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REDUCTIONS IN FORCE

AUTHORITY: §§ 12.301 to 12.313, inclusive, issued under 22 Stat. 403, as amended, 5 U.S.C. 633; Ε.Ο. 9063, 3 CFR, Cum. Supp.

SOURCE: §§ 12.301 to 12.313, inclusive, contained in Regulation, Civil Service Commission, July 31, 1943, 8 F.R. 10921.

§ 12.301 Coverage. The following reduction in force procedure is promulgated for use whenever one or more employees in positions within the jurisdiction of the Commission are to be involuntarily separated or furloughed in excess of 90 days as a result of decrease or stoppage of work or funds, change in working conditions, abolition of positions, consolidation or reorganization of functions or organization structure, or upon orders of the Bureau of the Budget.

§ 12.302 Transfers. Whenever a department or agency in the executive branch of the government service finds that a reduction in force is necessary, the Commission shall be notified in writing immediately. Heads of departments and agencies in Washington, D. C., and vicinity shall notify the Commission's central office in Washington, D. C., of all anticipated reductions in force, departmental and field, specifying the locations where they are to be made and the probable number at each location. Heads of agencies and activities outside of Washington, D. C., and vicinity shall report anticipated reductions to the appropriate regional offices of the Commission. Representatives of the Commission will thereupon work with designated representatives of the department or agency concerned in transferring employees who are declared available to other departments and agencies whenever their services are needed and they can be effectively utilized by other departments or agencies.

Except where a reduction in force involves all employees in all classes in an organizational unit designated as a separate group for reduction in force purposes, departments and agencies shall proceed with the reduction in force procedures prescribed in the following paragraphs simultaneously with this transfer activity.

§12.303 Organization unit and class. The head of each department or establishment shall determine the organization units and classes in which the contemplated reduction in force is to be made. Organization units designated as

separate groups for reduction in force purposes shall be materially distinct from each other in work functions or in geographical location and shall be organized and operated as separate entities with clearly separable staffs of employees. Ordinarily, organization units located within the same local commuting area shall not be considered to be materially distinct from each other in geographical location. The organization unit designated as a separate group for reduction in force purposes shall be as large and have as wide coverage as is administratively feasible. Consideration shall be given to making organization units correspond with the organizational jurisdiction of efficiency rating committees. Within the determined organization unit, the class in which the contemplated reduction in force is to be made shall include all positions allocated to the same class, service, and grade, and all positions of the same grade (although designated by another title) that are sufficiently alike that intertransfer of personnel is feasible. In ungraded positions, the class shall include all positions in an occupational level.

§12.304 Categories of tenure. Within the organization unit and class, the following categories of tenure constitute separate groups for reduction in force purposes, consideration being given to the categories in the following order:

(a) All employees serving under temporary appointment limited to a specific period of time of one year or less.

(b) All employees serving probational or trial periods in their present positions, not including those who served previously with a classified (competitive) civil service status.

(c) All employees who have completed probational or trial periods or an equivalent thereof but who do not have a classified (competitive) civil service status. (Until required appointment forms have been submitted to the Commission, employees who have completed probational periods shall not be consid ered as having a civil service status. The fact that the character investigation has not been completed will not prevent considering the probational period to be completed for status purposes if all other requirements have been met.)

(d) All employees serving under any type of appointment, except temporary, who have classified (competitive) civil service status in their present positions or who served previously with a classified (competitive) civil service status. (When there is doubt as to the civil service status of an employee, the Commission should be consulted.)

An employee in a lower category of tenure may be retained in preference to an employee in a higher category of tenure if the position is to be retained and its duties cannot be acceptably performed after a reasonable preliminary training period by any available employee who would be affected by reason of the retention.

Seasonal employees shall be considered in competition only with other seasonal employees in the same class of work. Reduction in force within this group shall be effected in the order of the categories of tenure.

Temporary employees and probation or trial period employees may be considered according to regulations controlling their appointment and status without regard to reduction in force procedures at the discretion of the head of the department or agency: Provided, That employees in the other categories of tenure are not affected thereby.

§12.305 Order within category of tenure. With respect to employees whose performance is evaluated under an efficiency rating system, the order of reduction in force within each category of tenure shall be:

(a) Employees without military preference who have "Fair" efficiency ratings, in order of reduction credits.

(b) Employees with military preference who have "Fair" efficiency ratings, in order of reduction credits.

(c) Employees without military preference who have efficiency ratings of "Good" or better, in order of reduction credits.

(d) Employees with military preference who have efficiency ratings of "Good" or better, in order of reduction credits.

Reduction credits shall be computed by giving a numerical value of 80 for a "Good" efficiency rating, 88 for a "Very Good" efficiency rating, and 96 for an "Excellent" efficiency rating, and adding one credit for each full year of service with the Federal government. No numerical value shall be given for a "Fair" efficiency rating, but one reduction credit

shall be given for each full year of service with the Federal government.

With respect to all employees whose performance must be evaluated under the uniform efficiency rating system approved by the Commission, the current efficiency rating shall be used. In the event an employee does not have a current efficiency rating based on performance in a position of the class in which reduction in force is being made and the reduction of force does not affect all employees in the category of tenure in which he falls, such employee shall be given a special efficiency rating in accordance with the regular procedure and his order in the reduction in force shall be determined accordingly. Such cases will be particularly noted in the reduction in force list by placing after their names in the remarks column the words "Special rating" followed by a statement of the number of days of service on which the rating is based.

With respect to employees whose performance is not required to be evaluated under a uniform system of efficiency ratings approved by the Commission but who are rated under an efficiency rating system approved by administrative authority, the foregoing rules shall be applied in so far as they are applicable. Reduction credits shall be given and the order of separation determined on the basis of ratings construed under the following efficiency rating definitions:

"Fair"-performance that conforms generally to that reasonably required with certain deficient performance not compensated by other outstanding performance.

"Good"-performance that conforms generally to that reasonably required with deficient performance in any phase compensated by outstanding performance in other phases.

"Very Good" -performance that is distinctly better than that reasonably required in most of the especially important phases provided no deficient performance is present in any phase.

"Excellent"-performance that is distinctly better than that reasonably required in all especially important phases provided no deficient performance is present in any phase.

Where there is no efficiency rating system in general use, or where the efficiency rating system cannot be adapted to the efficiency rating adjectives as defined above, separations in each category of tenure shall be determined on the basis of military preference and reduction credits, one credit for each full year of service with the federal government, those with the lowest number of reduction credits in the nonmilitary preference group to be selected first for separation.

An employee may be retained in preference to another employee who is higher in the order of reduction of force if the position is to be retained and its duties cannot be acceptably performed after a reasonable preliminary training period by any available employee who would be affected by reason of the retention.

No credits shall be allowed for dependency, official conduct, or like factors; but they shall be considered when two or more employees are tied for position in the order of reduction in force and one or more but not all employees so tied for position are to be affected.

§ 12.306 Military preference. It is incumbent upon the official charged with making a reduction in force to ascertain which among the employees affected are entitled to military preference. Such employees as are entitled to military preference but who have not furnished the necessary proof should be given opportunity to establish their claim to military preference before the reduction in force takes place.

§12.307 Length of service. Only full years of service shall be considered in the ultimate total; fractions of a year are to be counted in the periods of service that add up to the total service. The length of service shall be the total of all periods of service that are eligible for consideration for retirement purposes, without regard to whether the employee is or will be eligible to receive retirement benefits.

§ 12.308 Preparation of reduction in force list. The reduction in force list will be prepared in triplicate on any convenient form and will list employees in each organization unit and class in which the reduction in force is to be made (1) in accordance with the categories of tenure, and (2) in the order in which selections are to be made. The highest category of tenure shall be at the head of the list and names shall be so arranged that those first to be selected for action shall be at the bottom of the list.

The reduction in force list need give complete information only for all employees in the highest category of tenure

affected. For all employees in the lower categories of tenure, the list shall show (1) the name of the employee, (2) the class title of the position occupied if different from the class title shown in the heading (supplemented in parentheses, where necessary, by the customary office title), and (3) the action to be taken. However, if any employee in a lower category of tenure is to be retained or is to be demoted to a position of a lower grade (or occupational level) rather than separated, the list must give full information for all employees from the lowest category of tenure in which this occurs to the highest category of tenure affected, inclusive. The reduction in force list shall contain:

(a) The heading. The heading will identify the department, bureau, division, organization unit, and class in which the reduction in force is being made.

(b) The list. The list, identified by the appropriate category of tenure, will contain the following information:

1. Name of employee. Names should be listed in the order of selection, with the first name to be selected at the bottom of the list.

2. Class title of position occupied by employee if different from the class title shown in the heading (supplemented in parenthesis, where necessary, by the customary office title).

3. Salary rate.

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8. Action to be taken. Enter the letter "S" if employee is to be separated, "F" if employee is to be furloughed, the letter "D" if to be demoted to a position of lower grade (or occupational level). If no reduction in force action is to be taken but the salary of the employee is to be reduced, enter the letter "R". If the employee is to be retained in preference to other employees, enter an asterisk (*). Any convenient code may be used to indicate other changes if explained on the form.

9. A "Remarks" column or space for brief explanations or reference to footnotes or separate memoranda regarding basis for breaking ties when necessary, retention in preference to other employees, special efficiency rating, or any other matter which may be pertinent.

(c) The certificate. The reduction in force list shall bear substantially the following certificate by the head of the department or some person authorized to act for him:

I certify that the foregoing list contains the names of all employees holding positions in the organization unit and class in which a reduction in force is contemplated who are in the categories of tenure affected by such reduction in force; that, to the best of my knowledge and belief, the efficiency ratings are fair and just, and that the foregoing list is correct and in accordance with the procedure prescribed for reduction in force.

The actions proposed above are to be effective upon the expiration of accrued leave after the last day of active duty which will be -, 19, unless otherwise indicated in the "Remarks" column. The employees affected were notified of the proposed actions on 19_....

Date (Signed)

Title

§ 12.309 Separations; demotions; furloughs. Heads of departments and independent establishments shall determine whether employees affected by reductions in force shall be separated, demoted, or furloughed, in accordance with the following rules:

(a) Where the reduction in force is permanent, as nearly as can reasonably be determined administratively, the affected employees shall be separated unless they have restoration rights to lower-grade positions or unless there is an administrative policy to demote employees in higher-grade positions to lower-grade positions and make separations in lower-grade positions, in either of which cases they may be demoted. No employee entitled to military preference shall be separated instead of being demoted if any other employee of lower standing on the reduction in force list is demoted unless such employee has restoration rights to the lower-grade position or unless it can be demonstrated as a matter of fact that the employee entitled to military preference could not perform the duties of the lower-grade position within a reasonable training period.

(b) Employees may be furloughed if the reduction in force is the result of a temporary condition that will exist for less than one year. The furlough period shall be one year or the period of tenure determined by the type and restrictions

of appointment, whichever is less. While on furlough, employees shall have preferential rights to recall to duty over persons who may be considered for original appointment to positions of the class and organization unit from which furloughed, in the inverse order of furlough ranking. Employees who are not recalled to duty within the furlough period shall be separated from the service.

These provisions shall not disturb any other reinstatement or reemployment list rights that employees may otherwise have. This procedure shall not be interpreted to conflict with any statutory provisions relating to restoration rights after return from military service.

§ 12.310 Notice to employees. Each employee affected by a reduction in force shall be given an individual notice in writing at least 30 days before the action becomes effective. Wherever possible, the notice should be given 30 days before the employee is relieved from active duty. Whenever appropriated funds can be made available to pay for accrued leave, employees affected by reductions in force shall have at least 30 days' notice before they are separated from a pay status and shall be carried in a pay status for such additional period as is necessary to exhaust accrued leave. In no case shall an employee be separated as a result of a reduction in force without 30 days' notice in advance of such separation.

In addition to the nature of the action and the date of termination of active duty, the notice shall inform the employee:

(a) Of his right to be continued in a pay status until accrued leave is exhausted.

(b) Of his right to appeal the proposed action to the Commission (Washington employees to the central office and others to the appropriate regional cffice) within 5 days from the receipt of the notice.

(c) Of any restoration or reemployment list rights he may have, and of the procedure and departmental or field channels through which the employee may apply for other government employment.

§12.311 Submission of reduction in force list to the Commission. As soon as employees are notified of the proposed action, two signed copies of the reduction in force list shall be transmitted to the appropriate office of the Commis

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