REDUCTION IN FORCE IN THE SENIOR EXECUTIVE SERVICE

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP89-01114R000300080038-5
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 21
• Document Creation Date: December 9, 2016
• Document Release Date: June 11, 2001
• Sequence Number: 38
• Publication Date: November 5, 1979
• Content Type: MEMO

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United States Government Office of
MEMORANDUM Personnel Management
Subject Reduction in Force in the Senior Executive Service
From: Sally H. Greenberg, Associate Director
Executive Personnel Management and Deve
To: Directors of Personnel
Date: NOV 5 ]`319
In Reply Refer To:
Your Reference:
XEA
We have prepared draft interim regulations covering RIF within the SES.
Attachment 1 is a background paper, Attachment 2 contains the draft
regulations, and Attachment 3 contains a section analysis of the regulations.
We are interested in receiving your comments and suggestions on the proposed
RIF system. In particular, we would like input on the kinds of situations
which would require the use of RIF procedures, and on the factors which
should be used to determine competitive areas and competitive fields
(similar to competitive levels under part 351) and to rank order executives
on the retention register. Also note that in the draft regulations, for
some sections alternative regulations are provided; and we would like to
have your comments on whether you prefer the alternative and why.
Please let us have your comments within two weeks. If you have any
questions, please call Neal Harwood (632-4695) or Jack Vincent (632-6820).
CON 101-67-2
OPM Form 631
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January 1979
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'"'1 BACKGROUND PAPER
PROPOSED INTERIM REGULATIONS ON
REDUCTION IN FORCE IN THE SENIOR EXECUTIVE SERVICE
The CSRA of 1978 exempts members of the SES from coverage under the
Retention provisions of chapter 35 of title 5, and as a result OPM
regulations have been revised to exclude pcsitions in the SES from
coverage under part 351. See section 351.201(g). The CSRA adds a new
subchapter V in chapter 35, titled Removal, Reinstatement, and Guaranteed
Placement in the Senior Executive Service. The new subchapter V, however,
deals only with removal from the SES for less than fully successful
performance and during probation. It does not deal with reductioti in
force. Thus there is currently nothing in law or regulation covering
RIF in the SES. Nevertheless, some of the same kinds of circumstances
which affect employees outside the SES may also affect members of the SES.
II. Situations Leading to Reduction in Force in the SES
The CSRA of 1978 contemplated little need for RIF in the SES. The CSRA's
requirement for biennial planning of executive staffing needs, the creation of
the SES as an ungraded service, and the emphasis on executive mobility within
and across agency lines all indicate that the necessity to resort to RIF in
the SES should be rare and result primarily from unforeseen events beyond
the control of agency management.
RIF is traditionally caused in the government by lack of work or funds,
reorganization (management adds to, takes from, or redistributes the functions
or duties of one or more positions), transfer or abolishment of functions, or
the need to make room for the reemployment or restoration of an employee.
Executives in the SES usually will be affected iu different ways and to a lesser
degree by these circumstances than employees at lower echelons. For example,
because an executive generally has responsibility for a relatively large
segment of the organization and the executive's position has been justified
on the basis of a careful biennial projection of program and executive staffing
needs, it should be a rare occurrence when executives have to be released
from the SES because of lack of work or funds.
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Reorganization should also rarely affect senior executives. Since the SES
is an ungraded system, there should be relatively few RIF's caused by the
restructuring of positions. The executive generally will be able to be placed
in the restructured position, even if it has lost duties or responsibilities,
or reassigned to another SES position for which qualified. Need for RIF
would occur, however, if the position no longer meets the criteria for place-
ment in the SES and the incumbent is not qualified for reassignment to another
SES position or none is vacant.
Reorganization can also lead to a situation where an SES position in one
part of the organization is abolished and a new SES position is established
in another part of the organization, e.g., because of higher priority needs
in the second organization. This situation would not entail a reduction'in the
overall number of authorized SES positions. RIF would be appropriate only if
the affected executive could not be reassigned to the new position or another
SES vacancy, or if a new SES position could not be established to accommodate
the executive.
Transfer of function, accompanied by a reduction in the overall number of
SES positions in the competitive area, would be a legitimate cause for using
RIF procedures, as would the abolishment of a function, assuming affected
executives could not be placed elsewhere within the. SES in the agency.
There also may be rare instances when a RIF is necessary becuase of the
restoration or reemployment of a former SES career appointee e.g., an
appointee who took a Presidential appointment and has reinstatement rights
under 5 U.S.C. 3593(b). OPM contemplates, however, that these cases will
normally be handled by reassignment or voluntary transfer of employees within
the SES, or by the temporary allocation of an additional SES space by OPM.
There is the additional possibility that OPM action may lead to a RIF. The
CSRA authorizes OPM, on its own initiative, to make an adjustment in the number
of SES positions authorized for any agency. Such action by OPM might make
it necessary for an agency to resort to RIF if all current executives could not
be accommodated within the new quota. Normally, however, any reduction in
current executives caused by a new quota would be handled by attrition.
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iWOO, ftw Attachment 1(3)
III. Agency Actions Prior to RIF
FPM Chapter 351 urges that an agency do everything possible to reduce the
adverse impact of a RIF on its employees. The same principle applies and is
emphasized for RIF in the SES.
The actions which an agency needs to take prior to RIF are listed below:
(1) An agency should make every effort to reassign career incumbents to
vacant SES positions, either career reserved or general, for which the
executives meet qualification requirements. In line with the flexibilities
built into the SES system, an agency should explore the possibility of
a series of reassignments to accommodate all of its executives. (The
agency must comply, of course, with restrictions in law on the reassign-
ment of career SES appointees, e.g., those in 5 U.S.C. 3395.)
Waiver of qualifications, however, as permitted in part 351, is not a
feature of RIF in SES. Executive positions are too critical to the
accomplishment of an agency's mission to permit the placement of less
than qualified incumbents in the positions. Requiring executives to meet
qualification requirements should not significantly hinder placements since
under SES these requirements are anticipated to be broader than they were
previously.
(2) If an existing SES vacancy is not available, the agency should determine
whether it is possible to restructure jobs to create one.
(3) With an executive's approval, the executive may be assigned to a vacant
non-SES supergrade or equivalent position in the agency.
(4) If an agency cannot accommodate all of its executives, it must inform OPM
as early as possible, but no later than the date RIF notices are issued.
OPM will assist in making known the surplus and facilitating placement
of the individuals with other agencies having executive vacancies. Any
transfer must be mutually acceptable to the executive and the gaining
agency.
(5) If the agency is undergoing a major RIF, reorganization, or transfer of
function, it may apply to OPM for such a designation. If the designation
is approved, the agency may offer voluntary early retirement.
(6) If an employee faces involuntary separation from his or her position
as of some specific date as the result of such factors as abolishment
of the position or transfer of function outside the commuting area, the
employee may be eligible for discontinued service retirement under the
conditions specified in subchapter Sil of FPM Supplement 831-1.
(7) If the above steps do not accommodate all affected executives, the agency
may then institute a formal RIF, which shall be carried out in accordance
with OPM regulations.
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Attachment 1(4)
A. Among the characteristics of the SES that need to be taken into account in
establishing RIF procedures are the following:
(1) In general, the CSRA emphasizes performance as a basis for all types of
personnel decisions. Specifically, the Act states (5 U.S.C. 3131) that
the SES shall be administered so as to "ensure that compensation,
retention, and tenure are contingent on executive success which is
measured on the basis of individual and organizational performance."
The Act clearly indicates that the performance appraisal system in
SES applies not only to career, but also to noncareer and limited
appointees. It logically follows that performance should be an important
consideration in deciding who will be released from the SAES in a,RIF.
(2) Although the SES system has many rank-in-person features (e.g., in the
setting of pay rates), it still has certain position oriented features,
including the requirement that all SES members must meet the qualification
standards for positions to which they are appointed.
(3) General positions may be occupied by career, noncareer, and limited
appointees.
(4) Veterans preference is not a consideration in the SES, per Sec 2(a)(8)
of PL 96-54, August 14, 1979 (Sec 2108(3) of title 5).
(5) SES space allocations are to be adjusted based on relative agency needs.
(6) SES is to be a flexible personnel system with increased emphasis on
mobility.
(7) It was indicated to executives during the conversion process that RIF
in the SES would be rare.
(8) Career executives removed from SES because of performance have guaranteed
placement rights at GS-15. It seems equitable that career executives
removed involuntarily and without personal fault should have similar
rights to the extent practical and permitted by law.
B. In view of the above characteristics, the key elements in the proposed SES
procedures are the following:
(1) A competitive area should be large enought to permit adequate competition
among employees. At a minimum, it must include all SES positions in a
commuting area, even if they are in different bureaus or commands.
(Part 351 allows an agency to limit a competitive area to major sub-
organizations, even if within the same commuting area. SES regulations
approach positions on an agency-wide basis.)
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(2) Competitive fields, which are comparable to competitive levels under
Part 351, are to include similar jobs (in terms of qualification
requirements, duties, and responsibilities) where movement of incumbents
would not cause undue interruption of work. Positions occupied by
limited appointees must be in their own competitive field. General and
career reserved positions must be in separate competitive fields since
noncareer appointees in general positions may not be moved to career
reserved positions.
(3) Retention groups within a competitive field are based on current SES
performance ratings. Within each group, career appointees are placed in
a higher subgroup than noncareer appointees to recognize their greater
tenure rights.
(4) Standing on the register within a retention group for career appointees
is based on a combination of years of civilian service (SES service
gets double credit), performance ratings (points subtracted for previous
minimally satisfactory or unsatisfactory ratings), and honorary ranks
(points added for ranks within the last five years). There is a
limitation on how much service can be credited.
Noncareer appointees may be placed in their subgroup in any order desired
by the agency.
(5) There is provision for mandatory placement of career appointees in any
SES vacancy in the agency for which the appointee is qualified. There
are no bumping or retreat rights within the SES, however. Noncareer
and limited appointees have no placement rights when released from their
competitive fields.
(6) If a career appointee is removed from SES, the appointee has an appeal
right to the MSPB and is guaranteed placement in GS-15, with any further
RIF action (e.g., if there is now a surplus of GS-15 employees) taking
place under part 351 procedures.
(7) A career executive removed from SES has the right during the next two
years to be placed in any SES vacancy for which qualified in the agency.
(8) For each executive removed from the SES by RIF, the agency must return
an SES space to OPM; and the agency's allocation is reduced accordingly.
If because of changing priorities the agency believes it can justify
use of the space elsewhere, however, it can request OPM to return the
space to the agency.
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D RAF T
3xx.101 General provisions.
(a) This subpart covers release of an appointee in the Senior Executive
Service from a competitive field, as described in section 3xx.102(b),
if the release is required because of lack of work, shortage of funds,
reorganization, determination that the appointee's position no longer
meets the definition for a Senior Executive Service position in
5 U.S.C. 3132(a)(2) because of a change in duties or responsibilities,
the exercise of reemployment or restoration rights, or the withdrawal
of Senior Executive Service spaces by the Office of Personnel Management.
(b) Each agency shall follow all the provisions of this subpart unless the
Office of Personnel Management has approved different provisions for
the agency.
(c) This subpart does not apply to a career appointeein the Senior Executive
Service who is appointed by the President, by and with the advice and
consent of the Senate, to a civilian position in the executive branch
and who elects to continue Senior Executive Service pay and benefits
under 5 U.S.C. 3392(c) when the appointeeleaves the Presidential appointment.
3xx.102 Scope of competition.
(a) Each agency shall establish competitive areas in which appointees
compete for retention under this subpart. At a minimum a competitive
area must include all Senior Executive positions in the agency in the
local commuting area.
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Attachment 2 (2)
[klternative: The competitive area in which appointeescompete for
retention under this subpart shall include all Senior Executive
Service positions in the agency,- unless the Office of Personnel
Management approves a smaller area,;]
(b) Each agency shall establish competitive fields within its competitive
areas. These fields shall consist of all positions which are
sufficiently alike in qualification requirements, duties, and
responsibilities so that the agency normally may assign the incumbent of any
one position to any of the other positions without unduly interrupting
the work program and with the expectation that the appointee will be able
to perform, in a fully successful manner. Each agency shall establish
separate competitive fields for career reserved and general positions, and
for positions filled under limited emergency and limited term
authorities.
Alternatives;
(1) Provide that limited appointees are not subject to this subpart and
may be removed in any o.rder.
(2) Provide that career and noncareer appointees are to be placed in
separate competitive fields. Rely on percentage restrictions in
law to assure that RIF's don't just affect career appointees]
3xx.103 Retention standing.
(a) Prior to a reduction in force, each agency shall place competing appointees
on a retention register in the following groups on the basis of their
current performance ratings within the Senior Executive Service. The
current performance rating is the rating of record on the date the reduction-
in-force notices will be issued.
(1) Group I. Appointees with a current performance rating above the
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(2)
Group II. Appointees with a current performance rating at the
first level of fully successful.
(3)
Group III.Appointees
satisfactory.
with a current performance rating of minimally
(4)
Group IV. Appointees with a current performance rating of
unsatisfactory.
Until an appointee receives his or her first performance rating within
the Senior Executive Service, the employee shall be placedin Group II.
Possible addition: For the period from July 13, 1979, to the agency's
first Senior Executive Service performance ratings, however, the agency may
provide that any appointee with a current performance rating above
satisfactory under part 430 in a position that went into the Senior
Executive Service shall be placed in Group 13
(b) Within each group containing career and noncareer appointees, there
shall be a subgroup A consisting of all career appointees and a
subgroup B consisting of all noncareer appointees-
[Alternatives:
(1) Have each level of fully successful a.separate group, followed by
groups for minimally satisfactory and unsatisfactory. A possible
problem here is that some agencies may have a different number of
fully successful levels in different components of the agency.
(2) Have only 3 groups: I - Fully Successful, II- Minimally Satisfactory,
and III - Unsatisfactory. Divide each group into A - Career and
B - Noncareer. Further subdivide I - A and I-B into 1 - Above 1st
level fully successful and 2 - At.lst level fully successful. This
system would assure that all career appointees with a fully
successful rating would be retained above noncareer appointees
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with such a rating.
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Attachment 2 (4)
(c) Each agency shall establish a career appointee's
relative standing on the retention register within a
subgroup as stated below. Noncareer appointeesneed not be rank ordered
within a subgroup.
(1) Credit one point for each full year of Federal civilian service
outside the Senior Executive Service, and two points for each
full year of service within the Senior Executive Service (or a
comparable Federal executive personnel system as determined by
the office of Personnel Management), for a maximum of twenty points. An
individual who was appointed by the President, by and with the
advice and consent of the Senate, to a civilian position in. the
executive branch and elected to continue Senior Executive Service
pay and benefits under 5 U.S.C. 3392(c) shall have time spent
? under that appointment-credited as time in the Senior. Executive
Service.
[Alternative: Allow maximum of thirty points to reduce
chance of tiej
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Attachment 2 (5)
(2) Add ten points for the award of the rank of Distinguished Executive,
or five points for the award of the rank of Meritorious Executive,
within the last five years, with a maximum of ten points.
(3) In groups I and II, subtract ten points for an unsatisfactory rating in
the Senior Executive Service within the last five years, or five points
for a minimally satisfactory rating in the Senior Executive Service
within the last three years.
E Alternative: Require agencies to :use the groups and subgroups
established in (a) and (b). But since there are numerous ways to rank
order employees within a subgroup, allow agencies to adopt their own
ranking procedures if they want in lieu of the procedures in (c).
Otherwise those procedures will be applicable
3xx.104 Release from competitive field.
(a) Each agency shall select appointees for release from a competitive field
in the inverse order of retention standing, beginning with the appointee
in the lowest subgroup with the lowest standing on the retention register.
When appointees in the same retention group or subgroup are tied for release
from a competitive field, the agency may select any tied appointee for release.
(b) When an agency will abolish all positions in a competitive area within
three months, it shall release appointees in subgroup order, but may release
them regardless of retention standing within a subgroup. If an agency
releases an appointee under this paragraph, the notice to the appointee shall
so state and also shall give the date the abolishment will be completed.
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(c) The following exceptions apply to the selection sequence in paragraph
(a) of this section:
(1) An agency may make a permanent exception to the selection
sequence when needed:
(i) To retain an appointeeon duties that cannot be taken over
within 90 days and without undue interruption to the activity
by an appointeewith higher retention standing, or
(ii) To release a noncareer appointee when such release is required
by a reduction in the noncareer allocati-on given the agency
by the Office of Personnel Management.
(2) An agency may make a temporary exception for not more than 90
days to the selection sequence when needed:
(i) To retain an appointeeto continue an activity without undue
interruption for that period,
(ii) To satisfy a Government obligation to the retained appointee, or
(iii) When the temporary retention of the lower standing appointee
does not adversely affect the rights of any higher-standing
appointeewho is released ahead of him or her.
The temporary retention of a lower-standing appointee on sick leave as
a permissive exception may exceed 90 days, but may not exceed the date
of exhaustion of the sick leave.
(3) There shall be appropriate documentation on the record for the
exception. The agency shall notify in writing each higher-standing
appointee reached for release from the competitive field of
the reasons for the exception.
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3xx.105 Placement rights.
(a) A career appointee, other than one in Group IV, released from a com-
petitive field is entitled to be placed in any vacant Senior Executive
Service position in the agency for which the appointee meets the
qualification requirements. A released appointee does not have a right
to displace any other Senior Executive Service appointee.
Alternative: Provide that a limited appointee may be displaced by a
career appointee]
(b) A career appointee who cannot be placed in a vacant position in the
Senior Executive Service following release from a competitive field, or a
position at GS-16, 17, or 18 or the equivalent, on a voluntary basis, is
entitled to be placed in the employing agency in a continuing position at
GS-15, or the equivalent, unless the agency is due to be abolished within
three months. If this action would cause the separation or demotion of
another employee, however, the individual coming from the Senior Executive
Service shall be subject to the reduction-in-force regulations in part 351
to determine to what, if any, position the appointee is entitled.
[Alternative: Provide that an employee RIF'd from SES will have
guaranteed placement rights at GS-15, and any necessary RIF at that level
resulting from a surplus of employees would involve former GS-15's only.
A possible problem with this alternative is that such a guarantee is not
provided in law, and it may be necessary for all employees to compete under
part 351 procedures]
(c) A career appointee, other than one in Group IV, who is removed from the
Senior Executive Service under this subpart is entitled for a two-year
period after removal to be placed in any Senior Executive Service vacancy
in the agency for which qualified and in which the appointee can be expected Aft
.to perform in a fully successful manner.
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(d) A noncareer or limited appointed released from a competitive field does
not have an placement rights.
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3xx.106 Transfer of function.
(a) "Transfer of function" means the transfer of the performance of a
continuing function from one. competitive area and its addition to one
or more other competitive areas, or the movement of the competitive
area in which the function is performed to another commuting area.
(b) Before a reduction in force is made in connection with the transfer of
any or all of the functions of an agency to another continuing agency,
each appointee in a position identified with the function or
functions shall be transferred to the continuing agency without change
in tenure. An appointee whose position is
transferred solely for liquidation, and who is not identified with an
operating function specifically authorized at the time of transfer to
continue in operation more than 60 days, is not a competing appointee
for other positions in the receiving agency.
3xx.107 Notice.
(a) Each appointeeselected for release from a competitive field
is entitled to a specific written notice at least 30 full days before the
effective date of the release.
(b) The notice shall state the action to be taken and its effective date;
the appointee's competitive area, competitive field, and retention
group; the number of retention points assigned the appointee; the place
where the appointeemay inspect the regulations records pertinent to
the case; the appointee's appeal rights, including the time limit
for appeal and the location of the Merit Systems Protection Board office
to which an appeal should be sent;and any placement rights under
section 3xx.105(c) following removal from the Senior Exe ii ervice.
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(c) An appointeeis entitled to a new written notice of at least 30 full
days if the agency decides to take an action more severe than first
specified.
3xx.108 Notification of the Office of Personnel Management.
An agency mustinform the Office of Personnel Management at the time of
issuance of any specific reduction-in-force notice.
The information is to
include the position(s) which will be abolished, how placement of any affected
executives was attempted, and whether the executives would like to have the
Office determine whether there are SES positions in other agencies in
which they could be placed.
3xx.109 Appeals.
(a) A career appointee who has received a specific RIF notice removing the .,
appointee from the Senior Executive Service and who believes that this
subpart has not been correctly applied may appeal to the Merit
Systems Protection Board under procedures established by the Board.
(b) An appeal shall (1) be in writing, (2) identify the appellant, the
agency, and the nature and effective date of the action appealed,
and (3) state why the appellant believes the action appealed is improper.
(c) 'Noncareer and limited appointees do not have an appeal right to the
Merit Systems Protection Board.
3xx.110 Allocation of Senior Executive Service spaces.
If an appointee is removed from the Senior Executive Service under this
subpart, the agency shall return to the office of Personnel Management
a pointee; d the 80038-a ency's space
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allocation shall be reduced accordingly.
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Attachment 2 (10)
3xx.111 Grade and pay retention.
If an appointee is removed from the Senior Executive Service under
this subpart, the appointee is entitled to grade and pay retention in
accord with the provisions in subpart B of part 536.
3xx.112 Records
Each agency shall maintain current records needed to determine the
retention standing of its competing appointees. The agency shall allow the
inspection of its retention registers and related records by an appointee
to the extent that they have a bearing on
the appointee'P case. The agency shall
perserve intact all registers and records relating to a reduction-in-force
for at least two years from the effective date of the reduction-in-force
action, or until an Office evaluation, whichever is first.
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D R A F T Attachment 3
3xx.101(a) - These are essentially the same criteria as in section 351.201(a)
for non-SES RIF, with the addition of the criterion of withdrawal of
SES spaces from an agency.
3xx.10l(b)-_ An ag?n cymay adopt its own SES RIF procedures, but only
if it obtains prior OPM approval.
3xx.101(c) - Release of a Presidential appointee who has elected to keep SES
benefits under the Presidential. appointment is not covered by the subpart;
the individual has reinstatement rights to the SES under 5 U.S.C. 3593(b).
(If there is a surplus of SES employees following reinstatement, RIF may
be necessary then.) Also, while on the Presidential appointment the
individual does not compete with other employees during an SES reduction in
force.
3xx.102(a) - Non-SES RIF in section 351.402(b) allows an agency to set up
different competitive areas for different bureaus in the same commuting
area. Because SES is an agency-wide system, the SES regulations provide
that-the competitive area must'include all agency SES positions within the
commuting area.
3xx.102(b) - The term "competitive field" is used instead of "competitive level"
to emphasize that organizational level and SES pay rates are not be considered
in grouping competing employees. Criteria for a competitive field are
essentially the same as those in section 351.403(a) for a competitive level
in a non-SES RIF. It is anticipated, however, that qualification requirements
in the SES will be broader than for non-SES jobs.
NdAppE9vadlFgirRdeasei2D ,'h188i?9i : 3:IA- 89-01ttr14R0OQ30008 38a.6 excepted
"positions" have to be in separate competitive levels. SES does not have
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Attachment 3 (2)
competitive and excepted positions. Since a noncareer appointee and
a career appointee may both hold General positions, including identical
positions (e.g., an agency could fill half its regional director positions
with career appointees and half with noncareer appointees), SES regulations
do not require separate competitive fields for career and noncareer
appointees. Since a nonca.reer appointee mad= not be nlaced in a career reserved
position, career reserved and general positions are required to be in separate
competitive fields. Limited appointees are required to be in separate competitive
fields because of the time limitation on their appointments. Limited term
appointees would be in fields separate from limited emergency appointees.
3xx.103(a) - In keeping with the emphasis on performance for retention. in
SES, retention groups have been established on the basis of current
performance ratings, rather than on the type of appointment as is done for
non-SES RIF in section 351.501(a). Any employee who has received two
unsatisfactory ratings in the last five years or two less than fully
successful ratings in the last three years is not a competing employee in
the kIF and must be removed from the SES prior to the removal of any other
employee.
3xx.103(b) - Career executives are placed in a higher subgroup to recognize
their greater retention rights.
3xx.103(c) - Regulations set up a procedure to rank order career employees
within a retention subgroup.' Neither the Executive Assignment System nor a
PL 313-type system would be "a comparable Federal executive personnel system"
for purposes of this section.
In keeping with the provision in law that noncareer appointees serve at the
pleasure of the appointing authority, there is no requirement that such
appointees be rank ordered within a subgroup.
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Attachment 3 (3)
3xx.104(a) - This paragraph is essentially the same as section 351.602 in that
employees are released from competitive fields in inverse order of
retention standing.
3xx.104(b) - This paragraph is essentially the same as section 351.605.
3xx.104(c) - This paragraph is essentially the same as sections 351.607.and
608. Subparagraph (1)(ii) is added to take care of situations where an
agency has to reduce the number of noncareer appointees because of a reduction
in the noncareer allocation by OPM.
3xx.105(a) - Placement rights are only provided career appointees who do not
have a current unsatisfactory performance rating. Because of the importance
of each SES position to agency mission accomplishment, the regulations do not
permit the agency to waive qualification requirements. To provide for the
greatest stability possible during a RIF, no bumping or retreat is permitted
following release from a competitive field. If two or more released
employees are buAlified for the same vacancy, the agency has the option of
which employee to place in the vacancy.
3xx.105(b) - Under the CSRA a career employee removed from SES for poor
performance is entitled to guaranteed placement at GS-15. It is appropriate
that an employee removed for reasons other than performance, or misconduct,
should have similar rights. The CSRA provides that if employees are
removed for performance it cannot lead to RIF at GS-15 when theyare placed.
This may not be practical, however, when the placement of a former SES
member at GS-15 is due to a RIF situation since there may be no GS-15
vacancies. Therefore, the regulations provide that if a further RIF is
required at the GS-15 level, part 351 procedures, including veterans
preference provisions, are applicable. The regulations also provide that if
all positions in the agency are due to be abolished within three months, the
ages p 9d r I @Y&s 21Dhi $/$be- MR-49M98-41 .f41 000 680fb3 e'+ease the
employee from the Civil Service.
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Attachment 3 (4)
3xx.105(c) - This paragraph provides for placement of a removed career
executive in any SES vacancy for which qualified in the agency following
RIF for two years. Among other things, the provision is intended to
assure that an agency does not abolish vacancies prior to RIF just so
it does not have to place employees under 3xx.105(a). Even if the
employee is not placed in the SES during the two-year period, the employee
would still have reinstatement rights in the SES after that period.
3xx.105(d) Once a noncareer or limited appointee is released from a
competitive fie:Ld,.the agency has the option of placing the appointee in
another SES position, or a position outside the SES, or separating the
appointee from the government.
3xx.106(a) - This paragraph adopts the definition of "transfer of function"
in section 351.203(i).
3xx.106(b) - This paragraph is essentially the same as section 351.301.
3xx.107(a) - This paragraph is essentially the same as section 351.801(a).
3xx.107(b) - This paragraph is essentially the same as section 351.802.
3xx.108 - This section requires agencies to notify OPM of impending RIF actions
so that OPM will have the opportunity to broker affected executives with
other agencies.
3xx.109(a) - This paragraph provides for an appeal right to the MSPB for
SES career appointees. who are removed from the SES. Since an agency has
authority to reassign employees within the SES, no. appeal right is given
when a RIF action does not involve removal.
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Attachment 3 (5)
3xx.109(b) - This paragraph is essentially the same as section 351.901(c).
3xx.109(c) - This paragraph makes clear that noncareer and limited
appointees do not have appeal rights.
3xx.110 - This section requires an agency to return to OPM an SES space
if it cannot place within SES an employee released from a competitive
field. Among other things, the provision is intended to encourage agencies
to make every effort possible to place affected executives within the SES.
If because of changing priorities an agency believes it can-justify use
of the space elsewhere, it can request OPM to return the space to the
agency.
3xx.111 - This section cross references regulations in subpart B of part 536
providing grade and pay retention for individuals removed from SES under
RIF procedures.
Note that the grade retention is a constructed grade in the General
Schedule. The employee is no longer considered to be part of SES and is
not charged against an SES space. Further information is in Bulletin 536-1.
3xx.112 - This paragraph is essentially the same as section 351.505
for non-SES RIF.
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