[Federal Register Volume 62, Number 110 (Monday, June 9, 1997)]
[Rules and Regulations]
[Pages 31315-31326]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-14905]
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Rules and Regulations
Federal Register
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Federal Register / Vol. 62, No. 110 / Monday, June 9, 1997 / Rules
and Regulations
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OFFICE OF PERSONNEL MANAGEMENT
5 CFR PART 330
RIN 3206-AH26
Career Transition Assistance for Surplus and Displaced Federal
Employees
AGENCY: Office of Personnel Management.
ACTION: Final regulation.
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SUMMARY: The Office of Personnel Management is issuing final
regulations to implement the President's memorandum of September 12,
1995, that requires Federal agencies to develop career transition
assistance programs to help their employees affected by downsizing
obtain other employment. The regulations require agencies to provide
transition assistance services and give hiring priority to surplus and
displaced employees.
DATES: Effective July 9, 1997. Agencies will amend their Career
Transition Assistance Plans (CTAP), reflecting regulatory changes on
providing internal selection priority and services to their surplus and
displaced employees, as soon as possible, but no later than 90 calendar
days after publication in the Federal Register.
FOR FURTHER INFORMATION CONTACT: Susan Shelton or Ed McHugh on (202)
606-0960, FAX (202) 606-2329, or TDD (202) 606-0023.
SUPPLEMENTARY INFORMATION: On September 12, 1995, the President issued
a memorandum entitled ``Career Transition Assistance for Federal
Employees,'' that directs Federal Executive agencies to establish
career transition assistance programs to help surplus and displaced
workers find other jobs as the Federal Government undergoes downsizing
and restructuring. As set forth in the memorandum, such programs are to
be developed in partnership with labor and management, in accordance
with guidance and regulations provided by the Office of Personnel
Management (OPM).
OPM issued interim regulations on December 29, 1995, 60 FR 67281,
which were developed in cooperation with representatives from the
Interagency Advisory Group of Personnel Directors and employee unions.
These regulations provided the framework for implementing the
President's directive, the purpose of which is to maximize employment
opportunities for displaced workers, both within and outside the
Federal Government.
The program set up under the Presidential directive incorporates a
new concept in career transition assistance for displaced workers
called ``employee empowerment.'' Instead of placing surplus workers in
new jobs from a centralized inventory (the traditional Federal model
for assisting displaced civil servants), the new program gives
individual workers the power to find, apply and exercise priority for
specific vacancies in which they themselves are interested. It seeks to
motivate and reinforce an employee's self interest in finding work
opportunities by giving displaced workers the resources and hiring
priority necessary to support their transition to other employment.
Transition assistance consists of four components:
Programs to provide career transition services to the
agency's surplus and displaced employees;
Policies for retraining displaced employees for new career
opportunities;
Policies that require the selection of a well-qualified
surplus or displaced internal agency employee who applies for a vacant
position in the commuting area, before selecting any other candidate
from either within or outside the agency; and
Policies that require the selection of a well-qualified
displaced employee from another agency who applies for a vacant
position in the commuting area before selecting any other candidate
from outside the agency.
Under these regulations, Federal agencies are required to implement
Career Transition Assistance Plans to provide career transition
services to their surplus and displaced employees, and give special
selection priority to these workers. These regulations set minimum
standards for these plans, which can be supplemented at the agency's
discretion. These plans will operate through September 30, 1999, unless
further extended because of severe downsizing. Because the Department
of Defense (DOD) manages an effective program which provides selection
priority to surplus and displaced employees within the Department--the
Priority Placement Program--it is exempt from the special selection
requirement affecting its own employees under the Career Transition
Assistance Plan. The Department of Defense is subject to the other
elements of these regulations, and the Reemployment Priority List under
Subpart B of 5 CFR part 330, and its employees are eligible for the
benefits provided by these programs.
Program Results to Date
On February 29, 1996, the interim regulations took effect. During
the next few months, each major Federal agency established a Career
Transition Assistance Plan for its employees and began giving selection
priority for vacancies--first to its own surplus and displaced
employees and then to displaced employees from other Federal agencies.
During the first seven months the program was in operation, over 1,000
non-Defense surplus and displaced employees were selected for other
jobs within their agencies. Over 400 more displaced employees were
selected for vacancies in other Federal agencies through the
Interagency Career Transition Assistance Program. The latter figure,
achieved in seven months using the ``employee empowerment'' concept
embodied in the Presidential directive, is roughly twice as many
selections as were made during the last 3 years that the old
Interagency Placement Program, a centralized referral and placement
program which ICTAP replaced, was in operation.
During the same period, two Internet websites were set up to assist
surplus and displaced Federal employees in finding other employment.
OPM's USAJOBS Internet site (http://www.usajobs.opm.gov) provides
information on Federal employment and complete vacancy listings which
are updated daily. A joint website operated by the U.S. Department of
Labor in
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partnership with the U.S. Office of Personnel Management (http://
safetynet.doleta.gov) is titled ``Planning Your Future--A Federal
Employee's Survival Guide.'' It provides a wide range of critical
information to Federal employees who are affected by downsizing and are
attempting to make successful career transitions, especially to
occupations in the private sector. (Additional information on these
sites and other career transition resources is available from OPM's
Workforce Restructuring Office at (202) 606-0960; (202) 606-2329, FAX).
A number of Federal agencies undergoing downsizing have set up
career transition centers to assist their displaced workers. In May,
1996, OPM, the Interagency Advisory Group of Personnel Directors,
several local governments, and the Department of Labor opened a network
of transition centers for displaced Federal workers in the Washington,
DC area. The centers, which are a pilot for replication in other areas
of the country, provide job search assistance, skills analysis,
counseling and resume preparation services.
Changes Incorporated in the Final Regulations
Like the interim regulations, the final regulations require an
agency, when filling a vacancy, to select an employee eligible under
its Career Transition Assistance Plan before selecting any other
candidate from within or outside the agency. When an agency has met its
obligations under its Career Transition Assistance Plan (CTAP) and
elects to fill a position from outside its workforce, it must first
select agency employees who have been separated through reduction in
force (RIF) and are eligible under its Reemployment Priority List
(RPL); then, Federal employees displaced from other agencies who apply
for positions in the local commuting area and are eligible under the
Interagency Career Transition Assistance Plan (ICTAP).
Several changes have been made in the final regulations to improve
the program for employees, and to provide agencies more flexibility in
managing their workforce during this time of downsizing. These changes
were made based upon written and oral comments received from agencies,
employees, unions, and other interested persons. In addition, OPM's
Workforce Restructuring Office obtained feedback on the interim
regulations through OPM's Oversight function, field activity
conferences, and by visiting over a dozen agencies at the headquarters
level, soliciting their input and ideas.
We received written comments on the interim regulations from 18
Federal agencies, one union, two professional associations, and several
individuals. As a result of those comments, we have listed the major
changes to the interim regulations by category:
Internal Selection Actions
Under the interim regulations, agencies are required to announce
any vacancy lasting 90 or more days, and give selection priority to
employees eligible under their Career Transition Assistance Plan. Of
the agencies commenting, nine expressed their concern that internal
reassignments were subject to the CTAP, thus limiting the flexibility
of their managers to make workload assignments based on shifting
priorities. The problems appear especially acute in those situations
where managers have neither the personnel ceiling authorization nor the
funding to bring in employees from outside their immediate
organization, and need the flexibility to move their employees around
in order to meet fluctuating workload and shifting priorities. OPM, in
response to the many concerns expressed by these agencies, is adding an
exception under 5 CFR 330.606(d), actions not covered, to permit, at
the agency's discretion, those actions taken by an agency component to
fill a position from among its employees after well-qualified surplus
and displaced employees of that component, in the same local commuting
area, have been accorded selection priority. This exception will allow
agency components to make internal selections, including reassigning
their employees to other positions, where this is necessary, without
being required to give selection priority to CTAP candidates from
outside that component.
For example, if Agency Component A in the local commuting area of
Philadelphia, Pennsylvania, wants to reassign an employee to another
position in the component within the Philadelphia area, it may do so
without having to give selection priority to a CTAP candidate from
outside the component. Special selection priority must still be
afforded any eligible candidates within the component in the local
commuting area, however. In our example, if Agency Component A wants to
reassign an employee to Agency Component B, i.e., across component
lines, then selection priority must first be given to eligible CTAP
candidates from all components of the agency in the Philadelphia area.
A component is considered to be the first major subdivision of an
agency, e.g., the Customs Service within the Department of Treasury, or
the U.S. Geological Survey within the Department of Interior. We have
added a definition of ``component'' to Sec. 330.604, Definitions.
Expanded Geographical Eligibility for CTAP and ICTAP Eligible Employees
Under the interim regulations, a surplus or displaced Federal
employee can exercise selection priority only for those positions that
are in the same local commuting area as the position occupied at the
time of his or her RIF separation. Two agencies and one association
stated that selection priority should be extended to surplus and
displaced employees beyond the local commuting area. Many agency
officials voiced concern, however, that to open up every vacancy
nationwide would place undue administrative and cost burdens on the
agency. The agency could be forced to bear the costs of relocating the
employee, when in most cases, well-qualified displaced candidates would
be available within the local commuting area. This problem may be
susceptible to change by statute or new regulation. Until such steps
are taken, however, OPM is retaining the requirement under
Sec. 330.605(a)(4), Eligibility for CTAP, and Sec. 330.704(a)(4),
Eligibility for ICTAP, that in order to receive special selection
priority, the applicant must apply for positions in the same local
commuting area in which he or she works or worked at the time of his or
her separation from the competitive service. Agencies have the
discretion in their Career Transition Assistance Plans, however, to
expand internal selection priority beyond the local commuting area for
their own surplus and displaced employees. However, in no case could an
eligible applicant outside of the local commuting area be given
selection priority over a well-qualified surplus or displaced agency
employee within the local commuting area.
Content of Vacancy Announcements
OPM received comments from both agencies and employees that job
vacancy announcements sometimes do not contain clear and concise
information for ICTAP candidates on eligibility requirements, how to
apply, or documentation required. In response to those concerns, OPM is
adding the requirement under Sec. 330.707, Reporting Vacancies to OPM,
that when the agency is posting a job announcement to the Federal Jobs
Database, it must clearly state the definition of ``well-qualified'' on
the vacancy announcement, including information on how a CTAP and/or
ICTAP eligible may apply, and what proof of eligibility is required. A
similar requirement is
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contained in Sec. 330.607(b) for an agency's internal announcements
issued in connection with its Career Transition Assistance Plan.
Notification Requirements
OPM received numerous complaints from surplus and displaced
employees who had filed applications under CTAP and ICTAP, but were not
able to find out the results of their application. Because surplus and
displaced employees are entitled to selection priority, OPM feels that
it is critical that the agency provide them with information relative
to their application for a specific vacancy. Thus, OPM is adding a
requirement to 5 CFR 330.607(c) and 330.706(c) for agencies to advise,
in writing, surplus and displaced employees who apply under specific
vacancy announcements of the results of their applications, including
whether or not they were found well-qualified. If well-qualified, the
agency should notify the applicant of his/her selection as soon as
possible, or if another well-qualified CTAP or ICTAP candidate is
chosen. If the applicant is not found well-qualified, then he or she
must be advised in writing of the results of a second independent
review of his or her application.
Definition of ``Well-qualified''
OPM received many requests from agencies to clarify the definition
of ``well-qualified'' under 5 CFR 330.604(h) of the interim
regulations. In response to those requests, OPM is clarifying the
language and including a statement under Sec. 330.604(k) that ``well-
qualified'' generally includes those applicants whose knowledge,
skills, and abilities clearly exceed the minimum qualification
requirements, but who would not necessarily meet the agency's
definition of ``highly or best qualified.'' For purposes of the career
transition assistance regulations, the terms ``highly qualified'' and
``best qualified'' are not applicable.
Review of Qualification Determinations
Under the interim regulations, surplus and displaced employees must
be well-qualified for a position in order to receive selection
priority. Currently Sec. 330.609 and Sec. 330.708 of the interim
regulations require that agencies conduct a documented review whenever
otherwise eligible employees are found not to be well-qualified. OPM
received many comments regarding the requirement for this review. One
association commented that employees should be able to ask for a review
of their applications in those instances where they meet minimum
qualification requirements, but are not found well-qualified. The
commenter went further to suggest that a reviewing panel, consisting of
an equal employment opportunity specialist and a personnel specialist,
review the selection. One individual commented that the regulations
should provide an avenue of appeal to the applicant. Another
association asked that in lieu of an appeals procedure, that the final
regulations clarify the right of the individual to grieve
determinations through either the negotiated or administrative
grievance procedure. One agency agreed that a qualifications review
should be conducted only in those instances where the employee has not
been found well-qualified. The Workforce Restructuring Office at OPM
also received numerous calls from surplus and displaced employees who
expressed concern that they were not afforded an avenue of appeal. OPM
has considered these comments, and has determined that the language in
5 CFR 330.609 and 330.708 of the interim regulations needs to be
clarified, to specify that agencies will conduct a documented,
independent second review in those instances where an otherwise
eligible CTAP or ICTAP applicant is not found well-qualified. An
example of a second independent reviewer might be a supervisor in the
human resources office, an Equal Employment Opportunity official, or a
subject matter specialist who was not involved in the original rating
process. The applicant must be advised in writing of the results of the
second review.
Length of Positions Subject to CTAP/ICTAP
Several agencies objected to the definition of the word ``vacancy''
under Sec. 330.604(g) of the interim regulations, saying that the
requirement to announce positions lasting 90 days or more was too
restrictive, and carried an administrative burden that resulted in few,
if any, CTAP or ICTAP applicants. Further, vacancies of short duration,
e.g., 90 days, did not provide the CTAP or ICTAP eligible a significant
placement opportunity to ease the employee's reduction in force
separation. In response to those objections, OPM has changed the
definition of ``vacancy'' to positions lasting 121 or more days. The
final regulations thus allow agencies to temporarily fill positions for
up to 120 days without requiring that selection priority be afforded
their surplus or displaced employees. A conforming change was also made
to Sec. 330.102, which previously required that agencies notify OPM of
all competitive service vacancies lasting more than 90 days.
Extensions of Temporary and Term Employment Actions
In response to many concerns raised by agencies, OPM is including
exceptions in the final regulations which allow agencies to make an
extension to a temporary action, e.g., promotion, or an extension to a
temporary or term appointment, without having to reannounce the
position and reconsider surplus and/or displaced employees. The
original vacancy announcement must have been open to CTAP and/or ICTAP
candidates, whichever is appropriate, and it must have clearly stated
that the original action, e.g., promotion, or appointment could be
extended. Temporary actions which took place prior to the effective
date of the interim regulations, i.e., February 29, 1996, including
subsequent extensions, are not subject to the CTAP and ICTAP.
OPM is thus adding as an exception under CTAP, Sec. 330.606(d)(26),
actions not covered, the following:
Extensions of temporary or term actions, up to the full
period allowed, provided the original vacancy announcement was open to
CTAP candidates, and selection priority conferred to them, as
appropriate. The original announcement must have specified that the
action could be extended without reannouncement.
OPM is also adding as an exception to ICTAP,
Sec. 330.705(c)(11), the following: Extensions of temporary or term
actions, up to the full period allowed, provided the original vacancy
announcement specified that ICTAP candidates could apply, and if found
well-qualified, would be conferred special selection priority. The
original announcement must have specified that the action could be
extended without reannouncement. This exception includes extensions
granted by OPM to the 2 or 4 year limit allowed for temporary and term
appointments, respectively.
Eligibility of Excepted Service Employees
Currently, the interim regulations do not provide selection
priority to employees separated from excepted service positions. The
reason for this is that such employees do not have the same kind of
eligibility to be appointed on an ``interchangeable'' basis as
employees in the competitive civil service. Excepted service employees
are eligible to receive all the same career transition services, e.g.,
career counseling, attendance at workshops,
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access to career transition centers and their resources, etc., as
competitive service employees. One agency commented that selection
priority should be afforded all Federal employees, because downsizing
is taking place Federal-wide, and all employees are affected. One
association commented that employees in Schedule A or B positions
should be afforded not only the full range of career transition
assistance available to competitive service employees, but also should
be given selection priority to other Schedule A or B positions.
The final regulations give agencies the discretion to offer
selection priority under CTAP to excepted service employees who were
hired into appointments without time limit under Schedule A or B
appointing authorities. If a permanent Schedule A or B excepted service
employee is being separated through RIF, or because he or she declined
a transfer of function or directed reassignment outside of the local
commuting area, he or she, at the agency's discretion, may be given
selection priority for other similar permanent excepted service
Schedule A or B vacancies within an agency's local commuting area.
The policy set by the agency must be consistently applied to all
Schedule A and B appointees within the agency, and must be in
accordance with the provisions of 5 CFR part 302, as applicable.
Selection priority would be exercised based upon the nature of the
appointing authority, e.g., a Schedule A employee who is in receipt of
a RIF notice would have selection priority for other Schedule A
positions in the agency, within the local commuting area. We are thus
adding under Sec. 330.604(i)(3), Definitions, the provision that a
surplus employee may include an employee in the excepted service, who
serves without time limit under a Schedule A or B appointing authority
at grade levels GS-15 or equivalent and below, who is in receipt of a
certificate of expected separation or a RIF notice of separation, or
who is in receipt of a notice of proposed separation for declining a
directed reassignment or transfer of function outside of the local
commuting area. The employee, at the agency's discretion, may exercise
special selection priority for positions having the same appointing
authority as the position from which the employee is being separated,
within the agency's local commuting area. This provision will apply to
all Schedule A or B employees serving in positions without time limit.
These employees are not eligible for special selection priority under
the ICTAP.
Filling Excepted Service Positions as Exceptions to CTAP and ICTAP
The interim regulations allow agencies to fill excepted service
positions without having to give selection priority to surplus or
displaced employees. This includes the movement of excepted service
employees within an agency and conversions of agency employees from
excepted appointments to competitive service positions, in certain
defined situations. These same provisions apply to Subpart G, the
ICTAP. That is, an agency can appoint, reassign, promote, or transfer
an excepted service employee to an excepted service position without
first being required to provide selection priority to surplus or
displaced competitive service employees. Again, this is based on the
fact that excepted service employees are usually hired for very special
positions or purposes, and they are not generally interchangeable with
other competitive service employees. During the comment process, one
union suggested that excepted appointments be eliminated as an
exception from the CTAP and ICTAP, stressing that the integrity of the
career transition assistance program could not be preserved otherwise.
We considered this suggestion, but feel that since excepted service
positions are often used for specialized purposes, e.g., attorney
positions, and typically have requirements that are not found in an
agency's workforce, making them subject to career transition programs
would not significantly increase selection opportunities for most
surplus or displaced employees. The final regulations thus continue to
permit agencies to fill excepted service positions without regard to
the agency's Career Transition Assistance Program or the Interagency
Career Transition Assistance Program.
Eligibility of Employees Who Decline a Directed Reassignment or
Transfer of Function Outside of the Local Commuting Area
Under the interim regulations, employees who decline a directed
reassignment or transfer of function outside of the local commuting
area are eligible for selection priority under ICTAP on the date of
their declination. Two agencies commented that the language in 5 CFR
330.704(b) (i) and (iv), eligibility for special selection priority,
was not consistent. Specifically, the commenter suggested that it was
not equitable to state that eligibility for special selection priority
for an employee being RIF separated begins on the date the agency
issues a specific RIF separation notice; whereas, in
Sec. 330.704(b)(iv), eligibility for special selection priority for an
employee who declines a directed reassignment or transfer of function
to another commuting area begins on the date of declination. OPM has
considered this comment and agrees that in order to ensure that
employees are treated equitably, employees who decline a directed
reassignment or transfer of function to another commuting area should
be eligible for CTAP and ICTAP beginning on the date on which the
separation notice is issued to the employee by the agency.
We are thus amending Sec. 330.605(b), Eligibility for CTAP, and
Sec. 330.704(b)(4), Eligibility for ICTAP, to clarify that CTAP and
ICTAP eligibility begins when the agency issues a notice of proposed
separation for declining a directed reassignment or transfer of
function outside of the local commuting area. Employees who decline a
directed reassignment or transfer of function to another commuting area
prior to the effective date of these final regulations will remain
eligible for ICTAP based upon the date of their declination, under
Sec. 330.704(b)(iv) of the interim regulations.
Length of Eligibility
One union, one agency, and several individuals expressed their
concern that eligibility for special selection priority is too short to
provide adequate opportunity for placement. OPM believes, however, that
current eligibility periods are adequate. Realistically, selection
priority within an agency can only be afforded while the employee is
still on the agency rolls. Eligibility for the ICTAP begins with the
date of the RIF separation notice, for example, and ends one year from
the date of the actual RIF separation. Thus, a displaced employee has a
minimum of 60 calendar days (120 days for Department of Defense
employees) of CTAP eligibility (beginning with the date the agency
issues the RIF separation notice) and 1 year, 60 days (1 year, 120 days
for Department of Defense employees) of ICTAP eligibility. We feel that
this provides a reasonable time during which a displaced employee can
apply for and be selected for employment.
CTAP/ICTAP Briefing for Each Displaced Employee
OPM has received information indicating that some individuals
eligible for the CTAP and/or ICTAP are not being provided information
by their
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human resources office about the program. As a result, some employees
may not fully understand their entitlement under this new program, or
that they must apply within the local commuting area for vacancies in
which they are interested. In order to better educate affected
employees on the requirements and benefits of this new program, OPM is
requiring agencies under 5 CFR 330.602(a)(1)(iv), Agency plans, to
conduct a specific orientation session for their current surplus and
displaced eligible employees.
Reporting Requirements
Consistent with other chapters in the regulations, OPM is adding a
requirement under Sec. 330.610(b) (2) and (3) that an agency report the
number of eligible applicants found well-qualified, and not well-
qualified under CTAP. In addition, a new requirement has been added,
under Sec. 330.610(b)(5), Reporting, asking agencies to report the
number of second reviews and the results of such reviews. We are also
requiring agencies under Sec. 330.610(b)(6) to report the number of
CTAP eligibles who declined job offers. We are adding similar
requirements to Sec. 330.710(b), Reporting, as they pertain to ICTAP,
including the requirement of the agency to report the number of
placements made from the Reemployment Priority List.
Labor-Management Requirements
Agreement provisions in conflict with the interim regulations,
which were effective February 29, 1996, remain in effect for the term
of the agreement by operation of 5 U.S.C. 7116(a)(7). However, in the
spirit of partnership, agencies and unions are urged to mutually amend
existing agreements to make them consistent with these regulations
prior to the expiration of conflicting negotiated agreements.
Apart from the aforementioned agreements, these regulations were
effective at the time they were issued as interim regulations. In
implementing them, agency officials should check with their labor
relations officials to determine to what extent, if any, there is a
duty to give notice and, upon request, bargain on their impact and
implementation.
Technical Exceptions
As a result of the comments received, we are adding several
technical exceptions to agency Career Transition Assistance Plans
(CTAP) under 5 CFR 330.606(d), actions not covered. These include:
1. The internal placement of an injured or disabled worker whose
agency has identified a position for which he or she can be reasonably
accommodated;
2. An action taken to return an employee to his or her original or
similar position during a supervisory probationary period;
3. Actions taken by the agency head or his designee pursuant to the
settlement of a formal complaint, grievance, appeal, or litigation;
4. The retention of individuals whose positions are brought into
the competitive service under Sec. 316.701 or Sec. 316.702 of this
chapter and subsequent conversion, when applicable, under Sec. 315.701
of this chapter;
5. The retention of an employee for whom OPM has approved a rule
5.1 variation;
6. The reemployment of a former agency employee who retired under a
formal trial retirement and reemployment program, and who seeks
reemployment with that agency under the program's provisions, including
the program's applicable time limits;
7. The placement of a member of the Senior Executive Service under
5 U.S.C. 3594; and
8. The noncompetitive movement of displaced employees between
agencies as a result of reorganization, transfer of function, or mass
transfer.
Likewise, OPM is adding several technical exceptions to the
Interagency Career Transition Assistance Plan (ICTAP) under 5 CFR
330.705(c), actions not covered, including those listed as items 3-7
above, and:
The reappointment of former employees with their former
agency into hard-to-fill positions, and whose unique skills and
experience are needed in order to conduct a formal skills-based
training program for the agency; and
Assignments made under the Intergovernmental Personnel Act
(IPA).
Expanding Definition of ``Surplus'' Employees to Include Individuals
Whose Positions Are Abolished
OPM is also expanding the definition of ``surplus employee'' under
5 CFR 330.604(i) to include an employee who is officially notified in
writing by the agency that his or her position is being abolished, and
that he or she is eligible for discontinued service retirement. This is
in response to numerous concerns raised by employees who had been
advised that they were eligible for discontinued service retirement
because of position abolishment, but they were not eligible for
selection priority under CTAP.
CTAP/ICTAP Eligibility of Excepted Service Employees Who Are Given
Placement Assistance for Competitive Service Positions by Special
Statute
OPM is extending the definition of ``surplus'' under
Sec. 330.604(i) and ``displaced'' under Sec. 330.604(c), Definitions,
to include a current Executive Branch excepted service employee serving
on an appointment without time limit, at grade levels GS-15 or
equivalent and below, who has been issued an official certificate of
expected separation (or similar official agency notice that his or her
job is surplus), RIF notice of separation, or notice of proposed
removal for declining a transfer of function or directed reassignment
outside of the local commuting area, and who has noncompetitive
appointment eligibility and special selection priority, granted under
special statute. OPM is also including under Sec. 330.703(b)(8),
Definitions for displaced employees, a former Executive Branch
employee, at grade levels GS-15 or equivalent and below, who has been
separated from a permanent appointment in the excepted service and who
has been given noncompetitive eligibility and selection priority for
career or career conditional appointment by statute in order to
facilitate placement into the competitive service. Similar language is
added under Sec. 330.703(b)(7) for current excepted service employees
in receipt of a RIF separation notice. These definitions are intended
to clarify that employees in the excepted service who have
noncompetitive appointment eligibility into the competitive service
based on statute do not have selection priority for competitive service
positions, unless the pertinent statute so states.
Regulatory Flexibility Act
I certify that this regulation will not have a significant economic
impact on a substantial number of small entities because it affects
only Federal employees.
Executive Order 12866, Regulatory Review
This rule has been reviewed by the Office of Management and Budget
in accordance with Executive Order 12866.
List of Subjects in 5 CFR Part 330
Armed forces reserves, Government employees.
U.S. Office of Personnel Management.
James B. King,
Director.
Accordingly, OPM is amending part 330 of title 5, Code of Federal
Regulations, as follows:
[[Page 31320]]
PART 330--RECRUITMENT, SELECTION, AND PLACEMENT (GENERAL)
1. The authority citation for part 330 continues to read as
follows:
Authority: 5 U.S.C. 1302, 3301, 3302; E.O. 10577, 3 CFR 1954-58
Comp., p. 218; Sec. 330.102 also issued under 5 U.S.C. 3327 and
3330; subpart B also issued under 5 U.S.C. 3315 and 8151;
Sec. 330.401 also issued under 5 U.S.C. 3310; subpart H also issued
under 5 U.S.C. 8337(h) and 8457(b); subpart I also issued under 106
Stat. 2720, 5 U.S.C. 3301 note.
Sec. 330.102 [Amended]
2. In Sec. 330.102, paragraph (b) is revised to read as follows:
* * * * *
(b) All other vacancies--(1) Notice required. Under 5 U.S.C. 3330,
OPM must maintain, and make available to the public, a list of agency
vacancy announcements for positions in the competitive service. Under
Sec. 330.707 of this chapter, agencies must notify OPM promptly of
competitive service vacancies to be filled for more than 120 days when
the agency will accept applications from individuals outside the
agency's own work force.
(2) [Reserved]
3. Section 330.301 is revised to read as follows:
Sec. 330.301 Coverage.
(a) This subpart covers the Interagency Placement Program for
employees who will be displaced or who have been separated from their
Federal jobs as a result of agency workforce reductions, compensable
on-the-job injury, discontinued service retirement, or disability
retirement. Agencies have the primary responsibility for providing
placement assistance to their surplus and displaced employees, and for
administering career transition assistance programs. OPM supplements
these agency efforts by administering the Interagency Placement Program
which gives surplus or displaced employees priority referral to
positions in other agencies.
(b) The operation of this subpart will be suspended from February
29, 1996 through September 30, 1999. In the interim, placement
assistance will be provided in accordance with subparts B, F, and G of
this part. OPM may extend this date if it determines that the Federal
Government is still experiencing an emergency downsizing situation.
4. Subpart F is revised to read as follows:
Subpart F--Agency Career Transition Assistance Plans (CTAP) for Local
Surplus and Displaced Employees
330.601 Purpose.
330.602 Agency plans.
330.603 Duration.
330.604 Definitions.
330.605 Eligibility.
330.606 Order of selection for filling vacancies from within the
agency.
330.607 Notification of surplus and displaced employees.
330.608 Application and selection.
330.609 Qualification reviews.
330.610 Reporting.
330.611 Oversight.
Authority: Presidential memorandum dated September 12, 1995,
entitled ``Career Transition Assistance for Federal Employees.''
Subpart F--Agency Career Transition Assistance Plans (CTAP) for
Local Surplus and Displaced Employees
Sec. 330.601 Purpose.
(a) This subpart implements the President's memorandum of September
12, 1995, to establish agency Career Transition Assistance Plans for
Federal employees during a period of severe Federal downsizing. It is
the policy of the United States Government to provide services to help
surplus and displaced Federal employees take charge of their own
careers and find other job offers, either within the Federal Government
or in the private sector.
(b) These regulations set forth minimum criteria for agency Career
Transition Assistance Plans. Consistent with the regulations, agencies
may supplement these provisions to expand career transition
opportunities to their surplus and displaced workers at their
discretion.
(c) Sections 330.602(a)(2) and 330.604 through 330.609 do not apply
to the Department of Defense Priority Placement Program.
(d) New negotiated agreements and agreements which have expired
since February 29, 1996, the effective date of the interim regulations,
will be subject to the provisions set forth in this part.
Sec. 330.602 Agency plans.
(a) Each agency will establish a Career Transition Assistance Plan
(CTAP) to actively assist its surplus and displaced employees. A copy
of the final plan and any additional modified plans will be sent to OPM
as approved by the agency/department head or deputy or under secretary.
An agency plan will include:
(1) Policies to provide career transition services to all surplus
and displaced agency employees affected by downsizing or restructuring,
including employees in the excepted service and the Senior Executive
Service, which include the following:
(i) Types of career transition services to be provided by the
agency;
(ii) Use of excused absence for employees to use the services and
facilities;
(iii) Access to services or facilities after separation;
(iv) The requirement for a specific orientation session for surplus
and displaced employees on the use of career transition services and
the eligibility requirements for selection priority under CTAP and
ICTAP. The orientation session must include information on how to apply
for vacancies under the CTAP and ICTAP (if applicable);
(v) Retraining to be provided to employees;
(vi) Access by employees, including those with disabilities, to
services in headquarters, field offices, and remote site locations;
(vii) Access to resource information on other forms of Federal,
state, and local assistance which are available to support career
transition for employees with disabilities;
(viii) Role of employee assistance programs in providing services;
and
(ix) Designation of agency components, if the agency exercises its
discretion under Sec. 330.606(d)(24).
(2) Policies to provide special selection priority to well-
qualified surplus and/or displaced agency employees, as defined by
Sec. 330.604 (c) and (i), who apply for agency vacancies in the local
commuting area, before selecting any other candidate from either within
or outside the agency, and agency procedures for reviewing
qualification issues; and
(3) Operation of the agency's Reemployment Priority List under
subpart B of 5 CFR part 330.
(b) Each agency is responsible for assuring that its Career
Transition Assistance Plan and the provisions of these subparts are
uniformly and consistently applied to all employees.
Sec. 330.603 Duration.
This subpart will expire on September 30, 1999, unless the Office
of Personnel Management extends the program based on its determination
that the Federal Government is still experiencing an emergency
downsizing situation.
Sec. 330.604 Definitions.
For purposes of this subpart:
(a) Agency means an Executive Department, a Government corporation,
and an independent establishment as cited in 5 U.S.C. 105. For the
purposes of this program, the term ``agency''
[[Page 31321]]
includes all components of an organization, including its Office of
Inspector General.
(b) Component means the first major subdivision of an agency, that
is separately organized and clearly distinguished from other components
in work function and operation.
(c) Displaced employee means:
(1) A current career or career conditional competitive service
employee in tenure group 1 or 2, at grade levels GS-15 or equivalent
and below, who has received a specific reduction in force (RIF)
separation notice or notice of proposed removal for declining a
directed reassignment or transfer of function outside of the local
commuting area; or,
(2) A current Executive Branch agency employee in the excepted
service, serving on an appointment without time limit, at grade levels
GS-15 or equivalent and below, who has been given noncompetitive
appointment eligibility and selection priority by statute for positions
in the competitive service, and who is in receipt of a reduction in
force separation notice or notice of proposed removal for declining a
transfer of function or directed reassignment outside of the local
commuting area.
(d) Eligible employee means a surplus or displaced employee who
meets the conditions set forth in Sec. 330.605(a).
(e) Local commuting area means the geographic area that usually
constitutes one area for employment purposes as determined by the
agency. It includes any population center (or two or more neighboring
ones) and the surrounding localities in which people live and can
reasonably be expected to travel back and forth daily to their usual
employment.
(f) Reorganization means the planned elimination or redistribution
of work functions within an agency, normally announced in writing.
(g) Special selection priority means that, except as provided by
Sec. 330.606(d), surplus and/or displaced employees eligible under this
subpart must be selected over any other candidate for vacancies in the
local commuting area for which they apply and are found well-qualified.
(h) Suitability means determinations based on an individual's
character or conduct that may impact the efficiency of the service by
jeopardizing an agency's accomplishment of its duties or
responsibilities, or by interfering with or preventing effective
service in the competitive, excepted or SES position applied for or
employed in, and determinations that there is a statutory or regulatory
bar to employment.
(i) Surplus employee means:
(1) A current agency employee serving under an appointment in the
competitive service, in tenure group 1 or 2, at grade levels GS-15 or
equivalent and below, who has received a certificate of expected
separation or other official certification issued by the agency
indicating that the position is surplus, for example, a notice of
position abolishment, or a notice stating that the employee is eligible
for discontinued service retirement; or,
(2) A current Executive Branch agency employee serving on an
excepted service appointment without time limit, at grade levels GS-15
or equivalent and below, who has been issued a certificate of expected
separation or other official agency certification indicating that his
or her position is surplus, for example, a notice of position
abolishment or a notice stating that the employee is eligible for
discontinued service retirement, and who has been conferred
noncompetitive appointment eligibility and special selection priority
by statute for positions in the competitive service; and
(3) At an agency's discretion, a current Executive Branch employee
serving on a Schedule A or B excepted appointment without time limit,
at grade levels GS-15 or equivalent and below, and who is in receipt of
a certificate of expected separation or other official agency
certification indicating that his or her job is surplus, for example, a
notice of position abolishment, or an official notice stating that the
employee is eligible for discontinued service retirement; or an
employee who has received a RIF notice of separation, or a notice of
proposed removal for declining a transfer of function or directed
reassignment outside of the local commuting area. Such employee may
exercise selection priority for permanent excepted service positions
within the agency's local commuting area, provided the position to
which appointed has the same appointing authority, i.e., Schedule A or
B, as the position from which being separated.
(j) Vacancy means a competitive service position filled for a total
of 121 days or more, including all extensions, which the agency is
filling, regardless of whether the agency issues a specific vacancy
announcement.
(k) Well-qualified employee means an eligible employee who
possesses the knowledge, skills, and abilities which clearly exceed the
minimum qualification requirements for the position. A well-qualified
employee will not necessarily meet the agency's definition of ``highly
or best qualified,'' when evaluated against other candidates who apply
for a particular vacancy, but must satisfy the following criteria, as
determined and consistently applied by the agency:
(1) Meets the basic qualification standards and eligibility
requirements for the position, including any medical qualifications,
suitability, and minimum educational and experience requirements; and
(2) Satisfies one of the following qualifications requirements:
(i) Meets all selective factors where applicable. Meets appropriate
quality rating factor levels as determined by the agency. Selective and
quality ranking factors cannot be so restrictive that they run counter
to the goal of placing displaced employees. In the absence of selective
and quality ranking factors, selecting officials will document the job-
related reason(s) the eligible employee is or is not considered to be
well qualified; or
(ii) Is rated by the agency to be above minimally qualified in
accordance with the agency's specific rating and ranking process.
Generally, this means that the individual may or may not meet the
agency's test for ``highly qualified,'' but would in fact, exceed the
minimum qualifications for the position;
(3) Is physically qualified, with reasonable accommodation where
appropriate, to perform the essential duties of the position;
(4) Meets any special qualifying condition(s) that OPM has approved
for the position; and
(5) Is able to satisfactorily perform the duties of the position
upon entry.
Sec. 330.605 Eligibility.
(a) To be eligible for the special selection priority, an
individual must meet all of the following conditions:
(1) Is a surplus or displaced employee (still on the agency rolls)
as defined in Sec. 330.604 (c) and (i);
(2) Has a current performance rating of record of at least fully
successful or equivalent;
(3) Applies for a vacancy that is at or below the grade level from
which the employee may be or is being separated, that does not have a
greater promotion potential than the position from which the employee
may be or is being separated;
(4) Occupies a position in the same local commuting area of the
vacancy; or, at the agency's discretion, occupies a position beyond the
local commuting area. An eligible agency applicant outside of the local
commuting area, however, can only exercise selection priority when
there are no eligible surplus and displaced agency
[[Page 31322]]
employees within the local commuting area who apply and are found well-
qualified;
(5) Files an application for a specific vacancy within the time
frames established by the agency, and provides proof of eligibility as
required under Sec. 330.608(a)(2); and
(6) Is determined by the agency to be well-qualified for the
specific vacancy.
(b) Eligibility for special selection priority begins on the date
the agency issues the employee a RIF separation notice, certificate of
expected separation, notice of proposed separation for declining a
directed reassignment or transfer of function outside of the local
commuting area, or other official agency certification identifying the
employee as being in a surplus organization or occupation, whichever is
earliest.
(c) Eligibility expires on the earliest of:
(1) The RIF separation date, the date of the employee's resignation
from the agency, or the date of separation under adverse action
procedures for declining a directed reassignment or transfer of
function to another local commuting area; or
(2) Cancellation of the RIF separation notice, certificate of
expected separation, notice of proposed removal for declining a
directed reassignment or transfer of function outside of the commuting
area, or other official agency certification identifying the employee
as surplus; or
(3) When an eligible employee receives a career, career-
conditional, or excepted appointment without time limit in any agency
at any grade level; and
(4) Within an agency, and at the agency's discretion, when an
eligible employee declines a career, career conditional, or excepted
appointment (without time limit), for which the employee has applied
and been rated well-qualified.
Sec. 330.606 Order of selection for filling vacancies from within the
agency.
(a) Except as provided in paragraph (d) of this section, when
filling a vacancy as defined in Sec. 330.604(j), an agency must select
an employee eligible under Sec. 330.605 of this subpart before
selecting any other candidate from within or outside the agency, unless
the agency can show that another employee would otherwise be separated
by reduction in force. In addition, agencies may not procure temporary
help services under 5 CFR part 300, subpart E, in lieu of appointing a
surplus or displaced Federal employee as required by subparts F and G
of this chapter.
(b) Once the agency has met its obligation to select employees
eligible under its CTAP, it is free to select any other competitive
service tenure group 1 or 2 candidate from within its workforce, under
appropriate procedures. An agency may provide selection priority to
surplus and displaced agency employees from another commuting area
after it has discharged its obligation to eligible surplus and
displaced agency employees from within the local commuting area.
(c) When an agency selects a candidate from outside of its
workforce, the agency is subject to the order of selection prescribed
in Sec. 330.705.
(d) The following are not covered under this subpart:
(1) Actions taken under 5 CFR part 335, including reassignments,
changes to lower grade, or promotions, when no employees eligible under
this subpart apply;
(2) Reemployment of a former agency employee exercising regulatory
or statutory reemployment rights, including the reemployment of injured
workers who have either been restored to earning capacity by the 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;
(3) Position changes resulting from disciplinary actions;
(4) Temporary appointments of under 121 days (including all
extensions);
(5) Exchange of positions between or among agency employees, when
the actions involve no increase in grade or promotion potential, i.e.,
job swaps;
(6) Conversion of an employee of the same agency who is serving on
an excepted appointment which confers eligibility for noncompetitive
conversion into the competitive service, e.g., conversion of a
veterans' readjustment appointee to a career conditional appointment
under Sec. 315.705;
(7) An action taken under part 351 of this chapter;
(8) Non-competitive placement of an employee into a different
position as a result of a formal reorganization, when the former
position ceases to exist, and no actual vacancy results;
(9) Assignments made under the Intergovernmental Personnel Act
(IPA) as provided in part 334 of this chapter;
(10) The filling of a position through an excepted appointment;
(11) Details;
(12) Time-limited promotions of under 121 days, including all
extensions;
(13) Noncompetitive movement of surplus or displaced employees
within the agency, and within the same local commuting area;
(14) Movement of excepted service employees within an agency;
(15) A placement under 5 U.S.C. 8337 or 8451 to allow continued
employment of an employee who has become unable to provide useful and
efficient service in his or her current position because of a medical
condition;
(16) A placement that is a ``reasonable offer'' as defined in 5
U.S.C. 8336(d) and 8414(b);
(17) Career ladder promotions or position changes resulting from
reclassification actions, e.g., accretion of duties, or application of
new position classification standards;
(18) Recall of seasonal or intermittent employees from nonpay
status;
(19) The internal placement of an injured or disabled worker whose
agency has identified a position for which he or she can be reasonably
accommodated;
(20) An action taken by the agency head or his designee pursuant to
the settlement of a formal complaint, grievance, appeal, or other
litigation;
(21) An action taken to return an employee to his or her original
or similar position during a supervisory probationary period;
(22) The retention of individuals whose positions are brought into
the competitive service under Sec. 316.701 or Sec. 316.702 of this
chapter and subsequent conversion, when applicable, under Sec. 315.701
of this chapter;
(23) The retention of an employee for whom OPM has approved a rule
5.1 variation;
(24) At the agency's discretion, the selection of an employee from
within a component of an agency within the local commuting area, after
all eligible surplus and displaced applicants of that component who are
eligible under CTAP within the local commuting area have been accorded
selection priority;
(25) The reemployment of a former agency employee who retired under
a formal trial retirement and reemployment program, and who seeks
reemployment with that agency under the program's provisions, and
within the program's applicable time limits;
(26) Extensions of temporary or term actions, up to the full period
allowed, provided that the original action, upon which the extension is
based, was made on or before February 29, 1996; or for actions
initially made after February 29, 1996, the original vacancy
announcement must have specified that the position was open to CTAP
candidates and that if they were found
[[Page 31323]]
well-qualified, would be afforded selection priority. The original
announcement must have stated that an extension was possible without
further announcement;
(27) Noncompetitive movement of displaced employees between
agencies as a result of reorganization, transfer of function, or mass
transfer; and
(28) The placement of a member of the Senior Executive Service
under 5 U.S.C. 3594.
Sec. 330.607 Notification of surplus and displaced employees.
(a) In addition to meeting the requirements of
Sec. 330.602(a)(1)(iv), at the time it issues a specific RIF separation
notice, certificate of expected separation, or other official agency
certification that identifies an employee as being likely to be
separated by RIF, or by adverse action procedures for declining a
directed reassignment or transfer of function outside of the local
commuting area, an agency must give each of its eligible employees
information in writing about the special selection priority available
to them under the agency's Career Transition Assistance Plan. Such
information must contain guidance to the employee on how to apply for
vacancies under the CTAP, and what documentation is generally required
as proof of eligibility.
(b) Agencies must take reasonable steps to ensure eligible
employees are notified of all vacancies the agency is filling and what
is required for them to be determined well-qualified for the vacancies.
Vacancy announcements within an agency must contain information on how
eligible employees within the agency can apply, what proof of
eligibility is required, and the agency's definition of ``well-
qualified.''
(c) Each agency is required to advise, in writing, their surplus
and displaced employees who apply for specific vacancies within its
local commuting area of the results of their application, and whether
or not they were found well-qualified. If they are not found well-
qualified, such notice must include information on the results of an
independent, second review conducted by the agency. If an applicant is
found well-qualified, and another well-qualified surplus or displaced
candidate is selected, the applicant must be so advised.
Sec. 330.608 Application and selection.
(a) Application.
(1) To receive this special selection priority, an eligible
employee must apply for a specific agency vacancy in the same local
commuting area as the position the employee occupies within the
prescribed time frames, attach the appropriate proof of eligibility as
described in paragraph (a)(2) of this section, and be determined well-
qualified by the agency for the specific vacancy.
(2) Employees may submit the following as proof of eligibility for
the special selection priority:
(i) RIF separation notice or notice of proposed removal for
declining a directed reassignment or transfer of function outside the
local commuting area;
(ii) Certificate of expected separation or other official notice
from the agency indicating that the employee is surplus or eligible for
discontinued service retirement; or
(iii) Other official agency certification identifying the employee
as being in a surplus organization or occupation.
(b) Selection. An agency may decide the specific order of selection
of its eligible employees within the provisions set forth in
Sec. 330.606(a) (e.g., the agency may decide to select displaced
employees before surplus employees or may select surplus and/or
displaced employees from within a particular component of the agency
before selecting surplus and/or displaced employees from another
component of the agency).
(c) An agency cannot select any other candidate from within or
outside the agency if eligible employees are available for the vacancy
or vacancies.
(d) If two or more eligible employees apply for a vacancy and are
determined to be well-qualified, any of these eligible employees may be
selected.
(e) If no eligible employees apply or none is deemed well-
qualified, the agency may select another agency employee without regard
to this subpart.
Sec. 330.609 Qualification reviews.
Agencies will ensure that a documented, independent second review
is conducted whenever an otherwise eligible employee is determined to
be not well-qualified. The applicant must be advised in writing of the
results of the second review.
Sec. 330.610 Reporting.
(a) Each agency shall submit an annual report covering each fiscal
year activity under this subpart to OPM no later than December 31 of
each year.
(b) Each report will include the following:
(1) Number of employees identified by the agency as surplus and
displaced during that fiscal year;
(2) The number of CTAP applicants who were found to be well-
qualified;
(3) The number of CTAP applicants who were found to be not well-
qualified;
(4) Number of selections of eligible employees under the agency's
CTAP, or in the case of the Department of Defense, under its Priority
Placement Program;
(5) The number of second reviews and the results of those reviews;
(6) The number of CTAP eligibles who declined job offers; and
(7) The name, title, and telephone number of the agency official
responsible for the report.
(c) Reports should be addressed to: U.S. Office of Personnel
Management, Workforce Restructuring Office, Employment Service, 1900 E
Street, NW., Washington, DC 20415, FAX: 202-606-2329.
Sec. 330.611 Oversight.
OPM provides advice and assistance to agencies in implementing
their Career Transition Assistance Programs. OPM is also responsible
for oversight of agency CTAPs and may conduct reviews of the plans at
any time.
5. Subpart G is revised to read as follows:
Subpart G--Interagency Career Transition Assistance Plan for Displaced
Employees
330.701 Purpose.
330.702 Duration.
330.703 Definitions.
330.704 Eligibility.
330.705 Order of selection in filling vacancies from outside the
agency's workforce.
330.706 Notification of displaced employees.
330.707 Reporting vacancies to OPM.
330.708 Application and selection.
330.709 Qualification reviews.
330.710 Reporting.
330.711 Oversight.
Authority: Presidential memorandum dated September 12, 1995,
entitled ``Career Transition Assistance for Federal Employees.''
Subpart G--Interagency Career Transition Assistance Plan for
Displaced Employees
Sec. 330.701 Purpose.
(a) This subpart implements the President's memorandum of September
12, 1995, to establish a special interagency career transition
assistance program for Federal employees during a period of severe
Federal downsizing.
(b) This subpart is effective July 9, 1997.
(c) The provisions of the Reemployment Priority List (RPL) set
forth in subpart B of this part will remain in effect during the period
of severe Federal downsizing. When an
[[Page 31324]]
agency considers candidates from outside the agency for vacancies,
registrants in an agency's RPL have priority for selection over
employees eligible under this subpart in accordance with Sec. 330.705.
(d) This subpart applies only when agencies are making selections
from outside their workforce, and does not prohibit movement within an
agency, as permitted by subpart F of this part.
Sec. 330.702 Duration.
This subpart will expire on September 30, 1999, unless the U. S.
Office of Personnel Management extends the program based on its
determination that the Federal Government is still experiencing an
emergency downsizing situation.
Sec. 330.703 Definitions.
For the purposes of this subpart:
(a) Agency has the meaning given in Sec. 330.604(a).
(b) Displaced employee means:
(1) A current career or career-conditional competitive service
employee, in tenure group 1 or 2, at grade levels GS-15 or equivalent
and below, who has received a specific RIF separation notice, or a
notice of proposed removal for declining a directed reassignment or
transfer of function outside of the local commuting area;
(2) A former career or career-conditional competitive service
employee, in tenure group 1 or 2, at grade levels GS-15 or equivalent
and below, who was separated through reduction in force, or removed for
declining a directed reassignment or transfer of function outside of
the local commuting area;
(3) A former career or career-conditional employee who was
separated because of a compensable injury or illness as provided under
the provisions of subchapter I of chapter 81 of title 5, United States
Code, whose compensation has been terminated and whose former agency is
unable to place the individual as required by part 353 of this chapter;
(4) A former career or career-conditional competitive service
employee, in tenure group 1 or 2, who retired with a disability under
sections 8337 or 8451 of title 5, United States Code, whose disability
annuity has been or is being terminated;
(5) A former career or career-conditional competitive service
employee, in tenure group 1 or 2, at grades GS-15 level or equivalent
or below, who received a RIF separation notice, and who retired on the
effective date of the reduction in force or under the discontinued
service retirement option;
(6) A former Military Reserve Technician or National Guard
Technician who is receiving a special disability retirement annuity
from OPM under section 8337(h) or 8456 of title 5 United States Code,
as described in subpart H of this part;
(7) A current Executive Branch agency employee in the excepted
service, serving on an appointment without time limit, at grade levels
GS-15 or equivalent and below, who has been given noncompetitive
appointment eligibility and selection priority by statute for positions
in the competitive service, and who is in receipt of a reduction in
force separation notice or notice of proposed removal for declining a
transfer of function or directed reassignment outside of the local
commuting area; or
(8) A former Executive Branch agency employee in the excepted
service, who served on an appointment without time limit, at grade
levels GS-15 or equivalent and below, who has been given noncompetitive
appointment eligibility and selection priority by statute for positions
in the competitive service, and who has been separated through
reduction in force or removed for declining a transfer of function or
directed reassignment outside of the local commuting area.
(c) Eligible employee means a displaced employee who meets the
conditions set forth in Sec. 330.704(a).
(d) Local commuting area has the meaning given in Sec. 330.604(e).
(e) Special selection priority has the meaning given in
Sec. 330.604(g).
(f) Vacancy has the meaning given in Sec. 330.604(j).
(g) Well-qualified employee has the meaning given in
Sec. 330.604(k).
Sec. 330.704 Eligibility.
(a) To be eligible for the special selection priority, an
individual must meet all of the following conditions:
(1) Is a displaced employee as defined in Sec. 330.703(b);
(2) Has a current (or a last) performance rating of record of at
least fully successful or equivalent (except for those eligible under
Sec. 330.703(b)(3), (b)(4), and (b)(6);
(3) Applies for a vacancy at or below the grade level from which
the employee has been or is being separated, that does not have a
greater promotion potential than the position from which the employee
has been or is being separated;
(4) Occupies, or was displaced from a position in the same local
commuting area of the vacancy;
(5) Files an application for a specific vacancy within the time
frames established by the agency, and provides proof of eligibility
required under Sec. 330.708(a)(2); and
(6) Is determined by the agency to be well-qualified for the
specific position.
(b) Eligibility for special selection priority begins:
(1) On the date the agency issues the RIF separation notice;
(2) On the date an agency certifies that it cannot place an
employee eligible under Sec. 330.703(b)(3);
(3) On the date an employee eligible under Sec. 330.703(b)(4) is
notified that his or her disability annuity has been or is being
terminated;
(4) On the date the agency issues a formal notice of proposed
separation to an employee for declining a transfer of function or
directed reassignment outside the local commuting area; or
(5) On the date the National Guard Bureau or Military Department
certifies that an employee under Sec. 330.703(b)(6) has retired under 5
U.S.C. 8337(h) or 8456.
(c) Eligibility expires:
(1) 1 year after separation, except for those employees separated
on or after September 12, 1995, and prior to February 29, 1996. For
these employees, eligibility expired February 28, 1997;
(2) 1 year after an agency certifies that an individual under
Sec. 330.703(b)(3) cannot be placed;
(3) 1 year after an individual under Sec. 330.703(b)(4) receives
notification that his/her disability annuity has been or will be
terminated;
(4) When the employee receives a career, career-conditional, or
excepted appointment without time limit in any agency at any grade
level;
(5) When the employee no longer meets the eligibility requirements
set forth in paragraph (a) of this section (e.g., the employee is no
longer being separated by RIF, or under adverse action procedures for
declining a transfer of function or directed reassignment outside the
local commuting area, or separates by resignation or non-discontinued
service retirement prior to the RIF effective date); or
(6) At an agency's discretion, when an eligible employee declines a
career, career conditional, or excepted appointment (without time
limit), for which the employee has applied and been rated well-
qualified; or upon the failure of the applicant to respond within a
reasonable period of time to an offer or official inquiry of
availability.
[[Page 31325]]
Sec. 330.705 Order of selection in filling vacancies from outside the
agency's workforce.
(a) Except as provided in paragraph (c) of this section, when
filling a vacancy from outside the agency's workforce an agency must
select:
(1) Current or former agency employees eligible under the agency's
Reemployment Priority List described in subpart B of this part, then;
(2) At the agency's option, any other former employee displaced
from the agency (under appropriate selection procedures), then;
(3) Current or former Federal employees displaced from other
agencies eligible under this subpart; and then;
(4) Any other candidate (under appropriate selection procedures)
(optional).
(b) The following actions are subject to the above order of
selection and are covered under this subpart:
(1) Competitive appointments (e.g., from registers or delegated
examining);
(2) Noncompetitive appointments to the competitive service (e.g.,
the types listed in part 315, subpart F of this chapter, as well as
Outstanding Scholar and Bilingual/Bicultural appointments made under
the authority of the Luevano consent decree);
(3) Movement between agencies (e.g., transfer), except as provided
for in paragraph (c)(8) of this section or part 351 of this chapter;
(4) Reinstatements (except as provided for in paragraph (a)(2) of
this section); and
(5) Time-limited competitive appointments of 121 days or more,
including all extensions, except as provided in (c)(11) of this
section.
(c) The following actions are not covered under this subpart:
(1) Selections from an agency's internal Career Transition
Assistance Plan or Reemployment Priority List as described in subparts
F and B of this part respectively or any other internal agency movement
of current agency employees;
(2) Appointments of 10 point veteran preference eligibles (CP, CPS,
and XP), if reached through an appropriate appointing authority;
(3) 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 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;
(4) Temporary appointments of under 121 days (including all
extensions);
(5) An action taken under part 351 of this chapter;
(6) The filling of a position by an excepted appointment;
(7) Conversion of an employee of the same agency who is serving on
an excepted appointment that confers eligibility for noncompetitive
appointment into the competitive service, e.g., conversion of a
veterans' readjustment appointee to a career conditional appointment
under Sec. 315.705 of this chapter;
(8) Noncompetitive movement of displaced employees between agencies
as a result of reorganization, transfer of function, or mass transfer;
(9) The reemployment of a former agency employee who retired under
a formal trial retirement and reemployment program, and who seeks
reemployment with that agency under the program's provisions, and
within the program's applicable time limits;
(10) An action taken by the agency head or his or her designee
pursuant to the settlement of a formal complaint, grievance, appeal, or
other litigation;
(11) Extensions of temporary or term actions, up to the full period
allowed, provided that the original action, upon which the extension is
based, was made on or before February 29, 1996 (the effective date of
the interim regulations); or for actions initially made after February
29, 1996, the original vacancy announcement must have specified that
the position was open to ICTAP candidates, and that if they were found
well-qualified, would be afforded selection priority. The original
announcement must have stated that an extension was possible without
further announcement. This exception includes extensions granted by OPM
to the 2 or 4 year limit allowed for temporary and term appointments,
respectively;
(12) The reappointment of former employees with their agency into
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;
(13) The retention of individuals whose positions are brought into
the competitive service under Sec. 316.701 or Sec. 316.702 of this
chapter and subsequent conversion, when applicable, under Sec. 315.701
of this chapter;
(14) The retention of an employee for whom OPM has approved a rule
5.1 variation;
(15) The placement of a member of the Senior Executive Service
under 5 U.S.C. 3594; and
(16) Assignments made under the Intergovernmental Personnel Act
(IPA) as provided in part 334 of this chapter.
Sec. 330.706 Notification of displaced employees.
(a) In addition to meeting the requirements of
Sec. 330.602(a)(1)(iv) and Sec. 330.607(a), at the time it issues a
specific RIF separation notice or notice of proposed removal for
declining a directed reassignment or transfer of function outside of
the local commuting area, an agency must give each of its eligible
employees information in writing about the special selection priority
available to them under the Interagency Career Transition Assistance
Plan. Such information must contain guidance to the employee on how to
apply for vacancies under the ICTAP, and what documentation is
generally required as proof of eligibility.
(b) Agencies must take reasonable steps to ensure eligible
employees are notified of all vacancies the agency is filling and what
is required for them to be determined well-qualified for the vacancies.
(c) Each agency is required to advise, in writing, ICTAP candidates
who apply for specific vacancies within its local commuting area of the
results of their application, and whether or not they were found well-
qualified. If they are not found well-qualified, such notice must
include information on the results of an independent, second review
conducted by the agency. If an applicant is found well-qualified, and
another well-qualified surplus or displaced candidate is selected, the
applicant must be so advised.
Sec. 330.707 Reporting Vacancies to OPM.
(a) Agencies are required to report all competitive service
vacancies to OPM when accepting applications from outside the agency
(including applications for temporary positions lasting 121 or more
days), except when they elect to fill a position by the transfer or
reassignment of an ICTAP eligible from another agency.
(b) Content. Notice to OPM of job announcements must include the
position title, location, pay plan and grade (or pay rate) of the
vacant position; application deadline; and other information specified
by OPM. In addition, for all positions reported, agencies are required
to provide OPM with an electronic file of the complete vacancy
announcement or recruiting bulletin, which must contain:
(1) Title, series, pay plan, and grade (or pay rate);
(2) Duty location;
[[Page 31326]]
(3) Open and closing dates, plus any other information dealing with
how application receipt will be controlled, such as the use of early
cut-off dates;
(4) Name of issuing agency and announcement number;
(5) Qualification requirements, including knowledges, skills, and
abilities;
(6) Entrance pay;
(7) Brief description of duties;
(8) Basis of rating;
(9) What to file;
(10) Instructions on how to apply;
(11) Information on how to claim veterans' preference, if
applicable;
(12) The agency's definition of well-qualified and information on
how CTAP and/or ICTAP candidates may apply, including proof of
eligibility required; and
(13) Equal employment opportunity statement.
Sec. 330.708 Application and selection.
(a) Application.
(1) To receive this special selection priority, eligible employees
must apply directly to agencies for specific vacancies in the local
commuting area within the prescribed time frames, attach the
appropriate proof of eligibility as described in paragraph (a)(2) of
this section, and be determined well-qualified by the agency for the
specific position.
(2) Employees may submit the following as proof of eligibility for
the special selection priority:
(i) RIF separation notice, or notice of proposed removal for
declining a directed reassignment or transfer of function to another
commuting area;
(ii) Documentation, e.g., SF-50, Notification of Personnel Action,
showing that they were separated as a result of reduction in force, or
for declining a transfer of function or directed reassignment to
another commuting area;
(iii) Official certification from an agency stating that it cannot
place an individual whose injury compensation has been or is being
terminated;
(iv) Official notification from OPM that an individual's disability
annuity has been or is being terminated; or
(v) Official notification from the Military Department or National
Guard Bureau that the employee has retired under 5 U.S.C. 8337(h) or
8456.
(b) Selection. In making selections, an agency will adhere to the
overall order of selection set forth in Sec. 330.705. In addition, the
following apply:
(1) An agency cannot select another candidate from outside the
agency if eligible employees are available for the vacancy or
vacancies.
(2) If two or more eligible employees apply for a vacancy and are
determined to be well-qualified, any of these eligible employees may be
selected.
(3) If no eligible employees apply or none is deemed well-
qualified, the agency may select another candidate without regard to
this subpart. (This flexibility does not apply to selections made from
the agency's Reemployment Priority List as described in subpart B of
this part.)
(c) An agency may select a candidate from its Career Transition
Assistance Plan or Reemployment Priority List, as described in subparts
F and B of this part respectively, or another current agency employee
(if no eligible employees are available through its CTAP) at any time.
Sec. 330.709 Qualification reviews.
Agencies will ensure that a documented, independent second review
is conducted whenever an otherwise eligible employee is found to be not
well-qualified. The applicant must be advised in writing of the results
of the second review.
Sec. 330.710 Reporting.
(a) Each agency shall submit an annual report covering each fiscal
year activity under this subpart to OPM no later than December 31 of
each year.
(b) Each report will include data specified in Sec. 330.610 of
subpart F of this part, and will also include information on:
(1) The number of selections of ICTAP eligible employees from other
Federal agencies;
(2) The number of ICTAP candidates found not well-qualified;
(3) The number of ICTAP candidates found well-qualified;
(4) The number of selections of competitive service tenure group 1
or 2 employees from other Federal agencies who are not displaced;
(5) The number of declinations from ICTAP eligible candidates;
(6) The number of competitive service tenure group 1 or 2
appointments from outside the Federal Government; and
(7) The number of placements made from the agency's Reemployment
Priority List.
Sec. 330.711 Oversight.
OPM is responsible for oversight of the Interagency Career
Transition Assistance Plan for Displaced Employees and may conduct
reviews of agency activity at any time.
[FR Doc. 97-14905 Filed 6-6-97; 8:45 am]
BILLING CODE 6325-01-P