This directive was reviewed and certified as current and necessary by (Enter Name),
(Enter Title) Director, Office of Management, Budget and Evaluation/Chief Financial Officer, XX-XX-XXXX. |
| U. S. Department of Energy |
MANUAL
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DOE M 321.1-1
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Approved:
8-24-00
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| SUBJECT: INTERGOVERNMENTAL PERSONNEL ACT ASSIGNMENTS | |
1. PURPOSE. This Manual implements provisions of the Intergovernmental Personnel Act
(IPA) within the Department of Energy (DOE) and establishes requirements,
responsibilities, and authority for effecting assignments under the Act.
2. CANCELLATION. None.
3. APPLICABILITY.
a. DOE Elements, including the NNSA. All DOE elements are covered; however, some
employees are excluded from participating in assignments as indicated in Chapter I,
paragraph 4c.
b.c. Others. Coverage includes individuals participating in the IPA Assignment Program
as appointees or detailees to DOE. (See Chapter II, paragraph 5, for more information
on details and appointments.)
4. SUMMARY. This Manual provides requirements for effecting IPA assignments with
DOE. Chapter I lists responsibilities and includes general information on assignments.
Chapters II and III provide information on incoming and outgoing assignments,
respectively. Appendix A lists DOE laboratories that the National Science Foundation
identifies as Federally Funded Research and Development Centers, and that are, therefore,
among entities eligible to participate in the IPA Assignment Program Appendixes B and C
contain Summary Standards of Conduct Provisions/Conflict-of-Interest Laws and related
Certification. Appendixes D through E contain sample and required letters. Appendixes G
and H contain examples of Assignment Agreements, and Appendix I contains guidelines for
completing Assignment Agreements.
5. REFERENCES.
a. Title IV of the Intergovernmental Personnel Act of 1970, as amended [5 United States
Code (U.S.C.) 3371-3376], which provides for the interchange of employees between
Federal agencies and certain non-Federal organizations.
b. Title 5, Code of Federal Regulations (CFR), Part 334, which contains regulations on
IPA assignments.
c. Title 41, CFR, Parts 300, 301, and 302, which contain regulations on travel by Federal
civilian employees and others authorized to travel at Government expense.
d. DOE 1500.2A, TRAVEL POLICY AND PROCEDURES, which contains DOE
travel policy and procedures applicable to assignments.
e. National Nuclear Security Administration Act (Public Law 106-65), Title 32,
National Defense Authorization Act for Fiscal Year 2000.
6. DEFINITIONS.
a. Federally Funded Research and Development Center. A facility that appears on a
master list of centers maintained by the National Science Foundation. See listing in
Appendix A; Internet address is http://www.nsf.gov/sbe/srs/ffrdc.
b. Institution of Higher Education. A domestic, accredited, public or private 4-year
college or university, or technical college or junior college.
c. Local Government. Any political subdivision, instrumentality, or authority of a State
or States and any general or special-purpose agency of such a political subdivision,
instrumentality, or authority.
d. Native American Tribal Government. Any Native American tribe, band, nation, or
other organized group or community, including any Alaska Native village as defined
in the Alaska Native Claims Settlement Act (85 Stat. 668), which is recognized as
eligible for the special programs and services provided by the United States to Native
Americans because of their status as Native Americans and includes any tribal
organizations as defined in section 4(c) of the Indian Self-Determination and
Education Assistance Act (Public Law 93-638, section 105).
e. Other Organization. A national, regional, Statewide, area-wide, or metropolitan
organization representing member State or local governments; an association of State
or local public officials; or a nonprofit organization whose principal function is to
offer professional advisory, research, education, or development services, or related
services to governments or universities concerned with public management.
Federally Funded Research and Development Centers are technically considered as
"other organizations," but they do not require the agency certification described in
Chapter I, paragraph 5.
f. State. A State of the United States, the District of Columbia, the Commonwealth of
Puerto Rico, the Trust Territory of the Pacific Islands, the Northern Mariana Islands, a
territory or possession of the United States, an instrumentality or authority of a State
or States, or a Federal-State authority or instrumentality.
7. CONTACT. Questions regarding this Order should be referred to the Office of Human
Resources Policy and Planning at (202) 586-8524.
BY ORDER OF THE SECRETARY OF ENERGY:
T. J. GLAUTHIER
Deputy Secretary
CONTENTS
CHAPTER I - GENERAL PROVISIONS FOR IPA ASSIGNMENTS
1. What is an IPA Assignment?. . . . . . . . . . . . . . . . .I-1
2. Requirements and Expectations . . . . . . . . . . . . . . .I-1
3. Responsibilities. . . . . . . . . . . . . . . . . . . . . .I-1
a. Deputy Secretary. . . . . . . . . . . . . . . . . .I-1
b. Director of Management and Administration . . . . . . .I-2
c. Director of Human Resources Management. . . . . . .I-2
d. Administrator of NNSA or Designee . . . . . . . . . . .I-2
e. Executive Resources Board Chair . . . . . . . . . .I-2
f. Heads of DOE Elements . . . . . . . . . . . . . . .I-2
g. Offices of Human Resources. . . . . . . . . . . . .I-3
h. Field Counsel and Office of General Counsel . . . .I-3
i. Chief Financial Officers. . . . . . . . . . . . . .I-4
j. Employees Approved for Assignments. . . . . . . . .I-4
4. Eligibility for Participation . . . . . . . . . . . . . . .I-4
a. Eligible Organizations. . . . . . . . . . . . . . . . .I-4
b. Eligible Employees. . . . . . . . . . . . . . . . . . .I-4
c. Employees Excluded from Participation . . . . . . . . .I-5
5. How Non-Federal Organizations Establish Eligibility . . . .I-5
a. Automatic Designation. . . . . . . . . . . . . . .I-5
b. Agency Certification. . . . . . . . . . . . . . . . . .I-5
6. Length of Assignments . . . . . . . . . . . . . . . . . . .I-6
7. Arranging Assignments . . . . . . . . . . . . . . . . .I-7
8. Liability Statutes. . . . . . . . . . . . . . . . . . . . .I-7
9. Standards of Conduct Provisions and Conflict-of-Interest LawsI-7
10. Release of Information. . . . . . . . . . . . . . . . .I-7
11. Amendments, Extensions, and Terminations. . . . . . . .I-8
a. Amendments and Extensions . . . . . . . . . . . . . . .I-8
b. Terminations. . . . . . . . . . . . . . . . . . . . . .I-8
c. Informing Employees . . . . . . . . . . . . . . . . . .I-8
12. Financial Compensation. . . . . . . . . . . . . . . . .I-8
a. Financing Assignments . . . . . . . . . . . . . . . . .I-8
b. Cost sharing. . . . . . . . . . . . . . . . . . . . . .I-8
13. Pay Commensurate with Duties. . . . . . . . . . . . . .I-8
14. Supplemental Pay. . . . . . . . . . . . . . . . . . . .I-9
15. Allowable/Unallowable Costs . . . . . . . . . . . . . .I-9
16. Travel, Transportation and Associated Costs . . . . . I-10
a. General . . . . . . . . . . . . . . . . . . . . . . . I-10
b. Pay and Travel Allowances when Moving to a New LocationI-10
17. Relocation Allowances . . . . . . . . . . . . . . . . I-11
18. Per Diem Allowances . . . . . . . . . . . . . . . . . I-11
19. Taxation of Travel Expense Reimbursements . . . . . . I-12
20. Awards. . . . . . . . . . . . . . . . . . . . . . . . I-13
a. Awards Based on Ratings of Record . . . . . . . . . . I-13
b. Other Awards. . . . . . . . . . . . . . . . . . . . . I-13
c. Quality Step Increases. . . . . . . . . . . . . . . . I-14
21. Leave (Annual and Sick) . . . . . . . . . . . . . . . I-14
CHAPTER II - IPA ASSIGNMENTS OF DOE EMPLOYEES
1. General . . . . . . . . . . . . . . . . . . . . . . . . . II-1
2. Obligated Service Requirement . . . . . . . . . . . . . . II-1
3. Performance Appraisals. . . . . . . . . . . . . . . . . . II-1
4. Sending DOE Employees on Assignments. . . . . . . . . . . II-1
5. Choosing Between Details and Appointments . . . . . . . . II-2
6. Details . . . . . . . . . . . . . . . . . . . . . . . . . II-2
a. Workweek, Hours of Duty, and Holidays . . . . . . . . II-2
b. Locality Pay. . . . . . . . . . . . . . . . . . . . . II-3
7. Return to Duty. . . . . . . . . . . . . . . . . . . . . . II-3
8. Applicability of Other Federal Actions. . . . . . . . . . II-3
CHAPTER III - ASSIGNMENTS OF NON-FEDERAL EMPLOYEES
1. Overview. . . . . . . . . . . . . . . . . . . . . . . . .III-1
2. Details . . . . . . . . . . . . . . . . . . . . . . . . .III-1
a. Employee Status . . . . . . . . . . . . . . . . . . .III-1
b. Identification of Position. . . . . . . . . . . . . .III-1
c. Compensation. . . . . . . . . . . . . . . . . . . . .III-1
d. Workweek and Hours of Duty. . . . . . . . . . . . . .III-1
e. Holidays. . . . . . . . . . . . . . . . . . . . . . .III-1
f. Annual and Sick Leave . . . . . . . . . . . . . . . .III-1
g. Retirement, Health Benefits, and Life Insurance . . .III-1
... Appointments. . . . . . . . . . . . . . . . . . . . .III-2
a. Workweek, Hours of Duty, and Holidays . . . . . . . .III-2
b. Within-Grade Increases. . . . . . . . . . . . . . . .III-2
c. Leave and Pay Differentials . . . . . . . . . . . . .III-2
d. Health Benefits, Retirement, and Life Insurance CoverageIII-2
e. Performance Appraisals. . . . . . . . . . . . . . . . . .III-2
3. Salaries at or above Executive Level I. . . . . . . . . .III-3
a. Documentation . . . . . . . . . . . . . . . . . . . .III-3
b. Review Process. . . . . . . . . . . . . . . . . . . .III-3
APPENDIXES
Appendix A Master Government List of DOE Federally Funded Research and Development
Centers - FY 2000. . . . . . . . . . . . . . . . . . . . . . .A-1
Appendix B Summary Standards of Conduct Provisions and Conflict-of-Interest Laws,
for IPA Assignees . . . . . . . . . . . . . . . . .B-1
Appendix C U.S. Department of Energy Conflict-of-Interest Certification for Incoming
IPA Assignments . . . . . . . . . . . . . . . . . .C-1
Appendix D Required Transmittal, IPA Assignments of DOE Employees D-1
Appendix E Required Transmittal, IPA Details to DOE. . . . . .E-1
Appendix F Sample Letter From Participating Organization . . .F-1
Appendix G Sample Assignment Agreement (Incoming IPA Assignment). . G-1
Appendix H Sample Assignment Agreement (Outgoing IPA Assignment)H-1
Appendix I Checklist for Optional Form 69, Assignment AgreementI-1
Appendix J Checklist - IPA Assignment File . . . . . . . . . .J-1
Appendix K Optional Form 69, Assignment Agreement Form . . . .K-1 CHAPTER I
GENERAL PROVISIONS FOR IPA ASSIGNMENTS
1. WHAT IS AN IPA ASSIGNMENT? An IPA assignment is a temporary transfer of skilled
personnel between the Federal Government and State or local governments, institutions of
higher education, Native American tribal governments, and eligible non-Federal "other
organizations," including Federally Funded Research and Development Centers. The
assignment is effected for purposes of mutual concern to the Department and to the
participating non-Federal entity and should also serve a sound public purpose. IPA
assignments can be used to achieve a number of objectives, such as to
a. strengthen the management capabilities of Federal agencies; of State, local, and
Native American tribal governments; and of other eligible organizations;
b. assist in the transfer and use of new technologies and approaches to solving
governmental problems;
c. involve State and local officials in the development and implementation of Federal
policies and programs; and
d. provide program and developmental experience that will enhance a DOE employee's
performance in his or her regular job.
2. REQUIREMENTS AND EXPECTATIONS.
a. Each proposed assignment must be examined to ensure that it is for sound public
purposes and furthers the goals and objectives of the participating organizations.
Assignments should not be requested primarily to meet the personal interests of
employees, to circumvent personnel ceilings and contractor support limitations, or to
avoid unpleasant personnel decisions.
b. Because the work to be performed while on assignment is of mutual benefit to the
participating organizations, both organizations should share assignment costs unless a
compelling reason is otherwise provided.
c. DOE elements must exercise special caution to prevent the duplication of salaries and
benefits when executing assignments with DOE contractors.
3. RESPONSIBILITIES.
a. Deputy Secretary makes final determinations on proposed assignments into DOE
when assignees' salaries equal or exceed the pay for Executive Level I positions,
except for Senior Executive Service (SES) and equivalent positions, which require
approval by the Executive Resources Board Chair.
b. Director of Management and Administration approves, prior to transmittal to the
Office of Personnel Management (OPM) for final approval, requests from DOE
elements (except for NNSA) for waivers of the 6-year time limit placed on Federal
employees who serve on IPA assignments.
c. Director of Human Resources Management (except for the NNSA).
(1) Sets overall IPA policy for the Department and provides program oversight.
(2) Approves, with concurrence of the Assistant General Counsel for General Law,
requests for eligibility certifications of "other organizations" with which DOE
program offices propose to arrange an assignment.
d. Administrator of NNSA or Designee -
(1) Approves, prior to transmittal to the Office of Personnel Management (OPM)
for final approval, requests from NNSA elements for waivers of the 6-year time
limit placed on Federal employees who serve on IPA assignments.
(2) Sets overall IPA policy for the NNSA and provides program oversight.
(3) Approves, with concurrence of the Assistant General Counsel for General Law,
requests for eligibility certifications of "other organizations" with which
DOE/NNSA program offices propose to arrange an assignment.
(4) Concur in approvals of assignments, including Assignment Agreements.
e. Executive Resources Board Chair approves IPA assignments, incoming and outgoing,
for all career employees who encumber positions covered by the Executive Resources
Board Charter [e.g., SES, Senior Level (SL), Scientific and Professional (ST), and
Excepted Service pay bands IV and V positions), with concurrence of appropriate
DOE elements and designated officials in the servicing human resources office, the
Office of General Counsel, and the Office of Chief Financial Officer.
f. Heads of DOE Elements, including the NNSA.
(1) Approve assignments and extensions, including IPA assignment packages,
correspondence, and Assignment Agreements [Optional Form (OF 69] for their
organizations, with concurrences of the appropriate Lead Program Secretarial
Officer, Program Secretarial Officer, or Cognizant Secretarial Officer,
designated officials in the servicing human resources office, the Office of
General Counsel, and the Office of Chief Financial Officer. This authority does
not include approval of actions listed in 3e above, which require approval by the
Executive Resources Board Chair.
(2) Implement procedures to ensure that the following occurs:
(a) within 15 days of the assignment effective date, a copy of the Assignment
Agreement is forwarded to the Offices of Human Resources Policy and
Planning, Chief Financial Officer, and the Assistant General Counsel for
General Law;
(b) assignment documentation is complete and assignments comply with DOE
requirements;
(c) proper security clearance is obtained in compliance with DOE security
requirements;
(d) prospective assignees and their employers receive information that
explains the nature and obligations of assignees and participating
organizations.
g. Offices of Human Resources.
(1) Concur in approvals of IPA assignments.
(2) Provide staff advice and technical support to the organizations they service.
(3) Respond to requests for information on assignments.
h. Field Counsel and General Counsel.
(1) Field Counsel (for assignment packages involving the organizations for which
they provide legal support).
(a) Review and concur in assignment packages and Assignment Agreements
for legal sufficiency, including conflict-of-interest determinations and
compliance with statutes, regulations, and DOE requirements.
(b) Concur in requests for eligibility determinations for "other organizations"
before they are forwarded to the Assistant General Counsel for General
Law for concurrence.
(c) Consult with the Office of the Assistant General Counsel for General Law
regarding extenuating circumstances, including, but not limited to, the
following:
1 assignees who will need a waiver of the provisions of 18 U.S.C.
208(a) in order to perform the duties enumerated in the assignment;
2 assignees who will represent a non-Federal entity to the Federal
government,
3 proposed assignments involving DOE procurements or contract
administration;
4 proposed assignments in which DOE will pay 100 percent of the
expenses;
5 proposed assignments in which the assignee's salary is more than
120 percent of the comparable Federal salary for the position being
filled;
6 proposed assignments where a DOE employee will receive
supplemental pay; or
7 proposed assignments in which a DOE employee is taking a leave of
absence.
(2) Office of the Assistant General Counsel for General Law (for IPA assignment
packages involving the organizations for which it provides legal support).
(a) Reviews and concurs in assignment packages and Assignment Agreements
for legal sufficiency, including conflict of interest determinations and
compliance with statutes, regulations, and DOE requirements.
(b) Reviews and concurs in requests for eligibility determinations for "other
organizations" wishing to participate in the IPA Assignment Program
before approval by the Director of Human Resources Management.
i. Chief Financial Officers (for assignment packages involving the organizations they
service).
(1) Ensure that assignments comply with statutes, regulations, and DOE
requirements pertaining to financial arrangements and travel and transportation
expenses.
(2) Concur in approvals of assignments, including Assignment Agreements, with the
exception of the NNSA.
j. Employees Approved for Assignments adhere to the requirements set forth in their
Assignment Agreements.
4. ELIGIBILITY FOR PARTICIPATION.
a. Eligible Organizations. The following organizations are eligible to participate in the
IPA Assignment Program:
(1) Federal. All Federal organizations including all DOE headquarters and field
elements. [Certain employees are excluded as indicated in paragraph 4c(1)
below. Assignments between Federal organizations are not covered under this
authority.]
(2) Non-Federal. State, local, and Native American tribal governments; institutions
of higher education; and certain "other organizations," including Federally
Funded Research and Development Centers that appear on a master list
maintained by the National Science Foundation (see definitions in paragraph
5a), and organizations that DOE approves for participation.
b. Eligible Employees. The following employees are eligible to participate provided
they have not been employed or converted to this status primarily to establish
eligibility for participation.
(1) Federal. DOE employees serving on appointments without time limitations; for
example, career or career-conditional appointments, including career
appointments in the SES and appointments in the excepted service without time
limitations.
(2) Non-Federal. Individuals employed in a pay status for at least 90 days in career
positions with
(a) State, local, or Native American tribal governments;
(b) institutions of higher education; or
(c) other eligible organizations.
c. Employees Excluded from Participation. The following employees are not eligible to
participate in the IPA Assignment Program:
(1) Federal. Employees serving on time-limited, temporary, term, noncareer SES,
or Schedule C appointments.
(2) Non-Federal. Elected officials of State or local governments; university
students employed in research assistant, graduate assistant, teaching assistant,
and similar scholarship-related positions; individuals who have retired from an
institution; and persons who have honorary titles.
5. HOW NON-FEDERAL ORGANIZATIONS ESTABLISH ELIGIBILITY.
a. Automatic Designation. Except for "Other Organizations," entities listed in
paragraph 4a(2) above automatically qualify for the IPA Assignment Program and do
not require special certification. (See Appendix A for a list of DOE Laboratories that
qualify as Federally Funded Research and Development Centers.)
b. Agency Certification.
(1) Unless it accepts certification issued by another Federal agency, DOE must
certify the following entities before they can arrange assignments with the
Department:
(a) instrumentalities or authorities of State or local governments and
(b) non-Federal organizations, except for Federally Funded Research and
Development Centers,
(2) Requests for certification must be approved by the Director of Management and
Administration, or designee, with concurrence by the Office of the Assistant
General Counsel for General Law. Program offices interested in pursuing
assignments with such organizations should determine whether another Federal
agency has already granted certification. If so, the servicing human resources
office, in coordination with the Office of the Assistant General Counsel for
General Law, will determine whether further certification is necessary.
(3) Written requests for determinations concerning an "other organization's"
eligibility for participation must be sent to the servicing human resources office
and include a copy of the organization's
(a) articles of incorporation,
(b) bylaws, and
(c) Internal Revenue Service nonprofit statement.
The request should also include any other information indicating that the
organization has a principal function of offering professional advisory, research,
education, development, or related services to governments or universities
concerned with public management.
e. Upon approval, the certification of eligibility becomes a part of the official record to
be retained by the servicing human resources office with the Assignment Agreement.
6. LENGTH OF ASSIGNMENTS.
a. IPA assignments
(1) may be intermittent, part-time, or full-time and can be made initially for any
period of up to 2 years;
(2) should be kept to the minimum time necessary to complete the assigned tasks; and
(3) may be extended for up to a total of 4 years (including the period of the initial
assignment) for purposes of mutual benefit to the participating organizations.
b. A DOE employee may not serve more than a total of 6 years on IPA assignments
during his or her Federal career. (This restriction applies only to Federal employees.)
OPM may waive this provision upon request or concurrence of the Director of Human
Resources Management.
c. DOE may not send or receive on assignment an employee who has served on
assignment(s) for 4 continuous years without at least a 12-month return to duty with
the employer to which he or she was originally assigned.
d. Placement of an employee in the same commuting area within a DOE element will
generally be viewed as a continuation of the initial assignment.
e. Assignments automatically end on the date indicated in the Assignment Agreement or
whenever the participating employee is no longer employed with the permanent
employer. In the latter case, the employer and the employee must so inform the host
organization at least 30 days in advance, or as soon as possible.
7. ARRANGING ASSIGNMENTS.
a. Assignments must be implemented through written Assignment Agreements. Unless
otherwise specified, provisions in this Manual apply equally to assignments involving
DOE employees and employees of non-Federal entities.
b. Assignment Agreements must be signed by the designated DOE approving official
(i.e., Head of the DOE element or the Executive Resources Board Chair, as
applicable), the appropriate official of the other participating organization, and the
employee. All appropriate DOE concurrences should be obtained before final
approval. [See paragraph 3e(1) above.]
c. Assignments are management-initiated actions that may be proposed by either an
eligible non-Federal entity or DOE management.
(1) Only management representatives and personnel staff should participate in the
initiation and negotiation of assignments. Employees should not become
involved in initiating or proposing their own assignments to non-Federal
entities, nor should DOE officials deal directly with individual employees who
personally seek assignments to the Department. If contacted regarding
assignments, DOE employees should refer interested parties to their supervisors.
(2) As stated in this chapter, paragraph 2a, "Requirements and Expectations,"
assignments should not be arranged to meet the personal interests of employees,
to circumvent personnel ceilings and contractor support limitations, or to avoid
unpleasant personnel decisions.
(3) Assignments are voluntary and must be agreed to by employees.
8. LIABILITY STATUTES. The Federal Tort Claims Act and any other Federal tort liability
statutes apply to all persons participating in IPA assignments.
9. STANDARDS OF CONDUCT PROVISIONS AND CONFLICT-OF-INTEREST LAWS.
See Appendix B.
10. RELEASE OF INFORMATION. IPA Assignment Agreements and other information
pertaining to assignments are agency records within the meaning of the Freedom of
Information Act and the Privacy Act. The information they contain are subject to the rules
for releasing and protecting information under those Acts. If the records sought contain
that could be used to identify the individual, the removal of this data may be appropriate,
but other portions of the records should be disclosed. Usually, an appropriate exemption
relates to an unwarranted invasion of personal privacy, cited in 5 U.S.C. 552 (b)(6).
Statistical data, information on agency participation in the IPA Assignment Program, and
other general information concerning the program are available to the public.
11. AMENDMENTS, EXTENSIONS, AND TERMINATIONS.
a. Amendments and Extensions. DOE will complete the Assignment Agreement to
amend or extend an assignment and will obtain signatures of all parties to the original
agreement. Additionally, the concurrences designated in paragraph 3 above,
"Responsibilities," are required prior to final execution (i.e., before signing the
agreement).
b. Terminations. When terminations are necessary, participating organizations should
be notified by letter as soon as possible, and copies should be provided to the
servicing human resources office and other organizations that were required to concur
in the initial assignment (i.e., General Counsel, Office of Chief Financial Officer, and
the Executive Resources Board Chair). Assignments may be terminated at any time at
the option of either participating party. Usually, terminations occur when projects are
completed ahead of schedule or the desired results are not being achieved.
c. Informing Employees. Management officials in the host or parent organization
should inform employees of decisions to amend, extend, or terminate assignments.
12. FINANCIAL COMPENSATION.
a. Financing Assignments. Participating organizations may negotiate the financial
arrangements governing an assignment. Financial aspects include pay, fringe benefits,
relocation costs, travel and per diem expenses, and supplemental pay (in unique
circumstances). DOE uses program dollars to fund assignments coming to DOE.
b. Cost Sharing.
(1) Participating organizations may agree to establish an assignment on a wholly
reimbursable, partially reimbursable, or non-reimbursable basis. Usually,
because the work to be performed is of mutual benefit to both organizations,
both organizations should share the cost of the assignment
(2) If the cost is to be fully borne by one organization, justification for such an
arrangement must be attached or included in the Assignment Agreement.
(3) A minimum target for each DOE organization receiving an assignee should be
for the home organization to pay at least 15 percent of salary and benefits.
(4) Waiver of overhead costs may not be accepted as cost sharing.
13. PAY COMMENSURATE WITH DUTIES. Although the IPA Assignment Program
provides more flexibility in assigning individuals than the traditional merit staffing
procedures for competitive service appointments, each assignment must be carefully
reviewed to ensure that the employee's experience and pay level are commensurate with the
duties assigned. Proposals for other assignments must be supported; for example, the
following information should be included when applicable:
The individual "is recognized as an "expert" sought out by peers, (or similar
considerations). He/she is uniquely qualified for this assignment because of his/her
(indicate assignee's special knowledge, skills, abilities, talents, and/or the unique
capabilities, experience, or achievements), which will have an important effect on the
duties and responsibilities of this position. For example, (briefly specify).
His/her performance will broaden the nature and scope and effect of the work being
performed, and he/she is expected to make a continuing contribution to the
organizational mission, efficiency and economy, etc.
(Add, if appropriate) The exceptional ability of the assignee may lead to the attraction of
___________, and he/she will be given special authority to speak for DOE and commit the
Department in .
14. SUPPLEMENTAL PAY.
a. The servicing human resources office should be notified if a proposed assignment
would result in either of the following supplemental pay situations.
(1) Appointment of DOE Employees. DOE employees are usually detailed rather
than appointed to IPA assignments. An employee who is appointed cannot,
however, receive less pay than he or she would have received as a DOE
employee. In this instance, the employee must receive supplemental pay to
make up the difference between the rate of pay of the DOE position and that of
the IPA appointment. (This provision does not apply to employees detailed to
IPA assignments; that is, those who receive their regular rate of pay.)
(2) Details to DOE involves Higher Rates of Pay. In some cases, supplemental pay
must also be authorized for incoming assignees. An assignee detailed to a
classified DOE position with a higher rate of pay than his or her permanent
position must receive supplemental pay to make up the difference between the
rate of pay of the non-Federal permanent position and that of the DOE position.
b. Supplemental pay cannot be paid in advance or in a lump sum. It is not conditional
on the completion of the full period of assignment. Although DOE must be
reimbursed for supplemental pay due its employees, supplemental pay may be paid
directly to non-Federal assignees, or reimbursed to their employers, as agreed to in the
Assignment Agreement. The supplemental payment may vary during the assignment
as the assignee's regular salary varies and as revisions to the Federal pay plan occur.
15. ALLOWABLE/UNALLOWABLE COSTS. Certain costs for incoming assignees are not
allowed. For example, DOE will not pay automobile allowances or any overhead or
indirect costs (e.g., office space and administrative services). In addition, employees
assigned to DOE will not be paid for fringe benefits unique to the assignee's place of
employment, such as fees for on-site hospital/clinic services, tuition plans for the assignee
only (payment not authorized for plans covering the assignee's dependents), sabbaticals,
athletic or health club memberships, parking, etc.
16. TRAVEL, TRANSPORTATION, AND ASSOCIATED COSTS.
a. General. Travel costs for assignees are allowed in accordance with the Federal Travel
Regulation (301-11.14 through 11.16) and DOE 1500.2A, TRAVEL POLICY AND
PROCEDURES. Assignees will not be paid for any travel not related to the DOE
assignment.
b. Pay and Travel Allowances when Moving to a New Location.
(1) Participating organizations must decide whether DOE will pay all, some, or
none of an assignee's pay and travel allowances to cover the personal move
from one location to another.
(2) While at the assignment location, the assignee may be paid either a reduced per
diem allowance or relocation expenses, whichever option is the lesser amount.
(a) Per diem allowances at the IPA assignment location cover only the
assignee.
(b) Relocation allowances are allowed for travel and transportation of the
assignee's immediate family, household goods, and personal effects.
Initial travel to assignment location and subsequent return to permanent
employer at the end of the assignment must not exceed the cost of a
Federal contract common carrier.
(3) The host organization decides which allowance to pay. This decision must be
included in the Assignment Agreement before the assignment begins. In all
cases, the amount of payment will be capped at the lower of the following costs:
that of relocation or 2 years of reduced per diem (1 year if the IPA assignment is
for 1 year).
(4) Before the effective date of the Assignment Agreement, the assignee must be
advised of the travel allowance decision and fully informed of allowances,
payment processing, and his or her responsibilities.
(5) DOE may not pay travel or relocation expenses to an assignee for any period
prior to the date the initial agreement is signed by all parties.
(6) Reduced per diem will not be paid beyond the initial 2 years of the assignment.
Subsequent extensions of the assignment beyond that period will not entitle the
assignee to the per diem allowance.
17. RELOCATION ALLOWANCES.
a. If relocation allowances are authorized, DOE may reimburse the employee and his/her
immediate family for the following expenses:
(1) transportation and shipment of household goods and personal effects to and
from the assignment location, not to exceed 18,000 pounds;
(2) per diem allowances to and from the assignment location;
(3) subsistence allowance while occupying temporary quarters at the assignment
location and on return to the former duty station, not to exceed 30 days in each
instance;
(4) nontemporary storage of household goods and personal effects in connection
with assignment to an isolated location;
(5) temporary storage of household goods, not to exceed 60 days;
(6) relocation income tax allowance (payment to offset the tax consequences for the
move; for example, reimbursements for temporary quarters and the shipment of
household goods are taxable income, and the amount of DOE reimbursement for
these expenses may include tax considerations resulting from the move); and
(7) miscellaneous expenses if shipment and storage of household goods are
involved.
b. When using the relocation option, the assignee will be required to sign an agreement
to remain at that assignment for at least 1 year. If the assignee violates this
agreement, he or she must repay subsistence expenses and the costs for shipping.
c. Because an IPA assignment is considered "temporary," reimbursement of home sale
or buying expenses is not authorized. In addition, use of the Department's relocation
services contract or portions thereof is not authorized.
18. PER DIEM ALLOWANCES.
a. Per diem allowances cover lodging and food. Based on DOE requirements, reduced
per diem allowances may be paid to assignees who incur expenses for conventional
lodging (e.g., apartment rental) and who continue to maintain their permanent
residence (home) outside the commuting area of the assignment location. Per diem
allowances are intended for short-term assignments of 2 years or less. Payment of per
diem beyond the initial 2-year assignment period is not authorized even if the
assignment is extended beyond that time. A statement regarding this limitation
should be included in the Assignment Agreement whenever per diem is approved.
b. Reimbursable expenses for authorized per diem include the following:
(1) travel for the employee only, including a per diem allowance, to and from the
assignment location; and
(2) a reduced per diem allowance at the assignment location after the first 30 days
of the assignment.
c. Per diem allowances for extended periods of temporary duty (TDY) associated with
IPA assignments must be flat rates, based on surveys of lodging and subsistence costs
at the assignment location. For a specific IPA assignment, the maximum rate for
lodging should not exceed 55 percent of the TDY lodging allowance for the
assignment location. In addition, the rate should be based on prevailing rental costs
for a furnished efficiency or one-bedroom apartment for a period equal to the length
of the assignment. Higher costs associated with larger accommodations or luxury
apartments and services are the responsibility of the assignee.
d. Although the assignee is not required to submit lodging receipts, reimbursement is
contingent on the use of commercial lodging. Assignees lodging with friends and
relatives will not be reimbursed for lodging; they will be reimbursed the subsistence
amount only.
e. The subsistence allowance should be based on the average cost of meals as provided
in the U.S. Department of Agriculture's "Official USDA Food Plans: Cost of Food at
Home at Four Levels," plus $1 to $2 per day for incidental expenses. These rates
should be reviewed periodically and updated as necessary.
f. The flat rate per diem allowance for lodging and food is not payable for any day the
assignee is on annual leave for 4 hours or more or at his/her permanent residence.
g. The subsistence portion of the per diem allowance will be deducted for each day the
assignee is on official travel away from the assignment location because meal and
incidental expenses are paid as part of travel per diem.
19. TAXATION OF TRAVEL EXPENSE REIMBURSEMENTS.
a. The Energy Policy Act of 1992 amended section 162 of the Internal Revenue Code to
provide that employment away from home in excess of 1 year will not be treated as
"temporary." Therefore, the section 162 deduction for business travel expenses
incurred while away from home will not be allowed for any period of employment in
excess of 1 year.
b. For assignments extending beyond 1 year, assignees should be informed that travel
reimbursements received for duty at that location are subject to income tax
withholding. If it is known at the time of the assignment that the period will exceed
1 year, taxes will be withheld for the entire period of the assignment. Otherwise,
taxes will be withheld from the point that official action is taken to extend the
assignment beyond 1 year. The program office is responsible for notifying the
employee of this potential tax liability and for reporting it to the servicing accounting
office to ensure proper withholding.
20. AWARDS.
a. Awards Based on Ratings of Record.
(1) A DOE employee remains a Federal employee if serving on detail during an
assignment and must receive his or her performance appraisal in accordance
with the local DOE performance appraisal program. Under a program that
grants awards based on ratings of record, an assignee whose performance rating
merits an award should be granted the award as if he or she were not on the IPA
assignment.
(2) A DOE employee who is appointed as an employee of the host organization will
not be eligible for any DOE performance award; instead, that person would be
eligible for awards in accordance with the policies and provisions of the host
organization. If the employee is under a negotiated agreement that differs from
the above, the negotiated agreement will be followed.
(3) IPA assignees on detail to the Department, without Federal appointment status,
are not eligible for performance cash awards.
(4) Assignees appointed by the Department are eligible for the same awards as other
DOE employees with like appointments, status, and performance ratings.
b. Other Awards.
(1) In accordance with local requirements, DOE employees are eligible to receive
monetary and non-monetary awards of all types, including rank awards,
suggestion awards, and time-off awards for their work while on assignments
outside the Department.
(2) In deciding whether DOE employees serving on assignments outside the
Department should receive awards related to their performance while on detail,
managers and supervisors should consider the relationship between the awards
and contributions to DOE mission(s). The benefit accruing to the programs and
missions of the Department must be significant for individuals to merit cash
awards. If both the host organization and DOE benefit from an employee's
actions, both organizations should share the cost of the award. To do this, the
host organization must pay its share of the award directly to DOE because DOE
employees cannot accept funds from a non-DOE source.
c. Quality Step Increases (QSIs). Employees on IPA assignments, either to DOE or
from DOE, on detail or appointment, are not eligible to receive quality step increases
(QSIs) during the assignment period. QSIs are not appropriate because of the
temporary nature of the assignment, which prevents a supervisor from certifying that
the level of performance will continue after the IPA assignment is complete.
21. LEAVE (ANNUAL AND SICK). Generally, an assignee continues to earn leave under the
permanent employer's leave system and appropriate absences from duty are charged against
that leave. For Federal assignees, leave will not be restored; therefore, it is important to
schedule leave throughout the year so that it will not be lost at the end of the leave year.
For all assignees, the use of leave must be approved by the supervisor at the participating
organization. The responsibility for documenting leave earned and leave used is to be
specified in the Assignment Agreement, along with a requirement that the leave and
hours worked are to be reported and certified by a designated official of the
participating organization. CHAPTER II
ASSIGNMENTS OF DOE EMPLOYEES
1. GENERAL. DOE employees cannot earn less on IPA assignments than they would earn in
their Federal positions.
2. OBLIGATED SERVICE REQUIREMENT. A DOE employee must agree, as a condition
of accepting an assignment, to return to the Federal government and to serve for a period of
time equal to the length of the assignment. If the employee reneges on this agreement, he
or she must reimburse the Department for its share of the costs (excluding salary and
benefits). This stipulation also applies to former assignees who are terminated for cause.
Heads of DOE elements or the Executive Resources Board Chair, as appropriate, may
approve requests to waive this reimbursement when provided with documentation in
accordance with DOE 1500.2A, as authorized under 5 CFR 334.105.
3. PERFORMANCE APPRAISALS.
a. While on assignments, employees must receive annual ratings as prescribed under the
applicable DOE organization's performance appraisal system.
b. Before an assignment begins, a performance agreement should be prepared and
agreed to by all parties involved in the assignment, including the assignee, the
supervisor at the participating organization, and the assignee's DOE rating official.
The agreement should identify the tasks and assignments the assignee is expected to
perform. There is no required format for this agreement, which may be in the form of
a letter or memo.
c. An assignee's DOE rating official should receive an evaluation of his or her
performance while away on assignment. The information received will be considered
in the assignee"s performance rating, in accordance with the scheduled performance
appraisal period.
d. The supervisor at the participating organization will periodically discuss the
assignee's performance with him or her and will also periodically contact the DOE
supervisor to discuss the assignee's performance. This requirement must be
stipulated in the Assignment Agreement.
4. SENDING DOE EMPLOYEES ON ASSIGNMENTS. An eligible employee, with his or
her consent, may be sent on an assignment either by a detail or by appointment in the
participating organization while on leave without pay from his or her DOE position. In
either case, the assignee remains an employee of the Department for all purposes except
work and supervision. As such, he or she retains the rights and benefits of a Federal
employee. The assignee continues to be subject to statutory and regulatory restrictions,
such as the Hatch Act, Standards of Conduct, and financial disclosure provisions.
5. CHOOSING BETWEEN DETAILS AND APPOINTMENTS.
a. Details are almost always preferred over appointments because salaries and
contributions to employee benefits are easier to continue. For appointments,
employees are placed on leave without pay, and employers must make special
provisions to allow the employees to continue their contributions to employee benefits
such as life insurance, health insurance, and retirement. The choice of the most
appropriate type of assignment detail or appointment may be influenced by
various factors, including the nature of the position, duties to be performed, and
DOE's decision concerning payment of expenses. For example, the gaining non-
Federal organization may require an appointment when a position requires the
assignee to exercise legal or fiscal authority or to perform supervisory duties.
b. If an organization plans to place an employee on leave without pay so he or she can be
appointed by the host organization, the servicing human resources office and the
Office of the Assistant General Counsel for General Law must be contacted regarding
the implications.
6. DETAILS. Pay, allowances, privileges, rights, seniority, retirement, insurance, and other
benefits are preserved and remain in effect during a detail assignment, even though these
costs may be reimbursed in whole or in part by the participating organization. DOE
employees assigned outside the Department are eligible to receive Federal comparability
increases and other Federal pay differentials.
a. Workweek, Hours of Duty, and Holidays.
(1) The participating organization will determine a detailee's workweek and hours
of duty, but full-time employees must work at least 40 hours a week. The
detailee's tour of duty on assignment must not conflict with laws or regulations
governing his or her Federal workweek, hours of duty, or holidays.
(2) The detailee will either be excused from duty on all Federal holidays without
charge to leave, he or she will receive holiday pay for work performed. DOE
must agree in advance before work is performed on a Federal holiday, and the
requirement should be included in the Assignment Agreement. Detailees who
must work more than 8 hours on a Federal holiday must be paid at their normal
hourly rate for hours worked in excess of their normal schedules. The
participating organization may excuse the detailee from duty on a holiday
observed by that organization without charge to leave, but the employee will not
be entitled to premium pay if required to work that day.
b. Locality Pay. An employee detailed for a period of 1 year or less will be paid the
locality rate of pay for his or her permanent position. The locality rate paid to
employees detailed for more than 1 year will be paid as follows:
(1) An employee who receives per diem will be paid the locality rate of his or her
permanent position.
(2) An employee paid relocation expenses will be paid the locality rate applicable at
the area of his or her temporary assignment.
7. RETURN TO DUTY.
a. At the completion of assignments, DOE must either return employees to the same
position they occupied immediately before their assignments began or reassign them
to other positions of like pay and grade level. Any organizational or staffing changes
affecting the positions from which employees were assigned should be brought to
their attention. Employees should be notified of the positions to which they will be
returned at least 30 days before the end of their assignments.
b. DOE should make special efforts to use returning employees in a manner to benefit
from the experience and insights gained during their assignments.
8. APPLICABILITY OF OTHER FEDERAL ACTIONS.
a. Reduction-in-force procedures apply to employees on IPA assignments. Certain
situations justify the use of either a temporary, continuing exception to the order of
release, not to exceed 90 days, or a continuing exception to avoid undue interruption
or a disruptive, premature termination of an assignment. Detailed information is
provided in 5 CFR 351.
b. Assignees must receive appropriate consideration for promotion in accordance with
local merit promotion plans. All other personnel actions that could apply to Federal
employees or to their to their positions (e.g., reclassification, transfer of function,
reassignment), continue to apply while employees are on assignment. CHAPTER III
ASSIGNMENTS OF NON-FEDERAL EMPLOYEES WITH DOE
1. OVERVIEW. An eligible employee may serve on an IPA assignment with DOE via a
temporary appointment or detail. In either case, this individual may supervise Federal
employees. DOE should not offer permanent appointments to assignees, nor should
assignments be used as a mechanism to facilitate career changes.
2. DETAILS.
a. Employee Status. Non-Federal assignees remain employed by their employing
organizations for most purposes, consistent with applicable personnel policies of the
permanent employer.
b. Identification of Position. An individual may be assigned to an established, classified
position, or may be given a set of ad hoc, unclassified duties, relevant to the specific
assignment.
c. Compensation. The permanent employer pays the assignee. There is no entitlement
to pay from DOE; however, the Department may reimburse the permanent employer
for part or all of the employee's salary as well as for the employer's contribution to
the assignee's benefits, as indicated in the Assignment Agreement.
d. Workweek and Hours of Duty. Assignees will normally have the same workweeks
and hours of duty as Federal employees in the organizations to which they are
assigned.
e. Holidays. Assignees will observe DOE holidays in accordance with laws and
regulations. Accordingly, even if a Federal holiday is not observed by a permanent
employer, the employee should be excused from duty on that day.
f. Annual and Sick Leave. Assignees are covered under their permanent employer's
leave system. The Assignment Agreement will specify how the permanent employer
is to be notified of leave taken by assignees. The use of leave must be approved and
certified by the DOE supervisor, who is to report leave to the permanent employer.
Any unused leave will not be paid by DOE, a provision that must be stated in the
Assignment Agreement.
g. Retirement, Health Benefits, and Life Insurance. Assignees are not eligible for these
benefits under Federal law. During the period of assignment, coverage is continued
with the permanent employer, consistent with personnel policies of that organization.
3. APPOINTMENTS. An assignee may be given an excepted appointment for up to 2 years,
which may be extended for up to 2 additional years. Usually, the assignee is appointed at
the minimum rate of the grade; however, an advanced step rate may be granted based on
superior qualifications of the assignee or special need.
a. Workweek, Hours of Duty, and Holidays. Assignees appointed by DOE will have the
same workweeks, hours of duty, and holidays as other DOE employees in the
organizations to which they are assigned.
b. Within-Grade Increases. Assignees who receive Federal appointments are eligible for
consideration for within-grade increases.
c. Leave and Pay Differentials. Assignees are entitled to accumulate and use leave to
the same extent as other Federal employees; they are also entitled to cost-of-living
allowances and other pay differentials.
d. Health Benefits, Retirement, and Life Insurance Coverage.
(1) Health Benefits. Assignees are not entitled to enroll in the Federal Employees
Health Benefits Program unless their Federal assignment results in the loss of
coverage under the permanent employer or local health benefits system, the
premium of which has been paid in whole or in part by the employer.
(2) Retirement. Assignees are not covered by any retirement system for Federal
employees or by the Federal Employees' Group Life Insurance Program.
Coverage under social security continues for assignees covered by their
employers' social security. Coverage will not be provided as a part of Federal
appointment for employees who do not have social security coverage.
(3) Continuation of Coverage. If employers are unable to continue contributing to
retirement, life insurance, or health benefits plans, DOE may agree to pay the
employers' share of these costs. Assignment Agreements should specify whether
employers will continue to cover these benefits and what costs, if any, DOE will
pay. If DOE agrees to pay an employer's share of these costs, the Assignment
Agreement should provide for the employer to bill the DOE program office
quarterly.
4. PERFORMANCE APPRAISALS.
a. Assignees given temporary appointments must receive annual ratings as prescribed
under the applicable organization's performance appraisal system. Detailees should
also receive annual ratings.
b. Before an assignment begins, a performance agreement should be prepared and
agreed to by all parties involved in the assignment, including the assignee, the
supervisor at the participating organization, and the DOE supervisor. The agreement
should be prepared to identify the tasks and assignments the assignee is expected to
perform. There is no required format for this agreement, which may be in the form of
a letter or memo.
c. The DOE supervisor will periodically discuss the assignee's performance with him or
her and will also periodically contact the permanent supervisor to discuss the
assignee's performance. This requirement should be stipulated in the Assignment
Agreement.
5. SALARIES AT OR ABOVE EXECUTIVE LEVEL I. Special documentation is required
for approval of proposed DOE assignments when salaries equal or exceed the rate of pay
for Executive Level I positions, except for SES and equivalent positions that are approved
by the Executive Resources Board Chair.
a. Documentation. The proposing organization must provide the following information
for final determination by the Deputy Secretary:
(1) how the position/duties to be performed reflect the need for an individual to be
paid at the level proposed;
(2) the unique qualifications/current compensation of the individual proposed for
the IPA assignment;
(3) information concerning the search that was conducted;
(4) as applicable, comparable offers,
(5) other options considered or potentially available to meet the need at a lower cost
(including increasing cost-sharing above the DOE-recommended 15 percent
minimum for the individual's parent organization);
(6) an explanation of the total cost of the assignment, and
(7) a breakdown of costs to be paid by DOE.
b. Review Process. The head of the requesting DOE element will prepare an action
memorandum to the Deputy Secretary for final determination, transmitting the
Assignment Agreement package and the documentation specified above. Requests
will be routed through the Office of the Assistant General Counsel for General Law,
Office of Chief Financial Officer, and Director of Human Resources Management or
Headquarters Personnel Officer for NNSA, respectively, for comment/concurrence.
Packages for field organizations should be sent to the Office of Human Resources
Policy and Planning for coordination. APPENDIX A
MASTER GOVERNMENT LIST OF DOE FEDERALLY FUNDED
RESEARCH AND DEVELOPMENT CENTERS - FY 2000
This list is updated each fiscal year; for updates, visit http://www.nsf.gov/sbe/srs/ffrdc
ADMINISTERED BY INDUSTRIAL FIRMS
Idaho National Engineering and Environmental Laboratory
(Bechtel BWX Technologies Idaho, LLC)
Idaho Falls, ID
Oak Ridge National Laboratory
(Lockheed Martin Energy Research Corp.)
Oak Ridge, TN
Sandia National Laboratories
Sandia Corporation (a subsidiary of Lockheed Martin Corp.)
Albuquerque, NM
Savannah River Technology Center
(Westinghouse Savannah River Co.),
Aiken, SC
ADMINISTERED BY UNIVERSITIES AND COLLEGES
Ames Laboratory
(Iowa State University of Science and Technology)
Ames, IA
Argonne National Laboratory
(University of Chicago)
Argonne, IL
Ernest Orlando Lawrence Berkeley National Laboratory
(University of California)
Berkeley, CA
Fermi National Accelerator Laboratory
(Universities Research Association, Inc.)
Batavia, IL
Lawrence Livermore National Laboratory
(University of California)
Livermore, CA
Los Alamos National Laboratory
(University of California)
Los Alamos, NM
Princeton Plasma Physics Laboratory
(Princeton University)
Princeton, NJ
Stanford Linear Accelerator Center
(Leland Stanford, Jr., University)
Stanford, CA
Thomas Jefferson National Accelerator Facility
(Southeastern Universities Research Association, Inc.)
Newport News, VA
ADMINISTERED BY OTHER NONPROFIT INSTITUTIONS, INCLUDING
UNIVERSITY CONSORTIA
Brookhaven National Laboratory
(Brookhaven Science Associates, Inc.)
Upton, Long Island, NY
National Renewable Energy Laboratory
(Midwest Research Institute)
Golden, CO
Pacific Northwest National Laboratory
(Battelle Memorial Institute)
Richland, WA
Note: DOE decertified or removed the following from its list of Federally Funded Research
Development Centers: Bettis Atomic Power Laboratory, Hanford Engineering Development
Laboratory, and Knolls Atomic Power Laboratory, Energy Technology Engineering Center, the
Inhalation Toxicology Research Institute, and Oak Ridge Institute for Science and Education
(ORISE). APPENDIX B
SUMMARY
STANDARDS OF CONDUCT PROVISIONS
AND CONFLICT-OF-INTEREST LAWS
for
IPA ASSIGNEES
All Intergovernmental Personnel Act (IPA) assignees, whether on assignment to the Department
of Energy (DOE) from non-Federal entities (incoming IPA assignees) or on assignment from
DOE (outgoing IPA assignees), are subject to the same conflict-of-interest statutes and
regulations as are other DOE employees. All incoming assignees must sign a "Conflict-of-
Interest Certification," which discusses these provisions.
1. FINANCIAL CONFLICTS OF INTEREST. Title 18, United States Code (U.S.C.), Section
208(a), prohibits employees from participating personally and substantially in any particular
matter in which the employee has a financial interest. For purposes of this statute, the
interests of any of the following are attributed to the employee: the employee's spouse,
minor child, or general partner; any organization in which the employee is serving as
officer, director, trustee, general partner, or employee; or any person or organization with
whom the employee is negotiating or has any arrangement concerning prospective
employment.
2. Outside Employment. DOE regulations [5 Code of Federal Regulations (CFR) 3301]
provide that an employee who intends to engage in outside employment must obtain prior
written approval his or her immediate supervisor and the counselor (i.e., for headquarters'
employees, the Office of the Assistant General Counsel for General Law; for field
employees, the field counsel).
Standards of Ethical Conduct for Employees of the Executive Branch (5 CFR 2635) restrict
an employee's outside activities. Subpart G prohibits the use of public office for the private
gain of friends, relatives, or persons (including nonprofit organizations) with whom the
employee is affiliated in a nongovernmental capacity, and prohibits the use of official time
other than in an honest effort to perform official duties. Subpart H prohibits an employee
from engaging in outside employment or any other outside activity that conflicts with his or
her official duties and, with limited exceptions, prohibits an employee from receiving
compensation from any source other than the Government for teaching, speaking, or
writing that relates to the employee's official duties.
3. REPRESENTING OTHERS TO THE FEDERAL GOVERNMENT. There are criminal
statutes applicable Governmentwide that also affect DOE employees' outside activities.
Title 18 U.S.C. 203 and 205, prohibit an employee from representing, with or without
compensation, any party other than the United States before any court, department, agency,
or officer of the United States, in connection with any particular matter in which the United
States is a party or has a direct and substantial interest. Therefore, employees are
prohibited from contacting, discussing, or attending meetings with the Government on
behalf of another where there is an adversarial context; that is, no contacts may be made
about a matter in which the Government and the party on whose behalf the employee is
acting have inconsistent or potentially inconsistent interests. Prohibited representations
also include communications regarding any funding issues.
4. POLITICAL ACTIVITIES. All employees are subject to criminal restrictions on soliciting
political contributions. In addition, DOE employees taking an IPA assignment outside of
the Department are prohibited from conducting political activity on Government property
or during official time, using their official authority to interfere with or affect the result of
an election, being a partisan candidate for public office, coercing fellow employees to
engage in any political activity, and seeking to influence the political activity of persons
doing business with the Department. Incoming assignees should seek additional guidance
from the Office of the Assistant General Counsel for General Law before actively engaging
in partisan political activity.
5. POST-EMPLOYMENT RESTRICTIONS. A criminal statute places a lifetime bar on
anyone acting as another's representative to the Government with respect to a particular
matter involving a specific party in which he or she participated personally and
substantially as a Government employee [18 U.S.C. 207(a)(1)]. Other post-employment
restrictions may apply, including procurement integrity restrictions, depending on the
position, duties, and amount of compensation of the IPA assignee.
6. FINANCIAL DISCLOSURE REQUIREMENTS. All outgoing assignees are required to
continue to file financial disclosure reports as they normally would in their Department
positions. All incoming assignees are required to file a Confidential Financial Disclosure
Report (OGE 450) prior to approval of the Assignment Agreement. Assignees must also
file an OGE 450 each year by October 31 and with every incoming assignment extension. APPENDIX C
U. S. DEPARTMENT OF ENERGY
CONFLICT-OF-INTEREST CERTIFICATION
FOR INCOMING IPA ASSIGNMENTS
To be completed by individuals assigned to the U.S. Department of Energy under the
Intergovernmental Personnel Act before the assignment begins.
1. I understand that my assignment with the Department of Energy )DOE) under the
Intergovernmental Personnel Act (IPA) subjects me to the same conflict-of-interest statutes
and regulations that apply to other DOE employees in equivalent positions.
2. I agree to file a Confidential Financial Disclosure Report (OGE 450) each year by
October 31 during my IPA assignment.
3. I have received a copy of the Standards of Ethical Conduct for Employees of the Executive
Branch and the DOE supplemental regulations, and agree to be bound by the provisions
therein.
4. If I have any questions relating to any of these requirements or the conflict-of-interest
provisions, I will contact a DOE ethics counselor in the Office of the Assistant General
Counsel for General Law at 202-586-1522.
(Signature) (Date)
(Printed Name) (Non-Federal Employer)
APPENDIX D
REQUIRED TRANSMITTAL
IPA ASSIGNMENTS OF DOE EMPLOYEES
To be completed by DOE to transmit the Assignment Agreement (Optional Form 69) when
sending DOE employees on IPA assignments
(Participating Organization's
Inside Address)
Dear ______________________:
This letter and accompanying Optional Form 69, Assignment Agreement, constitute the written
record of the obligations and responsibilities of the U.S. Department of Energy (DOE), the
(participating organization) (hereafter referred to as "organization") and (assignee's name)
regarding the Intergovernmental Personnel Act (IPA) assignment of (assignee's name).
Under this agreement, (assignee's name) will be assigned on detail from DOE to (organization)
for a period of (indicate period; e.g., 6 months, 1 year, 2 years, etc.) beginning (proposed
effective date), or when all parties have signed the agreement, whichever is later. (Assignee's
name) will work as a (title and one- or two-sentence description of duties). Prior to the effective
assignment date, in consultation with the assignee and the DOE rating official, the host
supervisor will prepare a performance agreement to identify the tasks and performance
expectations on which the assignee will be evaluated.
While on the assignment, (assignee's name) is still a Federal employee and thus is subject to all
of the requirements, including the ethical restrictions, that govern the actions of a Federal
employee. In this regard, (assignee's name) has been advised that he or she may not represent
(organization) to the Federal government, including DOE. Prohibited representation includes
any dealings with the Federal government in an adversary context; that is, any contacts about a
matter in which the Federal government and (organization) have inconsistent or potentially
inconsistent interests. Prohibited representation also includes any contacts regarding funding
issues. Guidance further explaining the ethical restrictions is enclosed.
(Organization) will not be precluded from consideration for Department support on the basis of
(assignee's name) assignment during or after the assignment period.
DOE will continue to pay (assignee's name) salary and fringe benefits, as well as any travel DOE
requires of (assignee's name) during the assignment period. (Assignee's name) will request
approval for leave from his (or her) (organization) supervisor (or designee) and will report his
(or her) time and attendance to his (or her) assigned (organization) timekeeper. The
(organization) supervisor (or designee) will in turn report the time and attendance and submit the
appropriate documentation to (assignee's name) DOE timekeeper. (Organization) will pay for
any travel it requires of (assignee's name) during this assignment. In addition, (organization)
will provide appropriate office space and support for (assignee's name), including
communications access, normal and proprietary materials storage, clerical support, office
equipment, and supplies.
This agreement may be terminated, with reasonable notice, at any time at the option of DOE or
(organization).
Four copies of Optional Form 69 are enclosed. If you concur in this agreement, please have the
official authorized to sign on behalf of (organization) sign all four forms. Please retain a copy of
the letter and Optional Form 69 for your files, and return three copies of the letter and the form to
(name of DOE's point of contact ) of my office. If you have any questions about the agreement
or this letter, please call (name of DOE's point of contact) at (phone number). DOE will provide
(assignee's name) with a completely executed copy of the letter and the form.
Sincerely,
(Head of DOE Element or Servicing Human
Resources Office)
Enclosures:
OF-69 (4)
Summary of Standards of Conduct Provisions (Appendix B of DOE M 321.1-1)
Block A:
(Name of Participation Organization) (Date)
Block B:
(Assignee) (Date)
cc: Assignee (with enclosures)
APPENDIX E
REQUIRED TRANSMITTAL
IPA DETAILS TO DOE
To be completed by DOE to transmit the Assignment Agreement (OF 69)
for individuals detailed to DOE
(Inside Address of
Participating Organization)
Dear ______________:
This letter and accompanying Optional Form 69, Assignment Agreement, constitute the written
record of the obligations and responsibilities of the U. S. Department of Energy (DOE), the
(participating organization) (hereafter referred to as "organization"), and (assignee's name)
regarding the Intergovernmental Personnel Act (IPA) assignment of (assignee's name).
Under this agreement, (assignee's name) will be assigned on detail from (organization) to DOE
for a period of (indicate period of assignment; e.g., 1 year), beginning (proposed effective date),
or when all parties have signed the agreement, whichever is later. (Assignee's name) will work
as a (title) under the supervision of (supervisor's name).
I have been assured that (assignee's name) will not be involved with ongoing or proposed
programs (include if statement is correct) supported by the Department with (name of permanent
employer). (Name of permanent employer) will not be precluded from consideration for
Department support on the basis of (assignee's name) assignment during or after the assignment
period. (Assignee's name) will be subject to the conflict of interest restrictions applicable to
DOE employees during his (or her) employment and upon separation from the Department.
OPTIONAL PARAGRAPH: (name of permanent employer) will not be held liable for
(assignee's name)'s actions while he/she is acting within the scope of his/her DOE assignment.
Patents or inventions developed or conceived by (assignee's name) during the period of his/her
assignment shall be administered in accordance with Department of Energy Acquisition
Regulation 952.227-71.
The (organization) will continue to pay (assignee's name) salary and fringe benefits (if
appropriate, add) and DOE will reimburse (indicate dollar amount or percent). (Assignee's
name) will request approval for leave from his (or her) DOE supervisor (or designee). In
addition, (assignee's name) will report his (or her) time and attendance to his (or her) assigned
DOE supervisor (or designee), who will in turn report the time and attendance and submit the
appropriate documentation to (name of permanent employer) timekeeper. DOE will pay for any
travel it requires of (assignee's name) related to per diem and travel expenses not to exceed the
cost of common carrier to and from the assignment in accordance with Federal and DOE travel
regulations and 5 United States Code 3375. (Assignee's name) will be reimbursed for official
DOE travel in accordance with Federal and DOE travel regulations. In addition, DOE will
provide appropriate office space and support for (assignee's name), including communications
access, normal and proprietary materials storage, clerical support, office equipment, and supplies.
This agreement may be terminated, with reasonable notice, at any time at the option of DOE or
(organization).
Four copies of Optional Form 69 are enclosed. If you concur in this agreement, please have the
official authorized to sign on behalf of (organization) sign all four forms. Please retain a copy of
the letter and Optional Form 69 for your files, and return three copies of the letter and the form to
(DOE's contact person) of my office. If you have any questions about the agreement or this
letter, please call (DOE's contact person) at (phone number). DOE will provide (assignee's
name) with a completely executed copy of the letter and the form..
Sincerely,
(Head of DOE Element or Servicing Human
Resources Office)
Enclosures:
OF-69 (4)
Summary of Standards of Conduct Provisions (Appendix B of DOE M 321.X-1)
SF-1034 (If DOE reimburses for assignment)
Block A:
(Signature - Participating Organization Official) (Date)
Block B:
(Signature - Assignee) (Date)
cc: Assignee (with enclosures) APPENDIX F
SAMPLE LETTER FROM PARTICIPATING ORGANIZATION
To be used by participating organization in certifying its employee's salary and other
information for completion of the Assignment Agreement prior to IPA detail to DOE
(DOE's Inside Address)
Dear :
This letter summarizes the terms and conditions under which (participating organization) agrees
to provide (assignee's name) services to the Department of Energy (DOE) according to the
provisions of the Intergovernmental Personnel Act (IPA) of 1970, as amended. (Assignee's
name) will be detailed to DOE for a period of (specify; e.g., 1 year), effective after all parties
have signed the Assignment Agreement, Optional Form 69.
We understand that (assignee's name) will serve as a (title of position, if applicable, and/or short
description of duties) in the (DOE organization), (city and state). (Assignee's name) will remain
an employee of (name of participating organization) during this assignment.
(Participating organization) will bill DOE for (indicate percent DOE will pay) of (assignee's
name) salary and fringe benefits, and (participating organization) will be responsible for
(indicate percent participating organization will pay). (Participating organization) will bill
DOE on a quarterly basis for (assignee's name) salary and benefits. DOE will reimburse
(assignee's name) as appropriate and specified in the Assignment Agreement, OF 69, for travel
and transportation expenses and per diem or relocation expenses.
It is understood that DOE will not reimburse (organization) for any unused leave balance at the
end of the IPA assignment at DOE. (Organization) will not be held liable for actions of
(assignee's name) while (he/she) is acting within the scope of (his/her) DOE assignment. If
applicable, patents or inventions developed or conceived by (assignee's name) during the period
of assignment must be administered in accordance with Federal Conflict-of-Interest Statutes,
Executive Branch rules, and DOE specific regulations and procedures.
Additional information is provided in the enclosure. If you have any questions or need additional
information, please contact (name and phone number of point of contact).
Sincerely,
(Name and Title)
cc: DOE Administrative Officer
Proposed Assignee, Name of Organization
(Enclosure) EMPLOYER CERTIFICATION
(INFORMATION FOR IPA ASSIGNMENT AGREEMENT)
Name of employee Social Security No. - -
Title Office phone no - -
Employer No. of years employed
Dates employed in continuous pay status with the current employer
(dd/mm/yy dd/mm/yy)
Current employment status:
Temporary ; Permanent ; effective date of present appointment (mm/dd/yy).
Home address:
Salary (indicate dates) This year $ from to
Next year (indicate dates) $ from to
Provide a percentage breakout on the following items based on the employee's salary:
Retirement. . . . . . . . . . . . . . . . . . . . . . . .($ ) %
FICA. . . . . . . . . . . . . . . . . . . . . . . . . . .($ ) %
Health and Life Insurance . . . . . . . . . . . . . . . .($ ) %
Workers' Comp . . . . . . . . . . . . . . . . . . . . . .($ ) %
Unemployment Comp . . . . . . . . . . . . . . . . . . . .($ ) %
Other benefits, specify below . . . . . . . . . . . . . .($ ) %
Total Fringe Benefits. . . . . . . . . . . . . . . . . . . ($ ) %
Name, title, and phone number of current supervisor
Vacation (annual leave) is accrued at the rate of days per year and sick leave at the rate
of days per year in accordance with the employing organization's policy.
Has the assignee been on a prior IPA assignment? No Yes If yes, indicate the dates
(dd/mm/yy dd/mm/yy): from to .
Name of organization(s) .
It is understood that the following applies during the IPA assignment period:
The employee will not perform duties for his or her current employer, except as specified in
the Assignment Agreement, Optional Form 69.
The employee cannot return to his or her home organization to perform research, unless
specified in the Assignment Agreement, and he or she will be subject to Federal and DOE
conflict-of-interest statutes, regulations, and procedures.
DOE will prepare a suitable agreement that will incorporate the points addressed above.
I certify that this information is accurate, including salary and benefits, and that the salary and
benefits have not been adjusted for purposes of this assignment. I further certify that the
employee was not assigned a different employment authority within the past 180 days for the sole
purpose of becoming an eligible participant in the IPA Assignment Program.
(Signature - authorizing official) (Date)
(Typed or printed name and title)
APPENDIX G
SAMPLE
ASSIGNMENT AGREEMENT (OF 69)
(INCOMING IPA ASSIGNMENT) APPENDIX H
SAMPLE
ASSIGNMENT AGREEMENT (OF 69)
(OUTGOING IPA ASSIGNMENT)
APPENDIX I
CHECKLIST FOR OPTIONAL FORM 69, ASSIGNMENT AGREEMENT
This checklist addresses major items in the OF 69 and should be used in conjunction with
DOE M 321.1-1, Intergovernmental Personnel Act (IPA) Assignments.
Part 2 Information on Participating Employee Block 5B
Attach OPM waiver if assignee is a Federal employee who has or will have over 6 years of
IPA service during his/her Federal career.
Ensure that initial IPA assignment is not over 2 years or is extended only up to an additional
2 years
Assignee returned to his or her employer for at least 12 months if he or she served 4
continuous years on an IPA assignment.
Part 3 Parties to the Agreement Block 7
Assignment is between DOE and one of the following:
State, local, or Native American tribal government
Institution of higher education
Federally Funded Research and Development Center (e.g., certain DOE laboratories)
"Other organization" whose eligibility was certified by the Director of Human Resources
Management with concurrence of the Office of the Assistant General Counsel for General
Law
Part 4 Employee Eligibility Blocks 13 and 14
The assignee is one of the following:
DOE Career, career conditional, career SES, or excepted service employee with
similar status who is serving on an appointment without time limitation.
Non-DOE Individual is serving on a permanent, career appointment and completed at
least 90 days of service prior to the effective date of this IPA assignment.
Part 5 Type of Assignment Block 20
Single assignment or extension is up to 2 years; total time under an IPA assignment does not
exceed 4 consecutive years (including all extensions) without at least a 12-month return to
duty.
Part 6 Reason for Mobility Assignment Block 21
Indicate: (1) reasons for the assignment, (2) how the work will benefit DOE and the
participating organization, and (3) how the assignee will be used after the assignment ends.
Part 7 Position Description Block 22
Assignee's experience and pay level are commensurate with the duties assigned. Otherwise,
explanation is provided based on information such as the following:
" is recognized as an "expert" sought out by peers, (or similar considerations).
He/she is uniquely qualified for this assignment because of his/her (indicate
assignee's special knowledge, skills, abilities, talents, and/or the unique capabilities,
experience, or achievements, which will have an important effect on the duties and
responsibilities of this position. For example (briefly specify).
His/her performance will broaden the nature and scope and effect of the work being
performed, and he/she is expected to make a continuing contribution to the
organizational mission, efficiency and economy, etc.
Add, if appropriate: The exceptional ability of the assignee may lead to the attraction
of , and he/she will be given special authority to speak for DOE and
commit the Department in .
If DOE employee, include the following statement:
(Name of employee) may not represent (name of the IPA assignment host
organization) to the Federal government, including DOE. Prohibited representation
includes any dealing with the Federal government in an adversary context; that is, any
contacts about a matter in which the Federal government and the (name of the IPA
assignment host organization) have inconsistent or potentially inconsistent interests.
Prohibited representation also includes any contacts regarding any funding issues.
Part 8 Employee Benefits (including rate of pay during assignment) Blocks 23, 24 & 25
In 23, indicate rate of pay. Note: DOE employee cannot receive less pay than he/she would
have otherwise received as a DOE employee. An incoming assignee detailed to a classified
position with a higher rate of pay than his/her permanent position may be entitled to
supplemental pay; see DOE M 321.1-1, Chapter I, Paragraph 14.
In 24, indicate annual pay adjustments, locality pay, within-grade-increase, if applicable, and
other increases that accrue to all employees of the organization.
In 25, indicate assignee continues coverage under the permanent employer's leave system;
leave will be approved by the host supervisor, and a designated official with host
organization will certify to the permanent organization, leave used, and hours worked. DOE
will not restore "use or lose" leave for its employees nor pay for unused leave for incoming
assignees. For example
Assignee will continue to earn leave in accordance with permanent employer's leave
system. Leave will be requested from and approved by the assignee's supervisor. On
a biweekly basis, the assignee's supervisor will certify time and attendance to the
permanent employer. If the host organization observes a holiday that is not observed
by the permanent employer, assignee may be excused from duty on that day without
charge to leave. DOE will not restore "use or lose leave" for its employees nor pay
for unused leave for incoming assignees.
Part 9 Fiscal Obligations Blocks 26 & 27 (indicate office where time and attendance
records should be sent and how often invoices will be transmitted (e.g, quarterly).
In 26, specify the costs DOE will pay. If DOE pays more than 50 percent of costs when
detailing a Federal employee, indicate the reasons (avoid broad statements such as "the
benefit to DOE justifies this arrangement" or "participating organization has had budget
cuts").
In 27, indicate the costs the participating organization will pay.
Ensure that a justification is provided if cost sharing is less than 15 percent. Generally, the
participating organization should share at least 15 percent of the costs, including assignee's
salary, supplemental pay, fringe benefits (health insurance, life insurance, and retirement),
travel and per diem at the assignment location, or relocation expenses.
Part 12 Travel and Transportation Expenses and Allowances Block 33
Specify travel expenses to be reimbursed limited to travel in connection with the IPA
assignment.
Specify which, if any, travel and transportation expenses "to and from" the IPA assignment
duty station will be paid by DOE and by the participating organization.
If per diem at the IPA assignment duty station is authorized, explain that the total amount
reimbursed to the assignee may not exceed the lower of (a) the relocation expenses that
would otherwise have been paid if the relocation allowance had been authorized, or
(b) 2 years of reduced per diem (or 1 year if applicable).
Below are examples of language for block 33:
DOE will reimburse assignee in accordance with the Federal Travel Regulation
(FTR) and Departmental travel policy for the following estimated travel expenses:
Travel expenses incurred while on official DOE travel (2 years)$ .
Relocation expenses including shipment of household goods up to 18,000
pounds, round-trip transportation and per diem of assignee and immediate
family, temporary storage of household goods, temporary quarters, and
relocation income tax allowance. . . . . . . . . . . . $ .
or
Per diem allowance of $ at the assignment location, reduced to $
while on official DOE travel away from the assignment location except when
on annual leave at permanent residence (Determine appropriate rates for
field locations; in the Washington, DC, Metropolitan Area, the current rates
are $45 and $36 per day, respectively). Also includes round-trip travel and
per diem for assignee to the DOE duty station, not to exceed the cost of
common carrier. ...... $
Specify that "In accordance with FTR 301-51, assignee will be provided a DOE travel card
and is required to use that card for all payments of official Federal travel expenses."
Inform assignee that per diem received for more than 1 year is taxable.
Inform assignee of his or her responsibility as a traveler.
Part 13 Applicability of Rules, Regulations and Policies
Outgoing assignments of DOE employees, check blocks A, B, C, D, and E and ensure that the
applicable information is explained/provided to the assignee before the IPA assignment
effective date.
Incoming IPA assignments with DOE, check blocks A, B, C, and D; ensure that the
applicable information is explained/provided to the assignee before the IPA assignment
effective date.
Part 14 Concurrences and Certification of Approving Officials
Obtain the following concurrences: Office of General Counsel, Office of Chief Financial
Officer, Servicing Human Resources Office.
Obtain all concurrences and approvals and have employee and approving officials at DOE and
the participating organization sign the OF 69 before the assignment begins.
Block 37: the employee agrees to the terms and conditions of the IPA assignment by signing
the OF 69 before the effective date.
Block 39: the participating organization approves the assignment and signs the OF 69
before the effective date.
Block 40: the Head of the DOE element or Executive Resources Board Chair, as
appropriate, approves the assignment, and the designated DOE official signs the OF 69
before the effective date.
Initiate appropriate security clearance process.
Other requirement: Prior to sending an employee on an assignment, the DOE supervisor must
ensure that the host supervisor issues standards/criteria on which the assignee will be evaluated.
This is done in accordance with the local performance appraisal system requirements for rating
DOE employees on assignment outside the Department. Similar procedures should be used to
evaluate incoming assignees. APPENDIX J
CHECKLIST - IPA ASSIGNMENT FILE
The following should be kept in the IPA assignment file:
Optional Form 69, Assignment Agreement
Record of the required concurrences (Human Resources Office, Assistant General Counsel
for General Law, Chief Financial Officer)
Conflict-of-Interest Certification (copy) - original to attorneys
Employer certification of employee benefits and employment status of assignee (provided by
HR or other responsible official of the employing organization)
Cost analysis of per diem vs. relocation expenses if either payment is authorized
Certification of "other organization," eligibility, if applicable APPENDIX K
OF 69, ASSIGNMENT AGREEMENT