Introduction

Restructuring Information Handbook Module 4 provides guidance on OPM's Transfer Of Function regulations published in part 351 of title 5 of the Code of Federal Regulations (5 CFR part 351).  Module 4 consists of two Units: (1) Unit A, "Required Procedures," and (2) Unit B, Guidance.  This is the January 2002 version of Unit A.

Contents

This publication contains the following topics:

Topic

Begins at Page

Overview of Transfer of Function

1-1

Transfer of Function Definitions

2-1

Applicability of the Transfer of Function Regulations

3-1

Agency Responsibility to Apply the Transfer of Function Regulations

4-1

Applying the Transfer of Function Regulations in Any Situation

5-1

Identification of Employees and Positions with a Transferring Function-General

6-1

Identification Method One

7-1

Identification Method Two

8-1

Employees of Losing Competitive Area

9-1

Employees of Gaining Competitive Area

10-1

Transfer for Liquidation

11-1

Transfer of Function Canvass Letters

12-1

Volunteers for Transfer

13-1

Transfer of Function Appeals and Grievances

14-1

Introduction

This section provides an overview of OPM's transfer of function regulations.  Each paragraph in Section 1 summarizes a specific transfer of function topic.  For more detailed information on a topic, each paragraph in Section 1 has a reference to the appropriate section in Module 4.  The "Additional Information" paragraph below lists these references.

Contents

This overview section contains the following topics:

Topic

See Paragraph

OPM's Transfer of Function Regulations

4-A-1-1

Purpose of the Transfer of Function Regulations

4-A-1-2

Transfer of Function Because of Organizational Change

4-A-1-3

Transfer of Function Because of Relocation

4-A-1-4

Identification of Employees With a Transferring Function

4-A-1-5

RIF in Transfer of Function

4-A-1-6

Transfer of Function Canvass Letters

4-A-1-7

Transfer of Function Appeals

4-A-1-8

Additional

Information

This section in Restructuring Information Handbook Module 4, Unit A, has references to other sections in Unit 4-A for more detailed information on specific transfer of function topics.

To find additional information in this Module on the overview paragraph below in Unit 4-A,

In Unit 4-A see section, or paragraph:

4-A-1-2

4-A-2-2

4-A-1-2-(b)

4-A-9-2

4-A-1-2-(c)

4-A-9-3

4-A-1-2-(d)

4-A-11

4-A-1-3

4-A-2-1-(a)

4-A-1-4

4-A-2-1-(b)

Additional Information (continued)

To find additional information in this Module on the overview paragraph below in Unit 4-A,

In Unit 4-A see section, or paragraph:

4-A-1-5

4-A-4-1

4-A-1-5-(b)

4-A-7

4-A-1-5-(c)

4-A-8

4-A-1-5-(d)

4-A-13

4-A-1-6

4-A-9

4-A-1-7

4-A-12

4-A-1-8

4-A-14

A

In Section 1, this symbol highlights where you can find more detailed information in Unit 4-A on a transfer of function topic.

4-A-1-1

OPM's Transfer of Function Regulations

OPM's "Transfer of Function" regulations are derived from Section 12 of the Veterans' Preference Act of 1944, as that section of the law is now codified in Section 3503 of title 5, United States Code.

·                    OPM implements the law through regulations published in Subpart C of Part 351 of title 5, Code of Federal Regulations (5 CFR Part 351, Subpart C).

4-A-1-2

Purpose of the Transfer of Function Regulations

A

A

A

A

A

The transfer of function regulations provide that nontemporary employees have the right to move with their work if the alternative in the losing organization (the losing "Competitive Area") is separation or downgrading by reduction in force.

[See Section 4‑A‑9 for more detailed guidance.]

·                    "Competitive Area" is a reduction in force term that the agency establishes on the basis of organization and geography

[See paragraph 4‑A‑2‑2 for more detailed guidance.]

(a)               An employee has no right to transfer with the function unless the alternative in the losing competitive area is separation or downgrading by reduction in force.

(b)               The losing competitive area may use adverse action procedures to separate any employee who chooses not to transfer with the function.

[See Section 4‑A‑9‑2 for more detailed guidance.]

(c)               An agency may not conduct a reduction in force solely to place employees who chose not to transfer with the function to a different local commuting area.

[See paragraph 4‑A‑9‑3 for more detailed guidance.]

(d)               An employee has no right to transfer with a terminated function, or with a function that that will cease within 60 days of transfer to a different competitive area.

[See paragraph 4‑A‑11 for more detailed guidance.]

4-A-1-3

Transfer of Function Because of Organizational Change

A

A "Transfer of Function" takes place when a function ceases in one competitive area and moves to one or more other competitive areas that do not perform the function at the time of transfer. 

·                    The gaining competitive area may be in the same agency, or in a different agency.

·                    The movement of work within a competitive area is a "Reorganization."

[See subparagraph 4-A-2-1-(a) for more detailed guidance.]

4-A-1-4

Transfer of Function Because of Relocation

A

A "Transfer of Function" also takes place when the entire competitive area moves to another local commuting area without any additional organizational change.

[See subparagraph 4‑A‑2‑1‑(b) for more detailed guidance.]

4-A-1-5

Identification of Employees With a Transferring Function

A

A

A

A

The losing competitive area is responsible for identifying employees with a transferring function.

[See Section 4‑A‑4‑1 for more detailed guidance.]

(a)               Agencies use one of two procedures to identify employees with a transferring function:

(1)               "Identification Method One"; and

(2)               "Identification Method Two."

(b)               Identification Method One.  Under Identification Method One, the losing competitive area identifies an employee with a transferring function if:

(1)               The employee performs the function during at least half of the employee's work time; or

(2)               Regardless of the amount of time that the employee performs the function, the function includes the employee's grade‑controlling duties (the transferring function by itself supports the employee's grade).

[See paragraph 4‑A‑7 for more detailed guidance.]

(c)               Identification Method Two.  The losing competitive area uses Identification Method Two only to identify positions and employees not covered by Identification Method One.

(1)               With Identification Method Two, the losing competitive area identifies for transfer only the number of employees it needed to perform the function.

(2)               To determine which employees are identified for transfer under Identification Method Two, the losing competitive area uses retention registers that list employees in the order of their respective reduction in force retention standing.

(3)               Identification Method Two provides that the employee(s) with the lowest retention are identified for transfer with the function except in a closure (or similar) situation, when the employees with the highest retention standing are identified for transfer.

[See paragraph 4-A-8 for more detailed guidance.]

(4)               At its discretion, the losing and the gaining competitive areas can agree that volunteers (including temporary employees) may transfer with the function, provided that no employee who is identified for transfer is later separated or downgraded because of this decision.

[See Section 4‑A‑13 for more detailed guidance.]

4-A-1-6

RIF in Transfer of Function

A

If the transfer of function results in a surplus of employees in the gaining competitive area, all employees who elected to transfer with the function compete under the reduction in force regulations for positions on equal terms with other employees in the gaining competitive area.

[See Section 4‑A‑9 for more detailed guidance.]

4-A-1-7

Transfer of Function Canvass Letters

A

When a transfer of function will result in the employee moving to a different local commuting area, the losing competitive area may choose to use a "Transfer of Function Canvass Letter" to determine which employees wish to be considered for positions in a different local commuting area.

·                    A transfer of function canvass letter does not guarantee an employee a position at the new location, but simply asks the employee to state an interest in transferring with the function.

[See Section 4‑A‑12 for more detailed guidance.]

(a)               If the employee chooses not to transfer with the function, the losing competitive area may separate the employee through adverse action procedures at the time the function actually transfers to the gaining competitive area.

(b)               An employee who chooses not to transfer with the function has no right to be in reduction in force competition for other positions in the losing competitive area.

(c)               An employee who initially chooses to transfer with the function may later reconsider and decline to transfer; however, an employee who declines to transfer with the function may not later change the declination to an acceptance of the offer to transfer with the function at the new location.

4-A-1-8

Transfer of Function Appeals

A

An employee may not file an appeal to the Merit Systems Protection based solely on a transfer of function issue.

·                    An employee who is subsequently reached for separation or downgrading because of a reduction in force, or an adverse action, may raise transfer of function as in issue in that appeal.

[See Section 4‑A‑14 for more detailed guidance.]

Introduction

This section covers transfer of function terminology.  All of the terms are defined in OPM's regulations or in the "Guide to Processing Personnel Actions."

Contents

This section contains the following topics:

Topic

See Paragraph

Definition of Transfer of Function

4-A-2-1

Definition of Competitive Area

4-A-2-2

Definition of Function

4-A-2-3

Explanation of Function

4-A-2-4

Definition of Competing Employee

4-A-2-5

Other Transfer of Function Definitions

4-A-2-6

Definition of Reorganization

4-A-2-7

Additional

Information

When appropriate, Restructuring Information Handbook Module 4, Unit B (Guidance) has additional information on material in Unit 4-A.

To find additional information on this key paragraph in Unit 4-A,

In Unit 4-B see paragraph:

4-A-2-1

4-B-2-1

B

This symbol highlights where you can find additional material in Unit 4-B.

i

This symbol guides you toward more general references on the subject in Module 4 or in other Modules.

4-A-2-1     

Transfer of Function

B

OPM's retention regulations define "Transfer of Function" as the: (5 CFR 351.203)

(a)               Transfer of the performance of a continuing function from one competitive area and its addition to one or more other competitive areas, except when the function involved is the same class of activity as functions already being performed in the other competitive area(s); or,

(b)               The movement of the competitive area in which the function is performed to another local commuting area.

[See paragraph 4-B-2-1 for additional guidance.]

4-A-2-2   

Competitive Area

i

"Competitive Area" is a reduction in force term that is defined as the organizational and geographic boundaries within which an employee competes for positions under OPM's reduction in force regulations. (5 CFR 351.402(b))

·                    Paragraph 3‑A‑8 of Restructuring Information Handbook Module 3 ("Reduction in Force") contains additional information on competitive areas.

4-A-2-3   

Function

OPM's regulations define "Function" to include all or a clearly identifiable segment of an agency's mission (including all integral parts of that mission), regardless of how it is performed.  (5 CFR 351.203)

4-A-2-4    

Explanation of Function

In the definition of "Function" covered in paragraph 4‑A‑2‑3 above, the following terms have a specific meaning:

(a)               "Agency" may be any organizational entity (a department, a bureau, a division, a field installation, a branch, etc.).

(b)               "Parts" means that any agency activity may be a function.

(c)               "Segment" means an activity and generally, but not always, excludes an individual job or task.

4-A-2-5    

Competing Employee

i

OPM's regulations define "Competing Employee" to include an employee in reduction in force tenure Group I, Group II, or Group III.  (5 CFR 351.203)

·                    "Competing Employee" includes employees in both the competitive and the excepted services.

·                    Competing employees in both the competitive and the excepted services have the same transfer of function rights.

·                    Section 3‑A‑11 of Module 3 contains more information on the definition of "Competing Employee."

4-A-2-6    

Other Transfer of Function Definitions

i

i

"The Guide to Processing Personnel Actions" contains definitions of other actions related to a transfer of function:

(a)               A "Change in Duty Station" occurs when the employee's office is moved to a new geographic location and no other change occurs.

(b)               A "Mass Transfer" is the movement of an employee with his or her position to a different agency when an organization change (such as a transfer of function) takes place, and there is no change in the employee's position, grade, or pay.

(c)               A "Realignment" is the movement of an employee and his or her position when an organization change (such as reorganization or transfer of function) occurs, the employee stays in the same agency, and there is no change in the employee's position, grade, or pay.

·               "The Guide to Processing Personnel Actions" also contains instructions that agencies follow in documenting transfer of function actions on personnel records.

4-A-2-7    

Reorganization

i

OPM's regulations define "Reorganization" as the planned elimination, addition, or redistribution of functions or duties in an organization.  (5 CFR 351.203)

·                    Section 3‑A‑6 of Module 3 contains more information on reorganization.

·                    Transfer of function is a form of reorganization in which employees, under certain conditions, have the right to transfer with their function when it moves to a gaining competitive area before the agency can use reduction in force procedures to either separate them or downgrade them in the losing competitive area.

Introduction

This section explains when OPM's transfer of function regulations apply to the intra- or interagency movement of work.

Contents

This section contains the following topics:

Topic

See Paragraph

The Two Situations When the Regulations Apply

4-A-3-1

Authority for Transfer of Function

4-A-3-2

A Transfer of Function May Be Intra- or Interagency

4-A-3-3

A Function Must Continue in Identifiable Form

4-A-3-4

Movement of a Function Within a Competitive Area is not Transfer of Function

4-A-3-5

Transfer of a Function for Liquidation is not Covered by the Regulations

4-A-3-6

Additional Information

When appropriate, Restructuring Information Handbook Module 4, Unit B (Guidance), has additional information on material contained in Unit 4-A.

For additional information on these key paragraphs:

See paragraph:

4-A-3-1

4-B-3-1

4-A-3-3-(a)

4-B-3-3-(a)

4-A-3-4

4-B-3-4

4-A-3-5

4-B-3-5

4-A-3-6-(b)

4-B-3-6-(b)

B

This symbol highlights where you can find additional material in Unit 4-B.

i

This symbol guides you toward more general references on the subject in Module 4 or in other Modules.

4-A-3-1         

The Two Situations When the Regulations Apply

B

i

OPM's transfer of function regulations apply to these two situations: (5 CFR 351.203)

(a)               When an agency moves a function from one competitive area to another, and the gaining competitive area is not carrying out the same class of activity at the time of transfer; or

(b)               When an agency moves the entire competitive area from one local commuting area to another and no other organizational change takes place.

[See paragraph 4-B-3-1 for additional guidance.]

·                    Section 4‑A‑2 includes definitions relating to transfer of function.

4-A-3-2             

Authority for a Transfer of Function

OPM's transfer of function regulations apply whether or not the movement of work is authorized by:  (5 CFR 351.301)

(a)               A statute;

(b)               An Executive Order

(c)               A formal reorganization plan; or

(d)               Other authority.

4-A-3-3             

A Transfer of Function may be Intra- or Interagency

B

B

A transfer of function may be intra- or interagency.  (5 CFR 351.301(a))

(a)               OPM's transfer of function regulations use the same procedures for both intra- interagency transfers.  (5 CFR 351.301(a))

[See subparagraph 4-B-3-3-(a) for additional guidance.]

(b)               An interagency transfer of a function and/or personnel requires specific statutory authorization.

·                    Without a specific legislative basis, there is no authority for an agency to permanently transfer a function and/or personnel to another agency on the basis of a memorandum of understanding, a directive from the Executive Office of the President, a reimbursable agreement, or other administrative procedure.

(c)               Congress has the authority to exempt intra- and interagency transfers of function and personnel from the transfer of function provisions.

[See subparagraph 4-B-3-3-(c) for additional guidance.]

4-A-3-4

In a Transfer of Function a Function Must Continue in an

Identifiable Form

In a transfer of function, the function must:

(a)               Cease in the losing competitive area(s) at the time of transfer; (5 CFR 351.301(b)), and

(b)               Be performed in an identifiable form in a different competitive area (or areas) where the function was not being performed at the time of transfer.  (5 CFR 351.301(b))

·                    "Identifiable Form" means that the transfer of function regulations only apply when the transferred function will be performed by competing employees in the gaining competitive area.

·                    A transfer of function does not take place when the function of competing employees will not be performed by competing employees in the gaining competitive area; for example, a function is not performed in an identifiable form if the function transfers to a gaining competitive area and is outsourced for performance by contract employees, by a different competitive area, or by members of the Armed Forces, rather than by competing employees in the gaining competitive area.

B

[See subparagraph 4-B-3-4 for additional guidance.]

4-A-3-5

The movement of a Function Within a Competitive Area is not a

Transfer of Function

B

i

i

The movement of a function within a competitive area does not meet either of the two transfer of function conditions found in paragraph 4‑A‑2‑1.  (5 CFR 351.203)

[See subparagraph 4-B-3-5 for additional guidance.]

·                    The movement of a function within a competitive area is a reorganization.

·                    Paragraph 4‑A‑2‑7 includes the definition of "Reorganization." (5 CFR 351.203)

4-A-3-6

Transfer of a Function for Liquidation is not Covered by the 

Regulations

The transfer of function regulations do not apply to a competing employee in a position identified with a function that will be liquidated or terminated in the gaining competitive area. (5 CFR 351.302(b))

(a)               An employee whose position is transferred as a transfer of function solely for "Liquidation" is not a competing employee for other positions in the competitive area gaining the function.  (5 CFR 351.302(b)) 

·                    The "Liquidation" exception to OPM's transfer of function regulations applies to any function that is not specifically authorized at the time of transfer to continue in operation for more than 60 days in the gaining competitive area.  (5 CFR 351.302(b))

(b)               The transfer of function regulations also do not apply to the transfer of a function which is solely associated with the completion of a terminated program even when the closeout work continues in the gaining competitive area for more than 60 days. (5 CFR 351.302(b))

B

[See subparagraph 4-B-3-6-(b) for additional guidance.]

Introduction

This section covers the agency's responsibility to make transfer of function decisions.

Contents

This section contains the following topics:

Topic

See Paragraph

Management's Right to Make Transfer of Function Decisions

4-A-4-1

Management Right to Take Other Actions

4-A-4-2

Basis for Transfer of Function Decisions

4-A-4-3

Additional

Information

When appropriate, Restructuring Information Handbook Module 4, Unit B (Guidance) has additional information on material in Unit 4-A.

To find additional information on this key paragraph in Unit 4-A,

In Unit 4-B see paragraph:

4-A-4-3

4-B-4-3

B

This symbol highlights where you can find additional material in Unit 4-B.

i

This symbol guides you toward more general references on the subject in Module 4 or in other Modules.

4-A-4-1

Management's Right to Make Transfer of Function Decisions

The agency has the right, and responsibility, to properly determine whether the transfer of function regulations apply to the movement of work from one competitive area to another.  (5 U.S.C. 7105(a); 5 CFR 351.201(a)(1); (5 CFR 351.302(a))

4-A-4-2

Management Right to Take Other Actions

A transfer of function does not suspend management's right to take other personnel actions before, at the same time, or after the transfer of function.

4-A-4-3

Basis for Transfer of Function Decisions

The losing and the gaining competitive areas must refer to relevant documents in determining whether the transfer of function regulations apply.

·                    The reference point for a transfer of function determination is the organizational manual and delegations of authority for the losing and gaining competitive areas, supplemented if necessary by references to enabling legislation that serves as the basis for the performance of the function.

·                    These documents evidence whether the work that is being transferred meets the definition of a function.

·                    If the work meets the definition of a function, these documents then serve as the basis for a decision on whether the transfer of function regulations are applicable.

B

[See paragraph 4-B-4-3 for additional guidance.]

Introduction

This section covers the general conditions under which the transfer of function regulations apply to the movement of work from one competitive area to another.

Contents

This section contains the following topics:

Topic

See Paragraph

The Same Transfer of Function Provisions Potentially Cover All Movement of Work

4-A-5-1

Importance of Cooperation Between the Losing and the Gaining Competitive Areas

4-A-5-2

Additional

Information

When appropriate, Restructuring Information Handbook Module 4, Unit B (Guidance) has additional information on material in Unit 4-A.

To find additional information on these key paragraphs in Unit 4-A,

In Unit 4-B see paragraph:

4-A-5-1-(a)-(1)

4-B-5-1-(a)-(1)

4-A-5-1-(a)-(2)

4-B-5-1-(a)-(2)

4-A-5-1-(a)-(3)

4-B-5-1-(a)-(3)

4-A-5-1-(a)-(4)

4-B-5-1-(a)-(4)

4-A-5-1-(a)-(5)

4-B-5-1-(a)-(5)

4-A-5-1-(a)-(6)

4-B-5-1-(a)-(6)

4-A-5-1-(a)-(7)

4-B-5-1-(a)-(7)

4-A-5-1-(a)-(8)

4-B-5-1-(a)-(8)

B

This symbol highlights where you can find additional material in Unit 4-B.

i

This symbol guides you toward more general references on the subject in Module 4 or in other Modules.

4-A-5-1

The Same Transfer of Function Provisions Potentially Cover All Movement of Work

i

i

i

Section 4‑A‑3 covers the general conditions under which the transfer of function regulations apply to the movement of work.  (5 CFR 351.203)

(a)               The same transfer of function provisions in Section 4‑A‑3 apply to the movement of work in any situation, including: (5 CFR 351.203)

(1)               The transfer of a function that supports a different transferring function;

(2)               The consolidation of a function from more than one competitive area or locations into a single competitive area;

(3)               The fragmentation of a function from one competitive area to two or more other competitive areas;

(4)               A phased transfer of function in which portions of the function transfer to a different competitive area over a period of time;

(5)               A phased transfer of function in which employees performing the transferring function move to a different duty site over a period of time;

(6)               The closure of an activity under the jurisdiction of one agency (or subagency), with a different agency (or subagency) assuming responsibility for a successor activity at the same duty site;

(7)               The transfer of one of several functions performed by a manager or supervisor; or

(8)               Other situations.

(b)               A single potential transfer of function may involve any or all of the seven special situations covered in subparagraph 4‑A‑5-1‑(a) above.

(c)               By isolating each transferring function as the work is documented by the losing competitive area and then determining if the same class of activity is performed by the gaining competitive area at the time of transfer, the losing and the gaining competitive areas may determine whether the transfer of function regulations are applicable to any situation.

i

·                    Paragraph 4‑A‑4‑3 explains that the losing and the gaining competitive areas must refer to relevant documents (for example, organizational manuals and delegations of authority) to determine whether the transferring work meets the definition of a function and, if so, whether the transfer of function provisions apply to the situation.

B

[See paragraph 4-B-5-1 for additional guidance.]

4-A-5-2

Importance of Cooperation Between the Losing and the Gaining Competitive Areas

i

The competitive areas that are losing and gaining a function must cooperate in meeting their responsibility to determine: (5 CFR 351.204)

(a)               Whether the transfer of function provisions apply to the movement of work from one competitive area to another;

(b)               Based on the transfer of function determination subparagraph in 4‑A-5-2‑(a) above, which competitive area is responsible for personnel actions if competing employees are subsequently separated or downgraded; and

(c)               If the agency separates or downgrades competing employees following the transfer of the function, what specific personnel procedures the agency used (for example, reduction in force or adverse action) to carry out the action.

Introduction

This section contains an overview of the procedures agencies use to identify positions and employees with a transferring function.

Contents

This section contains the following topics:

Topic

See Paragraph

Responsibility of Losing Competitive Area to Identify Positions and Employees

4-A-6-1

Agencies Use Two Procedures to Identify Positions and Employees for Transfer

4-A-6-2

The Two Identification Procedures are Mandatory

4-A-6-3

Use of Identification Method One Versus Use of Identification Method Two

4-A-6-4

Using the Position Description to Identify Employees for Transfer

4-A-6-5

Supplementing the Position Description to Identify Employees for Transfer

4-A-6-6

Additional

Information

When appropriate, Restructuring Information Handbook Module 4, Unit B (Guidance) has additional information on material in Unit 4-A.

To find additional information on these key paragraphs in Unit 4-A,

In Unit 4-B see paragraph:

4-A-6-5

4-B-6-5

4-A-6-6

4-B-6-6

B

This symbol highlights where you can find additional material in Unit 4-B.

i

This symbol guides you toward more general references on the subject in Module 4 or in other Modules.

4-A-6-1

Responsibility of the Losing Competitive Area to Identify Positions and Employees

The competitive area losing the function is responsible for identifying positions and employees for transfer with the function.  (5 CFR 351.302(a))

4-A-6-2

The Two Procedures Agencies Use to Identify Positions and Employees for Transfer

i

i

The transfer of function regulations provide for two procedures that the losing competitive area must use in identifying both positions and employees for transfer: (5 CFR 351.303(a)(1))

(a)               Identification Method One; (5 CFR 351.303(a)(1)), and

(b)               Identification Method Two. (5 CFR 351.303(a)(2))

·                    Section 4‑A‑7 covers "Identification Method One."

·                    Section 4‑A‑8 covers "Identification Method Two."

4-A-6-3

The Two Identification Procedures are Mandatory

i

The losing competitive area may only use Identification Method One or Identification Method Two to identify employees for transfer with a function.  (5 CFR 351.303(a))

(a)               The losing competitive area may not substitute a different procedure that would change the right of an employee identified under Identification Method One or Identification Method Two to transfer with a function.

(b)               The losing competitive area may allow employees not identified under Method One or Method Two to volunteer for transfer provided that no employee with a right to transfer is separated or downgraded because of this decision (see Section 4‑A‑13 for additional information for volunteers to transfer).  (5 CFR 351.303(e)(1))

·                    Identification Method One generally applies to line positions (for example, positions in an engineering development function), while Identification Method Two generally applies to support positions (for example, positions in a typing pool that service the engineering development function as well as other functions).

4-A-6-4

Use of Identification Method One Versus Use of Identification Method Two

The losing competitive area must use "Identification Method One" to identify each employee for transfer when this procedure applies to the situation.  (5 CFR 351.303(b))

·                    The losing competitive area uses "Identification Method Two" only to identify positions not covered by Identification Method One.  (5 CFR 351.303(b))

4-A-6-5

Using the Position Description to Identify Employees for

Transfer

B

The losing competitive area identifies each competing employee with a transferring function on the basis of the employee's official position description.  (5 CFR 351.303(a))

[See paragraph 4-B-6-5 for additional guidance.]

4-A-6-6

Supplementing the Position Description to Identify Employees for Transfer

B

In determining what percentage of time an employee performs a function, the losing competitive area may supplement the official position description by the use of material such as official work reports, organizational time logs, and similarly appropriate items. (5 CFR 351.303(c)(3))

[See paragraph 4-B-6-6 for additional guidance.]

Introduction

This section covers Identification Method One, which is one of two procedures that agencies use to identify employees with a transferring function.

Contents

This section contains the following topics:

Topic

See Paragraph

Identification Method One-General

4-A-7-1

Grade-Controlling Duties Must Support Grade of Position

4-A-7-2

Identification of Positions When Both Methods One and Two Apply to the Same Register

4-A-7-3

Additional

Information

When appropriate, Restructuring Information Handbook Module 4, Unit B (Guidance) has additional information on material in Unit 4-A.

B

This symbol highlights where you can find additional material in Unit 4-B.

i

This symbol guides you toward more general references on the subject in Module 4 or in other Modules.

4-A-7-1

Identification Method One

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Under Identification Method One, the losing competitive area identifies a competing employee with a transferring function if:

(a)               The employee performs the function during at least half of the employee's work time; (5 CFR 351.303(c)(1)), or

(b)               Regardless of the amount of time that the employee performs the function, the function includes the employee's grade‑controlling duties.  (5 CFR 351.303(c)(2))

[See paragraph 4-B-7-1 for additional guidance.]

4-A-7-2

Grade-Controlling Duties Must Support Entire Grade of Position

The losing competitive area identifies a competing employee with a transferring function based on grade‑controlling duties only if the employee's work on the transferring function would, by itself, support the employee's present grade.

4-A-7-3

Identification Method Two‑Transfer of Positions When Both Method One and Method Two Apply to the Same Retention Register

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In some situations, the agency may find that some employees are identified for transfer under Identification Method One, and other employees on the same position are properly identified for transfer under Identification Method Two.  (5 CFR 351.303(b))

·                    See paragraph 4‑A‑8‑5 for additional guidance.

Introduction

This section covers Identification Method Two, which is second of two procedures that agencies use to identify employees with a transferring function.

Contents

This section contains the following topics:

Topic

See Paragraph

Identification Method Two-General

4-A-8-1

Number of Employees With Right to Transfer

4-A-8-2

Developing Retention Registers

4-A-8-3

Using Retention Registers to Identify Employees for Transfer

4-A-8-4

Identification of Positions When Both Methods One and Two Apply to Same Register

4-A-8-5

Additional

Information

When appropriate, Restructuring Information Handbook Module 4, Unit B (Guidance) has additional information on material in Unit 4-A.

To find additional information on these key paragraphs in Unit 4-A,

In Unit 4-B see paragraph:

4-A-8-1

4-B-8-1

4-A-8-3

4-B-8-3

B

This symbol highlights where you can find additional material in Unit 4-B.

i

This symbol guides you toward more general references on the subject in Module 4 or in other Modules.

4-A-8-1

Identification Method Two‑General

B

An agency uses Identification Method Two to identify a competing employee with a transferring function if: (5 CFR 351.303(d))

(a)               The employee performs the function during less than half of the employee's work time; and,

(b)               The employee's duties on the function are not grade‑controlling.

[See paragraph 4-B-8-1 for additional guidance.]

4-A-8-2

Identification Method Two‑Number of Employees with a Right to Transfer

Under Identification Method Two, the losing competitive area must first identify the number of positions it needed to perform the transferring function.  (5 CFR 351.303(d))

(a)               The number of employees with the right to transfer with the function under Identification Method Two is the number of positions that the losing competitive area needed to perform the transferring function.  (5 CFR 351.303(d)) 

(b)               Identification Method Two does not provide a transfer of function right based upon less than one position (for example, if the losing competitive area needed less than one position to perform the transferring function), or for a fraction of a position (for example, if the losing competitive area needed 2.5 positions to perform the transferring function, the losing competitive area identifies two positions).  (5 CFR 351.303(d))

4-A-8-3

Identification Method Two‑Developing Retention Registers

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B

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After determining the number of positions it needed to perform the transferring function (see paragraph 4‑A‑8‑2 above), the losing competitive area must then establish retention registers that include only the names of all competing employees who perform the function, and are not covered by Identification Method One.  (5 CFR 351.303(d))

(a)            An employee who did not perform the transferring function is not listed on a retention register that the agency establishes for employees covered by Identification Method Two.  (5 CFR 351.303(d)) 

·                    This means that the agency does not automatically use the same retention registers that would be used for reduction in force competition.

[See paragraph 4-B-8-3 for additional guidance.]

(b)               "Retention Register" is a reduction in force term that OPM's reduction in force regulations generally use interchangeably with the term "Competitive Level."  (5 CFR 351.404(a))

·                    Subparagraph 3‑A‑4‑1‑(o) in Restructuring Information Handbook Module 3 ("Reduction in Force"), defines "Retention Register."

·                    Paragraph 3‑A‑9‑1 in Module 3 further explains both "Retention Register" and "Competitive Level."

4-A-8-4

Identification Method Two‑Using Retention Registers to Identify Employees for Transfer with the Function

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To determine which competing employees are identified for transfer under Identification Method Two, the losing competitive area uses the retention registers it established under paragraph 4‑A‑8‑7 above and identifies employees in the inverse order of their retention standing, except as provided in subparagraph 4‑A‑8‑5‑(b) below.  (5 CFR 351.303(d))

(a)               Under this basic procedure, the agency identifies the employee with the lowest standing on the retention register for transfer with the function under Identification Method Two.  (5 CFR 351.303(d))

(b)               If for any retention register the agency's use of the basic procedure covered in subparagraph 4‑A‑8‑4-(a) above would result in the separation or demotion by reduction in force of an employee with higher retention standing than the employee who is transferred under Identification Method Two, the agency identifies competing employees on that register for transfer in the actual order of their retention standing.  (5 CFR 351.303(d))

·                    Under this alternative procedure, the agency identifies the employee with the highest standing, rather than the employee with the lowest standing, on the retention register for transfer with the function under Identification Method Two.  (5 CFR 351.303(d))