Display Related Directives to this directive.
Display Reference Documents to this directive.

U.S. Department of Energy ORDER
Washington, D.C. DOE O 327.1

Approved: 5-15-03

This directive was reviewed and certified as current and necessary by James T. Campbell, Acting
Director, Office of Management, Budget and Evaluation/Acting Chief Financial Officer, 5-15-03.

SUBJECT: FURLOUGH OR REDUCTION IN FORCE IN THE SENIOR EXECUTIVE
SERVICE

1. OBJECTIVE. To establish requirements and assign responsibilities for furlough and
reduction in force (RIF) of the Senior Executive Service (SES) in the Department of
Energy (DOE) and the National Nuclear Security Administration (NNSA).

2. CANCELLATIONS. DOE 3350.1, Furlough in the Senior Executive Service, dated
9-13-82, and DOE 3351.2, Reduction in Force in the Senior Executive Service, dated
11-27-81.

3. APPLICABILITY.

a. DOE Elements. This Order applies to DOE employees in the SES, including
those within NNSA (see Attachment 1).

b. Contractors. This Order does not apply to contractors.

4. REQUIREMENTS.

a. Furloughs.

(1) Furloughs of 30 or Fewer Calendar Days (22 or Fewer Workdays if
Furlough Does Not Cover Consecutive Days).

(a) Selection of which SES member(s) must be furloughed will be
based on sound management reasons that relate to lack of work or
funds or other work interruptions beyond DOE control.

(b) Determination of who will be furloughed and length of such
furlough will be made by the Secretary or chairman of the
Executive Personnel Board.

(c) Appointees chosen for furlough are entitled to a written notice
30 calendar days in advance of the effective date of the furlough.
The full notice period may be waived only in the event of
unforeseeable circumstances such as the failure of Congress to pass
a continuing budget resolution. The written notice must advise the
appointee of the

1 reason for the furlough action;

2 expected duration of the furlough and effective dates;

3 basis for selecting the appointee for furlough when some
but not all of the SES appointees in a given organizational
unit are being furloughed;

4 reason, if the notice period is less than 30 calendar days;

5 place where the appointee may inspect the regulations and
records pertinent to the action; and

6 appeal rights to the Merit Systems Protection Board
(MSPB), including the time limit for an appeal and the
location of the MSPB office to which an appeal should be
sent.

(2) Furloughs Over 30 Calendar Days (Over 22 Workdays if Furlough Does
Not Cover Consecutive Days).

(a) Determination that SES furloughs of over 30 calendar days or over
22 workdays are necessary to enable DOE to meet prescribed
budget levels, or for other appropriate reasons, must be made by
the Secretary as the Chairman of the DOE Executive Resources
Board (ERB). The determination will include the competitive area
affected and the number of appointees to be furloughed.

(b) Competition. Appointees will be selected for furlough on the basis
of retention competition. Within their respective competitive
areas, employees will be released for furlough in ascending order
as they appear on the retention register.

(c) Retention Register. A list of all career appointees within a
competitive area, by group and subgroup, will be prepared to
determine who will be retained and who will be furloughed.
Appointees will compete for retention by virtue of their
performance rating, tenure, and length of creditable service.

1 Group I. All career and probationary appointees with
"exceeds expectations" performance ratings.

a Subgroup A. Career appointees listed in descending
order of service computation dates.

b Subgroup B. Probationary appointees listed in
descending order of service computation dates.

2 Group II. All career and probationary appointees with
"meets expectations" performance ratings.

a Subgroup A. Career appointees listed in descending
order of service computation dates.

b Subgroup B. Probationary appointees listed in
descending order of service computation dates.

3 Group III. All career and probationary appointees with
"needs improvement" performance ratings.

a Subgroup A. Career appointees listed in descending
order of service computation dates.

b Subgroup B. Probationary appointees listed in
descending order of service computation dates.

4 Group IV. All career and probationary appointees with
"fails to meet" ratings.

a Subgroup A. Career appointees listed in descending
order of service computation dates.

b Subgroup B. Probationary appointees listed in
descending order of service computation dates.

(d) Discretionary Exception. The ERB may alter the general order of
release for furlough to continue an appointee in a duty and pay
status when the appointee's duties are such that they cannot be
interrupted at the time of furlough. Appointees who perform
phase-down work which is necessitated by an imminent threat to
the safety of human life or the protection of property in the absence
of appropriations may similarly be excepted from furlough and will
be considered to be in a delayed pay and duty status; that is, they
remain in duty status to accomplish the closedown of their
activities, but are not paid for those services until a new continuing
resolution or appropriation legislation is passed.

(e) Return from Furlough. When DOE recalls appointees to duty in
the same competitive area from which they were furloughed, it
normally will recall them in the order of their retention standing,
beginning with the highest-standing employee, if all are not
recalled to duty at the same time. An exception may be made to
provide appropriate supervision, if preparation for resumption of
operations requires that certain individuals be recalled out of order.

(3) Noncareer, limited term, limited emergency, and reemployed annuitant
appointees serve at the pleasure of the appointing authority and may be
furloughed at any time without regard to competitive selection procedures.
The appointee should be given a written notice, delivered at least 1 day
prior to the beginning of the furlough. The notice should indicate the
reasons for, duration of, and effective dates of the furlough. Noncareer,
limited appointees, and reemployed annuitants cannot appeal a furlough to
MSPB.

(4) Entitlement Under Furlough.

(a) Annual Leave.

1 Appointees cannot elect to use paid leave during a furlough.

2 Accrued annual leave granted prior to furlough may be
completed consistent with governing DOE leave policies.

a An employee who is on annual leave that was
approved and begun prior to the effective date of the
furlough will be placed on furlough automatically
when the approved period of leave expires.

b An employee who is on emergency annual leave on
the day preceding the effective date of the furlough
will be placed on furlough automatically on the
effective date of the furlough.

c Any leave that had been approved, but which had
not begun as of the effective date of the furlough,
will be canceled.

3 Leave may not be granted during a furlough or upon
selection of an appointee to be furloughed.

(b) Sick Leave.

1 Paid leave cannot be granted for an illness that occurs
during a furlough.

2 Paid leave may be granted for an illness that began prior to
a furlough, to the extent of the appointee's accrued leave
and to the extent the appointee remains sick.

3 If annual or compensatory time is being used in lieu of sick
leave, the employee will be placed on furlough
automatically when he or she recovers.

1 Employees do not accrue annual or sick leave if they are
furloughed for one or more entire pay periods; for example,
if an employee is furloughed for all 10 workdays in pay
period 4, no leave is earned for that pay period.

2 If employees are furloughed for an entire pay period and the
furlough extends into part of the preceding or subsequent
pay period, leave is earned on a pro rata basis for that
previous and/or subsequent pay period. For example, if an
employee is furloughed for the last 2 days of pay period 4
and the entire pay period 5, no leave is earned for pay
period 5, but for pay period 4, the employee earns 80
percent of normal sick and annual leave accrual
(10 workdays in a pay status equal 100 percent leave
accrual; 8 workdays in a pay status equal 80 percent leave
accrual).

3 If the duration of a furlough is less than one full continuous
pay period, full leave is earned for the affected pay
period(s), rather than on a pro rata basis. For example, if an
employee is furloughed for the last 5 days of pay period 4
and the first 5 days of pay period 5, there is no reduction of
leave accrual by reason of furlough for either pay period.

4 If an employee's aggregate furlough time totals the hours in
one pay period (i.e., an aggregate of 80 hours during a leave
year in a nonpay status), his or her sick leave credit is
reduced by one-half day and his or her annual leave credit
is reduced by either one-half, three-fourths, or a full day,
depending on the individual's leave-earning category. For
purposes of determining reduction in leave credits, the only
hours counted toward the 80-hour aggregate will be those
in a nonpay status for each pay period of service during the
leave year in which annual leave accrued. For example, an
employee who normally earns 6 hours of annual leave and
4 hours of sick leave per pay period and is initially
furloughed for 4 days (32 hours) in one pay period and
5 days (40 hours) in the next pay period is credited with
6 hours of annual leave and 4 hours of sick leave for each
of these two pay periods. If the employee is then
furloughed for as much as 1 day (8 hours) in the next pay
period, the aggregate time in a nonpay status would total or
exceed 80 hours and a deduction would be made from the
employee's leave balance for that period of three-fourths of
a day of annual leave (6 hours) and one-half day (4 hours)
of sick leave.

(d) Service Credit. For retirement, leave, RIF, and severance pay, up
to 6 months in the aggregate in any calendar year in a nonpay status
is creditable.

(e) Probationary Period. Absence in nonpay status during periods of
furlough is creditable for up to a total of 22 workdays toward the
fulfillment of the 1-year SES probationary period. Any nonpay
time in excess of the total of 22 workdays will extend the 1-year
period of SES probation by an equal amount. For example, if an
employee's 1-year probationary period would normally end on
July 12 and he or she accumulated 24 days in a nonpay status, the
probationary period ending date would be extended to July 14.

(f) Unemployment Compensation. Depending upon laws of the State
in which the appointee is employed, unemployment compensation
is usually payable for each week in which income paid by the
Government does not exceed that state's prescribed ceiling or
percentage. Normally 5 consecutive days in nonpay status is
qualifying.

(g) Retirement.

1 Consecutive Furlough. No withholdings will be taken
while the appointee is in nonpay status for up to 12 months.
Service credit will be given for time spent in a nonpay
status that does not exceed 6 months in the aggregate in any
calendar year. However, if withholding deposits are not
made to cover this period of service, the annuity otherwise
payable is reduced by an amount equal to 10 percent of the
balance due and unpaid, unless the employee elects to
eliminate the service credited during nonpay status entirely
for annuity computation purposes.

2 Discontinuous Furlough. Contributions are adjusted each
pay period in proportion to the basic salary received.

(h) Life Insurance.

1 Consecutive Furlough. Coverage continues without cost
while the appointee is in a nonpay status for up to
12 months.

2 Discontinuous Furlough. Coverage continues and the
balance of the appointee's pay during a pay period (after
deduction for retirement, Federal income tax, and health
benefits) is applied toward the appointee's withholding for
life insurance.

(i) Health Benefits.

1 Enrollment continues for up to 365 days of nonpay status
(or periods of nonpay status interrupted by less than an
aggregate of 4 months of pay status).

2 The enrollee is responsible for payment of his or her share
of the cost of health insurance for each pay period during
which the health insurance continues. If the employee's
available salary in any pay period is insufficient to cover
the full employee share, the employee is still responsible
for paying the full amount due. If the employee does not
make payments to DOE during nonpay status, he or she will
be subject to withholdings from future salary upon return to
duty to cover the amount due as an indebtedness to the
Government. If the indebtedness cannot be withheld in full
from salary, it may be recovered from a lump sum payment
of accrued annual leave or other sources available to DOE
for recovery of an indebtedness due the United States.

3 Employees may only avoid the requirement to pay their
share of health benefits insurance by canceling the
insurance prospectively.

b. Reductions in Force.

(1) Placement. Before formal RIF procedures are initiated, DOE will make a
concerted effort to place employees who occupy surplus positions by
means of directed reassignment to vacant SES positions or other
appropriate action.

(2) Equitable Treatment. If a RIF becomes necessary, appointees of surplus
positions and displaced appointees must be informed at the earliest
possible time and advised of the regulations under which the RIF action is
being taken and their rights and benefits. All members must be accorded
fair and equitable treatment, consistent with governing regulations and
Departmental procedures.

(3) General Schedule Reinstatement. For career appointees of surplus
positions and career appointees displaced by someone of higher retention
standing for whom no SES vacancies exist for which they are qualified,
offers to exercise any reinstatement eligibility to a General Schedule
vacancy must be extended, as feasible, to afford eligible career appointees
the same opportunities extended by statute to eligible probationary
appointees.

(4) Proposal. To ensure coordination with interested organizations and
compliance with applicable laws, regulations, and directives, an
organization anticipating a surplus of encumbered SES positions must
submit a written request to the attention of the Executive Resources
Management Division of the Office of Human Resources Management as
far in advance of the anticipated effective date as possible. The following
specific information must be included in proposal requests:

(a) specific reason(s) for the RIF (e.g., reorganization, abolishment of
functions, etc.);

(b) number of positions affected, number and names of incumbents
affected, and specific internal reassignment action proposed for
each affected appointee; and

(c) names of persons for whom proposed reassignment offers were not
available or accepted and who, therefore, must be placed using
formal RIF procedures.

(5) Review. The Executive Resources Management Division will review the
proposals and ensure that all appropriate reassignments within the
organization have been implemented prior to initiating any formal RIF or
alternative action. The Executive Resources Management Division will
identify vacant SES positions outside of the organization having the
surplus for which the incumbents of the surplus positions are qualified and
will provide a staff analysis upon which a decision can be based and
approval given for placement action as appropriate. The analysis will
incorporate the organizational request and supporting data and assess the
appropriateness of a formal RIF when proposed placement offers are
unavailable or not accepted.

(6) Approval. The Secretary as chairperson of the Departmental ERB, will
render a final decision on the need for all RIFs affecting SES appointees in
DOE, including specific directed reassignments or placement offers prior
to a formal RIF.

(7) Implementation of a Formal RIF. Career and probationary appointees who
occupy surplus positions and have not been placed by directed
reassignment into vacant SES positions will be subject to a formal RIF,
conducted on the basis of retention competition. The Executive Resources
Management Division staff, upon DOE ERB determination of a RIF
situation, will prepare a retention register and provide staff support for the
formal implementation process.

(a) Retention Register. Career and probationary appointees who
occupy surplus positions are entitled to compete for job retention.
A list, called a retention register, will be compiled of the
incumbents of all SES positions within DOE for which the
incumbent of the surplus position is qualified. These persons,
along with the incumbent of the surplus position, will be listed on
the retention register in accordance with the retention groups and
subgroups defined under paragraph 4b(7)(b).

(b) Retention Standing. Persons on the retention register are listed by
group and subgroup, with performance given primary
consideration. Employees with unacceptable performance ratings
are not listed on the retention register and must be removed for
unacceptable performance prior to the removal of any other
employee under RIF action.

1 Group I. All career and probationary appointees with
"exceeds expectations" performance ratings or no ratings.

a Subgroup A. Career appointees listed in descending
order of service computation dates.

b Subgroup B. Probationary appointees listed in
descending order of service computation dates.

2 Group II. All career and probationary appointees with
"meets expectations" performance ratings or no ratings.

a Subgroup A. Career appointees listed in descending
order of service computation dates.

b Subgroup B. Probationary appointees listed in
descending order of service computation dates.

3 Group III. All career and probationary appointees with
"needs improvement" performance ratings.

a Subgroup A. Career appointees listed in descending
order of service computation dates.

b Subgroup B. Probationary appointees listed in
descending order of service computation dates.

(c) Displacement and Consequence of Competition. If appointees who
are in a lower retention subgroup, as determined through the
competitive process, occupy positions for which the surplus
appointee is qualified, the appointee of the surplus position will
displace take over the position of the appointee with the lowest
retention standing. If no appointees who have a lower retention
standing are in such positions, there is no displacement and the
appointee of the surplus position is given an opportunity to
exercise any assignment right, is certified to the Office of
Personnel Management (OPM) for placement assistance, or may be
offered an opportunity to exercise reinstatement eligibility to a
vacant position in the General Schedule. The displaced appointee
may in turn displace anyone on a subsequent retention register who
is in a lower retention subgroup and who occupies a position for
which the displaced appointee is qualified. If there are no such
appointees, the displaced appointee is given the same assignment
and placement opportunities as applicable and as cited in this
paragraph for the surplus employee. No displacement will be
effected until the DOE ERB or the Secretary approves the technical
qualifications of the surplus appointee for the position in which he
or she is displacing another appointee. Such approval must be
based on input from the gaining supervisor and the staff
recommendation of the Executive Resources Management
Division.

(d) Assignment Rights.

1 SES career appointees who can displace other appointees
through the formal RIF process may be offered vacant SES
positions in DOE for which they meet the technical
qualifications. If there are fewer vacancies than appointees
with assignment rights, the appointee with the highest
retention standing will be entitled to the first vacancy offer.
If, for example, four vacant positions exist and there are
five appointees with assignment rights qualified for such
vacancies, the appointee with the lowest retention standing
would not receive an SES assignment if the other four were
reassigned. The Secretary will determine the placement to
be made for those appointees with assignment rights.

2 SES probationary appointees who are removed from their
positions because of a RIF are not entitled to further
placement consideration for SES positions. Such
employees who were appointed to the SES from a civil
service position held under a career or career-conditional or
equivalent tenure appointment are entitled to be placed in a
continuing civil service position at grade GS-15 or above of
the General Schedule as long as such placement would not
cause the separation or reduction in grade of any other
employee. The probationary employee so placed is entitled
to receive basic pay at the highest of the following rates of
basic pay (the payable rate is the legal rate of basic pay):

a the rate of basic pay in effect for the General
Schedule position in which placed,

b the rate of basic pay in effect at the time of the
placement for the civil service position held
immediately before being appointed to the SES, or

c the rate of basic pay in effect for the probationary
appointee immediately before being placed in the
General Schedule position upon separation from the
SES.

(e) Departmental Certification. If DOE is unable to place a RIFed
career appointee in a vacant SES position for which he or she is
qualified, this fact must be certified in writing to the OPM Director
under the signature of the Secretary.

(f) OPM Placement Offer. OPM has 45 calendar days from the date
the Agency certifies receipt of the appointee's application for
assistance to locate and offer an SES vacancy somewhere in the
Federal Government to the RIFed career appointee. RIFed career
appointees remain on Departmental rolls during this process.

(g) Separation.

1 Probationary appointees are considered involuntarily
separated from Departmental rolls and entitled to
discontinued service annuities [provided they meet the
eligibility requirements of Title 5 Code of Federal
Regulations (CFR), part 831] when

a they decline an offer of reassignment to another
SES position in the Department that is outside of
the commuting area or

b they decline an offer of a continuing GS-15 position
in the Department upon separation from the SES or

c they resign upon receiving a specific notice that
their position will be abolished and that they face
involuntary separation from such position.

2 Career appointees are considered involuntarily separated
from Departmental rolls and entitled to discontinued
service annuities (provided they meet the eligibility
requirements of 5 CFR 831) when

a they decline an offer of reassignment or fail to
accept a directed reassignment to another SES
position in the Department that is outside of the
commuting area or

b they decline a reasonable offer of another SES
position somewhere in the Federal Government
made by OPM or

c they are not placed by OPM in an SES position in
another Agency within 45 days after OPM received
written certification that DOE could not place them
or

d they resign upon receiving a specific notice that they
face involuntary separation from their position
because of job abolishment or from the Federal
service for nondisciplinary reasons.

3 Appointees who refuse a directed reassignment in the
Department within their commuting area are removed from
the Department under 5 U.S.C. 7543(a) for failure to accept
the reassignment. Such removal is considered a voluntary
separation and does not qualify as a basis for discontinued
service retirement.

4 If noncareer and limited appointees and reemployed
annuitants occupy positions that are due to be abolished,
they may be removed at any time from the SES and the
Department. They have no entitlement to placement in any
other position in the Department except in instances of
entitlement to "fallback" rights.

(h) Appointees with Unsatisfactory Performance Ratings.

1 While career appointees with current unsatisfactory
performance ratings may be separated from the SES at any
time by reason of unacceptable performance, once such
appointees are identified as occupying a surplus position
they must be removed before any other SES appointee is
removed in the RIF action.

2 Career appointees who are separated from the SES for
unacceptable performance at the time of a RIF are entitled
to an offer of a continuing position at GS-15 or above of
the General Schedule, or an equivalent position, as long as
the placement would not cause the separation or reduction
in grade of any other employee.

3 If placement cannot be effected or if the appointee declines
a placement offer, the affected appointee will be separated
from the Department. Such separation is considered
involuntary for purposes of discontinued service retirement
annuities.

4 Guidance on separations from the SES for unacceptable
performance is provided by the Department's Senior
Executive Service Performance Management Plan.

(8) Notice.

(a) Removal of Noncareer and Limited Appointees and Reemployed
Annuitants. Written notice of termination of appointment because
the position the appointee occupies has become surplus will be
issued to the appointee as soon as feasible in advance of the
effective date of the action.

(b) Removal of Probationary Appointees. Probationary appointees
will receive written notification of their separation from the SES,
removal from the Department including NNSA, or offer of a
GS-15 position, as appropriate, 30 calendar days in advance of the
effective date of the action to be taken, where feasible.

(c) Removal for Unacceptable Performance. Career appointees who
are removed for unacceptable performance are entitled to
30 calendar days' advance written notification; probationary
appointees who are removed for unacceptable performance will be
notified in writing prior to the effective date of the removal.

(d) Directed Reassignment. Career and probationary appointees are
entitled to written notice of a directed reassignment 15 calendar
days in advance.

(e) Removal for Failure to Accept a Directed Reassignment. Career
and probationary appointees who were appointed from a civil
service career, career-conditional, or equivalent tenure appointment
who are removed for failure to accept a directed reassignment are
entitled to 30 calendar days' written notice in advance of the
effective date of such removal. Content of the notice and
employees' rights are defined in 5 CFR 752.

(f) Removal of Career Appointees. A career appointee who is
removed from his or her SES position by a RIF and who cannot be
placed in another SES position in the Department will be given a
written notice in advance of Departmental certification to OPM.
The notice will specify

1 the nature of the RIF competition, including the appointee's
standing on the retention register;

2 why the action is being taken;

3 the place where the appointee may inspect the regulations
and records pertinent to the competition for the job
retention;

4 efforts made to place the employee in a vacant SES position
within the Agency;

5 any placement rights following separation from the SES;

6 the date on which the Agency certified the appointee to
OPM for placement assistance;

7 information about OPM's placement assistance program,
including what the appointee has to do to apply;

8 the name and telephone number of the personnel specialist
who is available to provide counseling concerning the
appointee's rights; and

9 the appointee's appeal rights, including the time limit for
the appeal, the location of the MSPB office to which any
appeal should be sent, a copy of the applicable MSPB
regulations, and an appeals form.

(9) Reemployment Entitlement. Career appointees who could not be placed
by DOE or OPM are entitled to be selected for the first announced vacancy
in the Department for which they apply and are found qualified. This
entitlement is for 1 year, beginning with the date of DOE certification to
OPM and ending with either their first such SES offer by DOE or the
anniversary of the date of certification to OPM, whichever is earlier.

c. Appeals to the Merit Systems Protection Board.

(1) Career appointees who believe the regulations or Departmental procedures
governing SES furloughs have not been correctly applied may appeal to
the MSPB within 20 calendar days of the effective date of the furlough
action. Appeal rights apply to both short and extended furloughs.

(2) All career appointees are entitled to appeal

(a) alleged procedural error by the Department in implementing the
RIF under Title 5 United States Code (U.S.C.), section 3593(c)(1);

(b) reasonableness of the OPM offer under 5 U.S.C. 3593(c)(1);

(d) lack of reasonable placement effort by OPM under 5 U.S.C.
3593(c)(3); or

(e) removal for declining directed reassignment under 5 U.S.C. 7543.

(3) Noncareer and limited appointees and reemployed annuitants have no right
of appeal for separation from the SES or the Department prior to or during
a RIF.

(4) Probationary appointees are entitled to appeal

(a) competitive RIF procedures under 5 U.S.C. 3593(c)(1) and

(b) removal for declining a directed reassignment under 5 U.S.C.
7543, as applicable.

5. RESPONSIBILITIES.

a. Secretary of Energy, as Chairperson of the Executive Resources Board.

(1) Approves the need for a furlough or RIF in the SES.

(2) Approves furlough actions for SES appointees.

(3) Approves placement offers or separation actions for surplus and displaced
appointees.

b. Director of Management, Budget, and Evaluation and Deputy Administrator,
NNSA. Ensure that Departmental furloughs and RIFs in the SES are carried out
in accordance with governing regulations and Departmental policies and
procedures.

c. Director for Human Resource Management and NNSA Personnel Officers.

(1) Develop, promulgate, and implement DOE procedures for implementing a
furlough or RIF in the SES and related personnel functions, consistent
with appropriate laws and regulations.

(2) Maintain liaison with OPM.

(3) Review plans to conduct a furlough or RIF in the SES, provide staff advice
and recommendations, and provide technical support for program
implementation.

(4) Ensure that furlough records are maintained for at least 1 year from the
effective date of the action.

d. Heads of Headquarters Elements, including NNSA.

(1) Provide requests for personnel action and appropriate data in support of
furlough actions affecting subordinate SES appointees.

(2) Identify which SES positions will become surplus because of program
curtailments, reduction in monetary or manpower allocations, or any other
causes which will result in a reduction in the size of their SES workforce
and initiate appropriate action.

(3) Recommend placement actions within their organizations for surplus SES
appointees.

(4) Provide requests for personnel action and appropriate data in support of
RIF actions affecting subordinate SES appointees.

6. REFERENCES.

a. Title 5 CFR, part 359, contains regulatory authority and procedural requirements
for removal from the SES.

b. Title 5 CFR, part 752, provides adverse action regulations for removal for cause,
including failure to accept a directed reassignment.

c. Title 5 CFR, parts 1200 through 1201, provides regulations and procedures for
appeal to the MSPB.

d. Title 5 U.S.C., part 3595, provides the statutory basis for a furlough or RIF in the
Senior Executive Service.

e. DOE 3351.1, Reduction in Force, provides procedures governing a RIF affecting
positions at GS-15 and below or equivalent.

7. CONTACT. Questions concerning this Order should be addressed to the Office of
Human Resources Management, Executive Resources Management Division, at
202-586-8450.

8. DEFINITIONS.

a. Appointee. Any member of the SES regardless of whether under a career,
noncareer, limited term or limited emergency appointment or a reemployed
annuitant.

b. Career Appointee. For the purposes of this directive only, a career member of the
SES who is not serving the 1-year probationary period and who is not serving as a
reemployed annuitant.

c. Competitive Area. For purposes of selection for furlough or RIF in the SES, the
organizational and geographical area within which career and probationary
appointees compete is Department-wide.

d. Directed Reassignment. A management decision, by the Secretary, as Chairman
of the DOE Executive Resources Board, to reassign a career or probationary
appointee to another SES position anywhere within the Department (inside or
outside of the commuting area). Failure to accept a directed reassignment will
result in separation from the Federal Service.

e. Furlough. Placing an appointee temporarily in a nonpay, nonduty status because
of lack of work or funds or other nondisciplinary reason when the Department
intends to recall the appointee to a pay and duty status within 1 year.

f. Offer. A proposal made to an appointee requesting that he or she consider
placement in another position. Failure to accept an offer will not alter an
appointee's employment status.

g. Performance Rating. The current official SES performance rating as reviewed by
the Performance Review Board and approved by the Secretary of Energy. Those
who have never received an SES performance rating are presumed to be "fully
successful," or "meets expectations."

h. Probationary Appointee. A career member of the SES, other than a reemployed
annuitant, who has not completed the 1-year probationary period.

i. Reduction in Force. The release of an SES career or SES probationary appointee
who has been displaced by a career or probationary appointee in a surplus SES
position who has a higher retention standing, or the release of an SES career or
SES probationary appointee from a surplus SES position when such appointee has
the lowest retention standing of those occupying SES positions for which he or
she is qualified.

j. Reemployed Annuitant. An annuitant receiving annuity from the Civil Service
Retirement and Disability Fund who, having completed any required probationary
period to acquire SES career appointment status, is reemployed in the SES. An
annuitant so reemployed serves at the will of the appointing authority.

k. Senior Executive Service Position. A position in the executive branch that is
classified above GS-15, or is in level IV or V of the Executive Schedule, which is
not required to be filled by Presidential appointment with Senate confirmation and
meets the following criteria (Administrative Law Judges, members of the Board
of Contract Appeals, and selective excepted service positions in the Department,
including NNSA, are excluded):

(1) directs the work of an organizational unit;

(2) is held accountable for the success of one or more specific programs or
projects;

(3) monitors progress toward organizational goals and periodically evaluates
and makes appropriate adjustments to such goals;

(4) supervises the work of employees other than personal assistants; or

(5) otherwise exercises important policy-making, policy-determining, or other
executive functions.

l. Service Computation Date. As used in this directive, the date used to identify an
appointee's total creditable civilian and military service for retention standing in
furlough or RIF competition. In DOE, creditable service for RIF is determined in
Title 5 regulatory requirements.

m. Surplus Position. An SES position that becomes surplus to the needs of an
organization and is abolished due to any of the following reasons:

(1) lack of work or curtailment of a function,

(2) shortage of funds,

(3) reorganization,

(4) determination that the appointee's position no longer meets the definition
for an SES position because of a change in duties or responsibilities,

(5) OPM withdrawal of SES spaces,

(6) total Agency shutdown, or

(7) other action which results in the elimination or modification of one or
more SES positions.

BY ORDER OF THE SECRETARY OF ENERGY:

KYLE E. MCSLARROW
Deputy Secretary DOE ORGANIZATIONS TO WHICH DOE O 327.1 IS APPLICABLE

Office of the Secretary
Chief Information Officer
Office of Civilian Radioactive Waste Management
Office of Congressional and Intergovernmental Affairs
Office of Counterintelligence
Departmental Representative to the Defense Nuclear Facilities Safety Board
Office of Economic Impact and Diversity
Office of Energy Efficiency and Renewable Energy
Energy Information Administration
Office of Environment, Safety and Health
Office of Environmental Management
Office of Fossil Energy
Office of General Counsel
Office of Hearings and Appeals
Office of Independent Oversight and Performance Assurance
Office of Intelligence
Office of Management, Budget and Evaluation and Chief Financial Officer
National Nuclear Security Administration
Office of Nuclear Energy, Science and Technology
Office of Policy and International Affairs
Office of Public Affairs
Office of Science
Secretary of Energy Advisory Board
Office of Security
Office of Worker and Community Transition
Office of Energy Assurance
Bonneville Power Administration
Southeastern Power Administration
Southwestern Power Administration
Western Area Power Administration

PLACEMENT RIGHTS OF SES PROBATIONARY APPOINTEES

PROBATIONARY APPOINTEE
WHO

PRIOR TO
FORMAL RIF

OCCUPIES A SURPLUS POSITION

May elect discontinued service retirement because of facing
involuntary separation from SES position. 5 CFR 831

*Is placed in a vacant SES position by directed reassignment.
5 U.S.C. 3595 (b)(3)(A)

DURING A
FORMAL RIF

If not reassigned prior to RIF:

Competes for job retention and displaces the appointee with
the lowest retention standing of those who occupy a position
for which technically qualified. 5 U.S.C. 3595 (a)

If nobody has a lower retention standing, is entitled to fall
back to grade 15 vacant position in the General Schedule (if
came into the SES from a competitive civil service position).
5 U.S.C. 3594

If no GS-15 vacancies exist for which qualified or does not
have fallback entitlement, is involuntarily separated from the
DOE rolls. 5 U.S.C. 3592 (eligible for discontinued service
retirement 5 CFR 831)

and

Has no further placement entitlement.

IS DISPLACED BY AN APPOINTEE OF HIGHER
RETENTION STANDING IN RIF COMPETITION

May elect discontinued service retirement because of facing
involuntary separation from SES position. 5 CFR 831

Competes for job retention and displaces the appointee with
the lowest retention standing of those who occupy a position
for which technically qualified. 5 U.S.C. 3595 (a)

If nobody has a lower retention standing, is entitled to
fallback to grade 15 vacant position in the General Schedule
(if came into the SES from a competitive civil service
position). 5 U.S.C. 3594

and

Has no further placement entitlement.

*Departmental determination to extend this provision is not guaranteed by statute.

PLACEMENT RIGHTS OF SES CAREER APPOINTEES
(Who Have Completed or Were Not Subject to Probation)

CAREER APPOINTEE
WHO

Placement within DOE,
including NNSA:
PRIOR TO
FORMAL RIF

OCCUPIES A SURPLUS POSITION

May elect discontinued service retirement
because of facing involuntary separation
from SES position. 5 CFR 831

Is placed in a vacant SES position by
directed reassignment. 5 U.S.C. 3595
(b)(3)(A)

DURING A
FORMAL RIF

If no vacancies exist for which qualified,
competes for job retention and displaces the
appointee with the lowest retention standing
of those who occupy a position for which
technically qualified. 5 U.S.C. 3595(a)

*If nobody has a lower retention standing, is
offered an opportunity to exercise
reinstatement eligibility to a General
Schedule position, as feasible, within the
Department.

IS DISPLACED BY AN APPOINTEE OF
HIGHER RETENTION STANDING IN RIF
COMPETITION

May elect discontinued service retirement
because of facing involuntary separation
from SES position. 5 CFR 831

Is placed in a vacant SES position by
directed reassignment. 5 U.S.C. 3595
(b)(3)(A)

*If nobody has a lower retention standing, is
offered an opportunity to exercise
reinstatement eligibility to a General
Schedule position, as feasible, within the
Department.

Placement outside DOE,
including NNSA:

If not placed in an SES position or
reinstatement to a General Schedule position
is not effected, certified to OPM for 120-day
search for SES position in another Agency
(during which time remains on DOE rolls).
5 U.S.C. 3595(b)(3)(B)

Offered an SES position in another Agency.
5 U.S.C. 3395(b)(3)(B)

If OPM offer is not made or accepted, the
appointee is involuntarily separated from
DOE rolls. 5 U.S.C. 3595(b)(4) (eligible for
discontinued service retirement 5 CFR 831)

If not placed in an SES position or
reinstatement to a General Schedule is
position is not effected, is certified to OPM
for 120-day search for SES position in
another Agency (during which time remains
on DOE rolls). 5 U.S.C. 3595(b)(3)(B)

Offered an SES position in another Agency.
5 U.S.C. 3395(b)(3)(B)

If OPM offer is not made or accepted, the
appointee is involuntarily separated from
DOE rolls. 5 U.S.C. 3595(b)(4) (eligible for
discontinued service retirement 5 CFR 831)

*Departmental determination to extend this provision is not guaranteed by statute.