of the position that the employee held prior to the transfer. 

If the gaining competitive area does not conduct a RIF at the same time as the transfer of 

function, the gaining competitive area must still take an appropriate personnel action (for 

example, reassignment) to document the transfer of the incoming employee from the 

position the employee held prior to the transfer to a new position in the gaining competitive 

area. 

Rights of Transferred Employees in the Gaining Competitive Area. Competing 

employees identified for transfer with the function by the losing competitive area have a 

right to: 

1.	 Transfer to the gaining competitive area before being separated or downgraded by 

RIF; and 

2.	 Compete on equal terms with employees in the gaining competitive area in any 

reduction in force that takes place concurrent with, or after, the transfer of function. 

Employees identified by the losing competitive area for transfer with the function 

compete in RIF on retention registers comprised of both themselves and employees 

working in the gaining competitive area at the time of transfer. A transferred employee 

who is reached for a RIF action in the gaining competitive area has no retention rights 

back to the losing competitive area. 

Actual Relocation of Transferring Employees Not Necessary Before a RIF. The gaining 

competitive area may determine the retention rights of transferring employees in RIF 

conducted at the same time as the transfer of function without an actual relocation of 

employees from the losing competitive area. To assist in a RIF following the transfer of 

function, the losing competitive area may act as agent for the gaining competitive area in 

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providing information to transferring employees and, if applicable, in processing lumpsum annual leave payments and severance pay. 

Employees Separated by RIF Covered by RPL in Gaining Competitive Area. The 

gaining competitive area places each transferred employee who is separated by reduction 

in force on its RPL. Neither the losing competitive area nor the gaining competitive area 

has authority to place a transferred employee on the RPL of the losing competitive area 

after the employee receives a reduction in force separation notice from the gaining 

competitive area. 

Status of Competitive Service Positions. When the position of an employee who is in the 

competitive service and has competitive status is moved to a new organization as part of 

a reorganization or transfer of function, the position remains in the competitive service 

during the employee's incumbency. 

Section I: Transfer for Liquidation 

Limited Rights After Transfer for Liquidation. Transfer for liquidation provides the 

employee with the right to transfer from the losing to the gaining competitive area when 

the function will be terminated or “liquidated” within 60 days in the gaining competitive 

area. A competing employee who is identified with a function specifically authorized at 

the time of transfer to continue in the gaining competitive area for no more than 60 days 

is not a competing employee for other positions in the gaining competitive area. 

An employee identified with a liquidated function has the right to transfer to the gaining 

competitive area solely for the purpose of separation by RIF. An employee whose position 

is transferred solely for liquidation by RIF separation is placed on the RPL of the gaining, 

rather than the losing, competitive area. 

No Right to Transfer With Terminated Function. The transfer of function regulations do 

not apply to the transfer of a function which is terminated in the losing competitive area, 

and is subsequently transferred to another competitive area for final closeout. A 

competing employee whom the agency identifies with a terminated program is a 

competing employee in the losing competitive area if the agency chooses to conduct a 

RIF. Although the employee has no transfer of function rights, the agency may choose 

to reassign or otherwise move the employee from the losing to the gaining competitive 

area to perform work related to the termination of the function. 

A terminated function may continue for more than 60 days in the gaining competitive area 

as the agency phases out the terminated function. An employee transferred with a 

terminated function that will continue for more than 60 days in the gaining competitive area 

has the right to compete with other employees in that competitive area in the event of a RIF. 

If reached for RIF separation, the employee is placed on the RPL of the gaining competitive 

area. 

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Section J: Canvass Letters 

Purpose of Canvass Letters. The losing competitive area may use a canvass letter to ask 

each competing employee identified with a transferring function whether the employee 

will actually transfer with the function to a different local commuting area. The losing 

competitive area is not required to offer the employee a specific position in the transfer of 

function canvass letter. The canvass letter is simply an initial offer for an employee to 

transfer with the function to a different local commuting area. 

Canvass Letters are Optional. The losing competitive area, at its option, may decide: 

•	 Whether to issue a transfer of function canvass letter to employees; 

•	 The format of the transfer of function canvass letter; 

•	 How long before the transfer of function effective date to issue the canvass letter to 

employees; and 

•	 How long before an employee who receives the transfer of function canvass letter 

must respond to the agency’s request for a decision on whether or not the employee 

will relocate. 

Canvass Letters Used Only In Geographic Transfer. The losing competitive area may 

issue a canvass letter if the transfer of function is based upon the movement of: 

•	 A function from one competitive area to another competitive area that is located in a 

different local commuting area; or 

•	 The entire competitive area to a different local commuting area when no other 

organizational change to the competitive area takes place (e.g., the transferred 

competitive area retains its separate identify after transfer to a different local 

commuting area). 

Content of Canvass Letters. The losing competitive area should use the canvass letter to 

provide an employee identified for transfer with sufficient information to decide whether 

the employee wishes to transfer with the function to a gaining competitive area that is 

located in a different local commuting area. In the canvass letter, the losing competitive 

area should explain to the employee what would result from the employee’s decision to 

accept or decline this initial offer to transfer with the function to a different local 

commuting area. The losing competitive area may not issue a canvass letter to an 

employee who is identified with a function that is not moving to a different local 

commuting area. 

The losing competitive area should allow a reasonable period of time for the employee to 

make a decision on whether to accept the offer to transfer with the function to a different 

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local commuting area. The losing competitive area determines what is a reasonable period 

of time for this purpose. 

Acceptance of the Offer to Transfer. By accepting the initial offer in the canvass letter to 

transfer with the function, the employee simply indicates a willingness to transfer to the 

gaining competitive area. An employee who accepts the offer to transfer will be in 

competition for positions in the gaining competitive area. 

An employee who initially accepts the offer to transfer with the function is not bound by that 

decision and may later change the acceptance without penalty. An employee who initially 

accepts the offer to transfer with the function to a different local commuting area, but later 

declines the offer, is not entitled to an extension in active duty status, and/or pay status. 

Declination of Offer to Transfer. If the employee declines the agency’s offer to transfer 

in the canvass letter, the losing competitive area has the right to propose the employee’s 

separation under adverse action procedures. By electing not to transfer with the 

function in the canvass letter, the employee becomes eligible for intra-agency 

placement assistance in the agency through the agency’s Career Transition Assistance 

Plan (CTAP). 

An employee who receives an adverse action notice of proposed removal or a final decision 

letter of removal after declining an offer to transfer with the function to a different local 

commuting area is entitled to selection priority in other Federal agencies through the 

Interagency Career Transition Assistance Plan (ICTAP). An employee who declines to 

transfer is not eligible to be registered on the RPL for the losing competitive area. By 

electing not to transfer with the function in the canvass letter, the losing competitive area 

will not separate the employee any sooner than employees who elect in the canvass letters to 

transfer with the function. 

Section K: Volunteers for Transfer 

The losing competitive area may permit other employees of the agency to volunteer for 

transfer with the function in place of competing employees identified under Identification 

Method One or Identification Method Two. The gaining competitive area must agree to 

any transfer of volunteers since these employees have no right to transfer with the 

function. 

Use of Volunteers is Restricted. At its option, the losing competitive area may permit 

other employees to volunteer for transfer with the function only if no competing 

employee who is identified under Identification Method One or Identification Method 

Two is separated or demoted solely because a volunteer transferred to the gaining 

competitive area in place of an employee identified with the function. 

Temporary Employees May Volunteer. The losing competitive area may permit 

noncompeting employees in temporary positions to volunteer for transfer with the 

function to the gaining competitive area. The losing competitive area may allow 

temporary employees to volunteer for transfer with the function only if no competing 

employee who is identified under Identification Method One or Two is separated or 

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demoted solely because a volunteer transferred to the gaining competitive area in place of 

the employee identified with the function. The gaining competitive area must agree to the 

transfer of volunteers who are temporary employees because these employees have no right 

to transfer with the function. 

Volunteers and Retention Standing. If the total number of employees who volunteer for 

transfer exceeds the number of employees required to perform the function in the gaining 

competitive area, the losing competitive area, at its option, may give preference to the 

volunteers with the highest retention standing. 

Section L: Appeals and Grievances 

No Basic Right to Appeal a Transfer of Function. An employee may raise a transfer of 

function issue as part of an appeal to the Merit Systems Protection Board of a subsequent 

RIF or adverse action that the employee believes resulted from the transfer of function. 

An employee has no right to appeal a transfer of function to the Board except as an 

issue in another appeal under the Board’s jurisdiction (for example, in a RIF or an 

adverse action appeal). 

Transfer of function Issues in a Grievance. An employee in a bargaining unit covered by 

a negotiated grievance procedure with exclusive procedures for resolving any personnel 

action that could otherwise be appealed to the Board must use the negotiated grievance 

procedure in lieu of appealing the action (e.g., RIF) to the Merit Systems Protection 

Board. 

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Chapter VI: Glossary of Terms 

Agency. An Executive department, a Government corporation, and an independent 

establishment. “Agency” includes all components of an organization in the local 

commuting area, including an agency’s Office of Inspector General. The U.S. Postal 

Service, Tennessee Valley Authority, and other quasi-governmental organizations, as 

well as legislative and judicial branch agencies, are not considered “agencies” under the 

CTAP/ICTAP regulations. 

Assignment Right. The right of an employee to be assigned by bump or retreat in the 

second round of competition to a position in a different competitive level held by an 

employee with lower standing on a retention register. 

Bump. The assignment of an employee to a position held by another employee in a lower 

group, or in a lower subgroup within the same tenure group. 

Change in Duty Station. The movement of an employee’s office to a new geographic 

location with no other change. The intra-agency geographic relocation of personnel 

documented by a “change in duty station” personnel action may or may not meet the 

definition of a transfer of function under the regulations. 

Competing Employee. An employee in tenure group I, II, or III in either the competitive 

or the excepted service. 

Competitive Area. The organizational and geographic boundaries in which employees 

compete in a RIF. Agencies have the option of establishing a competitive area comprised 

only of pay band positions when the competitive area would otherwise include pay band 

positions and other positions not covered by a pay band. 

Competitive Level. A group of positions in the same grade and classification series that 

have similar duties and other requirements. 

Competitive Service. All civil service positions in the executive branch, except (1) 

positions which are specifically excepted from the competitive service by or under 

statute; (2) positions to which appointments are made by nomination for confirmation by 

the Senate, unless the Senate otherwise directs; and (3) positions in the Senior Executive 

Service 

Component. The first major subdivision of an agency that is separately organized and 

clearly distinguished from other components in work function and operation. For 

example, the Internal Revenue Service under the Department of the Treasury, the 

National Park Service under the Department of the Interior, and the Department of the 

Army under the Department of Defense. 

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Days. Calendar days. 

Displaced Employee. A current career or career-conditional competitive service 

employee in tenure group I or II who holds a position at GS-15 or below (or equivalent), 

and has received: 

•	 A specific notice of separation by RIF; or 

•	 A written notice of proposed removal (including a final decision) by adverse 

action for declining a directed reassignment, transfer of function, or other 

similar reason, outside of the employee’s current local commuting area. 

“Displaced employee” also means a current Senior Executive Service member serving in 

the executive branch on an excepted service appointment without time limit who is 

eligible for both noncompetitive appointment and special selection priority by statute for 

positions in the competitive service, and has received: 

•	 A specific notice of separation by RIF; or 

•	 A written notice of proposed removal (including a final decision) by adverse 

action for declining a directed reassignment or transfer of function outside of 

the employee’s current local commuting area, or for another similar reason. 

Eligible Employee. A displaced employee, or a surplus employee who also meets the 

qualifying conditions for selection priority under CTAP or ICTAP. 

Excepted Service. Civil service positions that are not in the competitive service or the 

Senior Executive Service. 

Furlough. Under the RIF regulations, 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 1 year when the action is 

based on one of the RIF reasons and is not in accordance with pre-established conditions 

of employment. 

“Furlough” under the adverse action regulations means the placement of an employee in 

a temporary nonduty and nonpay status for 30 continuous days or less, or 22 

discontinuous workdays or less. 

Local Commuting Area. The geographic area that usually constitutes one area for 

employment purposes, as determined by the agency. It includes any population center (or 

two or more neighboring ones) and the surrounding localities in which people live and 

can reasonably be expected to travel back and forth daily to their usual employment. 

113
 
 

Mass Transfer. The movement of an employee and his or her position to a different 

agency when an organizational change (such as a transfer of function) takes place, and 

there is no change in the employee’s position, grade, or pay. 

RIF Notice. A written communication from an agency official to an individual employee 

stating that the employee will be reached for a RIF action. 

Rating of Record. See section 430.203 of title 5, Code of Federal Regulations. For an 

employee subject to chapter 43 of title 5, United States Code, or subject to part 430 of 

title 5, Code of Federal Regulations, “rating of record” means the performance rating— 

1) prepared at the end of an appraisal period for performance of agency-assigned 

duties over the entire period and the subsequent issuance of a summary level (as 

authorized by section 430.208(d) of title 5, Code of Federal Regulations), or 

2)	 that results because of a within-grade increase decision (as authorized by section 

531.404(a)(1) of title 5, Code of Federal Regulations). 

For an employee not subject to chapter 43 of title 5, United States Code, or to part 430 of 

title 5, Code of Federal Regulations, “rating of record” means the officially designated 

performance rating, as provided for in the agency's appraisal system, that is considered to 

be an “equivalent rating of record” under section 430.201(c) of title 5, Code of Federal 

Regulations. 

Realignment. The movement of an employee and his or her position when an 

organization change (such as reorganization or transfer of function) occurs, the employee 

stays in the same agency, and there is no change in the employee’s position, grade or pay. 

Reorganization. The planned elimination, addition, or redistribution of functions or 

duties in an organization. 

Representative Rate. (1) The fourth step of the grade for a position under the General 

Schedule, using the locality rate authorized by section 5304 of title 5, United States Code, 

and subpart F of part 531 of title 5, Code of Federal Regulations, for General Schedule 

positions; (2) the prevailing rate for a position under the Federal Wage System (FWS) or 

similar wage-determining procedure; (3) for positions in a pay band, the rate or rates the 

agency designates as representative of that pay band or competitive levels within the pay 

band, including any applicable locality payment authorized by section 5304 of title 5, 

United States Code, and subpart F of part 531 of title 5, Code of Federal Regulations, or 

equivalent payment under other legal authority; and (4) for other positions (e.g., positions 

in an unclassified pay system), the rate designated by the agency as representative of the 

position, including any applicable locality payment authorized by section 5304 of title 5, 

United States Code, and subpart F of part 531 of title 5, Code of Federal Regulations, or 

equivalent payment under other legal authority. 

114
 
 

Retention Register. A list of competing employees within a competitive level who are 

grouped by tenure, veterans’ preference, and length of service augmented by performance 

credit. 

Retention Service Date. A temporal designation which an agency uses to place an 

employee on a retention register and determine an employee’s assignment rights during a 

RIF. Agencies calculate this based upon an employee’s length of creditable service (both 

civilian and military) and performance ratings. 

Retention Standing. An employee’s relative standing on a retention register based on 

tenure, veterans’ preference, and length of service augmented by performance credit. 

Retreat. The assignment of an employee to a position held by another employee with 

lower retention standing in the same subgroup in a different competitive level. 

Round of Competition. The different stages in which employees compete for retention. 

In first-round competition, employees compete to stay in the competitive level. In the 

second round of competition, employees compete for assignment to positions in different 

competitive levels. 

Special Selection Priority. The regulatory right of an eligible surplus or displaced 

individual to a position under CTAP or ICTAP. An employee eligible for this selection 

priority must be selected over any other internal or external candidate for vacancies in the 

local commuting area if the individual applies for the vacancy, and the agency finds that 

the individual is well-qualified for the vacancy. 

Subgroup Standing. The employee’s relative standing on a retention register based on 

tenure group and veterans’ preference subgroup. It does not take into account length of 

service and performance credit. 

Surplus Employee. See definition of “displaced employee.” “Surplus employee” does 

not include an employee displaced from an Administrative Law Judge or Senior-Level 

(SL) position because these positions are above GS-15. 

Tenure. The period of time an employee may reasonably expect to serve under a current 

appointment. 

Transfer of Function. (1) The transfer of the performance of a continuing function from 

one competitive area to one or more different competitive areas, except when the function 

involved is virtually identical to functions already being performed in the other 

competitive area(s); or (2) the movement of the competitive area in which the function is 

performed to another local commuting area. 

Undue Interruption. A degree of interruption that would prevent the completion of 

required work by the employee 90 days after the employee has been placed in a different 

position in first or second-round RIF competition. The 90-day standard should be 

115
 
considered within the allowable limits of time and quality, taking into account the 

pressures of priorities, deadlines, and other demands. However, a work program would 

generally not be unduly interrupted even if an employee needed more than 90 days after 

the RIF to perform the optimal quality or quantity of work. The 90-day standard may be 

extended if placement is made in first or second-round RIF competition to a low-priority 

program, or to a vacant position. 

Vacancy. A competitive service position that the agency is filling for a total of 121 days 

or more, including all extensions. “Days” in the definition of “vacancy” means the 

number of calendar days for which the position is established, not the number of actual 

days the incumbent will work. This definition applies to CTAP/ICTAP regardless of 

whether the agency issues a specific vacancy announcement for the position. 

Well-Qualified Employee. An eligible employee who possesses knowledge, skills, and 

abilities that clearly exceed the minimum qualification requirements for the vacant 

position. A well-qualified employee: 

1.	 Will not necessarily meet the agency’s definition of highly or best qualified, when 

evaluated against other candidates who apply for a particular vacancy; 

2.	 Must meet all applicable conditions, as determined by the agency in a uniform 

and consistent process; 

3.	 Meets the basic qualification standards and eligibility requirements for a position, 

including any medical or physical qualifications, suitability, and minimum 

educational and experience requirements; 

4.	 Meets one of the following two qualification requirements: 

•	 all selective factors where applicable, and appropriate quality rating factor 

levels as determined by the agency; or 

•	 rated by the agency to be above minimally qualified in accordance with the 

agency’s specific rating and ranking process; 

5.	 Is physically qualified, with reasonable accommodation where appropriate, to 

perform the essential duties of the position; 

6.	 Meets any special qualifying conditions that OPM has approved for the position; 

and; 

7.	 Is able to satisfactorily perform the duties of the position upon entry. 

An agency may not set selective and quality ranking factors that are so restrictive that the 

result interferes with the goal of placing displaced employees. Factors expressed solely 

in terms of grade point average, class standing, and/or academic credentials or courses 

116
 
that exceed minimum qualification standards are overly restrictive and cannot be used. In 

the absence of selective and quality ranking factors, selecting officials must document the 

job-related reasons the eligible employee is or is not considered to be well-qualified. 

A well-qualified employee who is rated by the agency to be above minimally qualified in 

accordance with the agency’s specific rating and ranking process may or may not meet 

the agency’s test for highly qualified, but would in fact exceed the minimum 

qualifications for the position. Under examining procedures where a specific point score 

(such as 70 points) is assigned to candidates meeting minimum qualification 

requirements, a candidate would have to score higher than this minimum score in order to 

be considered well-qualified. 

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ES/SWP-02803-03-17

U.S. Office of Personnel Management

Employee Services

1900 E Street, NW, Washington, DC 20415

OPM.GOV