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Office of Personnel Management
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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.
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.
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.
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Program Results to Date |
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Changes Incorporated in the Final Regulations |
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Regulatory Flexibility Act |
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Executive Order 12866, Regulatory Review |
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List of Subjects in 5 CFR Part 330 |
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 §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 §330.605(a)(4),
Eligibility for CTAP, and §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 §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 contained in §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
§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
§330.609 and §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 §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 §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 will 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, §330.606(d)(26),
actions not covered, the following:
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, 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 §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 §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 §330.605(b), Eligibility for CTAP, and §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 §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 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 the requirement
under §330.610(b)(2) and (3) that an agency report the number of eligible
applicants found to be well-qualified, and not well-qualified under CTAP.
In addition, a new requirement has been added, under §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 §330.610(b)(6)
to report the number of CTAP eligibles who declined job offers. We are
adding similar requirements to §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:
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:
Expanding Definition of Surplus' Employee 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 §330.604(i)
and displaced' under §330.604(c), Definitions,
to include a current Executive Branch excepted service employee
serving on an appointment without time limit, at grade 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 §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 §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.
U.S. OFFICE OF PERSONNEL MANAGEMENT
James B. King
Director
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330.601 Purpose. |
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330.602 Agency Plans. |
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330.603 Duration. |
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330.604 Definitions. |
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330.605 Eligibility. |
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330.606 Order of selection for filling vacancies from within the agency. |
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330.607 Notification of surplus and displaced employees. |
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330.608 Application and selection. |
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330.609 Qualification reviews. |
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330.610 Reporting. |
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330.611 Oversight. |
Authority: Presidential memorandum dated September 12, 1995, entitled
"Career Transition Assistance for Federal Employees."
(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
the CTAP and ICTAP. The orientation session must include information on
how to apply for vacancies under CTAP and ICTAP (if applicable);
(v) Retraining to be provided to employees;
(vi) Access to services 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 §330.606(d)(24).
(2) Policies to provide special selection priority to well-qualified
surplus and/or displaced agency employees, as defined by §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 their Career Transition
Assistance Plan and the provisions of these subparts are uniformily and
consistently applied to all employees.
§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.
§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" 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 §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
§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.
(1) Is a surplus or displaced employee (still on the agency rolls) as
defined in §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 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 §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.
(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 §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 §316.701 or §316.702 of this chapter
and subsequent conversion, when applicable, under §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 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.
(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 §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.
§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.
§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:
§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.
|
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."
(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 §330.704(a).
(d) Local commuting area has the meaning given in §330.604(e).
(e) Special selection priority has the meaning given in §330.604(g).
(f) Vacancy has the meaning given in §330.604(j).
(g) Well-qualified employee has the meaning given in §330.604(k).
(1)Is a displaced employee as defined in §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 §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
§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 §330.703(b)(3);(3) On the date an employee eligible under §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 §330.703(b)(6) has retired under 5 U.S.C. 8337(h)
or 8456.
(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 §330.703(b)(3)
cannot be placed;
(3) 1 year after an individual under §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.
§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, 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 this order of selection and are covered under this subpart:
(1) Competitive appointments (e.g., from registers or delegated examining);
(2) Noncompetitive appointments (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 §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 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 §316.701 or §316.702 of this chapter
and subsequent conversion, when applicable, under §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.
§330.706 Notification of displaced employees.
(a) In addition to meeting the requirements of §330.602(a)(1)(iv)
and §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.
(1) Title, series, pay plan, and grade (or pay rate);
(2) Duty location;
(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.
§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 §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.
§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.
§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,
beginning December 31, 1996.
(b) Each report will include data specified in §330.610 of subpart
F, 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.
§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.
| Category | GO! | Subcategory |
|---|---|---|
| Actions Not Covered: | |
Supplementary Information CTAP ICTAP |
| Agency component: | |
Example Definition |
| Annual Report: | |
CTAP ICTAP |
| Agency plan requirements | |
|
| Commuting Area | |
|
| Details | |
Actions not covered |
| Displaced Employee: | |
CTAP/definition ICTAP/definition |
| Excepted Service Positions | |
|
| Excepted Service Employees: | |
Discretionary rights Special statutes |
| Extensions of Temporary/Term Actions | |
|
| Eligibility for CTAP: | |
General Requirements Beginning Date Expiration Date Proof of |
| Eligibility for ICTAP: | |
General Requirements Beginning Date Expiration Date Proof of |
| Internal Reassignments within a component | |
|
| Order of Selection: | |
CTAP ICTAP |
| Orientation Session | |
|
| Second reviews | |
|
| Surplus Employee | |
|
| Temporary Help Services | |
|
| Vacancy: | |
Definition Content of announcement Reporting to OPM |
| Well-Qualified | |
For additional information contact Jacqueline Yeatman
at jryeatma@opm.gov
Page created 06/09/97