REDUCTION-IN-FORCE (RIF) PROCEDURES FOR THE SENIOR eXECUTIVE SERVICE (SES)
(CT:PER-1235; 06-23-2025)
(Office of Origin: GTM/CSTM)
3 FAM 2541 GENERAL PROVISIONS
3 FAM 2541.1 Authority
(CT:PER-574; 09-28-2005)
(State Only)
(Applies to SES Employees Only)
· 5 U.S.C. 3595 and 5 CFR 359, Subpart F
· 5 CFR 430 Subpart C
3 FAM 2541.2 Policy
(CT:PER-1235; 06-23-2025)
(State Only)
(Applies to SES Employees Only)
It is the policy of the Department to effect necessary reductions in personnel with a minimum of disruption to mission accomplishment and employee dislocation:
(1) The Executive Resources Board (ERB) shall determine when invoking RIF procedures may be appropriate or necessary to effect reductions in the Department’s SES personnel;
(2) The ERB may instead utilize its reassignment authority to initiate placement activities for career members of the SES whose positions have been eliminated as a result of reorganization, program terminations, or loss of funding;
(3) In the event there is no vacant SES position to which an executive can be reassigned, then referral to OPM for further outplacement rights shall be initiated as described under 3 FAM 2543.2; and
(4) Should OPM fail in its outplacement efforts to other federal agencies the executive has placement rights in the Department outside the SES as described at 2543.3.
3 FAM 2541.3 Coverage
(CT:PER-1235; 06-23-2025)
(State Only)
(Applies to SES Employees Only)
This subchapter covers all Department career employees of the Senior Executive Service. Retention of reemployed annuitants, and of noncareer, limited term, and limited emergency SES appointees will be considered separately from these procedures established for career SES appointees.
3 FAM 2541.4 Competitive Areas
(CT:PER-1235; 06-23-2025)
(State Only)
(Applies to SES Employees Only)
a. The areas of competition for RIF in the SES are defined as listed in 3 FAH-1 H-2531 or as follows:
(1) Washington, DC commuting area (excluding OIG);
(2) Charleston, SC commuting area;
(3) Melbourne, FL commuting area;
(4) New York, NY commuting area; and
(5) The Office of the Inspector General.
b. An SES member in one competitive area who is released from his or her position due to RIF will not displace an SES member in any other competitive area.
c. Any reduction-in-force impacting the Office of the Inspector General (OIG) will be implemented separately from the rest of the Department and will not be subject to these procedures. A displaced OIG SES member would not be placed in a non-OIG SES position.
3 FAM 2541.5 Competitive Groups
(CT:PER-1235;
06-23-2025)
(State Only)
(Applies to SES Employees Only)
a. SES members within a competitive area are placed in the competitive groups as stated in 3 FAM 2541.5 paragraph d. Competitive groups are primarily based on the current, final SES performance appraisal of record and may include recipients of a performance bonus and/or presidential rank award.
b. For cases where no current, final SES performance appraisal is available, the executives will be listed under group VII as listed in 3 FAM 2541.5(d) and assigned 6 points to be used when determining retention standing within their group.
c. The order of retention standing within a competitive group is determined by the total score allotted to each executive based on their most recent official and final rating of record, most recent performance bonus, and any presidential rank award for the past three years, as applicable.
d. Competitive groups are established as follows:
(1) Group I - Post-probationary SES members with current rating of level five, including recipients of performance bonus and presidential rank awards;
(2) Group II - Post-probationary SES members with current rating of level four, including recipients of performance bonus and presidential rank awards;
(3) Group III - Post-probationary SES members with current rating of level three, including recipients of performance bonus and presidential rank awards;
(4) Group IV - Probationary SES members with current rating of level five, including recipients of performance bonus and presidential rank awards;
(5) Group V - Probationary SES members with current rating of level four, including recipients of performance bonus and presidential rank awards;
(6) Group VI - Probationary SES members with current rating of level three, including recipients of performance bonus and presidential rank awards;
(7) Group VII - Probationary SES members with no current rating;
(8) Group VIII - Post-probationary SES members with current rating of level two;
(9) Group IX - Probationary SES members with current rating of level two;
(10) Group X - Post-probationary SES members with current rating of level one; and
(11) Group XI - Probationary SES members with current rating of level one.
3 FAM 2542 ESTABLISHMENT OF RETENTION REGISTERS
3 FAM 2542.1 Approval
(CT:PER-574; 09-28-2005)
(State Only)
(Applies to SES Employees Only)
The Executive Resources Board must approve a proposed Reduction-in-Force (RIF) action prior to the establishment of a retention register.
3 FAM 2542.2 Establishing a Retention Register
(CT:PER-1235; 06-23-2025)
(State Only)
(Applies to SES Employees Only)
a. Separate retention registers are established for each competitive area as defined in 3 FAM 2541.4, including competitive groups as defined in 3 FAM 2541.5. Each register includes all SES incumbents within that particular competitive area listed within their respective competitive groups.
b. An executive’s personal standing on the retention register is determined by the total score including the most current, final annual performance appraisal and performance award record as follows:
(1) Current SES appraisal rating level of 5 equals 20 points;
(2) Current SES appraisal rating level of 4 equals 16 points;
(3) Current SES appraisal rating level of 3 equals 12 points;
(4) Current SES appraisal rating level of 2 equals 4 points;
(5) Current SES appraisal rating level of 1 equals 0 points;
(6) No current SES appraisal equals 6 points;
(7) For SES members that recently joined the Department from another SES appointment and that do not have a current SES appraisal from the Department, their latest official and final SES annual performance appraisal from their previous agency may be used only if officially signed and documented. If no documentation is available, the SES members will be awarded 6 points as stated in 3 FAM 2542.2 (6). Official SES performance appraisals include Performance Review Board (PRB) recommendation, final official summary rating, and PRB signatures.
(8) Recipients of the Presidential rank of Distinguished Executive in the last three calendar years receive ten additional points;
(9) Recipients of the Presidential rank of Meritorious Executive in the last three calendar years receive eight additional points; and
(10) Recipients of an SES performance bonus resulting from the most recent appraisal cycle will receive five additional points.
c. The highest total score an executive may receive is 35 points based on receiving a rating level of 5, a performance bonus, and a Presidential rank of Distinguished Executive in the last three calendar years. The lowest total score is 0 points based on receiving a rating level of 1.
3 FAM 2542.3 Retention of Records
(CT:PER-1235; 06-23-2025)
(State Only)
(Applies to SES Employees Only)
All records used to establish an executive’s standing on the retention register will be maintained in the Office of Civil Service Talent Management (GTM/CSTM) for three years following the effective date of the reduction-in-force.
3 FAM 2543 COMPETITION FOR JOB RETENTION
3 FAM 2543.1 Order of Displacement
(CT:PER-1235; 06-23-2025)
(State Only)
(Applies to SES Employees Only)
a. When a position is abolished, the incumbent of that position displaces the lowest ranking person on the retention register for whose position the employee meets qualifications requirements.
b. An appointee who has completed the SES probationary period (a post-probationer) must be retained over an appointee who has not completed the probationary period (a probationer) if they both have the same retention standing.
c. In the event of a tie for the lowest ranking on the retention register, the individual with the least amount of service in the career Senior Executive Service will be displaced.
d. If both the total score and the dates of entrance into SES are identical, then the executives' service computation dates are used to determine retention standing.
e. If a further tie breaker is needed, the executive having the earliest date of entrance on duty into the SES (or earliest service computation date if applicable) will be placed highest on the retention register.
3 FAM 2543.2 Placement Rights in the Senior Executive Service (SES)
(CT:PER-1235; 06-23-2025)
(State Only)
(Applies to SES Employees Only)
a. A post-probationer appointee identified for separation from the Senior Executive Service because of reduction-in-force is entitled to be assigned to a vacant Senior Executive Service position in the Department for which she/he is qualified. If there is more than one vacancy, the ERB Chair will decide which position to offer. Written notice of fifteen calendar days must be given to the executive if the reassignment is inside his/her commuting area. Written notice of sixty calendar days must be given to the executive if the reassignment is outside the commuting area.
b. Management has discretion whether to offer a vacant SES position to an SES member who is serving a probationary period.
c. SES members who have completed the SES probationary period have priority for placement in vacant SES positions over SES members still serving a probationary period.
d. If there is more than one SES member identified for separation and only one vacancy for which they both qualify, the post-probationer must be offered the position. If multiple SES members identified for separation are in the same probation category, qualification analysis and interviews must be conducted prior to the hiring manager selecting and the ERB certifying the selection.
e. If an executive fails to accept a directed reassignment to satisfy RIF placement rights, the Department may initiate an adverse action removal under 5 CFR Part 752, Subpart F.
f. If there is no vacant SES position within the Department to which the post-probationer can be reassigned, the executive is entitled to placement assistance by the Office of Personnel Management (OPM) in accordance with 5 CFR 359.603. An affected SES member is entitled to priority referral assistance for 45 calendar days from the date OPM acknowledges receipt of certification that the executive cannot be placed in an SES position within the Department. If the executive declines a reasonable offer of placement from OPM, OPM’s placement efforts will cease and the executive may be removed under RIF procedures. The ERB Chair provides written certification to OPM, describing internal placement efforts made on behalf of the affected executive and indicates that there is currently no vacant SES position within the Department for which she or he is qualified.
3 FAM 2543.3 Placement Rights Outside the SES
(CT:PER-1235; 06-23-2025)
(State Only)
(Applies to SES Employees Only)
a. An executive who is released from his/her competitive level due to RIF, and who cannot be placed in a vacant SES position within the Department, and who has not been placed in an SES position at another agency through the OPM placement assistance program, will be offered a vacant position at the GS-15 level if they meet the qualifications requirements of the GS-15 position being offered, and they either:
(1) Have completed the SES probationary period; or
(2) If serving in the probationary period, held a
career or career conditional appointment in the competitive service (or
equivalent appointment) at the time they were appointed to the career SES.
b. The post-probationer is entitled to placement outside of the SES in a continuing position at the GS-15 level or above and may accept such placement before the end of the 45-day OPM placement assistance period.
c. The GS-15 position offered to an affected employee must be a continuing position. That is, the position must last at least three months.
d. If the employee being offered the GS-15 position is a non-probationary appointee, or is a probationary appointee who at the time he or she was appointed to the career SES, held a career or career-conditional appointment in the competitive service (or equivalent appointment), then the employee is entitled to be placed in a GS-15 position with tenure that is equivalent to that of the appointment held at the time s/he was appointed to the SES (i.e., a permanent, term or intermittent appointment).
e. Placement in a GS-15 under these procedures must not cause the separation or reduction in grade of any other employee.
3 FAM 2543.4 Notice
(CT:PER-574; 09-28-2005)
(State Only)
(Applies to Civil Service Employees Only)
A career appointee who is subject to removal from the SES because of RIF and who cannot be placed in another SES position at the Department will be given written notice in accordance with 5 CFR 359.605.
3 FAM 2543.5 Separation Entitlements
(CT:PER-574; 09-28-2005)
(State Only)
(Applies to Civil Service Employees Only)
Career executives who are involuntarily separated due to RIF may be entitled to discontinued service retirement or severance pay, provided eligibility requirements for those programs are met.
3 FAM 2543.6 Appeal Rights
(CT:PER-574; 09-28-2005)
(State Only)
(Applies to Civil Service Employees Only)
A career appointee is entitled to appeal to the Merit Systems Protection Board under 5 U.S.C. 7701. Appeals must be filed during the 30-day period beginning with the day after the effective date of the action being appealed.
3 FAM 2544 THROUGH 2549 UNASSIGNED