5 C.F.R. Subpart F—Agency Career Transition Assistance Plans (CTAP) for Local Surplus and Displaced Employees
Title 5 - Administrative Personnel
Title 5: Administrative Personnel
PART 330—RECRUITMENT, SELECTION, AND PLACEMENT (GENERAL)
Subpart F—Agency Career Transition Assistance Plans (CTAP) for Local Surplus and Displaced Employees
Editorial Note: Nomenclature changes to subpart F of part 330 appear at 70 FR 72067, Dec. 1, 2005.
Authority: Presidential memorandum dated September 12, 1995, entitled “Career Transition Assistance for Federal Employees”.
Source: 62 FR 31320, June 9, 1997, unless otherwise noted.
§ 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.
§ 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 §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 its Career Transition Assistance Plan and the provisions of these subparts are uniformly and consistently applied to all employees.
§ 330.603 [Reserved]
§ 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.
§ 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 §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 reduction in force 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.
(c) Eligibility expires on the earliest of:
(1) The RIF separation date, the date of the employee's resignation, retirement, or separation from the agency (including separation under adverse action procedures for declining a directed reassignment or transfer of function or similar relocation to another local commuting area).
(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.
[62 FR 31320, June 9, 1997, as amended at 64 FR 40509, July 27, 1999]
§ 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 §330.604(j), an agency must select an employee eligible under §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 §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' recruitment 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 employees between agencies as a result of interagency reorganization, interagency transfer of function, or interagency mass transfer; and
(28) The placement of a member of the Senior Executive Service under 5 U.S.C. 3594.
(29) The voluntary transfer of employees from one agency to another under a Memorandum of Understanding or similar type of agreement when both agencies and the affected employees agree to the transfer.
(30) The reassignment of an employee whose position description or other written mobility agreement provides for reassignments outside the commuting area as part of a planned rotational program within the agency.
[62 FR 31320, June 9, 1997, as amended at 64 FR 40509, July 27, 1999]
§ 330.607 Notification of surplus and displaced employees.
(a) In addition to meeting the requirements of §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 in locations where there are CTAP eligibles, 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”. If there are no CTAP eligibles in a local commuting area, the agency may document this fact as an alternative to posting the vacancy under the CTAP program.
(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.
[62 FR 31320, June 9, 1997, as amended at 64 FR 40509, July 27, 1999; 65 FR 47829, Aug. 4, 2000]
§ 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 §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 [Reserved]
§ 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.
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