[Code of Federal Regulations]
[Title 5, Volume 1]
[Revised as of January 1, 2006]
From the U.S. Government Printing Office via GPO Access
[CITE: 5CFR351.504]

[Page 248-249]
 
                    TITLE 5--ADMINISTRATIVE PERSONNEL
 
                CHAPTER I--OFFICE OF PERSONNEL MANAGEMENT
 
PART 351_REDUCTION IN FORCE--Table of Contents
 
                      Subpart E_Retention Standing
 
Sec. 351.504  Credit for performance.

    Note to Sec. 351.504: Compliance dates: Subject to the requirements 
of 5 U.S.C. Section 7116(a)(7), agencies may implement revised Sec. 
351.504 at any time between December 24, 1997 and October 1, 1998. For 
reduction in force actions effective between December 24, 1997 and 
September 30, 1998, agencies may use either Sec. 351.504 effective 
December 24, 1997, or the prior Sec. 351.504 in 5 CFR part 351 (January 
1, 1997 edition).

    (a) Ratings used. (1) Only ratings of record as defined in Sec. 
351.203 shall be used as the basis for granting additional retention 
service credit in a reduction in force.
    (2) For employees who received ratings of record while covered by 
part 430, subpart B, of this chapter, those ratings of record shall be 
used to grant additional retention service credit in a reduction in 
force.
    (3) For employees who received performance ratings while not covered 
by the provisions of 5 U.S.C. Chapter 43 and part 430, subpart B, of 
this chapter, those performance ratings shall be considered ratings of 
record for granting additional retention service credit in a reduction 
in force only when it is determined that those performance ratings are 
equivalent ratings of record under the provisions of Sec. 430.201(c) of 
this chapter. The agency conducting the reduction in force shall make 
that determination.
    (b)(1) An employee's entitlement to additional retention service 
credit for performance under this subpart shall be based on the 
employee's three most recent ratings of record received during the 4-
year period prior to the date of issuance of reduction in force notices, 
except as otherwise provided in paragraphs (b)(2) and (c) of this 
section.
    (2) To provide adequate time to determine employee retention 
standing, an agency may provide for a cutoff date, a specified number of 
days prior to the issuance of reduction in force notices after which no 
new ratings of record will be put on record and used for purposes of 
this subpart. When a cutoff date is used, an employee will receive 
performance credit for the three most recent ratings of record received 
during the 4-year period prior to the cutoff date.
    (3) To be creditable for purposes of this subpart, a rating of 
record must have been issued to the employee, with all appropriate 
reviews and signatures, and must also be on record (i.e., the rating of 
record is available for use by the office responsible for establishing 
retention registers).
    (4) The awarding of additional retention service credit based on 
performance for purposes of this subpart must be uniformly and 
consistently applied within a competitive area, and must be consistent 
with the agency's appropriate issuance(s) that implement these policies. 
Each agency must specify in its appropriate issuance(s):
    (i) The conditions under which a rating of record is considered to 
have been received for purposes of determining whether it is within the 
4-year period prior to either the date the agency issues reduction in 
force notices or the agency-established cutoff date for ratings of 
record, as appropriate; and
    (ii) If the agency elects to use a cutoff date, the number of days 
prior to the issuance of reduction in force notices after which no new 
ratings of record will be put on record and used for purposes of this 
subpart.
    (c) Missing ratings. Additional retention service credit for 
employees who do not have three actual ratings of record during the 4-
year period prior to the date of issuance of reduction in force notices 
or the 4-year period prior to the agency-established cutoff date for 
ratings of record permitted in paragraph (b)(2) of this section shall be 
determined under paragraphs (d) or (e) of this section, as appropriate, 
and as follows:
    (1) An employee who has not received any rating of record during the 
4-year

[[Page 249]]

period shall receive credit for performance based on the modal rating 
for the summary level pattern that applies to the employee's official 
position of record at the time of the reduction in force.
    (2) An employee who has received at least one but fewer than three 
previous ratings of record during the 4-year period shall receive credit 
for performance on the basis of the value of the actual rating(s) of 
record divided by the number of actual ratings received. If an employee 
has received only two actual ratings of record during the period, the 
value of the ratings is added together and divided by two (and rounded 
in the case of a fraction to the next higher whole number) to determine 
the amount of additional retention service credit. If an employee has 
received only one actual rating of record during the period, its value 
is the amount of additional retention service credit provided.
    (d) Single rating pattern. If all employees in a reduction in force 
competitive area have received ratings of record under a single pattern 
of summary levels as set forth in Sec. 430.208(d) of this chapter, the 
additional retention service credit provided to employees shall be 
expressed in additional years of service and shall consist of the 
mathematical average (rounded in the case of a fraction to the next 
higher whole number) of the employee's applicable ratings of record, 
under paragraphs (b)(1) and (c) of this section computed on the 
following basis:
    (1) Twenty additional years of service for each rating of record 
with a Level 5 (Outstanding or equivalent) summary;
    (2) Sixteen additional years of service for each rating of record 
with a Level 4 summary; and
    (3) Twelve additional years of service for each rating of record 
with a Level 3 (Fully Successful or equivalent) summary.
    (e) Multiple rating patterns. If an agency has employees in a 
competitive area who have ratings of record under more than one pattern 
of summary levels, as set forth in Sec. 430.208(d) of this chapter, it 
shall consider the mix of patterns and provide additional retention 
service credit for performance to employees expressed in additional 
years of service in accordance with the following:
    (1) Additional years of service shall consist of the mathematical 
average (rounded in the case of a fraction to the next higher whole 
number) of the additional retention service credit that the agency 
established for the summary levels of the employee's applicable 
rating(s) of record.
    (2) The agency shall establish the amount of additional retention 
service credit provided for summary levels only in full years; the 
agency shall not establish additional retention service credit for 
summary levels below Level 3 (Fully Successful or equivalent).
    (3) When establishing additional retention service credit for the 
summary levels at Level 3 (Fully Successful or equivalent) and above, 
the agency shall establish at least 12 years, and no more than 20 years, 
additional retention service credit for a summary level.
    (4) The agency may establish the same number of years additional 
retention service credit for more than one summary level.
    (5) The agency shall establish the same number of years additional 
retention service credit for all ratings of record with the same summary 
level in the same pattern of summary levels as set forth in Sec. 
430.208(d) of this chapter.
    (6) The agency may establish a different number of years additional 
retention service credit for the same summary level in different 
patterns.
    (7) In implementing paragraph (e) of this section, the agency shall 
specify the number(s) of years additional retention service credit that 
it will establish for summary levels. This information shall be made 
readily available for review.
    (8) The agency may apply paragraph (e) of this section only to 
ratings of record put on record on or after October 1, 1997. The agency 
shall establish the additional retention service credit for ratings of 
record put on record prior to that date in accordance with paragraph (d) 
of this section.

[62 FR 62501, Nov. 24, 1997]