Appendix A: Assigning Responsibilities to Facilitate the RIF.......................................... 3 

Appendix B: Management’s Decision to Implement RIF Checklist................................... 7 

Appendix C: RIF Items Checklist ..................................................................................... 13 

Appendix D: RIF Team Preliminary Actions Checklist ................................................... 16 

Appendix E: RIF Team Skills Inventory Checklist ........................................................... 25 

RIF Team Skills Inventory Checklist ........................................................................... 26 

Appendix F: RIF Team Skills Update............................................................................... 29 

Appendix F: RIF Team Skills Update............................................................................... 29 

Appendix G: Career Transition Assistance Plan (CTAP)................................................ 32 

Section A: Other Qualifying Conditions for Eligibility................................................ 32 

Section B: Beginning Date of Eligibility ...................................................................... 32 

Section C: Ending Date of Eligibility ........................................................................... 33 

Section D: Notification Requirements .......................................................................... 34 

Section E: Order of Selection ....................................................................................... 35 

Section F: Exceptions to the CTAP Special Selection Priority..................................... 36 

Section G: Application for Vacancies........................................................................... 39 

Section H: Proof of Eligibility ...................................................................................... 40 

Section I: Agency Selections for Vacancies.................................................................. 40 

Section J: Oversight, Complaints, and Appeals............................................................ 41 

Appendix H: Voluntary Early Retirement Authority (VERA)........................................... 42 

Section A: VERA Overview .......................................................................................... 42 

Section B: Employee Eligibility for VERA.................................................................... 42 

Section C: Requesting OPM Approval of VERA........................................................... 43 

Appendix I: Voluntary Separation Incentive Payment (VSIP)......................................... 45 

Section A: VSIP Definitions.......................................................................................... 45 

Section B: VSIP Overview ............................................................................................ 46 

Section C: Requesting OPM Approval of VSIP............................................................ 47 

Section D: Offering VSIP to Employees....................................................................... 49 

Section E: Agency Management of VSIP...................................................................... 52 

Section F: OPM Oversight of VSIP .............................................................................. 52 

Section G: VSIP Repayment Requirement from Reemployment................................... 53 

Section H: Waiver of the VSIP Repayment Requirement.............................................. 54 

Appendix J: Preparing and Using Retention Registers.................................................... 56 

Appendix K: Determining Rights to Other Positions....................................................... 59 

Appendix L: Issuing RIF Notices ..................................................................................... 66 

Appendix M: Counseling Employees on Procedures and Options .................................. 73 

Appendix N: Reemployment Priority List......................................................................... 75 

Section A: Eligibility Based on RIF.............................................................................. 75 

Section B: Eligibility Based on Compensable Injury ................................................... 76 

Section C: Length of Eligibility for Selection ............................................................... 77 

Section D: Early Loss of Eligibility .............................................................................. 77 

Section E: Employee Registration Based on RIF ......................................................... 79 

Section F: Employee Registration Based on Compensable Injury ............................... 81 

Section G: Employee Consideration Based on RIF...................................................... 82 

Section H: Employee Consideration Based on Injury Compensation .......................... 83 

Section I: Restrictions on Filling Positions.................................................................. 84 

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Section J: RPL Selections-General ............................................................................... 86 

Section K: Selection from the RPL-Retention Standing Order Procedure................... 86 

Section L: Selection from the RPL-Rating and Ranking Order Procedure.................. 87 

Section M: Exceptions to the Regular Order of Selection............................................ 88 

Section N: Qualifications for Selection ........................................................................ 89 

Section O: Alternative Agency Placement Programs................................................... 90 

Section P: RPL Appeals and Grievances...................................................................... 90 

Section Q: Corrective Action........................................................................................ 91 

Appendix O: Interagency Career Transition Assistance Plan (ICTAP) .......................... 93 

Section A: Other Qualifying Conditions for Eligibility................................................ 93 

Section B: Beginning Date of Eligibility ...................................................................... 93 

Section C: Ending Date of Eligibility ........................................................................... 94 

Section D: Notification Requirements .......................................................................... 95 

Section E: Order of Selection ....................................................................................... 97 

Section F: Exceptions to the ICTAP Special Selection Priority ................................... 98 

Section G: Reporting Vacancies to OPM ................................................................... 100 

Section H: Application for Vacancies......................................................................... 101 

Section I: Proof of Eligibility...................................................................................... 102 

Section J: Agency Selections for Vacancies................................................................ 103 

Section K: OPM Oversight of ICTAP......................................................................... 104 

Appendix P: Post RIF Actions........................................................................................ 104 

Appendix Q: OPM Reimbursable Services..................................................................... 106 

2
Appendix A: Assigning Responsibilities to Facilitate the RIF

Importance of Assigning Duties and Responsibilities. In the first stages of planning for a 

RIF, management at the highest levels of the agency (or the agency’s activity, as 

appropriate) should designate in writing the specific duties and responsibilities of all 

parties involved in the RIF. The agency should also provide for a mechanism to 

coordinate the respective teams (e.g., regular meetings among the teams to resolve key 

challenges). Finally, the agency should provide for clear management direction to 

minimize time lost resolving questions of responsibility among the teams. 

Agency Management. The agency’s (or activity’s, if applicable) senior-level managers 

are generally responsible for actions such as: 

• Identifying positions for abolishment; 

• Identifying which positions are carried on the personnel roster (i.e., the manning 

documents) after the agency conducts the RIF; 

• Communicating the agency’s Strategic Plan to all levels of management, RIF 

teams, and all other employees, as well as any collective bargaining agents; 

• Authorizing the resources needed to conduct the RIF; 

• Approving major discretionary decisions related to the RIF and the agency’s 

outplacement program (e.g., waiving qualifications for placement in certain 

vacancies, amount of official time available for employees to use outplacement 

services); 

• Authorizing the agency’s RIF-related teams; 

• Authorizing freeze dates when needed (e.g., for personnel actions, employees’ 

qualifications updates, and placing performance evaluations on record); and 

• Developing policy for responses to interested parties from outside the agency 

(e.g., members of Congress, State and local elected officials, the media, public 

interest groups, and employee groups). 

Immediate Supervisors. The agency’s first- and second-level supervisors are generally 

responsible for decisions and actions such as: 

• Distributing RIF notices and other material to employees; 

• Working to effectively implement the agency’s Strategic Plan; 

• Helping employees maximize use of the agency’s career transition services; and 

3
• Referring employees to the appropriate RIF-related team for assistance on specific 

issues, as needed. 

HUMAN RESOURCES OFFICE (HRO). The agency’s HRO is generally responsible 

for decisions and actions such as: 

• Providing management’s pre- and post-RIF personnel rosters to the RIF team; 

• Coordinating RIF-related information between involved parties (e.g., higher-level 

managers, supervisors, the RIF teams, employees, and any unions); 

• Processing corrections to personnel records; 

• Helping the RIF team prepare notices (e.g., specific RIF notice, Certifications of 

Expected Separation, position abolishment notices for purposes of discontinued 

service retirement eligibility); 

• Helping the RIF team prepare career transition and other outplacement 

information; 

• Helping the RIF team prepare severance pay and retirement estimates; and 

• Helping the RIF team prepare and provide guidance on benefits issues (e.g., 

retirement, health benefits, life insurance, Thrift Savings Plan). 

 

Core RIF Team. The agency’s core RIF team generally is responsible for actions such as: 

• Reviewing retention-related personnel records for accuracy, and requesting that 

the HRO make corrections when necessary; 

• Keeping agency management informed on issues related to the RIF; 

• Offering agency management advice on discretionary RIF options (e.g., size of 

the competitive area, offering vacant positions in RIF, offering bump and retreat 

rights to excepted employees); 

• Using the personnel rosters established by agency management to determine 

employees’ relative retention standing under OPM’s RIF regulations at 5 CFR 

part 351; 

• Preparing RIF and related notices; 

• Training supervisors on delivery of the RIF notices to employees; 

• Briefing employees on RIF procedures and issues; 

4
• Advising employees on RIF procedures, employee benefits, and severance pay; 

• Working with the outplacement team to advise employees on career transition and 

reemployment selection priority; 

• Assisting the agency in responding to any subsequent RIF appeals or grievances; 

and 

• Preparing an after-action report to document the RIF process for the agency. 

Outplacement Team. The agency’s outplacement team is generally responsible for 

actions such as: 

• Developing the agency’s plan to provide displaced employees with maximum 

career transition assistance; 

• Training outplacement counselors who will meet with displaced employees; 

• Keeping agency management informed of pertinent outplacement-related issues; 

• Providing employees with job search information; 

• Briefing employees on career transition subjects and options; 

• Helping employees make career decisions through: 

o Skills assessment; 

o Interests assessment; 

o Résumé assistance; 

o Job search strategies; 

o Interviewing techniques; 

o Salary negotiations; 

o Follow-up; 

o Writing a personal action plan; 

o Job search assistance (e.g., provide timely referrals to potential employers 

and job leads to displaced employees); 

5
o Job clubs for displaced employees, if appropriate; 

o Community services and resources for displaced workers. 

• Maintaining and releasing the optional résumé referrals that displaced employees 

may provide to their agency for sharing with potential employers; 

• Coordinating State-based training and retraining services available to displaced 

employees through an individual State’s Workforce Investment Act (WIA) 

programs; 

• Working with the HRO to conduct exit interviews for employees who voluntarily 

or involuntarily separate from the agency as a result of the RIF; and 

• Evaluating the agency’s outplacement program after the agency completes the 

RIF. 

For maximum career transition effectiveness, the agency should have an outplacement 

team available as soon as the agency finds that some employees will likely be separated 

by RIF. At the same time, the agency’s management should develop a policy on issues 

related to the work of the outplacement team. The HRO would then communicate these 

policies to employees, including a displaced employee’s use of official time for career 

transition and job search opportunities, and office equipment (e.g., fax machines, copy 

machines, computers, e-mail, scanners, telephones, modems) for personal career 

transition-related purposes. 

Displaced Employees. The agency should explain that displaced employees generally are 

responsible for actions such as: 

• Participating in the agency’s career transition assistance programs; 

• Following agency procedures in requesting time to visit the agency’s career 

transition center or make use of similar outplacement initiatives; 

• Providing a résumé to the agency that the agency’s outplacement team may share 

with potential employers; and 

• Requesting counseling on RIF issues, and/or benefits questions. 

6
Appendix B: Management’s Decision to Implement RIF Checklist

Request RIF Approval 

When the agency determines a RIF is likely, the agency should review its delegations of 

authority to determine which individual or organization in the agency’s chain of 

command has authority to approve the RIF actions. The approval process may vary 

depending on the number of employees who may be separated by RIF (i.e., a large 

number of separations may require a higher level of approval). A long approval process 

could change management’s planned effective date for the RIF. 

Identify Abolished Positions 

 

Agency management must abolish positions based on the mission and/or budget. No 

position may be abolished based on the individual occupying the position. Once the 

decision is made regarding which positions will be abolished, by job title, grade, series , 

component and location, the documentation must be provided to the RIF team and the 

HRO so the RIF can be run properly. 

Identify Positions in the Post-RIF Organization 

Agency management must identify which positions will remain in support of the mission 

requirements based on the budget. Once the decision is made regarding which positions 

will remain post-RIF to carry out the mission based on the budget, by job title, series, 

grade, component, and location, the documentation must be provided to the RIF team and 

the HRO so that the RIF can be run properly. 

Documentation 

Documentation can be a personnel roster, workforce planning document, personnel 

staffing plan, manning document or similar documents. At a minimum, the 

documentation should identify positions by title, series, grade, position number, 

organization, and name of incumbent. Some organizations also include additional 

information such as tour of duty, (e.g., full-time, part-time, seasonal, or intermittent), type 

of service (e.g., competitive or excepted), and other pertinent information. 

Establish RIF Effective Date 

Agency management must establish the effective date for the RIF. This will greatly 

assist the HRO and its RIF team in determining the timeline involved, including 

notification to employees, union officials, press (if necessary, such as during a Base 

Realignment and Closure Act (BRAC) closure). 

Freeze Discretionary Personnel Actions 

7
Agency management may, at their option, establish an effective date to freeze some or all 

discretionary personnel actions before, during, and/or after the RIF effective date. 

Although OPM’s controlling statutory authority or regulations do not require a freeze of 

discretionary personnel actions in a RIF situation, some collective bargaining agreements 

do require such a freeze at varying times in the RIF process. 

Notify Collective Bargaining Representatives 

When required by an applicable collective bargaining agreement, agency management 

must notify the union(s) with a right to bargain on the impact and implementation of the 

possible RIF, if not already covered by the collective bargaining agreement. 

Establish RIF Team(s) 

Agency management must establish the RIF team. When the agency has reached the 

stage of setting an effective date for RIF actions, agency management, in coordination 

with the HRO, should establish RIF core and support teams (e.g., an outplacement team, 

a records cleanup team, and other teams to perform tasks related to the RIF process such 

as employee benefits teams). 

Define the Competitive Area and the Local Commuting Area 

Agency management should consult with the HRO before defining (or revising, if 

applicable) the agency’s competitive area for the RIF. The competitive area defines the 

geographic and organizational boundaries for RIF competition. Once defined, the 

competitive area includes all employees in the geographic and organizational definition. 

For example, within the same geographic boundaries and organizational structure, an 

agency may not define separate competitive areas for supervisors and nonsupervisors. 

Develop Communication Plan 

Agency management should consult with the HRO, Public Affairs, Congressional 

Relations and Communications to ensure an effective communication strategy is devised. 

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 

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. 

Establish Policy on Discretionary RIF Procedures 

Agency management should consult with the HRO in reviewing and possibly modifying 

the agency’s policy as permitted by the RIF regulations on the options identified below. 

The HRO staff will assist agency management in determining whether the agency’s 

present policy implements any of the options. The HRO staff will also assist 

8
management in determining whether the agency’s headquarters policy allows subdivision 

or activity components any flexibility to implement these options. If agency management 

is considering a policy change to adopt or to eliminate any of the procedural options, the 

HRO can explain possible results of the new definition. 

Use of Vacancies 

Agency management may offer vacancies in a RIF situation. An agency is not required 

to fill vacant positions in a RIF. At its option, the agency may decide to fill all, some, or 

none of its vacant positions either as RIF offers to displaced employees, or as offers in 

lieu of a RIF action. 

Waiving or Modifying Qualifications When Filling Vacancies 

Agency management may, at its option, waive most qualification requirements when 

making a RIF offer of a vacancy to a released employee. The agency may waive 

qualification requirements if the agency finds that the employee has the capacity, 

adaptability, and special skills needed to perform the duties and responsibilities of the 

offered position. However, even with this option the agency may not waive positive 

education requirements for the position. 

Establish Procedures to Break Ties in Retention Standing 

Agency management should consider procedures to break ties in employees’ retention 

standing. Employees rarely have ties in retention standing. A tie results when two or 

more competing employees have the same standing under OPM’s RIF regulations 

(including identical service computation dates). However, the agency should still adopt 

one or more procedures to break a tie. An automated RIF system often includes a 

random default tie-breaking procedure, such as the highest or lowest sum of the 

respective employees’ Social Security or employee identification numbers. 

Assignment Rights for Excepted Service Employees 

Agency management may provide released excepted service employees with mandatory 

RIF assignment rights to other positions. At its discretion, an agency may implement a 

policy to provide bump and retreat rights to released employees on excepted service 

appointments. The potential bump and retreat rights are only to excepted positions under 

the same appointing authority (e.g., a released Schedule A attorney could bump only 

another Schedule A attorney on a different competitive level). 

The agency may not provide excepted employees with bump and retreat rights to 

competitive service positions. The agency may also not provide excepted service 

employees with only partial assignment rights (e.g., the agency may not provide bump 

rights without providing retreat rights). 

Assignment Rights for Tenure Group III Employees 

9
Agency management may provide released tenure group III employees with RIF bump 

rights to positions in other competitive levels held by group III employees: 

• In the competitive service, RIF tenure group III includes each employee who 

serves in a term or other nonstatus appointment. (Competitive service RIF 

retention tenure group III does not include an employee who holds a temporary 

appointment.) 

• In the excepted service, RIF tenure group III includes each employee who holds a 

temporary appointment of one year or more, or who has worked more than 1 year 

in a temporary appointment. 

Same Subgroup Displacement in Bumping Rights 

Agency management may provide employees released from a competitive level with 

same subgroup bumping rights to positions in different competitive levels. 

Terminate Reemployed Annuitants Before the RIF 

Agency management may terminate any reemployed annuitants who would otherwise 

compete for retention in the RIF. A reemployed annuitant serves at the will of the 

appointing officer. The agency may separate the reemployed annuitant at any time 

regardless of the type of appointment held by the individual. 

Terminate Temporary Employees Before the RIF 

Agency management may terminate any temporary employees before or at the same time 

as the RIF. The RIF regulations require the agency to release all temporary employees 

before releasing a competitive employee from the same competitive level. However, the 

regulations do not require that the agency must automatically terminate all temporary 

employees across competitive levels. 

Using Discretionary Temporary Exceptions to the Usual Order of Release From the 

Competitive Level 

Agency management may temporarily retain a released employee past the effective date 

of the RIF. The RIF regulations at 5 CFR part 351 allow an agency discretion, under 

limited conditions, to retain a released employee past the RIF date under a permissive 

continuing exception to the regular order of release, or a permissive temporary exception 

to the regular order of release. 

Freeze Date to Update Performance Ratings of Record Available for RIF 

Competition 

10
The RIF regulations by default provide that an agency freezes performance ratings of 

record effective on the day before the agency issues specific RIF notices. At its option, 

the agency may choose an earlier cutoff date based upon a specified number of days 

before the agency will issue RIF notices. For example, many agencies freeze ratings of 

record 30 to 60 days before issuing RIF notices. 

Define Modal Performance Rating for RIF Competition 

Agency management may define the modal rating for employees who do not have any 

available performance ratings of record for purposes of determining retention standing. 

An employee who has not received any performance ratings of record within the 4-year 

window period receives retention service credit for performance based upon the modal 

rating for the summary level pattern that applies to the employee’s official position of 

record at the time of the RIF. 

Define Performance Credit for Multiple Rating Patterns 

Agency management may define the amount of retention service credit when the 

competitive area includes employees with available performance ratings of record under 

more than one pattern of summary levels. If an agency has employees in a competitive 

area with ratings of record under more than one pattern of summary levels, the agency 

must consider the mix of patterns and provide additional retention service credit for 

performance. An agency has a “mixed pattern” only if the mixed ratings are among the 

three most recent ratings of record that the agency actually uses to determine employees’ 

retention standing. 

Request Employees to Provide Qualifications Updates 

Agency management may formally ask employees to submit a qualifications update by a 

specific cutoff date to assist the agency in determining employees’ RIF rights. 

Establish Policy to Reduce the Impact of the RIF 

Agency management should consult with the HRO in reviewing and possibly modifying 

the agency’s policy on the transition options below that are authorized under OPM’s 

regulations. If changes are made, it is important to discuss them with labor relations 

officials to determine whether collective bargaining is required. 

Designate Employees as Surplus for Early Registration in the Career Transition 

Assistance Plan 

Agency management may consider whether to provide surplus employees with early 

intra-agency selection priority through the agency’s Career Transition Assistance Plan 

(CTAP). At its option, an agency may provide the same CTAP intra-agency selection 

priority by giving an employee in an excess position a notice that designates the 

11
employee eligible for CTAP as a surplus employee before the employee receives a 

specific notice of separation. 

 

Issue Surplus Employees a Certification of Expected Separation (CES) 

At its option, an agency may issue a CES to an employee who is likely to be reached for 

RIF separation within 6 months. The CES provides a potentially displaced employee 

with intra-agency selection priority within the employee’s present local commuting area 

through the Reemployment Priority List (RPL) and the CTAP. An agency may not issue 

a CES to an employee who may be separated by adverse action procedures for declining 

relocation to a different local commuting area. 

Provide Additional Consideration to Displaced Employees on the Reemployment 

Priority List 

At its option, the agency may provide additional intra-agency selection priority by 

considering RPL registrants before considering internal candidates who are not surplus. 

For example, through its own internal placement program an agency may offer selection 

priority to a displaced employee who is eligible for the RPL in a different local 

commuting area (or areas) provided that: 

• The agency has first met its obligation under CTAP to place surplus and displaced 

employees in the different competitive area; and 

• The agency has first met its obligation to provide RPL rights to employees 

eligible for the RPL in the different competitive area. 

Voluntary Early Retirement Authority 

Agency management may consider offering employees the Voluntary Early Retirement 

Authority (VERA) option to increase voluntary attrition. 

Voluntary Separation Incentive Payments 

Agency management may consider offering employees Voluntary Separation Incentive 

Payments (VSIP) to increase voluntary attrition and/or to provide placement 

opportunities for surplus or displaced employees. 

Establish Agency Policy on Official Administrative Time for Released Employees 

Agency management may establish the agency’s policy on the amount of official 

administrative time allowed for employees who may be or will be reached for RIF 

actions. Besides the minimum excused absences under the agency’s CTAP, agency 

management should consider whether to implement a formal policy covering excused 

absences to attend orientation sessions and counseling on related subjects (e.g., RIF 

mechanics, retirement, health benefits, life insurance). 

12
Appendix C: RIF Items Checklist

RIF Items Checklist Check if 

Applicable 

Management’s Decisions to Implement a RIF (see Appendix B)- 

Request RIF Approval 

Identify Abolished Positions 

Identify Positions in the Post-RIF Organization 

Documentation 

Establish RIF Effective Date 

Freeze Discretionary Personnel Actions 

Notify Collective Bargaining Representatives 

Establish RIF Team(s) 

Management-Human Resource Office Coordination on 

Discretionary RIF Decisions— 

Define the Competitive Area and the Local Commuting Area 

Develop Communication Plan 

Establish Policy on Discretionary RIF Procedures:

--Use of Vacancies 

--Waiving or Modifying Qualifications When Filling Vacancies 

--Establish Procedures to Break Ties in Retention Standing 

--Assignment Rights for Excepted Service Employees 

--Assignment Rights for Tenure Group III Employees 

--Same Subgroup Displacement in Bumping Rights 

--Terminate Reemployed Annuitants Before the RIF 

--Terminate Temporary Employees Before the RIF 

--Using Discretionary Temporary Exceptions to the Usual Order of 

Release From the Competitive Level 

--Freeze Date to Update Performance Ratings of Record Available for 

RIF Competition 

Management-Human Resource Office Coordination on Discretionary RIF 

Decisions (continued)— 

--Define Performance Credit for Multiple Rating Patterns 

--Request Employees to Provide Qualifications Updates 

Establish Policy to Reduce the Impact of the RIF: 

--Designate Employees as Surplus for Early Registration in the Career 

Transition Assistance Plan 

--Issue Surplus Employees a Certification of Expected Separation (CES) 

--Provide Additional Consideration to Displaced Employees on the 

Reemployment Priority List (RPL) 

--Voluntary Early Retirement Authority (VERA) 

--Voluntary Separation Incentive Payment (VSIP) 

--Establish Agency Policy on Official Administrative Time for Released 

13
Employees 

Preliminary Actions by the RIF Team— 

Identify All Positions in RIF Competitive Area 

Document Noncompeting Employees on Nonpermanent Assignments 

Document Other Noncompeting Employees 

Document Each Employee in a Nonpay Status 

Document Each Employee Away on Active Duty in the Armed Forces 

With a Restoration 

Document Each Employee Who Has Returned From the Armed Forces 

With a Current Restoration Right 

Document Each Employee on Compensable Injury 

Review Position Descriptions 

Review Competitive Levels For Accuracy 

Determine Employees’ Veterans’ Preference Rights for Retention 

Preliminary Actions by the RIF Team (continued)— 

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 

Preparing and Using Retention Registers (see Appendix J)— 

Prepare Retention Registers 

Separate Noncompeting Employees Before Releasing Competing 

Employees From the Competitive Level 

Identify Employees Released From Competitive Level in First-Round 

Competition 

Determining Rights to Other Positions (see Appendix J)— 

Determine Employees’ Representative Rates 

Determine the Normal Line of Progression for Each Position 

Identify Vacancies Available for Assignment and Other Placement Offers 

Determine Released Employees’ Assignment Rights 

Run Mock RIF and Review Results for Accuracy 

Issuing RIF Notices (see Appendix L)— 

Determine Each Released Employee’s Eligibility for Benefits 

Prepare Specific Written RIF Notices and Mandatory Attachments 

Issuing RIF Notices (continued)— 

Send Notices to Other Organizations if 50 or More Employees Receive 

Separation Notices 

Notify Bargaining Unit Representative(s) 

Determine How Agency Will Deliver RIF Notices 

Prepare Packages for Separating Employees 

Deliver RIF Notices 

Rerun RIF to Reflect Changes to the Personnel Roster in the Competitive 

Area 

Counseling Employees on Procedures and Options (see Appendix M)— 

Planning for Effective Counseling 

14
Effective Outplacement Counseling 

Post-RIF Actions (see Appendix P)— 

Review the Agency’s Planning and Implementation of the RIF 

Respond to RIF Appeals, Grievances, and Other Third-Party Actions 

Continue Outplacement and Rehiring Initiatives for Displaced 

Employees 

--Define Modal Performance Rating for RIF Competition 

15
Appendix D: RIF Team Preliminary Actions Checklist

Identify All Positions in RIF Competitive Area 

The RIF team should conduct an inventory of positions in the competitive area to 

determine which positions are occupied, which are vacant, and also whether the actual 

inventory of positions is consistent with management’s planned personnel roster of staff 

that will carry out work after the RIF effective date. Concurrently, the RIF team, in a 

coordinated effort with the HRO, should verify the location of each employee’s Official 

Personnel Folder. 

The RIF team first reviews the personnel roster (also sometimes called “manning 

documents,” or “workforce staffing rosters”) for each competitive area to verify that 

every position listed as “encumbered” will actually be occupied on the RIF effective date 

by a permanent employee. If the position will not be encumbered on the effective date of 

the RIF, the team flags the position as a vacancy that the agency may possibly fill after 

the RIF on the personnel roster of the restructured organization. Finally, the team flags 

other vacancies listed on the personnel roster of each competitive area, again for possible 

filling as part of the RIF. See Appendix B for information on management’s right to 

decide which positions are abolished in a RIF, and which positions are filled after the RIF 

in the restructured organization. 

In identifying occupied and vacant positions in each competitive area, the RIF team 

should, as appropriate, coordinate with the HRO to reconcile any discrepancies between 

actual employees and positions carried on the personnel roster. For example, the 

agency’s “on-board count” may omit employees in a nonpay status. For another 

example, the agency’s full-time-equivalency (FTE) count might not accurately reflect 

employees in part-time or intermittent positions. 

When the agency has multiple worksites, the RIF team should also identify each 

employee’s duty station within a competitive area. When a local commuting area 

includes agency employees in different organizations with multiple competitive areas, the 

team should match each employee with the proper competitive area. For example, the 

agency may have headquarters personnel assigned to a field office site in a different local 

commuting area. Depending on the agency’s definition of “competitive area,” the 

headquarters employee could be included in one of several possible competitive areas in 

the local commuting area of the headquarters or the field activity. 

Document Noncompeting Employees on Nonpermanent Assignments 

When accounting for positions in each competitive area, the RIF team should document 

each employee whose position of record is in the competitive area, but who is currently 

performing a different position through a nonpermanent personnel action. An 

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

record, not a position performed by the employee on a nonpermanent basis such as a: 

16
• Detail; 

• Temporary promotion; 

• Term promotion; or 

• Any other nonpermanent basis. 

The RIF regulations require that, before releasing an employee from a competitive level 

by RIF, the competitive level (which is also called a “retention register”) must not 

include an employee serving on a detail or a nonpermanent promotion. 

Document Other Noncompeting Employees 

When accounting for positions in each competitive area, the RIF team should also 

document each employee in the competitive area who is a noncompeting employee under 

OPM’s RIF regulations because of other exclusions from the retention regulations. 

The RIF regulations require that, before releasing an employee from a competitive level 

(retention register) by RIF, the competitive level also must not include other 

noncompeting employees, such as an employee who: 

• Holds a competitive service temporary appointment to a position in that 

competitive level; 

• Received a written decision of removal or demotion from a position in that 

competitive level because of Unacceptable (or equivalent) performance; or 

• Received a written decision of removal or demotion because of adverse action. 

Such an employee competes for retention from the position to which the 

employee will be, or has been, demoted. 

Document Each Employee in a Nonpay Status 

When accounting for positions in each competitive area, the RIF team should document 

each employee covered by OPM’s retention regulations in the competitive area covered 

who is in a leave without pay (LWOP) status. An employee covered by the RIF 

regulations competes in the RIF even if the agency carries the employee in a LWOP 

status. 

Document Each Employee Away on Active Duty in the Armed Forces With a 

Restoration Right 

When accounting for positions in each competitive area, the RIF team should document 

each employee covered by OPM’s retention regulations in the competitive area covered 

who, on the RIF effective date, is on active military duty with a restoration right. 

17
The retention register does not include the name of a competing employee performing 

duty in the uniformed services with a restoration right. 

The employee does not compete for retention under the RIF regulations. Instead, the 

employee has a restoration right under part 353 of title 5, Code of Federal Regulations, 

based on the military service. 

Document Each Employee Who Has Returned From the Armed Forces With a 

Current Restoration Right 

When accounting for positions in each competitive area, the RIF team should document 

each employee covered by OPM’s retention regulations in the competitive area covered 

who, on the RIF effective date, has a 6-month or 1-year restoration right based upon 

active service in the Armed Forces. 

An employee who returns to the agency after active duty in the Armed Forces generally 

has additional retention rights for 6 months or 1 year after the restoration. OPM’s 

retention regulations provide this additional protection through a “Mandatory Exception 

to the Regular Order of Release” from the competitive level. 

An employee with a uniformed services restoration right still competes for retention 

under OPM’s regulations, but competes in the competitive level from the top of the 

employee’s respective retention tenure group and subgroup. 

If the agency releases the employee from the competitive level, before separating the 

employee by RIF, the agency must determine whether the employee has additional 

restoration rights under part 353 of title 5, Code of Federal Regulations. 

Document Each Employee on Compensable Injury 

When accounting for positions in each competitive area, the RIF team should document 

each employee covered by the RIF regulations in the competitive area covered who, on 

the RIF effective date, is receiving benefits from the Department of Labor’s Office of 

Workers Compensation Programs (OWCP) based on a job-related, compensable injury 

covered by the regulations at part 353 of title 5, Code of Federal Regulations. 

An employee carried on an agency’s rolls because of a compensable injury has no special 

RIF protections and is generally subject to release on the same basis as other employees. 

If the employee has requested a return to duty by the effective date of the RIF action, the 

agency refers to part 353 of title 5, Code of Federal Regulations, and determines whether 

the employee: 

1. Has recovered from the compensable injury; and 

2. Is entitled to restoration. 

 

18
In determining the bump or retreat rights of an employee receiving injury compensation 

payments, the 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. 

If the agency separates the employee by RIF while the employee is receiving benefits for 

a job-related, compensable injury, the employee loses all restoration rights under part 353 

of title 5, Code of Federal Regulations, based upon the compensable injury. 

Review Position Descriptions 

When accounting for positions in each competitive area, the RIF team should review the 

position description of each employee covered by OPM’s retention regulations in the 

competitive area. 

The team should first verify that each employee competing in the RIF has a position 

description available for the employee’s official position of record. If the RIF team finds 

that no position description is available, the team should advise the HRO that a position 

description is required in order to determine the retention standing of a released 

employee, as well as the potential bump or retreat rights of a higher-standing employee to 

that position. 

If time and resources allow, the team may coordinate with the HRO to update employees’ 

position descriptions prior to the RIF. With this option, the HRO would possibly work 

with the RIF team to document that each position description accurately describes each 

position’s qualifications, duties, and responsibilities. However, any change in the duties 

and responsibilities of a position by itself is a reorganization even when the grade of the 

position does not change. 

The agency generally will not update position descriptions prior to the RIF if all positions 

will be abolished in a reorganization. The agency also generally will not consider 

updating position descriptions when faced with a short lead time prior to the RIF. 

Instead, the agency’s finding that it plans to perform its work differently from the 

position descriptions simply supports the fact that the agency is undertaking a bona fide 

reorganization. 

If the agency, prior to a RIF, updates position descriptions in a way that changes 

employees’ entitlements under the retention regulations, the agency’s employees may 

also perceive even a good-faith updating effort as a management plan to target 

individuals for separation, even if the outcome of the RIF would be the same whether or 

not the agency updated the position descriptions. 

Rather than rewriting the position descriptions of positions that will be abolished in a 

reshaping situation, most agencies focus on writing accurate position descriptions for the 

personnel roster of the organization after the agency completes the RIF. 

19
Review Competitive Levels For Accuracy 

The RIF team has primary responsibility to determine accurate competitive levels based 

on the official position description of each employee competing for retention. 

When establishing competitive levels, the RIF team will coordinate when necessary with 

the HRO for additional expertise on purely classification issues. Also when necessary, 

the team will coordinate input from a line program office to clarify the content of the 

position description. 

Neither agency management nor the RIF team has any administrative discretion in 

establishing competitive levels (e.g., narrow competitive levels versus broad competitive 

levels). Instead, the team establishes competitive levels solely upon the record; the team 

compares each position description as written with the standard for competitive levels in 

the RIF regulations. 

Even when an agency uses an automated system to determine employees’ retention 

standing, if an employee appeals, the agency may meet its burden of proof via the paper 

documents that served as the basis for the agency’s decision, including the establishment 

of competitive levels. 

Determine Employees’ Veterans’ Preference Rights for Retention 

The RIF team has primary responsibility to accurately determine the veterans’ preference 

rights of each employee competing for retention. OPM’s website at www.opm.gov

includes VetGuide, which provides comprehensive guidance on veterans’ preference 

entitlements in the Federal service. 

The RIF team should review the records of each employee who may be eligible for 

retention preference. This includes employees who may be eligible for derived 

preference (e.g., eligible spouses of certain disabled or deceased veterans). When 

necessary, the team should ask employees to submit current certification of eligibility for 

veterans’ benefits. 

The RIF team also should determine whether the employee is receiving disability benefits 

from VA. For reference, OPM’s Standard Form 15 (Application for 10-Point Veteran 

Preference) provides that any VA letter issued after 1990 documenting a serviceconnected disability is proof of a permanent disability unless the letter specifically states 

that the disability is not permanent. The same post-1990 date also applies to disability 

notices from the Armed Forces. A copy of the revised SF-15 is available from the OPM 

website at http://www.opm.gov/forms/pdf_fill/SF15.pdf. If VA issued a letter to an 

employee prior to January 1, 1991, that employee must obtain an update from VA in 

order to have a post-1990 letter. 

20
The RIF team also should carefully review the records of retired members of the Armed 

Forces to determine whether the Dual Compensation Act of 1964 bars preference in RIF 

competition for an individual employee. 

Finally, the RIF team should review the records of all reservists who will reach age 60 on 

or before the effective date of the RIF. For example, an otherwise eligible reservist may 

lose eligibility for veterans’ preference at age 60 when the individual begins to receive 

retired pay based upon the rank of major or higher. 

Determine Employees’ Basic RIF Service Computation Dates 

The RIF team has primary responsibility to accurately determine the respective service 

computation dates (SCD) of each employee competing for retention. Possibly the most 

time-consuming step in preparing for RIF actions is computing the SCD for each 

competing employee. Even when an agency uses an automated system to determine 

employees’ retention standing, the agency uses the paper documents that served as the 

basis for the agency’s decision (including employees’ retention SCDs) to meet its burden 

of proof if an employee appeals the RIF. 

Depending on the size of the RIF, the agency may establish a separate SCD support team 

to review the material in each employee’s Official Personnel Folder and to compute 

individual employees’ SCDs. 

The agency may use the Sample Downsizing Skills Survey in Section N of this Appendix 

to ensure accurate SCD computations. Based on the survey, the agency may find a need 

to provide specific training to team members on the computation of civilian and Armed 

Forces service for purposes of the RIF regulations. For example, calculating the SCDs of 

employees with periods of leave without pay (LWOP) may be especially complex. The 

RIF team should always double-check any changes before entering the SCD into the 

employee’s official record. 

As necessary, the RIF team should document its decisions on retention service credit 

issues in the employee’s OPF. The team should also ensure that each OPF contains 

appropriate documentation on civilian and Armed Forces service. 

The SCD for RIF, leave, retirement, and severance pay may be different. If possible, the 

agency should verify all applicable SCDs for each employee reached for a RIF action. 

Verify Employees’ Performance Ratings of Record That Are Used for Retention 

The RIF team has primary responsibility to verify the performance ratings of record that 

it uses to calculate the adjusted retention SCDs that provide many competing employees 

with additional service credit based upon their performance ratings of record. There are 

three suggested steps in this process. 

21
The first step for the RIF team in verifying employees’ retention performance ratings of 

record is to note the applicable 4-year period for crediting performance ratings in the 

competitive area where the agency will conduct the RIF. The RIF regulations provide 

that an agency freezes performance ratings of record effective on the day before the 

agency issues specific RIF notices. However, the agency may choose an earlier cutoff 

date based upon a specified number of days before the agency will issue RIF notices. 

The second step for the RIF team is to review all ratings of record that fall within the 

applicable 4-year window for crediting employees’ performance ratings of record. The 

RIF team must identify the three most recent ratings in the 4-year window period for each 

employee in the competitive area. 

The RIF team may be able to download this information from the agency’s automated 

human resources data system. Otherwise, the team must manually document this 

information. Specifically, the team must document each rating of record and the 

effective date for each rating. 

The RIF team should also carefully review the agency’s performance management plan 

(or other policy) and document what effective date to use when putting a rating “on 

record.” 

Most agencies simply use the date on which it enters each employee’s rating of record 

into the agency’s human resources data system. This common procedure used by most 

agencies may affect which ratings are included in the 4-year window period for retention 

service credit even when the actual rating cycle ends on a single date. 

For example, Agency X’s rating cycle ends on September 30, 2008. Agency X has a 

policy of using the date a rating is finalized in its performance management system as the 

date the rating is on record and available for all purposes, including RIF. The agency 

enters the rating of record of Employee A in its data system on October 15, 2008, the 

rating of Employee B on November 1, 2008, and Employee C on November 15, 2008. In 

this example, the agency uses the actual dates of the three ratings in determining which 

ratings of record are included in the applicable 4-year window period, and whether a 

rating of record is not used for retention purposes because of a freeze. 

 

In the third step, the RIF team should document: 

• Which performance ratings of record for each employee are included in the 

agency’s human resources data system; 

• Whether the agency has a paper copy of each employee’s rating of record; 

• Whether each paper copy of a rating of record is complete with all appropriate 

signatures on the document; 

• Whether each paper copy of a rating of record is included in each employee’s 

22
performance file; 

• The date that the agency put each rating on record if the rating is included in the 

applicable 4-year window; 

• The employee’s summary level rating (e.g., Level 3, Level 5); 

• The rating pattern for the summary level (e.g., Pattern A - Pass/Fail, Pattern H - 

Five-Level); and 

• Each employee’s current performance rating of record. 

An employee’s current performance ratings of record may modify an employee’s 

potential bump and retreat rights to other positions in RIF competition. For reference, the 

RIF team should “flag” the records of any competing employee with a current 

performance rating of record of Level 2 (Minimally Successful or equivalent), or Level 1 

(Unacceptable or equivalent). For example: 

• An employee with a current Level 2 performance rating of record may only 

retreat to a position held by another employee with a current rating of Level 2 or 

Level 1. 

• A current Level 2 rating of record does not affect a released employee’s potential 

bump rights. 

For a second example, an employee with a current Level 1 performance rating of record 

has no potential bump or retreat rights. An employee with a current Level 1 performance 

rating of record still competes for retention in the competitive level during first-round 

RIF competition, unless the employee receives a final decision of separation because of 

poor performance or adverse action. If the agency issues a final separation letter, the 

employee does not compete in the RIF. 

Determine Employees’ Adjusted RIF Service Computation Dates 

After computing employees’ basic RIF service dates, the RIF team has primary 

responsibility to accurately determine the respective adjusted retention SCDs that provide 

many competing employees with additional service credit based upon their performance 

ratings of record. 

The amount of additional retention service credit for performance ratings of record within 

a competitive area may include: 

• The default values in OPM’s RIF regulations. 

• A modal rating with the value defined by the agency; and 

23
• Mixed values defined by the agency when the competitive area includes multiple 

summary level rating patterns. 

After computing the adjusted retention SCDs, the RIF team will use the data in preparing 

retention registers with the name of each competing employee in the competitive area. 

The RIF team uses the default values when all the ratings of record used for retention in 

the competitive area are under the same summary pattern. For example, every rating on 

record that the RIF team uses for retention is Pattern A -“Pass/Fail”. The default values 

are: 

1. 20 years for each Level 5 rating (Outstanding or equivalent); 

2. 16 years for each Level 4 rating (Exceeds Fully Successful or equivalent); and 

3. 12 years for each Level 3 rating (Fully Successful or equivalent). 

The RIF team does not provide any additional years of retention credit for a Level 2 

(Minimally Successful or equivalent), or Level 1 (Unacceptable or equivalent) rating. 

 

If an employee has two or three ratings of record, the RIF team averages the two or three 

actual ratings. The team adds the value of the ratings, and then divides by the number of 

the employee’s actual ratings of record. If the result is not an even number, the agency 

always rounds up the result. 

If an employee has only one rating of record, the team provides additional retention 

service credit based solely on that rating. The result is the amount of the employee’s 

additional retention service credit for performance ratings of record. 

24
Appendix E: RIF Team Skills Inventory Checklist

 

The RIF team skills inventory will assist the agency in maximizing the skills of potential 

members of the RIF teams. The skills inventory assumes that all or most RIF team 

members are part of the agency’s HRO. The RIF team skills inventory will also serve as 

a tool to help the agency plan for specific training needed by members of the RIF teams. 

The agency may modify this sample skills inventory to meet its specific situation. 

Sample entries include: 

1. If the employee’s downsizing skill is “Current,” enter “Yes” or “No” in that box. 

2. In the “Source of Skill” box, enter how the employee gained the skill: 

a. Formal Training = (T); 

b. Experience or On-the-Job Training = (E); 

c. Both (Formal Training & Experience) = (B); and 

d. Not applicable = (NA). 

3. In the “Skill Level” box, enter the employee’s skill level: 

a. Expert (EX) = The employee’s downsizing skill is current, and the 

employee can provide advice and assistance on both routine and complex 

issues in this subject area. 

b. Intermediate (I) = The employee can advise on routine questions in this 

subject area, and the employee’s advice is based primarily upon 

theoretical application. 

c. Novice (N) = The employee has basic knowledge, but no demonstrated 

ability in this subject area, and needs further training and/or experience in 

this area. 

d. None (O) = The employee has no training or experience in this subject 

area, and the employee needs development in this area. 

e. Interest (IN) = The employee has no training or experience in this area, but 

is interested in development in this area. 

4. Narrative comments, if any. 

25
RIF Team Skills Inventory Checklist 

Employee Name: Date: 

Skill Current 

Skill 

Yes or No 

Source of Skill 

Answer Key: 

1. Formal Training 

= T 

2. Experience or 

On-the-Job 

Training = E 

3. Both (i..e, 

Formal Training 

& Experience) 

= B 

4. Not applicable 

= NA

Skill Level 

Answer Key: 

1. Expert= EX 

2. Intermediate= 

I 

3. Novice= N 

4. None= O 

5. Interest= IN

Comments 

RIF Avoidance Techniques

Position Management

Position Classification

Organizational Development

Workforce Forecasting

Workforce Skills Assessment

RIF Planning

RIF requirements

Automated RIF/personnel 

systems

RIF Execution

RIF procedures/requirements

Creditable service 

determinations/SCD 

calculations

Qualifications determinations

Veterans’ preference 

determinations

RIF Benefits/Entitlements

Placement Programs

Benefits (FEHB, FEGLI, TSP)

Retirement

26
Skill Current 

Skill 

Yes or No 

Source of Skill 

Answer Key: 

1. Formal Training 

= T 

2. Experience or 

On-the-Job 

Training = E 

3. Both (i..e, 

Formal Training 

& Experience) 

= B 

4. Not applicable 

= NA

Skill Level 

Answer Key: 

1. Expert= EX 

2. Intermediate= 

I 

3. Novice= N 

4. None= O 

5. Interest= IN

Comments 

Severance Pay, Grade/Pay 

Retention

Outplacement

Program Development

Career Counseling (Overall)

Assessment Tools

Identifying Career Objectives

Retraining

Employment Counseling 

(Overall)

Federal Employment

Other Public Sector

Private Sector

Résumés

Outplacement (continued)

Job Search Techniques

Interviewing

Self-Marketing

Networking

Salary/Benefits Negotiations

Job Clubs

Job Developers

Self-Employment

Career/Job Fairs

Stress Management Counseling

Crisis Management Counseling

Relocation Counseling

Retirement Counseling

27
Skill Current 

Skill 

Yes or No 

Source of Skill 

Answer Key: 

1. Formal Training 

= T 

2. Experience or 

On-the-Job 

Training = E 

3. Both (i..e, 

Formal Training 

& Experience) 

= B 

4. Not applicable 

= NA

Skill Level 

Answer Key: 

1. Expert= EX 

2. Intermediate= 

I 

3. Novice= N 

4. None= O 

5. Interest= IN

Comments 

Outplacement Center (Designing 

and Running)

Other:

Designing Customer Surveying

Instruments

Sampling Techniques

Conducting Focus Groups

Instructor/Presentation Skills

Marketing/Sales Skills

Organizational Intervention Skills

Contracting Skills

Labor-Management Relations

Employee Relations

Agency Representative

 

28
Appendix F: RIF Team Skills Update 

The RIF team should have knowledge of the following: 

RIF Regulations (part 351 of title 5, Code of Federal Regulations) including provisions 

relating to: 

• Computing RIF SCDs;

• Determining eligibility for veterans’ preference;

• Crediting performance in RIF competition;

• Determining employees’ qualifications in RIF competition, including security

clearance issues, and physical qualifications with accommodation when

necessary;

• Determining what actions are covered by the RIF regulations (e.g., a

reassignment is not a RIF action, a non-covered job erosion demotion may

actually be covered by the regulations);

• Determining which employees are covered by the RIF regulations (e.g., a

member of the Senior Executive Service is not covered by OPM’s RIF

regulations, but instead has retention rights under part 359, subpart F, of title

5, Code of Federal Regulations);

• Determining assignment rights involving formally-designated trainee or

developmental positions;

• Filing a RIF appeal to MSPB, and, if applicable, filing a RIF grievance under

a collective bargaining agreement;

• Significant RIF appeals decisions of MSPB and the United States Court of

Appeals for the Federal Circuit, and RIF-related decisions of the Federal

Labor Relations Authority (FLRA).

• Automated RIF Software versus Manual Retention Registers. If the agency elects

to use an automated RIF software program such as AutoRIF, the agency should

include this training as part of its basic RIF training course. AutoRIF is one

example of software available to help an agency conduct a RIF. The Department

of Defense (DoD) developed AutoRIF. 

The agency should also consider whether to conduct the RIF manually, as an

alternative to a software program such as AutoRIF. For example, depending on 

29
the timing, size, and complexity of the planned RIF, the agency may find that 

implementing an automated RIF program may take more time and resources than 

manually determining employees’ retention rights. To conduct a RIF manually, 

an agency generally first prints basic competitive levels from its ongoing 

employee database, then completes competition (including bump and retreat 

rights) by manually annotating the printed retention registers. 

• Pay Issues and related resources: 

• Severance pay regulations published by OPM in part 550, subpart G, of title 5, 

Code of Federal Regulations; and 

• Grade and pay retention regulations published by OPM in part 536 of title 5, 

Code of Federal Regulations. 

Some software packages include a severance pay calculator to assist the agency in 

making severance pay calculations for eligible employees who will be 

involuntarily separated. Section 351.803 of title 5, Code of Federal Regulations, 

requires that an agency provide an eligible employee with a severance pay 

estimate. 

• Restoration Rights: 

• Active service in the Armed Forces, including rights under the Uniformed 

Services Employment and Reemployment Rights Act of 1994 (USERRA); 

• Compensable injuries under the Department of Labor’s Office of Workers 

Compensation Programs (OWCP). OPM publishes restoration regulations in 

part 353 of title 5, Code of Federal Regulations. 

• Program-specific legislation (e.g., sections 233(d) and 625(b) of the Foreign 

Assistance Act of 1961); and 

• Agency-specific legislation (e.g., restoration within the Department of 

Defense after an overseas tour of duty authorized by section 1586 of title 10, 

United States Code). 

A statutory restoration or reinstatement right may by itself require a RIF action 

for the agency to meet its obligation to an employee. 

• Employee Benefits: 

• Retirement (optional, discontinued service, voluntary early, and deferred); 

• Health benefits; 

30
• Life insurance; and 

• Thrift Savings Plan. 

• Selection Priority Programs for Displaced Employees: 

• Reemployment Priority List (RPL); 

• Career Transition Assistance Plan (CTAP); 

• Interagency Career Transition Assistance Plan (ICTAP); and 

• Agency-specific selection priority programs such as the Department of 

Defense’s (DoD) Priority Placement Program (PPP), which is available to 

help place separated and demoted DoD employees in other positions within 

the agency. 

Even if the agency establishes a separate outplacement team, the agency’s RIF 

team members should have a working knowledge of all intra-agency and 

interagency selective placement programs available to displaced employees. This 

should include the agency’s policies when the agency implemented one or more 

of these discretionary options (e.g., the agency may have voluntarily implemented 

a policy of providing priority placement to former employees on the RPL before 

filling a position with a current agency employee). 

31
Appendix G: Career Transition Assistance Plan (CTAP) 

Section A: Other Qualifying Conditions for Eligibility

To be eligible for selection priority under CTAP, a surplus or displaced employee must 

meet all of the following conditions covered in (1) through (6) below. 

1. The employee must have a current performance rating of Level III or higher (for 

example, Fully Successful or equivalent); this requirement does not apply to 

employees in positions excluded from a performance appraisal system by law, 

regulation, or OPM administrative action; 

2. The employee must apply for a vacancy that is at or below the grade level of the 

position from which the employee may be or is being separated, and has no 

greater promotion potential than that position; 

3. The employee must occupy a position located in the same local commuting area 

as the vacancy, or at the agency’s discretion, a position in a different local 

commuting area (with this option, a CTAP eligible employee may exercise 

expanded selection priority to positions in a different local commuting area only 

when the agency has no eligible surplus or displaced employees within the 

additional local commuting area who (i) apply for the vacant position(s), and (ii) 

are found by the agency to be well-qualified for the vacant position); 

4. The employee must file an application for a specific vacancy within the time 

frames established by the hiring agency; 

5. The employee must provide proof of eligibility for selection priority under CTAP; 

and 

6. The employee must be well-qualified (as determined by the agency) for that 

specific vacancy (see definition of “well-qualified” for purposes of CTAP 

eligibility in chapter VI, Glossary of Terms). 

Section B: Beginning Date of Eligibility

Qualifying Notices. A displaced or surplus employee is eligible for selection priority 

under CTAP beginning with the date the individual receives: 

• A specific notice of separation by RIF; 

32
• 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; 

• A Certificate of Expected Separation (CES); 

• A notice stating that the employee is eligible for discontinued service retirement 

(DSR); or 

• A notice of position abolishment, or an equivalent notice indicating that the 

employee’s position is surplus for purposes of CTAP eligibility. 

Section C: Ending Date of Eligibility

RIF Separation Notice. A displaced employee is eligible for CTAP selection priority 

until the date the employee is separated by RIF. A displaced employee is no longer 

eligible for CTAP selection priority beginning with the date the agency cancels the 

employee’s specific notice of separation by RIF. 

Removal For Declining Relocation. A displaced employee is eligible for CTAP selection 

priority until the day after the employee is removed by adverse action for declining a 

directed reassignment, transfer of function, change of duty station, or other similar 

relocation outside the employee’s present local commuting area. 

Cancellation of Notice. A displaced employee is no longer eligible for CTAP selection 

priority beginning with the date the agency cancels the employee’s proposed or final 

notice of removal by adverse action for declining a directed reassignment, transfer of 

function, change in duty station, or other similar relocation outside the employee’s 

present local commuting area. 

Other Notices. A surplus employee is no longer eligible for CTAP selection priority 

beginning with the date the agency cancels the employee’s CES, or other applicable 

agency certification that identifies the employee as surplus for purposes of CTAP 

eligibility. 

Voluntary Separation. A surplus or displaced employee is no longer eligible for selection 

priority under CTAP beginning with the date the employee voluntarily separates from the 

agency by resignation, retirement under authority other than DSR, transfer, or other 

reason. 

Commitment to Voluntarily Separate. A surplus or displaced employee may lose 

eligibility for selection priority under CTAP if the employee makes a commitment to 

voluntarily separate from the agency. A displaced employee is no longer eligible for 

selection priority under CTAP after the agency accepts the employee’s application to 

voluntarily retire or resign from the agency. This includes a voluntary retirement or 

33
resignation when the employee and the agency enter into a separation agreement in 

exchange for a Voluntary Separation Incentive Payment (VSIP, also know as a 

“buyout”). 

A surplus employee is still eligible for selection priority under CTAP after the agency 

accepts the employee’s application to voluntarily retire or resign from the agency, unless 

the agency cancels the applicable agency certification that identified the employee as 

surplus. This includes a voluntary retirement or resignation when the employee and the 

agency enter into a separation agreement in exchange for a VSIP. 

Acceptance of Another Position. A surplus or displaced employee’s eligibility for 

selection priority under CTAP ends on the date the employee receives a career, careerconditional, or excepted appointment without time limit, in any agency and at any grade 

level. Entitlement to selection priority may end even if the employee accepts a term or 

temporary position in the agency because the employee no longer meets the definition of 

a surplus or displaced employee. 

Declination of Permanent Position. At the agency’s option, a surplus or displaced 

employee’s eligibility for selection priority under CTAP may end on the date the 

employee declines a career, career-conditional, or excepted appointment without time 

limit, for which the individual has both applied and been rated well-qualified by the 

agency. 

Section D: Notification Requirements

Orientation Session. Agencies must actively provide placement assistance to displaced 

and surplus employees through their CTAPs. An individual agency’s specific OPMapproved plan includes the agency’s policies to provide career transition services to all 

surplus and displaced agency employees affected by downsizing or restructuring. This 

includes a requirement that the agency provide a specific orientation session for surplus 

and displaced employees on the use of career transition services and the eligibility 

requirements for selection priority under both the CTAP and ICTAP. The orientation 

session must include information on how eligible employees apply for vacancies under 

both CTAP and ICTAP. 

Notification of CTAP. At the time an agency issues a specific notice of separation by 

RIF, or by adverse action procedures for declining relocation to a position in a different 

local commuting area, the agency must give each of its eligible employees information in 

writing about the special selection priority available to them under the agency’s CTAP. 

This information must contain guidance to the employee on how to apply for vacancies 

under CTAP and what documentation is generally required as proof of eligibility. 

The agency must provide the same information to each employee who has received a 

CES, or other official agency certification that identifies an employee as being likely to 

be separated by RIF or other involuntary action not for cause. 

34
Notification of Vacancies. The agency must take reasonable steps to ensure that surplus 

and displaced employees who are eligible under CTAP are notified of all vacancies that 

the agency has announced in the local commuting area. The agency is responsible for 

notifying eligible surplus and displaced employees of: 

• How eligible surplus and displaced employees within the agency can apply for the 

vacancies; 

• What proof of eligibility surplus and displaced employees need for selection 

priority to vacancies under CTAP; and 

• What the agency’s definition is of “well-qualified” for selection priority to a 

specific position under CTAP. 

Agency Failure to Provide Eligibility Notification. If the agency does not properly notify 

the employee of his or her eligibility for selection priority as required, at its discretion the 

agency may contact OPM to determine whether corrective action is appropriate. This 

may include reviewing agency appointments to determine whether other corrective action 

is necessary. 

Notification of Qualifications Determination. Each agency is required to advise, in 

writing, candidates under CTAP who apply for specific vacancies within the local 

commuting area of the results of their application, and whether or not they were found 

well-qualified for a vacancy. 

If an agency finds that a candidate is not well-qualified, the agency is required to conduct 

and document an independent second review of the application. The agency must also 

advise the applicant in writing of the results of the second review. 

 

If the agency finds that a candidate is well-qualified, but the agency selected another 

well-qualified surplus or displaced candidate for the vacancy, the agency must notify the 

candidate who was not selected of this action. 

Section E: Order of Selection

Specific Order of Selection. When filling a vacancy, as defined in chapter VI, Glossary 

of Terms, the agency must select a surplus or displaced employee who is eligible for 

CTAP selection priority before selecting any other candidate for the vacancy from within 

or outside the agency. Under CTAP, the agency may decide the specific order of 

selection of its eligible employees. For example, the agency may specify that it will 

select: 

 

• Displaced employees before surplus employees, or 

35
• Displaced employees and/or surplus employees from within a component of the 

agency before selecting displaced employees and/or surplus employees from a 

different component of the agency. 

Temporary Help Services. When filling a vacancy, as defined in chapter VI, Glossary of 

Terms, the agency must select a surplus or displaced employee who is eligible for 

selection priority under CTAP before procuring temporary help services. 

Priority From Different Local Commuting Area. After the agency has met its obligation 

to provide selection priority under CTAP to surplus and displaced employees within a 

local commuting area, the agency may then provide selection priority for vacancies at 

that location to surplus and displaced employees from one or more different local 

commuting areas. The agency may provide this option only when the agency has no 

eligible surplus or displaced employees within the additional local commuting area who 

both apply for the vacant position, and are found by the agency to be well-qualified for 

the vacant position. 

Other Internal Candidates. After the agency has met its obligation to provide selection 

priority under CTAP to its surplus and displaced employees, the agency may use 

appropriate staffing procedures to select any other competitive service career or careerconditional candidate for a vacancy. 

External Candidates. After the agency has met its obligation to provide selection priority 

under CTAP to its surplus and displaced employees, the agency must apply the selection 

order in (1) through (4) below to select a candidate from outside its workforce for a 

vacancy: 

1. First in the order of selection and under appropriate selection procedures—

Current or former employees of the agency who are eligible under the agency’s 

Reemployment Priority List (RPL); 

2. Second in the order of selection and under appropriate selection procedures—At 

the agency’s option, any other former employee who was displaced from the 

agency; 

3. Third in the order of selection and under appropriate selection procedures—

Current or former Federal employees who were or will be displaced from other 

agencies, and are eligible for selection priority under ICTAP; and 

4. Fourth in the order of selection and under appropriate selection procedures—At 

the agency’s option, any other candidate for the vacancy. 

Section F: Exceptions to the CTAP Special Selection Priority

CTAP selection priority does not apply to the following actions: 

36
• Internal Selections When No Well-Qualified CTAP Eligibles Apply (i.e., covering 

reassignments, changes to lower grade, promotions, and other merit and 

promotion actions); 

• Reemployment Rights, including the reemployment of injured workers who have 

either been restored to earning capacity by the Department of Labor’s Office of 

Workers Compensation Programs (OWCP), or who have received a notice that 

their compensation benefits will cease because of recovery from the disabling 

injury or illness; 

• Disciplinary Actions (i.e., position changes when filling a job via disciplinary 

actions); 

• Temporary Appointments Less Than 121 Days (including all extensions). An 

agency’s temporary appointments of less than 121 days (including all extensions) 

are not covered by CTAP; 

• Internal Job Swaps (i.e., when the actions involve no increase in either grade or 

promotion potential); 

• Noncompetitive Conversion From Excepted Service Positions, including the 

conversion of an employee serving on a Veterans Recruitment Appointment to a 

career-conditional appointment. This exception also includes the agency’s 

reinstatement of an SES member to the employee’s former position (or an 

equivalent position); 

• RIF and Transfer-of-Function Actions, including when the agency finds that 

another employee would otherwise be separated by RIF unless the agency takes 

the placement action; 

• Noncompetitive Movement During Reorganization (e.g., an employee’s former 

position ceases to exist, and no new actual vacancy exists); 

• Intergovernmental Personnel Act; 

• Excepted Service Positions, including appointments to positions (such as 

Schedule A attorneys) which can only be filled through excepted service 

appointments, as well as excepted service appointments to competitive service 

positions (such as appointments of disabled persons or those eligible for Veterans 

Recruitment Appointments); 

• Details; 

• Temporary Promotions Less Than 121 Days; 

37
• Noncompetitive Movement of Surplus or Displaced Employees (within the 

agency, and within the same local commuting area); 

• Movement of Excepted Service Employees Within an Agency; 

• Movement Resulting From Medical Condition (as an alternative to disability 

retirement); 

• Movement Resulting in a Reasonable Offer (for purposes of discontinued service 

retirement (DSR) eligibility). For DSR purposes, “reasonable offer” is generally 

defined as the offer of another position within the same agency when the offered 

position is within two grades of the employee’s present position, is located in the 

same local commuting area, and has the same status, tenure, and work schedule. 

For information on DSR see Chapter 44 of the CSRS and FERS Handbook for 

Personnel and Payroll Offices, which is available on the OPM website at 

www.opm.gov. 

• Career Ladder Promotions; 

• Reclassification Actions (e.g., application of new position classification standards, 

or the accretion of duties); 

• Recall of Seasonal and Intermittent Employees, from a nonpay/nonduty status to a 

pay and duty status. 

• Movement Resulting From Medical Accommodation, internally when the agency 

identifies a position in which the employee can be offered reasonable 

accommodation for the employee’s condition. 

• Settlement of Dispute, i.e., a formal complaint, grievance, appeal, or other 

litigation (does not include actions taken to resolve a complaint still in the 

informal stage); 

• Return of an Employee to His or Her Original Position During Supervisory or 

Managerial Probationary Period; 

• Excepted Positions Brought Into the Federal Service. CTAP does not cover the 

retention of individuals whose positions are brought from the excepted service 

into the competitive service and are subsequently converted to career or careerconditional competitive service appointments. This exception includes: 

• The retention of incumbents of positions brought into the competitive service 

when the Government takes over a public or private enterprise; 

• The retention of incumbents of positions brought into the competitive service 

from the excepted service; and 

38
• The conversion of the incumbent to a competitive service position. 

• Retention of Individuals Covered by a Variation of OPM Regulations (5 CFR 

5.1); 

• Selection Within a Component after the agency has met its obligation to provide 

selection priority within the local commuting area to surplus and displaced 

employees of the same component under CTAP; 

• Reemployment of an Individual Under an Agency’s Formal Trial Retirement 

Program; 

• Extension of Temporary or Term Appointments (i.e., an extension of a temporary 

or term appointment up to the full period allowed, when the original vacancy 

announcement specified that CTAP eligibles could apply). The original 

announcement must also state that an extension of the appointment is possible 

without further announcement. 

• Noncompetitive Movement of Employees Between Agencies, as a result of an 

interagency reorganization, interagency transfer of function, interagency mass 

transfer, interagency realignment, or similar interagency action; 

• Guaranteed Placement of SES Member to a position in another personnel system 

under 5 CFR part 317; 

• Voluntary Transfer Under Memorandum or Agreement; 

• Reassignment via Mobility Agreement, when an employee whose position 

description (or other written mobility agreement) provides for reassignment outside 

the employee’s present local commuting area as part of a planned rotational program 

within the agency. 

Section G: Application for Vacancies

Application Procedures. In order for an eligible employee to receive special selection 

priority under CTAP, the individual must: 

1. Apply for a specific vacancy in the same local commuting area as the employee’s 

present position; 

2. Submit all required forms or documents, including proof of eligibility, within the 

time frames set by the employee’s agency; and 

3. Be well-qualified for the vacancy, as determined by the agency. 

39
Status of Application After Eligibility Expires. Once an eligible surplus or displaced 

employee’s CTAP selection priority eligibility expires, the employee no longer receives 

selection priority for the vacancy, even if the employee was eligible when he or she filed 

an application for the position. (See Section B of this Appendix for information on 

eligibility expiration). 

Section H: Proof of Eligibility

RIF Separation Notice. A specific notice of separation by RIF is proof of eligibility for 

CTAP. 

Removal Notice After Declining Relocation. A proposed notice of removal by adverse 

action for declining a directed reassignment, transfer of function, or other similar 

relocation outside the employee’s present local commuting area, is proof of eligibility for 

CTAP. The initial reassignment notice, and/or the employee’s notice declining the 

reassignment, is not proof of eligibility for CTAP. 

Discontinued Service Retirement Notice. An official notice from the agency indicating 

that an employee is eligible for DSR is proof of eligibility for CTAP. 

Certification of Expected Separation. A CES is proof that an employee is eligible for the 

CTAP. 

Other Agency Certification. An agency may also issue other official certification 

identifying an employee as being in a surplus organization or occupation as proof that the 

employee is eligible for CTAP. 

Section I: Agency Selections for Vacancies

Overall Order of Selection. In making selections for a vacancy from among candidates 

with selection priority under CTAP, the agency must first follow the overall order of 

selection covered in Section E of this Appendix. For example, the agency must select an 

employee who is eligible for CTAP before selecting any other candidate from within or 

outside the agency unless the agency can show that another employee would otherwise be 

separated by RIF. 

As possible options consistent with CTAP selection priority, at its discretion the agency 

may choose to select: 

 

• Displaced employees before surplus employees, or 

40
• Displaced employees (and/or surplus employees) from within one component of 

the agency before selecting displaced employees (and/or surplus employees) from 

a different component of the agency. 

Eligible Employees. An agency may not select another candidate for a vacancy if the 

agency has an available eligible employee. 

Two or More Eligible Employees. If two or more eligible employees apply for a vacancy 

and the agency determines the employees are well-qualified under CTAP, the agency 

may select any of these eligible employees for the vacancy. The agency must provide a 

written notice to an employee eligible for selection priority under CTAP if the agency 

selects another employee for the position. 

No Eligible Employees Apply. If no eligible employees apply for a vacancy, the agency 

may select another career or career-conditional agency employee without regard to 

CTAP. 

No Well-Qualified Employees Apply. If no eligible employees apply for the vacancy or 

the agency finds none of the applicants for a vacancy are well-qualified, the agency may 

select another career or career-conditional agency employee without regard to CTAP. 

Section J: Oversight, Complaints, and Appeals

OPM Oversight and Review. OPM is responsible for oversight of CTAP. OPM at any 

time has the right to conduct reviews of an agency’s actions relating to the agency’s 

specific CTAP actions. OPM also provides advice and technical assistance to agencies 

implementing CTAP. 

No Appeal Right to the Merit Systems Protection Board. An employee has no right to 

appeal a CTAP issue to the Merit Systems Protection Board (MSPB). 

Other Possible Options for Complaints. Employees may be able to pursue complaints 

concerning the agency’s CTAP actions through the agency’s administrative grievance 

system. Bargaining unit employees covered by negotiated agreement may be able to 

pursue a complaint through the negotiated grievance procedure. Complaints involving 

accusations of discrimination are filed through the Equal Employment Opportunity 

(EEO) complaint process. Complaints that the agency’s action is a prohibited personnel 

practice are filed with the Office of Special Counsel (www.osc.gov). 

41
Appendix H: Voluntary Early Retirement Authority (VERA)

Section A: VERA Overview

Purpose of VERA. The purpose of the VERA option is to allow employees to voluntarily 

retire early under the Civil Service Retirement System (CSRS) or the Federal Employees’ 

Retirement System (FERS) from an agency that is undergoing substantial organizational 

change (e.g., reduction in force (RIF), reorganization, reshaping, delayering). The 

voluntary VERA separation will often avoid an involuntary separation by RIF or 

relocation, and/or offer a placement opportunity to a surplus or displaced employee. 

Exclusion. The Governmentwide VERA regulations do not apply to the Government 

Accountability Office (GAO) or the Department of Defense (DoD). Each of these 

agencies has its own agency-specific statutory VERA authority. 

VERA and Discontinued Service Retirement. Though the age and service requirements 

are the same, discontinued service retirement (DSR) is not the same as VERA. DSR is 

based on an involuntary separation, while VERA is a voluntary retirement authority. The 

formula used to compute a DSR annuity is the same as the formula used to compute a 

VERA annuity. Chapter 44 of the CSRS/FERS Handbook for Payroll and Personnel 

Offices, contains information on DSR. The Handbook is available on the OPM website at 

http://www.opm.gov/. 

VERA and Buyouts. A Voluntary Separation Incentive Payment (VSIP) (also called a 

“buyout”) is not the same as VERA. OPM approval of VERA for an agency does not 

automatically authorize VSIP incentives. 

Additional VERA Guidance from OPM. OPM’s website at 

http://www.opm.gov includes the Guide to 

Voluntary Early Retirement, and a Fact Sheet on voluntary early retirement. 

Section B: Employee Eligibility for VERA

Eligibility for VERA: To be eligible to retire under VERA, an employee must meet all 

six conditions below: 

1. Attained the VERA minimum age and service requirements: 

• Completed at least 20 years of creditable service and be at least age 50, or 

• Completed at least 25 years of creditable service regardless of age; 

2. Was continuously employed by the agency for at least 31 days before the date the 

agency requested OPM approval of VERA; 

42
3. Is currently serving under an appointment that is not time-limited; 

4. Has not received a final removal decision based upon misconduct or unacceptable 

performance; 

5. Is currently serving in a position designated by the agency as covered by VERA; 

and 

6. Retires under the VERA option during the window period designated by the 

agency (i.e., a period of time for employees to apply for VERA and to 

subsequently separate from the agency by VERA). 

Statutory VERA Age and Service Requirements. The minimum age and service 

requirements are set by statute. OPM has no authority to waive either the minimum age 

or service requirement for VERA eligibility. 

Employees on Active Duty in Armed Forces. An employee on active duty in the Armed 

Forces who would otherwise be eligible for a VERA offer will have 30 days following 

restoration to the agency to accept or reject the agency’s offer of a VERA. The restored 

employee has the right to accept or reject the agency’s offer of VERA even if the 

authority approved has expired. 

Chapter 43 of title 38, United States Code, requires that agencies treat employees on 

active duty in the Armed Forces, for all practical purposes, as though they are still on the 

job, with no disadvantage because of service in the Armed Forces. 

Use of Annual Leave to Reach Initial VERA Eligibility. An employee has the right to 

use accrued annual leave and remain on the agency’s rolls past the effective date of a RIF 

separation in order to gain title to an immediate annuity. An employee also has the right 

to use accrued annual leave past the RIF date in order to establish eligibility to continue 

health benefits coverage into retirement. 

Section C: Requesting OPM Approval of VERA

Agency’s VERA Decisions. In requesting VERA, the agency has a responsibility to: 

1. Decide when to request VERA from OPM; 

2. Decide whether to use an OPM-approved VERA; 

3. Decide which employees are covered by the VERA request; 

4. Establish the VERA window period(s) for accepting applications and for 

separating employees by VERA; and, 

43
5. Determine the number of employees who may retire under the VERA and when 

those employees may separate. 

VERA Request from Agency Headquarters. An agency’s request to OPM for VERA 

must be signed by: 

1. The head of the agency; or 

2. A specific designee. 

A “specific designee” is a senior officer or official within an agency who has been 

specifically designated to sign requests for VERA under a designation from the head of 

the agency. Examples include a Chief Human Capital Officer, an Assistant Secretary for 

Administration, and a Director of Human Resources Management. 

44
Appendix I: Voluntary Separation Incentive Payment (VSIP)

 

Section A: VSIP Definitions

Agency. “Agency” means an Executive agency as defined under section 105 of title 5, 

United States Code, and an individual employed by a county committee established under 

section 8(b)(5) of the Soil Conservation and Domestic Allotment Act, as covered in 

section 590h(b)(5) of title 16, United States Code. 

Employee. “Employee” means an individual defined under section 2105 of title 5, 

United States Code, who is employed by an agency, and an individual employed by a 

county committee established under section 8(b)(5) of the Soil Conservation and 

Domestic Allotment Act, as covered in section 590h(b)(5) of title 16, United States Code. 

“Employee” does not include an individual who: 

1. Is serving under an appointment with a time limitation; 

2. Has not been employed by the Government of the United States for a continuous 

period of at least 3 years; 

3. Is a reemployed annuitant under chapter 83 (Civil Service Retirement System) or 

84 (Federal Employees’ Retirement System) of title 5, United States Code, or 

under another retirement system for employees of the United States Government; 

4. Has a disability and is, or would be, eligible for disability retirement under CSRS 

or FERS, or under another retirement system for employees of the United States 

Government; 

5. Is in receipt of a decision notice of involuntary separation for misconduct or 

unacceptable performance; 

6. Previously received a VSIP from the Federal Government under any authority; 

7. Is covered by statutory reemployment rights based on a transfer to another 

organization; 

8. During the 36-month period preceding the date of separation for a VSIP, 

performed service for which the agency has paid or will pay a student loan 

repayment benefit under section 5379 of title 5, United States Code; 

9. During the 24-month period preceding the date of separation for a VSIP, 

performed service for which the agency has paid or will pay a recruitment or 

relocation incentive under section 5753 of title 5, United States Code; or 

45
10. During the 12-month period preceding the date of separation for a VSIP,

performed service for which the agency has paid or will pay a retention incentive

under section 5754 of title 5, United States Code.

Section B: VSIP Overview

Purpose of VSIP. The VSIP option allows an agency in a reshaping situation to offer 

rtunity 

some situations, the voluntary VSIP separation may also serve as a management tool 

y’s 

xclusions

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

retires or resigns. The voluntary VSIP separation will often avoid an involuntary 

separation by reduction in force (RIF) or relocation, and/or offer a placement oppo

to a surplus or displaced employee. 

In

to assist the agency in reshaping its existing workforce into better alignment with the 

skills and knowledge needed to perform updated positions that better reflect the agenc

mission. 

E . The Governmentwide VSIP regulations do not apply to the Department of 

f 

, 

SIP and Discontinued Service Retirement

Defense (DoD), which has its own agency-specific statutory VSIP authority. The 

Governmentwide VSIP regulations do not apply to the Government Accountability

Office (GAO). GAO continues its agency-specific VSIP authority under section 2 o

Public Law 108-271. Some agencies (e.g., the Federal Deposit Insurance Corporation

the Postal Service, and Treasury’s Office of Thrift Supervision) offer VSIP under their 

own statutory authorities. A permanent agency-specific VSIP authority does not require

OPM approval. 

V . Though the age and service requirements 

e 

hapter 44 of the CSRS/FERS Handbook for Payroll and Personnel Offices, contains 

are the same, discontinued service retirement (DSR) is not the same as VSIP. DSR is 

based on an involuntary separation, while VERA is a form of voluntary retirement. Th

formula used to compute a DSR annuity is the same as the formula used to compute a 

VERA annuity. 

C

information on DSR. The Handbook is available on the OPM website at 

http://www.opm.gov. 

Buyouts and VERA. A Voluntary Early Retirement Authority (VERA) is not the same as 

l 

dditional VSIP Guidance from OPM

VSIP. OPM approval of VSIP for an agency does not automatically authorize VERA. 

See Appendix H for information on requesting OPM approval of VERA. OPM approva

of VSIP for an agency does not change the minimum age and service requirements for 

VERA or other types of immediate retirement. 

A . OPM’s website includes the Guide to

Voluntary Separation Incentive Payments, and a Fact Sheet on Voluntary Separation 

Incentive Payments. 

46
sions

Section C: Requesting OPM Approval of VSIP

Agency’s VSIP Deci . In requesting VSIP, the agency has the responsibility to: 

• Decide when to request VSIP from OPM; 

• Decide whether to use an OPM-approved VSIP; 

• Decide which employees are covered by the VSIP request; 

• Establish the VSIP window period(s) for accepting applications and for separating 

• Determine the number of employees who may retire under the VSIP and when 

SIP Request from Agency Headquarters

by VSIP; and, 

those employees may separate.

V . An agency’s request to OPM for VSIP must 

n 

, the

ubmitting a VSIP Request to OPM

be signed by the head of the agency or a specific designee. A specific designee is a 

senior officer or official within an agency who has been specifically designated to sig

requests to offer VSIP under a designation from the head of the agency. Examples 

include the Chief Human Capital Officer, the Assistant Secretary for Administration

Director of Human Resources Management, or a deputy of one of these persons. 

S . An agency submits its request to OPM for VSIP to:

eputy Associate Director

 

n agency can also fax the VSIP request to 202-606-4430.

D

Recruitment and Hiring

U.S. Office of Personnel Management 

1900 E Street, NW, Room 6500 

Washington, DC 20415 

A

 

Information in VSIP Request. The agency’s request to OPM for approval of VSIP must 

he agency’s human capital plan must outline the agency’s intended use of the separation 

he agency’s plan submitted under either option above must always include: 

include a plan outlining the intended use of VSIP, including a proposed organizational 

chart showing organizational goals after completion of the payments or the agency’s 

human capital plan. 

T

incentives. The agency’s human capital plan must also outline the expected changes in 

the agency’s organizational structure after the agency has completed the VSIP offers. 

T

47
1. Identification of the specific positions and functions to be reduced or eliminated, 

2. A description of the categories of employees who will be offered separation 

l 

3. The time period during which separation incentives may be paid; 

4. The number and maximum amounts of the separation incentives; 

description of how the agency will operate without the eliminated or 

 proposed organizational chart displaying the expected changes in the agency’s 

7. If the agency has requested, or will request VERA, a short explanation of how the 

8. If the agency is offering separation incentives under any other statutory authority, 

PM and OMB Review of Agency’s VSIP Plan

identified by organizational unit, geographic location, occupational series, grade 

level and any other factors related to the position; 

incentives identified by organizational unit, geographic location, occupationa

series, grade level and any other factors, such as skills, knowledge, or retirement 

eligibility; 

5. A

restructured positions and functions; 

6. A

organizational structure after the agency has completed the incentive payments; 

agency will use that authority in combination with separation incentives; and 

a description of how the agency is using that authority. 

O . OPM will consult with the Office of 

w 

 there are questions concerning the agency’s plan, OPM may: 

• Contact the agency;

• Inform the agency’s staff of OPM’s concerns; and/or

• Require that the agency revise the plan to bring the plan into conformance with 

PM will notify the head of the agency in writing when OPM approves the agency’s plan 

orwarding Overdue VSIP Reports to OPM

Management and Budget (OMB) concerning an agency’s plan to offer VSIP. The revie

of the agency’s plan may include a consideration of costs and benefits associated with 

using the authority. 

If

OPM’s VSIP regulations. 

O

to offer VSIP. An agency may not offer VSIP without OPM approval. 

F . OPM may require an agency to forward 

overdue interim and final reports on a previous VSIP before OPM approves a new VSIP

48
for the agency. OPM’s approval letter to the agency contains the VSIP reporting

requirements. 

Competitive Sourcing Situations. An agency carrying out a competitive sourcing or 

similar study that could result in excess personnel and/or skills imbalances in an 

organization may initiate a request to OPM for contingent approval of VSIP authority 

before the study is completed. This option is available in situations when the agency is 

considering alternative methods to perform work, including a Most Efficient 

Organization (MEO) study and other similar options that potentially may involve the 

outsourcing of work. 

Because of the detailed requirements related to a competitive sourcing study and the need 

for strict confidentiality in the process, it is difficult for the agency to forecast the 

outcome of the study and the effects of the study on the agency’s workforce. Contingent 

OPM approval recognizes that the agency’s need for VSIP would be subject to the 

outcome of the competitive sourcing or similar study. 

For contingent approval of VSIP authority, the agency submits the information in the 

above paragraph to request VSIP authority, but using its projected outcomes for retaining 

the work, or outsourcing the work. 

The agency must notify OPM of the outcome of the competitions for OPM approval to 

offer VSIP. If the competitive sourcing decision will result in the agency outsourcing the 

function, OPM will authorize immediate use of the VSIP, subject to OMB consultation. 

If the competitive sourcing decision is to retain the function in the agency, for OPM 

approval the agency must provide OPM with updated information to support the VSIP 

request. OPM will then review the data as part of the approval process that requires 

OMB consultation. 

At its option, the agency may concurrently submit a request for contingent VERA 

approval. 

Section D: Offering VSIP to Employees

VSIP Offers Must Be Consistent with OPM-Approved Plan. An agency may offer a 

VSIP only as authorized in the plan approved by OPM. An agency may not (1) offer a 

VSIP later than the expiration date of the VSIP authority in the agency’s approved plan; 

(2) establish an effective date for payment of a VSIP that is later than the expiration date 

of the VSIP authority in the agency’s approved plan; and (3) offer a VSIP to an employee 

who is outside the scope of the VSIP authority approved by OPM. 

Organizational Basis for VSIP Offers. An agency may offer VSIP only on the basis of 

organizational considerations such as: 

• One or more organizational units; 

49
• One or more occupational series or levels; 

• One or more geographical locations; 

• The skills, knowledge or other factors related to a position; 

• Specific periods of time during which eligible employees may elect to voluntarily 

separate by retirement or resignation for a VSIP; or 

• Any appropriate combination of the five factors above. 

Selecting Employees for VSIP. An agency must accept VSIP applications from all 

employees eligible under the OPM-approved plan. However, the agency must limit the 

number of actual separations for a VSIP to no more than the number in the OPMapproved VSIP plan. 

Each time an agency with VSIP authority establishes a window period to accept 

employees’ applications for VSIP incentives, the agency may limit VSIP offers to its 

employees based upon an established opening and closing date of the VSIP window, or 

the acceptance of a specific number of applications for VSIP incentives. 

At the time the agency offers VSIP incentives to its eligible employees, the agency must 

notify its employees that it retains the right to limit the number of VSIP offers on the 

basis of a specific closing date of the VSIP window, and/or acceptance of a specific 

number of applications for VSIP incentives, along with setting the date for employees to 

separate with a VSIP. 

If the agency amends its VSIP offer on the basis of a revised window closing date or 

number of VSIP applications that the agency will accept or a revised separation date, the 

agency must announce the revised closing date and/or number of VSIP applications to the 

same group of employees included in the original VSIP announcement. 

If the agency offers VSIP incentives to its eligible employees in a separate or a new 

notice with a revised closing date and/or number of VSIP applications or a revised 

separation date, the agency may also offer the VSIP option to a different group of 

employees if these employees are covered by the approved VSIP authority. 

The agency may administratively implement a procedure to determine which employees 

may separate with a VSIP when more employees apply for a VSIP than the agency can 

offer. Such a procedure may allow: 

• All employees to subsequently decline separating by retirement or resignation for 

a VSIP even after the employee signs the applicable forms; 

• No employees to subsequently decline separating by retirement or resignation for 

a VSIP even after the employee signs the applicable forms; or 

50
• On a case-by-case basis for a reason such as hardship and specific agency 

approval as an exception, employees to subsequently decline separating by 

retirement or resignation for a VSIP even after the employee signs the applicable 

forms. 

Ensuring That VSIP Separations Are Voluntary. The agency is responsible for ensuring 

that employees are not coerced into retiring or resigning to accept a VSIP, and the 

employee’s decision to separate was not based upon erroneous or misleading information. 

When announcing an opportunity to separate for a VSIP, the agency should inform its 

employees that separation by retirement or resignation for a VSIP is a voluntary action by 

the employee. An agency’s optional canvass letter to determine potential employee 

interest in a VSIP is not coercion, but is simply an accepted tool to help the agency meet 

its present and future staffing needs. 

If an agency finds that an employee was coerced into separating by retirement or 

resignation for a VSIP, the agency has the responsibility to take appropriate corrective 

action. An employee who separates by retirement or resignation for a VSIP, but who 

subsequently believes that the separation was actually involuntary, may potentially 

appeal the basis for the separation to MSPB. An employee may potentially appeal the 

basis for the separation even if the employee signs a statement that the retirement or 

resignation is voluntary and was not coerced. 

Employees on Active Duty in Armed Forces. An employee on active duty in the Armed 

Forces who would otherwise be eligible for a VSIP offer will have 30 days following 

restoration to the agency to accept or reject the agency’s offer of VSIP. The restored 

employee has the right to accept or reject the agency’s offer of VSIP if the authority 

approved has expired. Chapter 43 of title 38, United States Code, requires that agencies 

treat employees on active duty in the Armed Forces, for all practical purposes, as though 

the employee is still on the job, with no disadvantage because of service in the Armed 

Forces. 

Waiver of the Usual Health Benefits Participation Requirement. Benefits Administration 

Letter (BAL) 04-208, dated September 8, 2004, covers “Federal Employees Health 

Benefits Program: Participation Requirements for Employees Retiring During a Period of 

Voluntary Separation Incentive Payments or Voluntary Early Retirement Authority.” 

BAL 04-208 covers OPM’s policy on waivers of the usual participation requirements for 

employees who retire during a period during which their agency has authority to offer 

VERA or VSIP. BAL 04-208 is available from OPM’s website at 

https://www.opm.gov/retirement-services/publications-forms/benefits-administration-letters/ 

Processing VSIP Separation. The Guide to Processing Personnel Actions contains 

processing instructions for VSIP separations. The Guide is available from OPM’s 

website at http://www.opm.gov/. 

51
For employees retiring with a VSIP under the VERA option, the Guide states that 

Authority Code “ZLM/P.L. 107-296, VERA No. and date” covers employees under the 

Civil Service Retirement System. 

For employees retiring with a VSIP under the VERA option, the Guide states that 

Authority Code “USM/5USC Chapter 84 and AZM/OPM Office, VERA No. and date” 

covers employees under the Federal Employees’ Retirement System. 

Service Agreements and VSIP Separations. An agency should request an interpretation 

from its legal staff before deciding whether to release from a service agreement an 

employee who is interested in separating for a VSIP. Common service agreements cover 

an employee’s obligation to perform service with the agency for a specific period of time 

following training, relocation, or similar situations. 

Section E: Agency Management of VSIP 

Notifying OPM of VSIP Changes. After OPM approves an agency’s plan to offer VSIP, 

ith

. 

Section F: OPM Oversight of VSIP

OPM May Amend, Limit, ed Situation

the agency is required to immediately notify OPM of any subsequent changes in the 

conditions that served as the basis for the separation incentives. OPM will consult w

OMB, and notify the agency in writing of any changes in the agency’s plan to offer VSIP

or Terminate VSIP Because of Chang . OPM may 

mend, limit, or terminate an agency’s VSIP authority if OPM determines that the agency 

 Agency’s Actions

a

is no longer undergoing the condition (e.g., downsizing, restructuring, reshaping) that 

was the basis for OPM's approval of the VSIP authority. 

OPM May Amend, Limit, or Terminate VSIP Because of . OPM may 

amend, limit, or terminate an agency’s VSIP authority if OPM determines that the agency 

did not administer the authority in a manner that is consistent with applicable law and/or 

regulation. 

52
 

nt from Reemployment 

Obligation to Repay VSIP

 

Section G: VSIP Repayment Requireme

. An employee who voluntarily separated for a VSIP under an 

OPM-approved VSIP authority and accepts employment with the Federal Government 

ithin 5 years after the date of separation must repay the gross amount of the VSIP to the 

the National Oceanic and

tmospheric Administration) is not considered Federal employment for purposes of 

is not

SIP 

w

agency that paid the incentive. The former employee must repay the entire amount of the

VSIP before the individual’s first day of reemployment. 

Service in the Armed Forces or in the uniformed services (i.e., Armed Forces, the 

Commissioned Corps of the Public Health Service and of

A

invoking the VSIP repayment obligation. Also, service as a Peace Corps volunteer

considered employment with the Federal Government for purposes of invoking the V

repayment obligation. 

Explanation of Employment. For purposes of the VSIP repayment obligation, 

“employment” means any reemployment:

 was 

ent obligation (see Section H of this Appendix 

for information on submitting VSIP waiver requests to OPM); and 

•

ices 

ions in section 3524 of title

, United States Code. Agencies (and employees considering employment with a 

• For compensation with the Federal Government, unless the employment

under a waiver of the VSIP repaym

Under a personal services contract or other direct contract with the Federal 

Government, but not with a legislative branch entity. 

The legal staff of each agency is responsible for determining what is a personal serv

or direct contract for purposes of the buyout repayment provis

5

contractor) are advised to seek further guidance from their appropriate legal staff office 

when considering contracting with a former Federal employee who separated for a VSIP. 

Legislative Branch Exclusion for Personal Services Contracts. The legislative branch is 

excluded from the usual repayment requirement for an OPM-approved VSIP only for 

purposes of a personal services or other direct contract with a legislative branch entity. 

Otherwise, the individual who separates for an OPM-approved VSIP must repay the 

VSIP if reemployed in the legislative branch unless the head of the legislative branch 

entity or the legislative branch appointing official waives the buyout repayment under 

section 3524(c)(2) of title 5, United States Code. 

53
Obligation to Repay VSIP Under Other Authority. An executive branch employee who

voluntarily separated for a VSIP on or after March 30, 1994, under authority that was not

pproved by OPM and accepts employment with the Government of the United States 

OPM Waiver of the VSIP Repayment Requirement for Executive Branch Reemployment

a

within 5 years after the date of separation should refer to the controlling statute 

authorizing the VSIP to determine the former employee’s obligation to repay the VSIP; 

and whether the obligation requires repayment of the entire amount of the VSIP before 

the first day of employment. 

Section H: Waiver of the VSIP Repayment Requirement

. 

The head of an executive branch agen SIP repayment 

obligation under

• The individual seeking reemployment possesses unique abilities and is the only 

skills directly related to resolving the

The op e the

Govern

Commi

cy may request OPM to waive the V

 an OPM-approved VSIP if: 

qualified applicant available for the position; or 

• In the case of an emergency involving a direct threat to life or property, the 

individual seeking reemployment has 

emergency and will serve on a temporary basis only so long as that individual’s 

services are made necessary by the emergency. 

tion of requesting a waiver of the VSIP repayment obligation does not includ

ment Accountability Office, the Postal Service, or the Postal Regulatory 

ssion. 

Waiver of the VSIP Repayment Requirement for Legislative Branch Reemployment. For 

employment in the legislative branch, the head of the legislative branch entity or 

appointing official may waive the VSIP repayment obligation of the former executive 

ranch employee applicable to an OPM-approved VSIP if the individual seeking

 VSIP

t with the Federal Government or employment under a personal services 

ontract or other direct contract with the Federal Government. 

b

reemployment possesses unique abilities and is the only qualified applicant available for 

the position. 

The head of the legislative branch entity or appointing official may also waive the

repayment obligation applicable to an OPM-approved VSIP if the waiver is based upon 

reemploymen

c

Waiver of the VSIP Repayment Requirement for Judicial Branch Reemployment. For 

employment in the judicial branch, the head of the judicial branch entity or appointing 

official may waive the VSIP repayment obligation of the former executive branch 

mployee applicable to an OPM-approved VSIP if the individual seeking reemployment 

P 

ontract or other direct contract with the Federal Government.

e

possesses unique abilities and is the only qualified applicant available for the position.

The head of the judicial branch entity or appointing official may not waive the VSI

repayment obligation applicable to an OPM-approved VSIP if the waiver is based upon 

reemployment with the Federal Government or employment under a personal services 

c

54
Waiver of a VSIP Repayment Requirement Under Other Statutes. For a VSIP authorized

under authority other than an OPM-approved VSIP, the hiring entity should review the 

statute that authorized the VSIP to determine whether a waiver is permitted under the 

controlling statute and how to submit a waiver request. 

Submitting a VSIP Repayment Waiver Request to OPM. An agency submits its request

for a VSIP repayment waiver to: 

Deputy Associate Director 

ent 

900 E Street, NW, Room 6500 

415

 Recruitment and Hiring

U.S. Office of Personnel Managem

1

Washington, DC 20

An agency also may fax the request to: 

(202) 606-4430. 

55
Appendix J: Preparing and Using Retention Registers

First Step. 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. 

When the RIF team begins preparing retention registers, the team should be confident 

that its employee data are accurate, including each competing employee’s: 

1. Title, series, and grade as documented in the employee’s official permanent 

position of record; 

2. Position description number and competitive level assignment; 

3. Eligibility for veterans’ preference under OPM’s RIF regulations; 

4. Performance ratings of record within the applicable 4-year window period; 

5. Work schedule on the official position of record; 

6. Appointment authority (especially for excepted service employees); 

7. Tenure; 

8. Basic RIF service computation date (SCD) that includes creditable civilian and 

military service; and 

9. Adjusted SCD (i.e., the employee’s basic RIF service computation date 

augmented by any additional retention service credit based upon the employee’s 

three most recent ratings of record in the applicable 4-year period before the 

agency froze the ratings). 

Project Employee Retention Data to the RIF Effective Date. The RIF team projects its 

available employee data to the effective date of the RIF, except for new performance 

ratings of record which are frozen under authority of OPM’s retention regulations or the 

agency’s own discretionary policy. In preparing retention registers, the RIF team projects 

all employee data to the effective date of the RIF, except for frozen performance ratings 

of record. The team does not determine the retention standing of an employee on a date 

other than the effective date of the RIF (e.g., the team does not determine employees’ 

retention data as of the date the agency issues specific RIF notices). 

The RIF team uses the effective date of the RIF to project items, including, for example: 

• The basic RIF SCD (e.g., adjustments for excess leave without pay (LWOP), 

56
work performed on an intermittent work schedule); 

• A change in tenure (e.g., conversion from career-conditional to career); 

• Other conversions (e.g., conversion from excepted service Veterans Recruitment 

Appointments (VRA) to a competitive service appointment); 

• Career ladder promotions (unless a freeze applies); and 

• Change in preference eligibility (e.g., certain reservists begin receiving Armed 

Forces retired pay at age 60, an employee qualifies for derivative preference after 

the agency issues specific RIF notices). 

Prepare Retention Registers. The RIF team uses the information summarized above to 

prepare retention registers consistent with the RIF regulations. The retention register 

applies to a competitive level after applying the four retention factors required by section 

3502 of title 5, United States Code: 

• Tenure (type of appointment);

• Veterans’ preference;

• Total creditable Federal service (civilian and uniformed); and 

• Performance ratings of record. 

After the agency applies the four retention factors to a competitive level, a retention 

register lists employees covered by the RIF regulations in the order of their relative 

retention standing in a single competitive level. 

The agency should continue to review each retention register for accuracy. Even when 

an agency uses an automated program such as AutoRIF to help construct a retention 

register, in a RIF appeal the agency’s burden of proof is still based on the paper records 

documenting the employee’s retention standing. In reviewing each retention register, the 

RIF team should document items such as: 

• The identification of all individuals in the competitive area;

• The identification of all positions in the competitive area, including all vacancies 

available for possible offers (i.e., including vacancies in a competitive level with 

an abolished position); 

• The identification of positions abolished by management; 

• The basis for establishing competitive levels; 

• The identification of each official position of record included in a competitive 

level; 

57
• Each employee’s official position description; 

• Any meetings, correspondence, disputes, or agreements with the agency’s 

collective bargaining unit(s); 

• The agency’s policy on placing a performance rating of record for purposes of the 

RIF regulations; 

• Performance crediting decisions where mixed patterns occurred; 

• The cutoff date for submitting and accepting new performance ratings of record; 

and 

• Any documents that support each employee’s retention standing (e.g., each 

competing employee’s performance ratings of record, SF-50’s documenting 

positions held, DD-214’s documenting Armed Forces service, letters from the 

Department of Veterans Affairs documenting a compensable service-connected 

injury). 

In reviewing the retention register for accuracy, the agency should verify that the register 

is based solely upon employees’ official positions of record rather than upon a 

nonpermanent action such as a detail or a temporary promotion. 

Separate Noncompeting Employees Before Releasing Competing Employees From the 

Competitive Level. Before actually releasing a competing employee from the 

competitive level, the RIF team, in coordination with the HRO, must, by the effective 

date of the RIF, remove all noncompeting employees from that level. 

Identify Employees Released From the Competitive Level in First-Round Competition. 

The RIF team applies the list of abolished positions and then determines which 

employees are reached for release from each retention register in first-round RIF 

competition. In first-round RIF competition, an employee competes on the basis of the 

four retention factors to retain the present position (or a very similar interchangeable 

position), and remain in the competitive level. In second-round RIF competition, an 

employee competes on the basis of the four retention factors for assignment into a 

position on a different competitive level. 

58
Appendix K: Determining Rights to Other Positions

Determine Employees’ Representative Rates. The RIF team begins second-round RIF 

competition by determining the “representative rate” for each position in the competitive 

area. “Representative rate” is defined in chapter VI, Glossary of Terms. 

When two or more positions are in different pay schedules, the RIF team uses the 

representative rates of the individual positions to determine equivalent grade levels and 

the best offer of assignment for a released employee. A released employee may not have 

an offer of assignment higher than the representative rate of the employee’s official 

position of record. 

The team does not use representative rates when the positions are in the same pay 

schedule. With one pay schedule, the team directly compares the grades or levels of the 

individual positions. 

The RIF team compares the employees’ representative rates that are in effect on the date 

the agency issues specific RIF notices, unless the agency knows that new pay rates are 

officially approved and will be implemented by the effective date of the RIF. 

 

If the RIF team finds that the competitive area includes prevailing rate employees (e.g., 

Federal Wage System (FWS) wage grade employees) on different rate schedules, the 

team should verify that any automated RIF program used by the team will accept more 

than one rate schedule for the same pay plan. 

Determine the Normal Line of Progression for Each Position. The RIF team then 

determines the “normal line of progression” for each position in the competitive area. 

The RIF team determines the normal line of progression on the basis of the official 

position an employee holds on the effective date of the RIF, regardless of how the 

employee progressed to the position. 

To determine the normal line of progression for each position, the team should have 

access to references such as the: 

• Introduction to Position Classification Standards at 

http://www.opm.gov/; 

• The agency’s (or activity’s) merit staffing and promotion plans; 

• The agency’s (or activity’s) position management plan; and 

• The agency’s (or activity’s) personnel rosters and organization. 

59
A released employee has potential 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 

the employee is released. 

A released employee who is eligible for veterans’ preference in RIF and is receiving a 

service-connected compensable disability of 30 percent or more has potential retreat 

rights to positions at the same grade, and down to five grades or grade-intervals (or 

equivalent) below the position from which the employee is released. 

The same grade limits apply to a RIF offer of assignment to a vacant position. The grade 

limits do not apply to an offer of a lower-graded position in lieu of a RIF action (e.g., an 

offer of a voluntary change to lower grade in the same or in a different competitive area 

in lieu of separation by RIF). 

Identify Vacancies Available for Assignment and Other Placement Offers. For the next 

step, the RIF team determines whether a released employee will receive a vacant position 

as either a RIF offer of assignment, or as an in-service placement action (e.g., 

reassignment, offer of a voluntary change to lower grade, a position in a different 

competitive area). 

After management decides which positions will be staffed on the personnel roster for the 

post-RIF organization, the RIF team applies the RIF retention regulations to determine 

which employees will actually encumber these positions. 

The RIF regulations require consideration of employees’ retention standing only in the 

competitive area that is conducting the RIF. For positions in a different competitive area, 

the team, in coordination with the HRO, offers positions consistent with the agency’s 

merit staffing plan. 

When identifying positions available for placement offers, to prevent any 

misunderstanding, the RIF team should identify each position in an automated system or 

manually by: 

1. Position title, series, and grade (including any promotion potential); 

2. Position description number; 

3. Competitive level; 

4. Organization; 

5. Duty station; 

6. Tenure—temporary, term or permanent; and 

7. Work schedule. 

60
Determine Released Employees’ Qualifications for Assignment. The RIF team evaluates 

each released employee’s qualifications for assignment to a position on a different 

retention register that is held by an employee with lower retention standing. 

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. 

The RIF team reviews available records with information on the released employee’s 

education, training, and experience. 

The RIF team reviews the employee’s OPF, as well as any updates to the employee’s 

qualifications requested by the HRO, to determine whether the released employee is 

qualified for assignment to an occupied or vacant position in a different competitive 

level. 

 

Some automated RIF programs allow the team to make qualification determinations up 

front and enter the results in the system, or to make individual qualification 

determinations on each employee as potential placements are available. 

If the RIF team uses the “front-loading” method, the team makes qualification 

determinations by competitive level for all possible placements within the competitive 

area. Under this method, the team must decide if the released employee: 

• Is qualified for the position and previously held the position (i.e., the team 

determines whether a possible retreat right exists for the released employee); or 

• Would only qualify under the more liberal qualification requirements that apply to 

a vacant position. 

If the team chooses to make individual qualification determinations on each employee as 

potential placements are available, the team will make fewer individual qualification 

determinations than if the team makes qualification determinations up front and enters the 

results in the system. However, the process of running the RIF may take longer as the 

team stops to determine qualifications for each potential placement. 

Whichever method the team chooses, the team will probably save time by gathering as 

much qualification information as possible before beginning second-round RIF 

competition. Many agencies prepare a worksheet on each employee for quick reference, 

with the worksheet identifying each released employee’s education, all prior positions, 

and any special qualifications (e.g., licenses, certificates, documented special skills). 

 

If more than one member of the RIF team or other HRO staff reviews the qualifications 

of the released employee, the team leader must ensure the decisions are consistent 

throughout the RIF process. The team should document all qualification determinations, 

61
including background notes when appropriate. The HRO should then retain this 

documentation for future reference in defending the agency’s decisions in RIF appeals or 

grievances. The same information will often help the HRO outplacement in providing 

employees with career transition options. 

Determine Released Employees’ Assignment Rights. The RIF team is now ready to 

determine whether each released employee has RIF bump or retreat rights to a position on 

a different retention register that is held by an employee with lower retention standing. 

The team also determines whether to offer a vacant position to a released employee. 

To simplify second-round RIF competition, the team may develop Master Retention Lists 

(MRL) that combine the names of employees in the competitive area who are released 

from individual retention registers in first-round RIF competition. 

Each MRL identifies released employees in the absolute order of the employees’ 

respective retention standing without regard to the grades or classification series of the 

employees’ official positions of record. However, the team establishes separate MRLs 

for employees on different tours of duty (e.g., full-time, part-time, seasonal, and 

intermittent). 

If the agency chose to provide assignment rights to its excepted service employees, 

besides separate MRLs for different tours of duty, the team would also establish a 

separate MRL for each excepted service appointment authority. As part of the same 

simplified procedure, the team may also develop comparable MRLs that combine the 

names of all competing employees in the competitive area who were not released from 

individual retention registers in first-round RIF competition. 

To determine employees’ assignment rights, the team first determines whether the 

released employee with the highest retention standing on the Master Retention List of 

Released Employees (MRLRE) has an assignment right to a position on the comparable 

list of employees who were not released from a competitive level (i.e., the Master 

Retention List of Employees in Continuing Positions (MRLECP)). 

If the highest-standing employee on the MRLRE of released employees displaces a 

lower-standing employee in a continuing position on the MRLECP of employees who 

were not released, the team then places the name of the released lower-standing employee 

on the MRLRE, consistent with the employee’s retention standing. The team then refers 

back to the MRLRE and determines whether the released employee who is second from 

the top has an assignment right to another position on the MRLECP. Eventually, the 

team will move from the top to the bottom of the MRLRE in considering every released 

employee for assignment to an encumbered position on the MRLECP, or a vacant 

position on the agency’s personnel roster. 

The MRLRE/MRLECP procedure provides each released employee with the best 

possible offer of assignment. Because the team begins with the highest-standing 

employee on the MRLRE in determining the assignment rights of each released 

62
employee, no released employee can claim a better offer of assignment on the MRLECP 

than a higher ranking individual based on higher retention standing. 

The team may have additional MRL options available, depending on the basis for the 

RIF. For example, in a reorganization in which some positions are abolished while other 

positions continue in the new organization, the team may use retention standing through 

the MRLECP to “bridge” employees to the same or a successor position in the new 

organization. 

For another option, if the agency abolishes all positions in the old organization and 

establishes all new positions (i.e., none of the old and new positions are placed in the 

same competitive level), the team may reduce its requirement to establish competitive 

levels by simply placing all positions in the competitive area on an appropriate MRLRE. 

The team may then use retention standing through the MRLECP to determine employees’ 

best offers to positions in the new organization. 

 

As necessary, the RIF team should document the reasons for offering, or denying, a 

released employee assignment to another position. Even when the team uses AutoRIF or 

a comparable software package to determine employees’ assignment rights, the agency’s 

burden of proof in a RIF appeal is still the paper documents that serve as the basis for the 

team’s decisions. For example, the team should document: 

• Qualification determinations (including, when necessary, decisions on physical 

qualifications or security clearances); 

• The basis for waiving qualifications in assignment to a vacant position (if the 

agency elects this option);

• Reasons for denying assignment rights; and 

• Any decisions relating to undue interruption in providing or denying assignment 

rights. 

Run Mock RIF and Review Results for Accuracy. After the RIF team determines the 

assignment rights of released employees, the team may conduct a mock RIF to identify 

possible problems with retention records before the agency actually implements RIF 

actions. 

The RIF retention regulations do not include a definition of “mock RIF.” An effective 

mock RIF reflects the results of management’s decisions to abolish positions in the RIF, 

and which positions to staff in the organization after the RIF. 

Especially with an automated program such as AutoRIF, a mock RIF allows agency 

management to review the impact of different scenarios (e.g., a 20-percent reduction in 

funding, the privatization of a function, the consolidation of multiple locations). 

63
Agency managers often use the results of a mock RIF to conduct a cost/savings analysis 

of a potential RIF before it actually takes place. For example, direct RIF costs may 

include severance pay, unemployment compensation, lump-sum annual leave payments, 

relocation expenses, grade retention, pay retention, transition assistance, and payroll costs 

(including overtime) which the HRO and its teams can estimate or identify prior to 

actually conducting the RIF. 

The RIF team may also use the same results of the mock RIF to determine benefits for 

employees potentially reached for RIF actions (e.g., immediate retirement, severance pay, 

grade retention, pay retention). This helps the team save time later when it is preparing to 

issue specific RIF notices. 

Both the HRO and the RIF team should ensure that management does not use the results 

of the mock RIF to modify the pre- or post-RIF personnel rosters for the purpose of 

reaching an employee for separation or demotion, or saving an employee from a potential 

RIF action. 

If the team conducts a mock RIF, the HRO, in coordination with agency management, 

should consider whether to share the results with the workforce. If the effective date of 

the RIF is established and is in the near future, the HRO provides the results of the mock 

RIF to agency management for the principal purpose of informing management of the 

impact of the RIF upon the old and the successor organizations. If the effective date of 

the RIF is tentative or not immediate, the HRO may coordinate with agency management 

regarding whether or not to release the results of the mock RIF. 

If agency management believes the agency’s potential post-RIF staffing decisions are 

tentative and subject to change, publicizing the results of a mock RIF may needlessly 

upset some people or may give other employees a false sense of security. Also, a 

subsequent RIF based on different job abolishment and staffing decisions could hamper 

the agency’s effective implementation of its Strategic Plan. 

However, if agency management believes the agency’s potential post-RIF staffing 

decisions are definite, the agency may be able to provide early career transition assistance 

options, and surplus employees will have additional time to make critical career-related 

decisions. 

In either situation, the HRO should always advise employees that the outcome of a 

subsequent actual RIF may be different from the results of a mock RIF because of 

changed assumptions by agency management. Some advantages of sharing the results of 

a mock RIF include: 

• Motivating employees to seriously consider career transition assistance options; 

• Issuing advance notices (e.g., surplus notices, Certificates of Expected 

Separation) to provide surplus employees with early eligibility for agency 

placement programs (e.g., the CTAP, the Reemployment Priority List, and 

64
agency-specific selection priority programs), and training and retraining 

opportunities; and 

• Providing surplus employees with as much information as early as possible. 

Some disadvantages of sharing the results of a mock RIF include: 

• The possibility that an actual RIF will result in different outcomes than the mock 

RIF because of changes in management’s decisions to abolish positions, 

successful career transition employee attrition through voluntary early retirement 

and outplacement initiatives, etc.;

• Potential negative impact on productivity; 

• Disruption to the workforce because of possible uncertainty and change; and 

• The possibility that employees will misperceive the mock RIF as targeting 

specific employees for separation or movement to a different line of work. 

65
Appendix L: Issuing RIF Notices

Determine Each Released Employee’s Eligibility for Benefits. The RIF team must 

determine what benefits are available to each employee who will be released from a 

competitive level by a RIF action. The team must provide appropriate benefits 

information in each employee’s specific RIF notice. For some items, the team may 

provide benefits information in an attachment or supplement to the specific RIF notice. 

The RIF team issues different notices depending on the released employee’s eligibility 

for benefits (e.g., an employee who is reached for separation by RIF receives a different 

notice from an employee who has a bump right to a position at the same grade). If the 

RIF team previously ran a mock RIF and reviewed each released employee’s potential 

eligibility for benefits, the team should be able to readily update the benefits information 

in preparing subsequent actual RIF notices to the workforce. 

An employee may be separated, downgraded, offered another position at the same grade, 

or furloughed for more than 30 days, under the RIF regulations. An employee reached 

for a RIF action may be eligible for benefits such as: 

• Grade retention; 

• Pay retention; 

• Severance pay; 

• Discontinued service, optional, or other immediate retirement annuity (including 

the FERS MRA + 10 option); 

• Selection priority in applying for positions in the same or in a different agency; 

• Unemployment compensation; 

• Training or retraining. 

The RIF team, in coordination with the HRO, should easily be able to identify employees 

who meet the minimum age and service requirements for an immediate annuity. This 

includes an otherwise eligible employee who may establish initial eligibility for an 

immediate annuity by using accumulated annual leave after the effective date of the RIF. 

The RIF team should use a worksheet to note each employee’s eligibility for grade 

retention, pay retention, and/or severance pay. The RIF team should complete the 

worksheet as soon as it identifies the final action for each employee. Any tentative 

worksheets prepared by the team in a mock RIF will expedite the process. 

66
Some automated systems will calculate severance pay. If possible, the team should 

thoroughly test the automated software so both the team and the employees in RIF 

competition have complete confidence in all severance pay estimates prepared by the 

team. 

Even when using an automated program, the team should manually verify each 

employee’s eligibility for severance pay, and the civilian service credit used to compute 

the amount of severance pay. In computing severance pay, the team computes the 

amount payable to the RIF effective date. However, if the employee resigns prior to the 

effective date of the RIF, the team must recompute the amount of severance pay to reflect 

the employee’s actual separation date from the agency. 

Prepare Specific Written RIF Notices and Mandatory Attachments. The RIF team now 

prepares specific written RIF notices that document for each released employee the 

personnel action the agency is taking, and the employee’s eligibility for certain benefits 

because of the personnel action. 

If possible, the RIF team should begin drafting sample notices when agency management 

develops a communication plan to share information related to a RIF. In drafting the RIF 

notices, the team should develop standard language when appropriate (e.g., all notices 

should contain the same language on the reasons for the RIF). Also, the team and the 

HROs should have agency management, and the agency’s legal staff, approve the notices. 

Finally, the team should designate staff to review and proofread each notice for any 

errors in content, format, and spelling. 

For consistency, the team should limit non-standard pages to a minimum. This allows the 

team to produce the standard pages in bulk in the first stages of preparing RIF notices. 

The team can later combine the standard notice pages with any custom notice pages. 

The actual specific notice should be as brief as possible, with attachments providing more 

information. The RIF regulations require the agency to include information on 

designated items in the specific RIF notice, but allow the agency to provide information 

on other items in one or more attachments to the RIF notice. 

For example, attachments to specific written RIF notices offer one or more of the 

following items, as applicable: 

1. The form for the released employee to accept or decline an offer of another 

position; 

2. A form for a released employee to file, as applicable, a RIF appeal to MSPB, or to 

file a RIF grievance under a controlling collective bargaining agreement; 

3. The name of a HRO employee to contact for information on retention rights or 

eligibility for benefits; and 

67
4. Eligibility, as applicable, for benefits such as: 

• Severance pay, including estimate; 

• Grade retention; 

• Pay retention; 

• Retirement options; 

• Intra- and interagency priority placement programs (e.g., the CTAP, ICTAP 

and RPL); 

• Eligibility for intra-agency repromotion priority to the grade of the position 

from which demoted; 

• Refunds (e.g., retirement contributions and the Thrift Savings Plan (TSP)); 

• Lump-sum payment of annual leave; 

• Health and life insurance benefits; 

• Additional internal and external outplacement assistance; 

• Unemployment insurance; 

Authorization to release résumés to interested public and private sector employments; 

• Training benefits under the Workforce Investment Act; and 

• Using annual leave to gain initial entitlement to an immediate annuity and/or 

continuance of health benefits into retirement. 

Send Notices to Other Organizations if 50 or More Employees Receive Separation 

Notices. The RIF team helps the HRO prepare notices with additional information that 

the agency sends to three external organizations if the agency issues RIF separation 

notices to 50 or more employees. 

If the agency issues RIF separation notices to 50 or more employees in a competitive 

area, the agency must provide a notice to: 

1. The chief elected official of local governments(s) within which the agency will 

separate 50 or more employees by RIF; 

2. The appropriate State program authorized by the Workforce Investment Act of 

1998; 

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3. OPM; and 

4. The applicable State office of the Department of Labor’s Unemployment 

Insurance Service (UIS). 

Notify Bargaining Unit Representative(s). At the same time the agency issues a specific 

written RIF notice to one or more employees, the agency must also notify all appropriate 

exclusive bargaining unit representatives. The agency may have additional notice 

obligations under an applicable collective bargaining agreement. 

Determine How Agency Will Deliver RIF Notices. The HRO should coordinate with 

agency management, the agency’s legal staff, and possibly with security, in developing 

procedures to deliver RIF notices to individual employees. A RIF potentially raises the 

stress level for employees reached for RIF actions, as well as for agency coworkers and 

line managers who must continue to implement the agency’s Strategic Plan while 

maintaining continuity of the agency’s line programs. 

When planning for delivery of RIF notices to employees, the HRO and others involved in 

the decision process should consider: 

• Developing an automated tracking system that will account for the status of each 

notice both before and after delivery to employees; 

• Designating which manager or official will give RIF notices to individual 

employees (e.g., the first-level supervisor, the second-level supervisor, a higherlevel manager in the organization, an individual in the HRO); 

• Training the individual who will deliver the notices (e.g., additional training in 

close coordination with the agency’s Employee Assistance Program (EAP)); 

• Mobilizing crisis intervention resources (again including the agency’s EAP 

counselors); 

• Deciding whether to designate another manager or official (e.g., a first- or secondlevel supervisor) to witness delivery of the notices to individual employees; 

• Delivering the notices at the same time of the workday (e.g., at the beginning of 

the workday or shift, at the end of the workday or shift, at a group meeting); 

• Designating the place where the agency will distribute the RIF notices (e.g., a 

manager’s office or conference room); 

• Preparing a statement for the manager or official who will deliver the notices; 

• Covering additional options to minimize the immediate impact of a RIF notice 

69
upon an individual employee (e.g., unscheduled annual leave, excused absence); 

• Preparing for additional security if necessary; and 

• Developing procedures to deliver notices the agency is unable to deliver in person 

(e.g., the employee is on extended absence from the workplace). 

Prepare Packages for Separating Employees. Working with the RIF team, the HRO 

should begin preparing out-processing packages for separating employees no later than 

the date the agency issues specific RIF notices to employees who do not have an offer of 

another position. If the HRO will out-process a large number of employees, the office, in 

close coordination with the RIF team, should consider preparing the separation packages 

in large quantities with specific written instructions for distribution. 

To distribute the material, options range from distribution at a large session for a group of 

separating employees to simply forwarding the material through the employee’s firstlevel supervisor for distribution to the separating employee. Whichever option the 

agency chooses, the HRO should encourage the practice of having all individuals who 

sign the out-processing checklist do so at one location. This centralization is more 

convenient for the agency and its displaced employees. 

The HRO should coordinate with agency management and the agency’s workforce 

information staff in deciding which organization(s) will prepare Standard Form 52s 

documenting each personnel action. For example, in a large RIF, the HRO or another 

common service organization generally produces the SF-52 forms as a bulk operation. 

As another option in some agencies, each organization involved in job abolishments or 

other actions could prepare the appropriate SF-52 forms. 

The HRO should verify that the agency has a current address for each employee who will 

separate from the agency. As part of the agency’s out-processing procedure, the HRO 

should verify the employee’s current address, as written on the SF-52 and/or another 

form. 

OPM’s Guide to Processing Personnel Actions identifies the information required for the 

agency’s out-processing package. As soon as possible, the HRO and the RIF team should 

order enough copies of all forms and related materials needed for out-processing. No 

later than the date the agency issues specific RIF notices, the HRO and the team can 

obtain and begin preparing the necessary out-processing forms (e.g., notices covering the 

Thrift Savings Plan, health benefits, life insurance, unemployment insurance). 

Most State employment offices need a copy of the SF-50 documenting the employee’s 

separation by RIF. If possible, the HRO and the RIF team should give each employee the 

separation SF-50 on the employee’s last day of work. Otherwise, the office and the team 

should mail the form to the employee as soon as possible after the effective date of the 

RIF. The office and the team should verify that each employee’s SF-50 clearly 

documents the employee’s involuntary separation from the Federal service (i.e., review 

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the standard terminology on the form and related material in the “Remarks” section of the 

SF-50). The outplacement team should contact the appropriate State unemployment 

compensation office to verify which documents a displaced employee needs to establish 

eligibility for benefits, and whether the employee who separates before the RIF effective 

date is still eligible for unemployment compensation. 

If an employee with a separation notice resigns or retires before the effective date of the 

RIF, the employee may lose eligibility for selection priority for rehiring (e.g., loss of 

eligibility for the RPL and ICTAP). Depending on the State where the RIF takes place, 

the employee may also lose eligibility for unemployment compensation and retraining 

programs. 

As part of out-processing, the HRO may choose to conduct exit interviews. This 

provides the agency with useful feedback on the RIF process, particularly about each 

employee’s perception of the agency’s career transition assistance programs and other 

outplacement initiatives. 

Besides exit interviews, the HRO may consider asking separating employees to provide 

feedback through paper forms or e-mail survey forms. If the office chooses a paper 

survey, the agency should always include a self-addressed stamped envelope in the outprocessing package. Survey options include asking the employee for feedback at the time 

of separation, and/or after the employee actually separates from the agency. 

Deliver RIF Notices. The HRO will coordinate the delivery of specific written RIF 

notices consistent with the agency’s policy. The HRO should verify that each supervisor 

or management official who delivers RIF notices to employees is fully aware of all 

procedures in the agency’s plan for distribution of the notices. For example, the office 

must ensure that the individual who delivers the notices is aware of the agency’s 

procedure to document delivery of the notices, crisis intervention resources, such as the 

agency’s EAP counselors, that are available if needed, and other elements of the agency’s 

plan. 

 

Consistent with the agency’s plan for distribution of RIF notices, the HRO is responsible 

for documenting any notices that the agency faxes or mails to an employee who is not 

available at a worksite. If the agency mails a notice to an employee, the HRO should use 

registered mail, or even request a return receipt. If necessary, the agency may also 

choose to send a second copy of the notice by regular mail for a backup. If the agency 

faxes a notice to an employee, the HRO should retain verification that the document was 

faxed and received at the designated telephone number. 

In rare situations, an employee may refuse to acknowledge receipt of the RIF notice at the 

work site, or even to accept the RIF notice. If necessary, the agency should use 

registered mail, or request a return receipt, to document delivery of the RIF notice. 

Immediately before the agency delivers RIF notices to individual employees, the HRO 

should provide first- and second-level supervisors, as well as other appropriate 

71
management officials, a list of all employees in their work unit who will be affected by 

RIF actions. 

Rerun RIF to Reflect Changes to the Personnel Roster in the Competitive Area. As 

necessary, the RIF team will redetermine employees’ retention standing based on changes 

to the personnel roster of the competitive area where the agency will conduct the RIF. 

The agency determines each employee’s retention standing on the basis of all positions in 

the competitive area on the effective date of the RIF, not on the basis of all positions in 

the competitive area on the date the agency issues RIF notices. 

After the first run of the RIF, some employees must decide whether to accept or decline 

offers of any positions. If any employee declines an offer, the RIF team must rerun the 

RIF to determine whether another released employee will receive an offer or a better 

offer of a position on the effective date of the RIF. For example, the team may find that 

the agency may now make a better offer of assignment to a released employee, or offer a 

position to an employee originally identified for separation. In making the revised offers 

of positions, the HRO and the team should always advise each employee concerning how 

the new offer may affect the employee’s benefits if the employee accepts or declines the 

offer. 

The RIF team must also rerun the RIF to determine whether a released employee will 

receive a first offer or a better offer as the result of another employee in the competitive 

area separating before or on the effective date of the RIF for a reason such as retirement, 

resignation, or transfer to another agency. 

Finally, the RIF team must rerun the RIF to determine whether a released employee will 

receive a first offer or a better offer if agency management authorizes additional 

vacancies before or on the effective date of the RIF. As the effective date of the RIF 

approaches, the HRO and the RIF team may need to modify the time period for 

employees to accept or decline their RIF placement offers. This procedure will assist the 

team in offering the position to another employee if the first employee declines the offer. 

At the end of a large RIF, the team should have information to contact any employee in 

the event the team can make a last minute offer by telephone. 

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Appendix M: Counseling Employees on Procedures and Options

Planning for Effective Counseling. Employees usually prefer one-stop counseling 

sessions for whatever questions may be raised. However, this option is generally not 

feasible. Instead, (particularly in an initial session) the counselors should first summarize 

the specific subject to ensure that the released employees have a correct understanding of 

the topic before taking questions from the individual employees. Many times the 

summary session will answer most of the employees’ questions. The team can then 

provide subsequent individual counseling sessions to released employees with specific 

concerns about their situation. 

For example, after a group counseling session on RIF mechanics, the HRO may provide 

individual counseling by a member of the RIF team. The HRO should be able to use a 

similar approach to provide released employees with information on the full range of 

options under related subjects (e.g., grade retention, pay retention, severance pay, 

retirement, health benefits, life insurance, Thrift Savings Plan). The HRO should 

coordinate with team leaders and their counselors in deciding the format for each session 

(e.g., the length of each session, the subject(s) to be covered, involvement of personal or 

union representatives, availability of retention records). 

If possible, a group session on a specific subject should not last more than one to two 

hours. A subsequent individual session should generally last no more than 30 minutes. 

The counselors should try not to rush employees, but should provide the employee with 

sufficient time and information to answer each employee’s questions. 

Many agencies wait several days after delivery of RIF notices to employees before 

providing counseling sessions. This allows employees to review OPM’s or the agency’s 

summaries of RIF procedures and benefits before the counseling sessions. However, the 

HRO may still begin signing up employees for the counseling sessions beginning with 

the day the employee receives a RIF notice. If scheduling conflicts develop, the HRO 

should give priority to employees considering an offer of another position because of the 

relatively short time period to make a final decision. 

The HRO should verify that supervisors and managers are allowing employees time to 

attend each session consistent with the agency’s policy on providing official 

administrative time to released employees. The HRO should also maintain a record of 

each group or individual counseling session in the event an employee alleges 

misinformation as an issue in a subsequent RIF appeal or grievance. The HRO should 

consult the agency’s legal staff to resolve any issues concerning access to retention 

records. 

Effective Outplacement Counseling. In a mid-size or large RIF, the HRO often 

establishes a specialized team to provide surplus and displaced employees with effective 

counseling on career transition options. Outplacement services under the agency’s CTAP 

include: 

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• Allowing excused absences so employees may use the agency’s career transition 

services and facilities (which may be onsite or at a different location);

• Providing continued employee access to the agency’s career transition services or 

facilities even if the employee is separated; 

• Convening an orientation session for surplus and displaced employees that 

explains how to use the agency’s career transition services, and the eligibility 

requirements for selection priority under CTAP, ICTAP, and the RPL; 

• Providing retraining opportunities for surplus and displaced employees; 

• Allowing access by employees, including those with disabilities, to career 

transition services at all locations, including headquarters, field offices, and 

remote site locations; 

• Allowing access by disabled employees to information on other forms of Federal, 

State, and local assistance available to support career transition for employees 

with disabilities; 

• Providing employee assistance programs to surplus and displaced employees; and 

• Designating career transition priority based upon individual agency components, 

if the agency elects this option. 

Other common features of an effective outplacement program include sessions on: 

• Preparing résumés; and 

• Negotiating a salary with a private-sector employer. 

All surplus and displaced agency employees are eligible for these outplacement services 

(but not necessarily for selection priority), including excepted service employees and 

members of the Senior Executive Service (SES) who are not covered by OPM’s RIF 

regulations. 

Depending on the size of the RIF, available staff, and agency resources, agency options 

to maximize career transition opportunities include: 

• Establishing its own outplacement center; 

• Using a contractor for briefings and/or counseling; and 

• Referring displaced employees to other available outplacement services. 

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Appendix N: Reemployment Priority List 

Section A: Eli ity Based on RIF

o be placed on the RPL because of a RIF action, the employee must: 

1. Be serving under a competitive service appointment in retention tenure group I or 

2. Have a performance rating above Unacceptable (or equivalent), as the employee’s 

3. Have received a specific notice of separation by RIF or received a Certification of 

4. Not have declined a RIF offer of assignment to a position with both the same 

IF,

eginning of Eligibility

gibil

T

group II (see Section K of this Appendix for a summary of RIF tenure groups and 

subgroups; see Section I in Chapter III for complete information on RIF tenure 

groups and subgroups); 

current annual performance rating of record in RIF competition (the requirement 

for a rating above Unacceptable or equivalent does not apply to employees in 

positions excluded from a performance appraisal system by law, regulation, or

OPM administrative action); 

Expected Separation (CES) (see Chapter Z-5 for information on the CES); and 

work schedule as the position the employee held at the time of separation by R

and the same representative rate as the position the employee held at the time of 

separation by RIF. 

B . An employee may register for the RPL as soon as the employee 

• Specific notice of separation by RIF; or 

• CES. 

ime Limit for Processing Registration

receives a: 

T . The agency must register an eligible former 

IF Demotion Not Covered

employee on the RPL within 10 calendar days of having timely received a registration

form (a registration form is timely received if submitted within 30 days after RIF 

separation). 

R . An employee who will be downgraded, or has been 

ugh the 

o RPL Eligibility from CTAP or Other Agency Placement Programs

downgraded, by RIF is not eligible to register on the RPL. An employee who is 

involuntarily downgraded is eligible for priority consideration in repromotion thro

agency’s internal staffing plan only if the agency provides this option. 

N . An agency may 

not register an employee for the RPL solely on the basis of eligibility in the Career 

75
Transition Assistance Plan (CTAP) or comparable agency-initiated program (such as the 

Department of Defense's Priority Placement Program (PPP)). 

Section B: Eligibility Based on Compensable Injury

To be placed on the RPL because of a compensable injury or disability, the former 

employee must have: 

1. Separated from the former position because of a compensable injury or disability, 

except as provided in the next paragraph below; 

2. Held an appointment in a competitive service position in retention group I or 

group II at the time of the employee’s separation; 

3. Fully recovered from the injury or disability more than 1 year after the injury 

compensation started; and 

4. Requested consideration for reemployment in the agency within 30 days after the 

date compensation ceases, except that when an appeal for continuation of 

compensation is filed, the 30-day period begins the day after resolution is reached. 

Eligibility With Demotion. An agency places on the RPL an employee who accepted a 

lower-graded position in lieu of separation because of a compensable injury or disability, 

provided that the employee meets the four conditions in the paragraph above. 

Eligibility With Partial Recovery. A partially recovered employee has no right to 

restoration, or to register for the RPL. 

Eligibility With Disability Annuity. A former employee’s eligibility for registration on 

the RPL because of recovery from a compensable injury is not affected by the 

individual’s continued eligibility for a disability annuity under the Civil Service 

Retirement System, or under the Federal Employees’ Retirement System. 

Format for Requesting Registration. The former employee may request consideration for 

reemployment and registration for the RPL orally or in writing (i.e., no specific format is 

required). 

 

Time Limit for Processing Registration. The agency must register an eligible former 

employee on the RPL within 10 calendar days of having timely received an oral or 

written request (a request is timely if made within 30 calendar days after worker’s 

compensation ceases). 

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Section C: Length of Eligibility for Selection

Eligibility Period. The agency enters an employee on the RPL based on the employee’s 

RIF retention standing at the time of the employee’s separation (i.e., pending or 

completed separation) from the Federal service. The agency enters a tenure group I 

employee on the RPL for 2 years from the date that the agency registers the employee. 

The agency enters a tenure group II employee on the RPL for 1 year from the date that 

the agency registers the employee. 

Reason for Eligibility Does Not Change Time Period. The reason an employee became 

eligible for the RPL does not change the time period that the present or former employee 

is carried on the list. The time limits for eligibility covered in the paragraph above apply 

to employees eligible for the RPL without regard to the employee’s eligibility based on a 

RIF separation notice or on compensable injury. 

Agency Must Be Able to Contact Registrant. The agency may suspend RPL 

consideration for both permanent and nonpermanent positions for any individual whom 

the agency is unable to contact. The individual may later submit an updated application 

to restore consideration from the RPL, but the employee’s applicable 1- or 2-year period 

of eligibility on the list is not extended beyond the original time period set at the time of 

the employee’s registration. 

Declining Nonpermanent Employment Does Not Affect Eligibility. An employee’s 

declination of an offer of a nonpermanent position has no effect on the employee’s future 

eligibility on the RPL, or future consideration of positions offered through the RPL. For 

example, an employee registered on the RPL may decline a temporary or a term position 

and retain full eligibility on the list. 

Section D: Early Loss of Eligibility

An agency must remove an employee from the RPL before the end of the appropriate 1- 

or 2-year period of eligibility described in Section C above if the individual takes any of 

the actions covered below in this section. 

Removal at Employee’s Request. An agency must remove an employee from the RPL if 

the employee requests removal. 

Employee Accepts a Nontemporary Position. An agency must remove an employee from 

the RPL if the employee accepts, in any agency, a position under a career, 

career-conditional, or excepted appointment without a time limit. 

Employee Declines RIF Offer. An agency must remove an employee from the RPL if the 

employee declines a RIF offer of assignment to: 

• a position with a representative rate equal to the rate of the position from which 

the employee was, or will be, separated; or 

77
• a career or career-conditional appointment, or an excepted appointment without a 

time limit.

Employee Declines RPL Offer. An agency must remove an employee from consideration 

on the RPL for all positions with a representative rate at, or below, that of any position 

the agency offers through the RPL, and for which the individual has: 

• Declined an offer of a career appointment; 

• Declined an offer of a career-conditional appointment; 

• Declined an offer of an excepted appointment without a time limit; or 

• Failed to respond to an inquiry from the agency when the position offered from 

the RPL meets the acceptable conditions covered on the individual’s registration 

form. 

An employee who declines an offer of a position from the agency’s CTAP rather than an 

offer from the agency’s RPL does not lose future eligibility for offers from the RPL. 

Employee Voluntarily Leaves Position Before RIF Separation. An agency must remove 

an employee from the RPL if the employee voluntarily leaves the position before being 

separated by RIF. For example, the employee may voluntarily leave the position by 

retirement, resignation, transfer to another agency, or by a change of positions (including 

a permanent or nonpermanent position in the same or a different agency). 

Employee Declines Interview. An agency must remove an employee from the RPL if the 

employee: 

• Declines an interview for a position; or 

• Fails to appear for a scheduled interview, after being notified by the agency that 

the declination or absence would eliminate the employee’s future eligibility on the 

RPL. 

When an agency removes an individual from the RPL because of failure to reply either to 

a specific offer of a permanent position or to an inquiry of availability for a specific 

permanent vacancy, the agency must have evidence to show that: 

1. The agency made a written offer or inquiry; and 

2. The individual received the offer or inquiry. 

The written offer or inquiry to the individual must clearly state that failure to respond will 

result in future loss of consideration from the RPL for all grades or for lower grades, as 

appropriate. 

78
RIF Notice Cancelled or Expires. An employee who is no longer subject to separation by 

RIF as the result of the cancellation, or expiration, of a specific RIF notice is not eligible 

for the RPL. 

RIF Notice Cancelled or Expires. An agency must remove from the RPL an employee 

(or former employee) who is eligible based upon Alaska or overseas service if the 

employee registered on the RPL for Alaska or overseas leaves the local commuting area 

covered by that RPL, or the employee becomes disqualified for overseas employment 

because of previous service or residence. 

Section E: Employee Registration Based on RIF

Time Limit for Registration. An employee who is eligible for registration on the 

agency’s RPL on the basis of receiving a RIF separation notice must submit a completed 

application to the agency no later than 30 days after the date on which the employee was 

separated by RIF. An employee who does not submit a timely application is not eligible 

for registration on the RPL. 

If the agency chooses to implement an application-based RPL procedure (see description 

below), the eligible employee must complete any initial documentation requested by the 

agency no later than 30 calendar days after the date on which the employee was separated 

by RIF. Section H of this Appendix notes that the agency may also implement the same 

application-based RPL procedure for a former employee who is eligible for the RPL on 

the basis of a compensable injury. 

If the agency did not properly notify the employee of the right to register for the RPL, the 

agency must determine whether corrective action is appropriate. 

First Opportunity for Registration. An employee may request registration on the RPL at 

any time after the employee receives either (1) a specific notice of separation by RIF, or 

(2) a CES. If the employee registers for the RPL before the date of separation by RIF, the 

appropriate 1- or 2-year period of eligibility covered in Section C of this Appendix still 

begins on the date the agency registers the employee on the RPL, rather than on the date 

the agency actually separates the employee by RIF. There is no authority for the agency 

to register an employee on the RPL if the employee has not received either a RIF 

separation notice or a CES. 

Registration Forms. The agency determines what form it uses to register employees for 

the RPL. The registration form must allow each eligible employee to specify other 

acceptable conditions under which the employee will accept a position from the RPL. 

The agency should assist each employee in identifying positions for which the employee 

is qualified, and listing these positions on the employee’s RPL registration form. 

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The eligible employee has the default option to request RPL consideration for all 

potential positions at the same or lower grade that are covered by the RPL. For example, 

when the employee wants consideration for all possible positions, there is no basis for an 

agency to limit RPL consideration only to positions, grades, and series specifically 

identified by the registrant. 

If the employee wants to limit RPL consideration, the employee may restrict 

consideration by identifying other acceptable conditions of employment. 

These restrictions apply to positions that have a different grade and/or work schedule as 

the position the employee held at the time of RIF separation. Conditions of employment 

may include grade, occupation, minimum work hours, and/or designated components or 

certain duty sites in the local commuting area. 

After the employee files the registration form, the employee should advise the agency of 

any significant changes to the information in the form. For example, if the employee 

completes a retraining program after separation by RIF, the individual should notify the 

agency to ensure maximum consideration for positions being filled. 

Application-Based RPL. At its option, the agency may establish an application-based 

procedure to replace or supplement the usual single registration procedure for the RPL. 

The application-based procedure allows an eligible employee to directly apply for RPL 

consideration for a vacancy that the agency plans to fill with an outside candidate. 

Under the application-based procedure option, the eligible employee has RPL 

consideration only when the employee files an application for a vacant position covered 

by the RPL. If the eligible employee has no interest in a position and does not apply by 

the filing deadline, the agency does not consider whether the employee has selection 

priority to that position under the RPL. 

To implement the application-based option, the agency should have a policy to ensure 

each eligible employee has access to the agency’s vacancy announcements for positions 

in the local commuting area that are covered by the RPL. For example, the agency may 

post the vacancies on its website, fax copies of the vacancy announcements to its 

displaced employees, mail copies of the vacancy announcements to its displaced 

employees, and/or call its displaced employees to alert them concerning the vacancies. 

The vacancies will also be listed on OPM’s website (www.opm.gov) as positions open to 

job candidates from outside the agency’s current workforce. 

Time Limit for Processing Registration. The agency must register an eligible employee 

on the RPL within 10 days of having timely received a registration form (submission of 

the form is timely if made within 30 days after RIF separation). If the agency finds that it 

did not meet the 10-day time limit, the agency must review its appointments to determine 

whether corrective action is appropriate, as covered in Section E of this Appendix. 

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Section F: Employee Registration Based on Compensable Injury

Time Limit for Registration. Except as provided below, a former employee who is 

eligible for the RPL on the basis of a compensable injury must request reemployment 

within 30 days after the date the employee’s compensation is discontinued. The request 

can be made orally or in writing. 

An agency may elect not to register an employee early for the RPL based on 

compensable injury. If the agency implements an application-based RPL procedure 

described in Section E above, a former employee who is eligible for the RPL on the basis 

of a compensable injury must complete any documentation requested by the agency 

within 30 days after the date the employee’s compensation ceases. 

Exception to Time Limits. When an employee files an appeal with the Department of 

Labor for continuation of compensation, the 30-day period for requesting reemployment 

as described above begins the day after resolution of the appeal is reached. 

An employee who has filed an appeal for continuation of compensation is still eligible for 

the RPL based upon termination of the compensation. The employee may register for the 

RPL while the compensation appeal is pending, or the employee may wait until the 

compensation appeal is resolved and then apply for registration within 30 days after the 

appeal is resolved. 

Registration Forms. The agency determines what form it uses to register employees for 

the RPL. The registration form must allow each eligible employee to specify other 

acceptable conditions under which the employee will accept a position from the RPL. 

In completing the registration form, a former employee who is eligible for the RPL on the 

basis of a compensable injury also has the default option to request RPL consideration for 

all potential positions at the same or lower grade that are covered by the RPL. As an 

alternative, the former employee may limit consideration by identifying other acceptable 

conditions of employment, such as positions at a lower grade and/or with a different work 

schedule than the position the employee held at the time of separation from the service 

due to a compensable injury. After the former employee files the registration form, he or 

she should advise the agency of any significant changes to the information in the form. 

Time Limit for Processing Registration. The agency must register an eligible employee 

on the RPL within 10 days of having timely received a registration form. If the agency 

finds it did not meet the 10-day time limit, the agency must review its appointments to 

determine whether corrective action is appropriate, as covered in Section E of this 

Appendix. 

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Section G: Employee Consideration Based on RIF

Grade Limits-General. An employee who is eligible for the RPL on the basis of either a 

specific RIF notice of separation or a CES is registered on the RPL for positions with a 

representative rate no higher than the rate of the position the employee held when the 

employee was separated, or will be separated, unless the employee was previously 

downgraded by RIF. An employee who was downgraded by RIF in one or more prior 

actions, and who has now received a notice of separation from a lower-graded position in 

another RIF, is placed on the RPL for positions with a representative rate no higher than 

the highest rate of the former position(s) the employee held when downgraded. 

Promotion Potential. The position offered through the RPL may not have any greater 

promotion potential than the position the employee held at the time of separation from the 

service, unless the employee was previously downgraded by RIF. 

Work Schedule. An agency must consider an employee who is eligible for the RPL on 

the basis of a RIF separation notice only for positions with the same category of work 

schedule (full-time, part-time, intermittent, or seasonal) that the employee holds on the 

date of separation from the service because of a prior RIF. 

At its option, an agency may allow an employee eligible for the RPL to also register for 

positions having a different work schedule from the position that is the basis for the 

employee’s RIF separation notice or a CES. 

Local Commuting Area-General. Except as described below in “Local Commuting Area 

and Agency Placement Program,” an employee who is eligible for the RPL on the basis 

of a RIF separation notice or a CES is entered on the RPL only for the local commuting 

area of the employee’s position. Apart from the two exceptions (i.e., when a transfer of 

function takes place or for positions in Alaska or overseas), an agency has no authority to 

register an employee who is eligible because of a RIF separation notice on a RPL in a 

different local commuting area. 

The RPL covers all components of the agency in a local commuting area. However, an 

employee registering for the RPL may limit coverage to only specified components 

within the local commuting area. 

Local Commuting Area and Agency Placement Program. Through its own internal 

placement program, an agency may also offer priority placement in a different local 

commuting area (or areas) to employees eligible for the RPL, provided that the agency 

has first met its obligation: 

1. Under CTAP to place surplus and displaced employees in the different local 

commuting area: and

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2. To provide RPL rights to employees eligible for the RPL in the different 

commuting area. 

Local Commuting Area After a Transfer of Function. An employee who is separated by 

RIF after a transfer of function is entered on the RPL for the local commuting area of the 

gaining competitive area that conducted the RIF. There is no authority for the agency to 

register an employee on a RPL covering the local commuting area of the losing 

competitive area. 

Local Commuting Area-Alaska and Overseas Positions. An employee eligible for the 

RPL on the basis of a RIF separation notice or a CES from a position in Alaska or 

overseas is also entered on the RPL only for the local commuting area of the employee’s 

former position, except as described below. An employee who leaves a local commuting 

area in Alaska or overseas that is covered by the employee’s RIF separation notice or a 

CES may submit a written request for registration on the RPL applicable to: 

• The local commuting area where the employee worked immediately before the 

Alaskan or overseas service; or 

• Another local commuting area within the United States that is mutually 

acceptable to the agency and the employee. 

An employee serving under an agency’s specific program for rotating certain employees 

between the United States and overseas may register for the RPL in one other local 

commuting area in the United States that is acceptable to both the agency and the 

employee if the employee’s total overseas service would exceed the maximum allowed 

under the agency’s program. This option is available if the employee’s total service or 

residence immediately preceding the RIF separation notice or CES, when added to 

projected additional overseas service or residence, would exceed the agency’s total 

allowable overseas service or residence. 

Section H: Employee Consideration Based on Injury Compensation

Consideration for Same Position. A former employee who is eligible for the agency’s 

RPL on the basis of a compensable injury is placed on the RPL for the employee’s former 

position, or an equivalent position (i.e., a position with the same representative rate as the 

employee’s former position). An employee who was downgraded by RIF in one or more 

prior actions, and who has now received a notice of separation from a lower-graded 

position in another RIF, is placed on the RPL for positions with a representative rate no 

higher than the highest rate of the former position(s) the employee held when 

downgraded. 

Local Commuting Area-General. An employee eligible for the RPL on the basis of a 

compensable injury is entered on the RPL for the local commuting area of the position 

last held by the employee. 

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Consideration of Additional Local Commuting Areas. An employee who is eligible for 

the RPL on the basis of a compensable injury, but whom the agency is unable to reinstate 

in a position in the employee’s former local commuting area, is entitled to priority 

consideration for an equivalent position elsewhere in the agency at the time, and in a 

manner, as the agency determines will provide the individual with maximum 

opportunities for consideration. The expanded search for a position may include 

registering the former employee on the RPL for one or more additional local commuting 

areas. 

The expanded search for a position may also include: 

• Registering the former employee in another placement program administered by 

the agency; or

• Referring the former employee for consideration by other locations within the 

agency. 

A former employee who is eligible for the RPL based on a compensable injury may 

decline expanded consideration for positions in other locations, even though the agency is 

unable to reinstate the employee to his or her former (or an equivalent) position in the 

former local commuting area. Instead, the former employee may request consideration 

for another position in the local commuting area. 

Section I: Restrictions on Filling Positions

General Coverage of the RPL. Apart from the exceptions described below in this section, 

the agency must refer to its applicable RPL before filling a competitive service position 

with an individual who is not presently employed by the agency. 

Permanent and Nonpermanent Competitive Positions. The RPL includes competitive 

service vacancies filled by permanent or nonstatus appointment (e.g., term or temporary). 

Grade Level. The agency must clear the RPL only at the grade level at which it fills the 

position, regardless of the position’s full performance level. If the agency advertises a 

position at multiple grade levels, the agency must clear the RPL only at the grade level at 

which the agency fills the position. 

Private-Sector Temporaries. The RPL covers the use of private-sector temporaries hired 

under authority of part 300, subpart E, of title 5, Code of Federal Regulations. The 

agency must clear the RPL before contracting with a private-sector company under that 

authority. 

Later RPL Registrants After Agency Commits a Position. After the agency has cleared 

the RPL and made a final hiring commitment to an individual who is not registered on the 

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RPL, the subsequent registration of another employee on the RPL does not block the 

agency’s commitment to hire the employee from outside the agency. 

New Appointment. The agency may not make a final employment commitment to an 

individual who is not listed on the RPL, and fill a permanent or temporary competitive 

service position by a new appointment, unless the individual appointed is a qualified 

10-point veterans’ preference eligible. 

Delegated Hiring Authority. The RPL covers a competitive service position filled by an 

appointment under a direct-hire authority, or an examining authority delegated by OPM 

(5 CFR part 330, subpart B). 

Transfer or Reinstatement. The agency may not make a final employment commitment 

to an individual who is not registered on the RPL, and fill a competitive service position 

by transfer or reinstatement, unless the individual is: 

• A preference eligible; 

• Exercising restoration rights based on service in the Armed Forces, or recovery 

within 1 year from a compensable injury or disability; or 

• Exercising other statutory or regulatory reemployment rights. 

Internal Placement Action. Subject to the requirements of CTAP, first filling vacancies 

with surplus or displaced employees, an agency may fill a vacant competitive service 

position without regard to the RPL when the agency offers the vacancy to a current, 

qualified employee as: 

1. A detail or a position change (including promotion, demotion, and reassignment);

2. A conversion to a competitive service appointment of an employee serving under 

an appointment with eligibility for noncompetitive conversion (e.g., conversion of 

an employee serving under a Veterans Recruitment Appointment, under an 

appointment for 30 percent or more disabled veterans, under a Schedule A 

appointment for persons with disabilities, under a Presidential Management 

Fellow appointment, or under a Schedule B Student Career Experience Program 

appointment); 

3. A reappointment by temporary appointment of 1 year or less, without a break in 

service, to the same position currently held by an employee serving under a 

temporary appointment of 1 year or less; or 

4. An extension of an employee’s temporary appointment for the maximum period 

authorized by the appointment authority, or as authorized by OPM. 

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Special Appointment Action. An agency may fill a vacant competitive service position 

through a 30-day special needs temporary appointment without regard to the RPL 

Exception to the Regular Order of Selection. An agency may fill a vacant competitive 

service position without regard to the RPL when the agency makes an exception to the 

regular order of selection from the RPL. See Section M of this Appendix for additional 

information on exceptions to the regular RPL order of selection. 

Section J: RPL Selections-General

Choice of Two Selection Procedures. An agency has two methods for selecting 

employees from its RPL: 

• Retention Standing Order, which is covered in Section K of this Appendix; or 

• Rating and Ranking Order, which is covered in Section L. 

Options in Setting Selection Procedure. In setting its selection procedure from the RPL, 

the agency may adopt the same agency-wide procedure for all RPLs administered by the 

agency, or allow components in different local commuting areas to decide which of the 

two selection procedures is used for the RPL. 

Options in Modifying Selection Procedure. After the agency adopts one of the two 

selection methods for its RPL in a designated local commuting area, the agency must use 

that method in filling all positions. The agency may subsequently change the selection 

procedure from the RPL method that it adopted for a local commuting area. 

The agency may not vary the RPL selection procedures by individual vacancy. This 

means that the agency may not use different selection procedures on the basis of 

individual vacant positions, appointment considerations, potential pool of candidates, or 

other similar factors. 

Section K: Selection from the RPL-Retention Standing Order Procedure

Retention Standing Order Procedure. The first of the two procedures available for 

agencies to select registrants for vacancies to be filled from the RPL uses the RIF 

retention standing of the eligible employees. For each vacancy to be filled using the 

RPL, the agency places registrants in their RIF retention group and subgroup order in 

accordance with the RIF regulations. 

Tenure Group. In making a selection using the order of retention standing, the agency 

must select employees in RIF tenure group order. This means that the agency must select 

all qualified employees in tenure group I before selecting an employee in tenure group II. 

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Competitive service tenure group I includes career employees who are not serving on 

probation. A new supervisor or manager who is serving a probationary period that is 

required on initial appointment to that type of position is not considered to be serving on 

probation if the employee previously completed a probationary period. Competitive 

service tenure group II includes career employees who are serving a probationary period, 

and career-conditional employees. 

Tenure Subgroup. Within a retention tenure group, the agency must select employees in 

RIF tenure group and subgroup order. This means that the agency must select all 

qualified employees in subgroup AD before selecting an employee in subgroup A, and all 

qualified employees in subgroup A before selecting an employee in subgroup B. 

Subgroup AD includes RIF preference eligibles with a compensable service-connected 

disability of 30 percent or more. Subgroup A includes RIF preference eligibles not 

eligible for subgroup AD. Subgroup B includes nonveterans and others not eligible for 

subgroups AD and A. 

Service Date Is Not Used. Within a retention group and subgroup, the agency may select 

any individual registered on the RPL without regard to the employees’ relative RIF 

service computation dates. 

No Specific Priority For Employee’s Prior Position. If the agency adopts the Retention 

Standing Order of selecting employees from the RPL, the agency may make an exception 

to this selection order only in accordance with the provisions covered in Section M of this 

Appendix. . 

Section L: Selection from the RPL-Rating and Ranking Order Procedure

Rating and Ranking Order Procedure. The second of the two procedures available for 

agencies to select registrants for vacancies to be filled from the RPL uses the rating and 

ranking order of the eligible registrants. For each vacancy to be filled using the RPL, the 

agency rates registrants according to their experience and education, using job-related 

evaluation procedures capable of distinguishing differences among the employees’ 

qualifications, which the agency measures and applies in a fair and consistent manner. 

Assigning Employees Numerical Scores. Based on the rating of employees’ experience 

and education described in the preceding paragraph, the agency assigns each qualified 

registrant a score between 70 and 100, and then adds: 

• Five additional points to this score for a registrant entitled to veterans’ preference 

as a nondisabled veteran; or 

• Ten additional points to this score for a registrant entitled to veterans’ preference 

under 5 U.S.C. 2108(3)(C) through (G) as a disabled veteran, or based on derived 

preference. 

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See OPM’s VetGuide at https://www.opm.gov/policy-data-oversight/veterans-services/

vet-guide-for-hr-professionals/ for information on eligibility for veterans’ preference. 

Ranking Employees’ Numerical Scores. After assigning registrants a numerical score as 

covered in the paragraph above, the agency ranks registrants based on their scores in the 

following order by: 

1. Listing, in the order of their total rating scores, employees with 10-point veterans’ 

preference eligibility because of a service-connected compensable disability of 10 

percent or more, except when the position being filled is a professional position at 

or above grade GS-9 (or equivalent); 

2. Listing all other registrants in the order of their total scores: 

• Registrants entitled to 10-point veterans’ preference are listed first at each 

score; 

• Registrants entitled to 5-point veterans’ preference are listed second at 

each score; and 

• Registrants not entitled to veterans’ preference are listed at each score. 

The agency must make its selection for the vacancy from among the three 

highest-rated registrants who are available for the position. 

Exception to the Order of Selection. If the agency adopts the Rating and Ranking Order 

of selecting registrants from the RPL, the agency may make an exception to the selection 

order, and pass over a registrant who is eligible for veterans’ preference to select a 

registrant who is not eligible for veterans’ preference, only in accordance with Section M 

below. 

Section M: Exceptions to the Regular Order of Selection

Undue Interruption Exception. An agency may make an exception to either of the two 

regular orders of selection from the RPL covered in Sections K and L of this Appendix 

only if the agency finds that the exception is necessary to obtain an employee for duties 

that cannot be taken over without undue interruption to the agency by an employee who 

is on the RPL, or has higher standing on the RPL than another registrant on the RPL 

whom the agency wishes to place in the position. 

Agency Options. When using an exception to the regular order of selection from the 

RPL, the agency may: 

• Appoint an individual who is not on the RPL; 

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• Appoint a registrant on the RPL who has lower standing than another employee 

on the RPL; or 

• Pass over a registrant on the RPL who is eligible for veterans’ preference in order 

to select an employee who is not eligible for veterans’ preference. 

Limitation on Use of Exceptions. An agency may not make an exception to the regular 

order of selection from the RPL on the basis that the registrant with the higher retention 

standing on the RPL is not as well qualified as another candidate for the vacancy. 

Documenting Exceptions. When an agency makes an exception to the regular order of 

selection to the RPL, the agency must notify, in writing, each registrant on the RPL who 

is adversely affected by the exception, including the reasons for the exception and the 

right of the registrant to appeal the exception to MSPB. 

Section N: Qualifications for Selection

General Requirements. An employee registered on the RPL is considered qualified for 

selection from the RPL for a vacancy if the registrant meets: 

• All OPM-established qualification standards and requirements for the position, 

including any minimum educational requirement; 

• All selective placement factors established by the agency; 

• All medical and physical qualifications, with reasonable accommodation where 

appropriate, to perform the duties of the position; 

• Any special qualifying conditions that OPM has approved for the position; and 

• Any other applicable requirements for appointment to the competitive service. 

The agency may not consider the employee’s gender in determining qualifications 

without approval by OPM. 

Exception to Qualifications. An agency, at its option, may make an exception to the 

qualification standard covered above, and adopt an alternative qualification standard for a 

position if: 

• The agency applies the exception consistently and equitably in filling a position; 

• The registrant meets any minimum educational requirements for the position; and 

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• The agency determines that a registrant found qualified under the exception has 

the capacity, adaptability, and special skills needed to satisfactorily perform the 

duties and responsibilities of the position. 

When a registrant’s qualifications for a position are an issue in an RPL appeal filed with 

MSPB, the general standard described above applies. 

No Waiver of Selection Order. In adopting an alternative qualification standard 

described above, an agency may not waive the order of selection for either the Retention 

Standing Order of selection from the RPL, or the Rating and Ranking Order of selection 

from the RPL. 

Section O: Alternative Agency Placement Programs

Agency Option To Establish RPL Alternative. At its option, an agency may establish its 

own placement program as an alternative to the RPL. A placement program established 

by an agency as an alternative to the RPL still must meet the basic requirements of 

OPM’s regulations on the RPL (including veterans’ preference for eligible registrants). If 

the agency implements an alternative placement program, many of the other regulatory 

requirements covering the RPL are not applicable. 

OPM Approval Required. An agency wishing to establish a placement program as an 

alternative to the RPL should send the request to: 

Deputy Associate Director 

Recruitment and Hiring

U.S. Office of Personnel Management 

1900 E Street NW, Room 6500 

Washington, DC 20415 

In its request to OPM, the agency should provide complete information on its proposed 

alternative placement program. To expedite processing, the agency also should fax the 

request to 202-606-4430. 

Section P: RPL Appeals and Grievances

Right to Appeal. An eligible current or former employee may appeal to MSPB if the 

individual believes the agency violated RPL rights by: 

• The employment of another person who otherwise could not have been appointed 

properly; 

• An exception to the order of selection from the RPL; or 

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• The denial of the individual’s request for reemployment after injury compensation 

ceases. 

The individual’s right to appeal an RPL issue also applies where an agency operates an 

approved alternative placement program covered in Section O above. 

Agency Notice of Appeal Rights. An agency is required to advise eligible employees 

about the RPL when it issues a RIF notice of separation. The notice of employees’ rights 

under the RPL must include information about appeal rights and the appeals process. An 

agency is also required to advise eligible employees about the right to file an RPL appeal 

when the agency uses an exception to the RPL in filling a position from outside of the 

agency. 

Agency Notice of How to Appeal. When an agency issues a decision notice to an 

employee on a matter appealable to MSPB, the agency must provide the employee with 

the following information: 

1. Notice of the time limits for appealing to MSPB; 

2. Any applicable limits on the employee’s right to file an appeal because of a 

bargaining agreement and notice of any applicable right of the employee to file a 

grievance; 

3. If (2) is applicable, the right of the employee to elect whether to file an appeal to 

MSPB based on discrimination in lieu of a grievance; 

4. The address of the appropriate MSPB office where the employee should file the 

appeal; 

5. A copy, or access to a copy, of MSPB’s regulations found in 5 CFR part 1201; 

and 

6. A copy of the appeal form found in 5 CFR part 1201-Appendix I of MSPB’s 

regulations. 

MSPB’s complete appeals regulations, forms and procedures are available on its website 

at www.mspb.gov. 

Section Q: Corrective Action

MSPB Finds RPL Error. MSPB may order a retroactive remedy if it finds that an agency 

violated the letter or the spirit of OPM’s RPL regulations. See Section P of this 

Appendix for information on RPL appeals. 

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Agency Finds RPL Error. If an agency finds on its own initiative that it filled a position 

without regard to the RPL, the agency may find that corrective action is appropriate, 

which may include accepting a completed application even if more than 30 calendar days 

elapsed since the employee was separated by RIF, and/or reviewing agency appointments 

to determine whether other corrective action is appropriate. 

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Appendix O: Interagency Career Transition Assistance Plan (ICTAP)

Section A: Other Qualifying Conditions for Eligibility

General Eligibility Conditions. To be eligible for selection priority under ICTAP, a 

displaced employee must meet all of the conditions covered in (1) through (6) below. 

The employee must: 

1. Have a current performance rating of Level III or higher (Fully Successful or 

equivalent) (this requirement does not apply to employees in positions excluded 

from a performance appraisal system by law, regulation or OPM administrative 

action, or to an employee eligible for ICTAP because of compensable injury or 

disability annuity, including a special disability retirement benefit paid to a 

military reserve or National Guard technician); 

2. Apply for a vacancy that is at or below the grade level of the position from which 

the employee may be or is being separated and has no greater promotion potential 

than that position, based upon the employee’s position of record at the time of 

separation. 

3. Occupy a position located in the same local commuting area as the vacancy; 

4. File an application for a specific vacancy within the time frames established by 

the hiring agency; 

5. Provide proof of eligibility for selection priority under CTAP (see Appendix B, 

Section H); and 

6. Be well-qualified (as determined by the agency) for that specific vacancy (see 

Chapter IV, Section B). 

Section B: Beginning Date of Eligibility

Qualifying Notices. A displaced employee is eligible for selection priority under ICTAP 

beginning with the date: 

1. The individual receives a specific notice of separation by RIF; 

2. The individual receives a written notice of proposed removal (including a final 

decision) by adverse action for declining a directed reassignment, transfer of 

function, or other similar relocation outside the employee’s present local 

commuting area; 

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3. The agency certifies that it cannot place an individual who was separated because 

of compensable injury or illness, and whose compensation has been terminated; or 

4. An individual who is receiving a disability annuity under CSRS or FERS 

(including a special disability retirement benefit paid to a military reserve or 

National Guard technician) is notified that the annuity has been or will be 

terminated. 

Section C: Ending Date of Eligibility

RIF Separation Notice. ICTAP selection priority expires 1 year following the date of 

separation by RIF. A displaced employee is no longer eligible for ICTAP selection 

priority, beginning with the date the agency cancels the employee’s specific notice of 

separation by RIF. 

Removal for Declining Relocation. ICTAP selection priority expires 1 year from the date 

the employee is removed by adverse action for declining a directed reassignment, transfer 

of function, change of duty station, or other similar relocation outside the employee’s 

present local commuting area. 

Cancellation of Notice. ICTAP selection priority expires beginning with the date the 

agency cancels the employee’s proposed or final notice of removal by adverse action for 

declining a directed reassignment, transfer of function, or other similar relocation outside 

the employee’s present local commuting area. 

Agency Failure to Restore from Injury Compensation. Selection priority under ICTAP 

expires 1 year from the date the agency certifies that it cannot place an individual 

separated because of compensable injury or illness, and whose compensation has been 

terminated. 

Termination of Disability Annuity. Selection priority under ICTAP expires 1 year from 

the date an individual receiving a disability annuity is notified that the annuity has been 

or will be terminated. 

Acceptance of Another Position. Selection priority under ICTAP expires the day before 

the individual receives a career, career-conditional, or excepted appointment without time 

limit, in any agency and at any grade level. 

Entitlement to selection priority ends even if the employee accepts a term or temporary 

position in any agency before involuntary separation because the employee no longer 

meets the definition of a displaced employee. An employee who accepts a time-limited 

position after involuntary separation retains eligibility for selection priority under the 

Plan for 1 year from the date of involuntary separation. 

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Voluntary Separation. A displaced employee’s eligibility for selection priority under 

ICTAP ends on the date the individual voluntarily separates from the agency by 

resignation, retirement under authority other than DSR, or other reason. 

Commitment to Voluntarily Separate. A displaced employee loses eligibility for 

selection priority under ICTAP if the employee makes a commitment to separate 

voluntarily from the agency. For example, a displaced employee is no longer eligible for 

selection priority under ICTAP after the agency accepts the employee’s application to 

voluntarily retire or resign from the agency. This includes a voluntary retirement or 

resignation when the employee and the agency enter into a voluntary separation 

agreement in exchange for a Voluntary Separation Incentive Payment (VSIP, also known 

as a “buyout”). 

Declination of Permanent Position. At the agency’s option, a displaced employee is no 

longer eligible for selection priority under ICTAP from the date the individual declines a 

career, career-conditional, or excepted appointment without time limit, for which the 

individual has both applied and been rated well-qualified. 

Failure to Respond to Inquiry. At the agency’s option, a displaced employee is not 

eligible for selection priority under ICTAP from the date determined by the agency when 

the individual fails to respond within a reasonable period of time to an offer of a position, 

or an official inquiry of availability for a position. 

Preference Eligible Separated from Restricted Position Because of A-76 Contracting Out. 

A preference eligible employee who is separated from a restricted position by RIF under 

the RIF regulations because of Office of Management and Budget (OMB) Circular A-76 

contracting out has interagency selection priority under ICTAP for 2 years following 

separation from the restricted position. 

Section D: Notification Requirements

Orientation Session. Agencies must actively provide placement assistance to displaced 

and surplus employees through their overall CTAP. An individual agency’s specific 

OPM-approved plan includes the agency’s policies to provide career transition services to 

all surplus and displaced agency employees affected by downsizing or restructuring. 

This includes a requirement that the agency provide a specific orientation session for 

surplus and displaced employees on the use of career transition services, and the 

eligibility requirements for selection priority under both the CTAP and ICTAP. The 

orientation session must include information on how eligible employees apply for 

vacancies under both CTAP and ICTAP. 

Notification of CTAP. At the time an agency issues a specific notice of separation by 

RIF, or by adverse action procedures for declining relocation to a position in a different 

local commuting area, the agency must give each of its eligible employees information in 

writing about the special selection priority available to them under the agency’s CTAP. 

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This information must contain guidance to the employee on how to apply for vacancies 

under CTAP and what documentation is generally required as proof of eligibility. 

The agency must provide the same information to each employee who has received a 

Certification of Expected Separation (CES), or other official agency certification that 

identifies an employee as being likely to be separated by RIF or other involuntary action 

not for cause. 

Notification of ICTAP. At the time the agency issues a specific notice of separation by 

RIF, or a notice of proposed removal by adverse action procedures for declining 

relocation to a position in a different local commuting area, the agency must give each of 

its eligible employees information in writing about the special selection priority available 

to them under the ICTAP. This information must contain guidance to the employee on 

how to apply for vacancies under the ICTAP and what documentation the employee 

needs as proof of eligibility for selection priority. 

Notification of Qualification Requirements. A hiring agency must take reasonable steps 

to ensure that a displaced employee eligible under ICTAP is notified of what is required 

to be found well-qualified for a vacancy. After an agency has announced a vacancy to 

ICTAP eligibles, the agency is not required to re-announce the position before making 

additional selections if the announcement stated the agency may fill more than one 

vacancy from the applicant pool established by the announcement. 

Notification of Qualifications Determination. Each agency is required to advise, in 

writing, candidates under ICTAP who apply for specific vacancies within the local 

commuting area of the results of their application, and whether they were found 

well-qualified for a vacancy. 

If the agency finds a candidate is not well-qualified, the notice to the candidate must 

include information on the results of an independent, second review conducted by the 

agency. The agency must ensure that a documented, independent second review is 

conducted whenever the agency finds an otherwise eligible employee not well-qualified. 

The agency must also advise the applicant in writing of the results of the second review. 

If the agency finds that a candidate is well-qualified, but the agency selected another 

well-qualified displaced candidate for the vacancy, the agency must advise the candidate 

who was not selected of this action. 

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Section E: Order of Selection

Specific Order of Selection. When filling a vacancy, the agency must select a displaced 

employee who is eligible for ICTAP selection priority before selecting any other 

candidate for the vacancy from outside the agency. When filling a vacancy from outside 

the agency’s permanent competitive service workforce, the agency must use the 

following order of selection: 

1. First in the order of selection—current or former employees of the agency who 

are registered under the agency’s RPL; 

2. Second in the order of selection and under appropriate selection procedures—at 

the agency’s option, any other former employee who was displaced from the 

agency; 

3. Third in the order of selection—current or former Federal employees who were 

displaced from other agencies and are eligible for selection priority under ICTAP; 

4. Fourth and last in the order of selection and under appropriate selection 

procedures—at the agency’s option, any other candidate for the vacancy. 

Covered Actions. The following actions are covered by ICTAP and are subject to the 

order of selection above: 

1. Competitive appointments to the Federal service from registers or delegated 

examining authority (this also includes a new competitive service appointment for 

an employee already on the agency’s rolls); 

2. Noncompetitive appointments to the competitive service; 

3. Movement of personnel between agencies, except when the movement is a 

permitted exception and results from the noncompetitive movement of displaced 

employees between agencies as the result of a reorganization, transfer of function, 

mass transfer, or similar action under appropriate authority; 

4. Reinstatement actions, except when the agency, at its option, elects to reinstate 

any other former employee who was displaced from the agency; and 

5. Time-limited competitive service appointments of 121 days or more, including all 

extensions, except as provided as an authorized exception for extensions of 

certain temporary or term appointments up to the full period allowed. 

Temporary Help Services. When filling a vacancy, the agency must select a surplus or 

displaced employee who is eligible for selection priority under CTAP or ICTAP before 

procuring temporary help services. 

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Section F: Exceptions to the ICTAP Special Selection Priority 

ICTAP selection priority does not apply to the following actions: 

• CTAP Selections;

• Selections from a Reemployment Priority List; 

• Appointments of 10-Point Preference Eligibles (See Vet Guide on the OPM website 

at www.opm.gov for information on veterans’ preference issues); 

• Reemployment of Former Agency Employees Who Have Regulatory or Statutory 

Reemployment Rights (including the reemployment of injured workers who have 

either been restored to earning capacity by the Department of Labor’s Office of 

Workers Compensation Programs (OWCP), or who have received a notice that their 

compensation benefits will cease because of recovery from the disabling injury or 

illness); 

• Temporary Appointments of Less Than 121 Days; 

• Placements from RIF and Transfer-of-Function Actions; 

• Filling Positions in the Excepted Service (including appointments to positions (such 

as Schedule A attorneys) which can be filled only through excepted service 

appointments, as well as excepted service appointments to competitive service 

positions (such as appointments of persons with disabilities or those eligible for 

Veterans Recruitment Appointments); 

• Noncompetitive Conversion from Excepted Service Positions (e.g., a Veterans 

Recruitment Appointment to a career-conditional appointment); 

• Noncompetitive Movement of Employees Between Agencies Resulting From 

Interagency Reorganization, Interagency Transfer of Function, Interagency Mass 

Transfer, Interagency Realignment, or Similar Interagency Action (An interagency 

transfer of a function or involuntary permanent movement of personnel can be 

carried out only with the specific authorization of Congress. See Chapter IV for 

information on transfer of function); 

• Reemployment Under a Trial Retirement Program; 

• Actions Taken Pursuant to the Settlement of a Dispute (e.g., a formal complaint, 

grievance, appeal, or other litigation. This exception does not apply to actions taken 

to resolve informal complaints); 

• Extension of Temporary or Term Appointments up to the Full Period if Allowed , 

unless the original vacancy announcement specified that the position is open to 

displaced employees eligible under ICTAP and that an employee has a right to 

selection priority if the agency finds the individual well-qualified for the vacancy 

(the original announcement must have stated that an extension of the appointment is 

possible without further announcement); 

• Reappointment to Special Skills Positions (i.e., reappointment of former agency 

employees to hard-to-fill positions, the duties of which require unique skills and 

experience necessary to conduct a formal skills-based training program for the 

agency. This exception includes extensions to the 2- or 4-year limit allowed for 

temporary and term appointments, respectively, that OPM may grant); 

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• Public or Private Enterprise That Becomes Federal Function (i.e., the retention of an 

individual whose position is brought into the competitive service, and subsequently 

converted to a career or career-conditional competitive service appointment, 

following the assumption by the Federal Government of a public or private 

enterprise); 

• Excepted Positions Brought into the Federal Service (i.e., the retention of an 

individual whose position is brought from the excepted service into the competitive 

service, and subsequently converted to a career or career-conditional competitive 

service appointment. This exception includes the movement of an excepted service 

position into the competitive service, and the conversion of the incumbent to a 

competitive service appointment); 

• Retention of Individuals Covered by a Variation of OPM Regulations (5 CFR 

5.1); 

• Guaranteed Placement of SES Member to a Position in Another Personnel System 

(including the agency’s return of an SES member to the employee’s former position 

(or an equivalent position) when the senior executive’s limited appointment is 

terminated for reasons other than misconduct, neglect of duty, or malfeasance); 

• Interagency Details; 

• Interagency Job Swaps (i.e., a job swap to avoid involuntary separations, under a 

specific job swap plan approved by OPM. This exception does not apply to an 

individual arrangement to exchange jobs initiated by employees and/or managers for 

other reasons, such as personal desire to relocate); 

• Transfer of ICTAP-Eligible Employee, provided that the position to which the 

individual is transferring must not have any greater promotion potential than the 

position that the individual currently holds, or last held in the competitive service. 

Also, the employee must not have been separated from the last position for 

performance or conduct reasons; 

• Reinstatement of ICTAP-Eligible Employee, provided that the position to which the 

individual is reinstated must not have any greater promotion potential than the 

position the individual last held in the competitive service. Also, the employee must 

not have been separated from the last position for performance or conduct reasons; 

• Voluntary Transfer Under Memorandum or Agreement (e.g., an interagency training 

program where several agencies cooperate to create a centralized training program. 

One agency appoints and trains the employees, who are transferred to the rolls of 

one of the participating agencies after they complete the program. This exception 

does not apply to an individual arrangement to exchange jobs initiated by employees 

and/or managers for other reasons, such as personal desire to relocate); 

• Appointment to Positions Restricted to Veterans under section 3310 of title 5, 

United States Code. 

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Section G: Reporting Vacancies to OPM

Reporting Requirement. Agencies must report all competitive service vacancies to OPM 

when an agency accepts applications from candidates outside the agency, except when 

the agency elects to fill a position by the transfer or reassignment from another agency of 

a candidate eligible under ICTAP. 

• The requirement to report vacancies to OPM includes temporary positions lasting 

121 or more days. 

• The announcement must specifically include the agency’s definition of “wellqualified” and information on how applicants eligible for ICTAP may apply for 

the position. 

• The grade level(s) of the announcement must include the grade level at which the 

job is ultimately filled. 

• After an agency has announced a vacancy to individuals eligible under ICTAP, 

the agency is not required to re-announce the position before making additional 

selections if the announcement stated that the agency may fill more than one 

vacancy from the applicant pool established by the announcement. 

Report Content-General. Each agency’s notice to OPM of a job announcement must 

include the position’s title, location, pay plan and grade (or pay rate), the deadline for 

applications, and other information specified by OPM. 

Report Content-Electronic File. In addition to the general requirement above, agencies 

are required to provide OPM with an electronic file for all positions reported of the 

complete job announcement or recruiting bulletin, which must contain: 

1. The title, series, pay plan, and grade (or pay rate) of the position(s); 

2. The duty location of position(s); 

3. The opening and closing dates of the job announcement or recruiting bulletin, 

plus any other information dealing with how application receipt will be 

controlled, such as the use of early cut-off dates; 

4. The name of the agency that issued the job announcement or recruiting bulletin, 

and the applicable announcement number; 

5. The qualification requirements for the job, including knowledge, skills, and 

abilities; 

6. The entrance pay for the job; 

7. A brief description of duties for the job; 

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8. The basis for the agency to rate candidates for the job; 

9. What the candidate should file when applying for the job; 

10.Instructions on how the candidate may apply for the job; 

11.Information on how the candidate may claim veterans’ preference (if applicable) 

in applying for the job; 

12.Information concerning the agency’s definition of “well-qualified,” and 

information on how candidates under CTAP and/or under ICTAP may apply for 

the vacancy, including proof of eligibility required; 

13.An Equal Employment Opportunity statement; and 

14. A reasonable accommodation statement. 

Additional Selections From Vacancy Announcement. After an agency has announced a 

vacancy to potential ICTAP eligible employees, the agency is not required to reannounce the position before making additional selections if the announcement stated 

that the agency may fill more than one vacancy from the applicant pool established by the 

announcement. 

Section H: Application for Vacancies

Application Procedures. In order for an eligible employee to receive special selection 

priority under ICTAP, the individual must: 

1. Apply for a specific vacancy in the same local commuting area as the employee’s 

present (or last) position; and 

2. Attach the appropriate proof of eligibility. 

The individual must apply for the vacancy and submit all required forms or documents, 

including proof of eligibility, within the time frames set by the hiring agency. The 

individual is eligible for selection priority under ICTAP only if the hiring agency finds 

that the applicant is well-qualified for that vacancy. An ICTAP applicant who is not 

well-qualified, but is otherwise eligible and qualified for the job, should be considered 

with other merit promotion applicants under the agency’s merit promotion plan. 

Status of Application After ICTAP Eligibility Expires. Once the employee’s eligibility 

under ICTAP expires, the employee continues to receive selection priority for that 

vacancy, as long as the employee was eligible when the announcement closed. 

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Section I: Proof of Eligibility

The following are acceptable forms of proof of eligibility for ICTAP Special 

• RIF Separation Notice.

Selection Priority: 

 A copy of a personnel action (i.e., a completed Standard 

•

Form (SF) 50, “Notification of Personnel Action”) showing separation by RIF; 

Proposed Removal Notice after Declining Relocation. A notice of proposed 

removal by adverse action for declining a directed reassignment, transfer of 

function, or other similar relocation outside the employee’s present local 

commuting area. (The initial reassignment notice, and/or the employee’s 

declination of the reassignment, are not proof of eligibility for ICTAP); 

• Documentation of Removal after Declining Relocation. Documentation of 

eparated Because of 

adverse action separation for declining a directed reassignment, transfer of 

function, or other similar relocation outside the employee’s present local 

commuting area. (The documentation that an individual uses to establish 

eligibility for the ICTAP includes a completed SF-50); 

• Certification of Agency’s Inability to Place Employee S

Compensable Injury. An official certification from an agency stating that it 

cannot place an individual whose injury compensation has been terminated, o

now being terminated; 

• OPM Notification of Te

r is

rmination of Disability Annuity (i.e., notification that an 

individual’s disability annuity has been, or is being, terminated); 

• Documentation of Retirement on RIF Effective Date. An eligible employee may 

 of the 

entation of Discontinued Service Retirement After Receiving RIF 

provide a copy of a specific notice of separation by reduction in force, and 

documentation that the individual subsequently retired on the effective date

RIF; 

• Docum

Separation Notice. An employee who retires under the discontinued servi

retirement option after receiving only a notice of position abolishment and no

specific RIF separation notice is not considered a displaced employee and is not 

eligible for ICTAP; 

• Disabled Reserve or 

ce 

t a

National Guard Technician. An official notification from a 

military department or the National Guard Bureau that a former Military Reserve 

Technician, or a former National Guard Technician, is now receiving a special 

disability CSRS or FERS retirement annuity from OPM. 

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Section J: Agency Selections for Vacancies

Overall Order of Selection. In making selections for a vacancy from among candidates 

with selection priority under ICTAP, the agency must first follow the overall order of 

selection covered in Sections E and F above. 

One Eligible Employee. An agency may not select another candidate from outside the 

agency’s competitive service workforce for a vacancy if the agency has an available 

ICTAP eligible employee who is well-qualified for the vacancy. 

Two or More Eligible Employees. If two or more ICTAP eligible employees apply for a 

vacancy, the agency may select any of these eligible employees for the vacancy. The 

agency must provide a written notice to any ICTAP eligible employee who is not

selected. 

No Eligible Employees Apply. If no eligible employees apply for a vacancy, the agency 

may select another candidate from outside the agency’s competitive service workforce 

without regard to ICTAP. 

No Well-Qualified Employees Apply. If the agency finds none of the applicants for a 

vacancy are ICTAP-eligible employees because none of the applicants are well-qualified, 

the agency may select another candidate from outside the agency’s competitive service 

workforce without regard to ICTAP. 

Selecting Current or Former Employees in Same Agency. An agency may select a 

candidate without regard to ICTAP if the selection is made from the agency’s: 

• RPL;

• CTAP; or 

• Other current competitive service employees. 

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Section K: OPM Oversight of ICTAP

OPM Oversight and Review. OPM is responsible for oversight of ICTAP. OPM at any 

time has the right to conduct reviews of an agency’s actions relating to ICTAP. OPM 

also provides advice and technical assistance to agencies implementing ICTAP. 

No Appeal Right to the Merit Systems Protection Board. An employee has no right to 

appeal an ICTAP issue to the Merit Systems Protection Board (MSPB). 

Appendix P: Post RIF Actions

Review the Agency’s Planning and Implementation of the RIF. Subject to approval of 

agency management, the HRO should evaluate and summarize the agency’s actions in 

planning and implementing the RIF. The most useful evaluation and summary includes 

input from agency management, management officials, supervisors, employees, unions, 

and the agency’s human resources staff (including, for example, input from the core and 

support RIF teams). The final product should greatly assist implementation of future RIF 

actions, either in the same or a different agency component. At the option of agency 

management, the HRO should establish a team to review and summarize the 

effectiveness of its actions (e.g., possibly including a review of implementation of the 

RIF, outplacement success, and counseling issues). 

Respond to RIF Appeals, Grievances, and Other Third-Party Actions. As needed, the 

HRO should coordinate with agency management, the agency’s legal staff, and possibly 

with labor relations specialists and line managers in responding to third-party challenges 

from employees reached for RIF actions. 

An employee who is separated or demoted by RIF has a basic right to appeal the action to 

MSPB. In lieu of the appeal right, some employees have a basic right to file a grievance 

under an applicable collective bargaining agreement. Other options for an employee 

reached for a RIF action include filing a complaint with the Office of Special Counsel, 

and/or under the provisions of the Equal Employment Opportunity Act. The Special 

Counsel’s website at www.osc.gov has information on filing a complaint with that 

agency. The HRO can provide employees with information on filing an EEO complaint 

under the same procedures that apply to other issues. 

If the agency receives a RIF appeal, grievance, and/or complaint, the agency should first 

review all applicable procedures, addresses, and time limits for responding to the 

challenge. The agency should then evaluate the merits of the challenge. This may 

require the HRO to reconstruct the RIF in order to determine whether the challenge has 

any merit. 

The RIF regulations require an agency to retain all retention registers and related records 

for at least 1 year from the date the agency issues a specific written RIF notice to an 

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employee. However, at its option the agency should retain any retention records that are, 

or may be, subject to an appeal or grievance without regard to the 1-year limit. 

Continue Outplacement and Rehiring Initiatives for Displaced Employees. As needed, 

the HRO and its outplacement team should continue efforts to assist displaced former 

employees who were separated by the RIF. OPM’s CTAP regulations, at 5 CFR part 

330, subpart F, require an agency to provide its involuntarily separated employees with 

access to the agency’s career transition services or facilities even after the employee is 

separated. 

The RIF regulations require an agency to provide an employee who receives a RIF notice 

with a release that allows the agency to forward the employee’s résumé and other 

employment information to potential employers. Consistent with its commitment to 

provide maximum career transition services, the HRO and its outplacement team should 

continue to make the displaced employee’s résumé available to potential employees even 

after separation by RIF. 

Finally, the HRO is responsible for providing each qualified employee who is separated 

by RIF with intra-agency selection hiring priority over outside candidates through the 

agency’s RPL. A displaced employee may register for the RPL and immediately receive 

selection priority from the RPL when the employee receives a RIF notice of separation. 

If the agency subsequently separates the employee by RIF, a separated career employee is 

eligible to continue on the RPL for 2 years following registration, while a careerconditional employee has eligibility for 1 year following registration. 

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Appendix Q: OPM Reimbursable Services

OPM can provide a wide range of reshaping services. OPM’s Reshaping Services 

Program at OPM’s Midwest Service Branch can provide information and pricing on 

reshaping services. Contact OPM’s Reshaping Services Program at 816-426-7024, or by 

e-mail at kansascity@opm.gov. 

Reshaping Reimbursable Services Available From OPM. OPM provides the following 

reimbursable services to agencies involved in reshaping: 

1. Organizational Transformation Services. OPM can help an agency restructure 

and achieve maximum organizational performance through its most important 

asset, the agency’s human capital. Organizational change is managed, but 

organizational transformations require leadership. OPM can provide an agency’s 

decision-makers with guidance on all the model practices included in WROH 

Chapter 1. This will facilitate effective organizational change that will readily 

achieve excellence in performance of the agency’s missions. OPM can also serve 

as an executive coach to align leadership with the goals of the transformation. 

Organizations using executive coaching find it sends a powerful dual message to 

the workforce: (1) managers are serious about change, and (2) both managers and 

non-managers must be prepared to change in a successful reorganization. 

2. Organizational Consultant. OPM can act as an organizational consultant for an 

agency. OPM can propose appropriate solutions and systems consistent with the 

agency’s specific reshaping goals. Solutions include redesign of the agency’s 

organizational structure, design and development of the agency’s human 

resources systems to support the agency’s reshaping goals, change management, 

and competency-related tasks, such as identifying, assessing, and developing 

competency-based solutions. 

3. RIF Planning and Implementation. The RIF process makes the agency 

responsible for providing employees with their substantive retention rights. OPM 

can provide on-site technical consultation to the agency’s managers, employees, 

and human resources office. OPM can also assist the agency in implementing the 

retention regulations. OPM’s services may cover the entire process from the 

planning stage through actual implementation of RIF actions. OPM has expertise 

in automated systems, database and records management, briefings, assignment 

right determinations, benefits options, outplacement, and more. 

4. Results-Based Career Transition Services. OPM can provide career transition 

services to meet the agency’s organizational goals and the needs of its employees. 

OPM can provide career counseling directly to employees affected by reshaping 

actions. OPM has helped many agencies outplace and transition surplus 

employees into new careers and new educational options. Finally, OPM also has 

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conducted career and outplacement job fairs. OPM will set up the event, market 

the session, create skills summaries, and provide additional appropriate services. 

5. Succession Planning. After reshaping or downsizing, many agencies face a 

critical shortage of technical expertise and skilled managers when key personnel 

leave. OPM can provide succession planning services, including development of 

a succession plan tailored to the needs and goals of an organization, identification 

of key positions, assessment of critical competencies, selection tools, and training 

and development plans. 

6. Workforce Retention. OPM consultants have an excellent track record of 

working with agencies to identify the underlying organizational issues affecting 

turnover, and developing solutions that enhance employee satisfaction and 

retention. There is rarely a single solution to an organization’s retention issues. 

OPM consultants can provide workforce retention strategies from a variety of 

perspectives, including assessment of organizational climate, the role of 

management in reducing turnover, selection and assimilation of employees into 

the organization, employee satisfaction surveys, and employment and workplace 

flexibilities that enhance retention. In addition, OPM can establish metrics that let 

an agency monitor and evaluate the effectiveness of retention strategies to ensure 

they achieve the desired results.