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U.S. Department of Energy

Implementation of Safety Performance Elements and Standards

for Federal Employees

**[Frequently Asked Questions]{.underline}**

**[Minimum Implementation Requirements]{.underline}**:

-   **[All]{.underline}** Department of Energy (DOE) federal employees
    will have a critical safety performance element/standard included in
    their **FY07** individual performance plan.

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-   Rating officials will communicate the safety performance
    expectations to employees and provide a written copy of the
    appropriate safety performance standard.

-   Signature blocks for the rating official and the employee will be
    included on the safety performance standard.

-   Upon receipt, the employee will sign and date the safety performance
    standard.

-   The following statement will be included with written safety
    standards provided to the employee:

> [Employee -- I understand that my signature on this individual element
> indicates only that I have reviewed the element. I understand that
> failure to sign this performance element does not affect its
> validity.]{.mark}

-   The appropriate standard [must]{.underline} be
    [included]{.underline} in every employee's performance plan no later
    than the first FY07 performance appraisal progress review. For most
    employees, the initial progress review is held during the
    March-April timeframe.

**[Definitions]{.underline}**

**SES Line Managers:**

Have broad oversight responsibilities for safety programs which include
responsibility for the health and safety of employees in the
organization/site. (e.g. Site Managers, Leaders who supervises line
managers who execute safety responsibilities.)

**Line Managers Who Execute Safety Responsibilities:**

Have active, regular and recurring safety execution responsibilities at
the SES or General Schedule (GS) level. (e.g. Laboratory Site Office
Directors, Safety Officers)

**Federal Employees Who Execute Safety Responsibilities:**

Have active, regular and recurring safety execution responsibilities at
the General Schedule (GS) or Wage Grade (WG) level. (e.g. Power
Marketing Administrations linemen)

**SES or Managers in Support Positions:**

Provide administrative, management, and oversight support to DOE
programs and offices. These individuals do not execute safety
responsibilities. (e.g. General Counsel, Human Capital Management)

**All Other Federal Employees:**

Provide support to DOE programs and offices at Headquarters and Field
Site Offices. These employees do not execute safety responsibilities.

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  **1**   **How should the safety element/standards be incorporated into
          individual performance plans?**

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**[Answer]{.underline}:**

There are different processes for incorporating the element/standards
into FY07 performance plans. The determination on which process to use
is based on

> \(1\) the employee's category designation and
>
> \(2\) whether the employee executes safety responsibilities

**Category 1: SES Line Managers:**

-   At a minimum, must use the generic standard in its entirety for "SES
    Line Managers" provided in the "Safety Performance Standards for All
    Federal Employees" memo dated November 30, 2006.

-   Rating officials cannot delete or substitute any criteria contained
    in the generic standard, however, rating officials may add
    organization specific criteria to the generic standard.

**Category 2: Line Managers Who Execute Safety Responsibilities:**

**and**

**Category 3: Federal Employees Who Execute Safety Responsibilities:**

-   For employees in these categories, Departmental Elements have the
    discretion to continue to use a previously established safety
    performance element but only if it has been designated as a critical
    element and the corresponding performance standards meet the minimum
    requirements described in the prescribed, generic safety standard.

-   Previously established safety performance elements and standards
    that do not meet the minimum requirements of the generic standard
    must be amended to include the appropriate expectations and measures
    prior to inclusion in applicable performance plans.

-   All previously established safety performance standards must be
    approved prior to inclusion in the individual performance plans. DOE
    Departmental Elements Safety Officers will review and approve all
    proposed safety performance standards. Organizations without a
    designated Safety Officer are to submit proposed standards to the
    Office of Health, Safety, and Security (HSS) for review and
    concurrence. **Note:** The safety performance standards for all DOE
    Safety Officers must be submitted to HSS for review and concurrence.

-   The annual performance rating level for this element/standard shall
    be made in accordance with the applicable performance management
    policy.

-   The performance rating for this element is factored into the overall
    computation of the annual performance summary rating.

**Category 4: SES or Managers in Support Positions:**

-   At a minimum, must use the generic standard in its entirety for "All
    other SES or manager in support position" provided in the "Safety
    Performance Standards for All Federal Employees" memo dated November
    30, 2006.

-   Rating officials cannot delete or substitute any criteria contained
    in the generic standard, however, rating officials may add
    organization specific criteria to the generic standard.

-   The annual performance rating level for this element shall be either
    "Met" or "Not Met".

-   A performance rating of "Met" [is]{.underline} [not]{.underline}
    factored into the overall computation of the annual performance
    summary rating.

-   A performance rating of "Not Met" will automatically trigger an
    "Unacceptable" annual performance summary rating.

**Category 5: All Other Federal Employees:**

-   At a minimum, rating officials must use the generic standard in its
    entirety for "Performance Element for Federal Employees" provided in
    the "Safety Performance Standards for All Federal Employees" memo
    dated November 30, 2006.

-   Rating officials cannot delete or substitute any criteria contained
    in the generic standard, however, rating officials may add
    organization specific criteria to the generic standard.

-   The annual performance rating level for this element shall be either
    "Met" or "Not Met".

-   A performance rating of "Met" [is]{.underline} [not]{.underline}
    factored into the overall computation of the annual performance
    summary rating.

-   A performance rating of "Not Met" will automatically trigger an
    "Unacceptable" annual performance summary rating.

The following table illustrates the scenarios for determining which
safety critical element and performance standards should be included in
an employee's performance plan.

+---+-------------+------------+-------+-------+------+---------------+
|   |             |            |       |       |      |               |
+---+-------------+------------+-------+-------+------+---------------+
| > | *           | **         | **Can | *     | **R  | **Elem        |
|   | *Employee** | Executes** | Use** | *Must | atin | ent/Standards |
| * |             |            |       | Use** | g:** | Weighted      |
| * | *           | **Safety   | *     |       |      | and**         |
| C | *Grouping** | Responsib  | *[Job | *     | *    |               |
| a |             | ilities?** | S     | *Gene | *Met | **Rating      |
| t |             |            | pecif | ric** | /Not | Level Affects |
| e |             |            | ic]{. |       | M    | Calculation   |
| g |             |            | under | **S   | et** | of Final      |
| o |             |            | line} | tanda |      | Rating of     |
| r |             |            | S     | rds** |      | Record**      |
| y |             |            | tanda |       |      |               |
| * |             |            | rds** |       |      |               |
| * |             |            |       |       |      |               |
+---+-------------+------------+-------+-------+------+---------------+
| * | **SES Line  | Yes        | No    | Yes   | No   | Yes           |
| * | Managers**  |            |       |       |      |               |
| 1 |             | (          |       |       |      |               |
| * |             | Oversight) |       |       |      |               |
| * |             |            |       |       |      |               |
+---+-------------+------------+-------+-------+------+---------------+
| * | **Line      | Yes        | Yes   | No    | No   | Yes           |
| * | Managers    |            |       |       |      |               |
| 2 | (Executes   |            |       |       |      |               |
| * | Safety)**   |            |       |       |      |               |
| * |             |            |       |       |      |               |
|   | **(SES &    |            |       |       |      |               |
|   | GS)**       |            |       |       |      |               |
+---+-------------+------------+-------+-------+------+---------------+
| * | **Employees | Yes        | Yes   | No    | No   | Yes           |
| * | (Executes   |            |       |       |      |               |
| 3 | Safety)**   |            |       |       |      |               |
| * |             |            |       |       |      |               |
| * | **(GS &     |            |       |       |      |               |
|   | WG)**       |            |       |       |      |               |
+---+-------------+------------+-------+-------+------+---------------+
| * | **SES &     | No         | No    | Yes   | Yes  | Not Weighted  |
| * | Other       |            |       |       |      |               |
| 4 | Managers in |            |       |       |      | &             |
| * | Support     |            |       |       |      |               |
| * | Positions** |            |       |       |      | Affect on     |
|   |             |            |       |       |      | Final Rating: |
|   |             |            |       |       |      |               |
|   |             |            |       |       |      | Rating of     |
|   |             |            |       |       |      | "Met" = No    |
|   |             |            |       |       |      |               |
|   |             |            |       |       |      | Rating of     |
|   |             |            |       |       |      | "Not Met" =   |
|   |             |            |       |       |      | Yes           |
+---+-------------+------------+-------+-------+------+---------------+
| * | **All Other | No         | No    | Yes   | Yes  | Not Weighted  |
| * | Federal     |            |       |       |      |               |
| 5 | Employees** |            |       |       |      | &             |
| * |             |            |       |       |      |               |
| * |             |            |       |       |      | Affect on     |
|   |             |            |       |       |      | Final Rating: |
|   |             |            |       |       |      |               |
|   |             |            |       |       |      | Rating of     |
|   |             |            |       |       |      | "Met" = No    |
|   |             |            |       |       |      |               |
|   |             |            |       |       |      | Rating of     |
|   |             |            |       |       |      | "Not Met" =   |
|   |             |            |       |       |      | Yes           |
+---+-------------+------------+-------+-------+------+---------------+

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  **2**   **Do I have to use the generic standards in their entirety?**

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[**Answer**:]{.underline}

If a generic safety performance standard is used, it must be
incorporated in a performance plan in its entirety. Rating officials
cannot delete or substitute any criteria contained in the generic
standard; however, rating officials may add organization specific
criteria to the generic standard.

The generic element/standards are to be implemented as a separate,
individual (i.e. stand--alone") critical element and
[should]{.underline} [not]{.underline} be incorporated into any current
program or job related element within the various DOE performance
management programs.

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  **3**   **The generic standards provided are written at the "Fully
          Successful" or equivalent level, can I add a level above Fully
          Successful (e.g. "exceeds") l to the safety element?**

  ------- ------------------------------------------------------------------

**[Answer]{.underline}:**

This situation is only applicable to employees with safety as a primary
job responsibility. These employees are required to ensure safety
procedures are implemented, monitored for compliance, evaluated and
reported on a regular and recurring basis. These employees could have a
standard that allows them the opportunity to exceed the element by being
proactive, timely, effective and accurate in accomplishing these
requirements. DOE Elements that wish to establish a performance level
above "Fully Successful" or equivalent may do so provided the proposed
standard is submitted to and approved by their Safety Officer (if
applicable) or otherwise, the Office of Health, Safety and Security
(HSS).

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  **4**   **What is the timeframe for establishing and/or including a
          critical safety element and standards in the annual performance
          plans of DOE Federal employees?**

  ------- ------------------------------------------------------------------

**[Answer:]{.underline}**

The Secretary expects department-wide implementation as soon as
possible. Organizations must ensure compliance with this initiative
***no later than***

***April 30, 2007.*** Organizations that are unable to implement by this
date must request an extension from the Secretary.

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  **5**   **How do I physically add the safety performance standard to
          current performance plans?**

  ------- ------------------------------------------------------------------

**[Answer]{.underline}:**

+---+----------------------------+-------------------------------------+
|   |                            |                                     |
+---+----------------------------+-------------------------------------+
| > | **Employee**               | **Method**                          |
|   |                            |                                     |
| * | **Grouping**               |                                     |
| * |                            |                                     |
| C |                            |                                     |
| a |                            |                                     |
| t |                            |                                     |
| e |                            |                                     |
| g |                            |                                     |
| o |                            |                                     |
| r |                            |                                     |
| y |                            |                                     |
| * |                            |                                     |
| * |                            |                                     |
+---+----------------------------+-------------------------------------+
| * | **SES Line Managers**      | **Add the prescribed generic        |
| * |                            | standard to the employee's existing |
| 1 |                            | performance plan as an              |
| * |                            | attachment.**                       |
| * |                            |                                     |
+---+----------------------------+-------------------------------------+
| * | **Line Managers (Executes  | **The standard is included as one   |
| * | Safety)**                  | of the five key program             |
| 2 |                            | objectives.**                       |
| * | **(SES & GS)**             |                                     |
| * |                            |                                     |
+---+----------------------------+-------------------------------------+
| * | **Employees (Executes      | **At a minimum, the standard should |
| * | Safety)**                  | state performance expectations at   |
| 3 |                            | the fully successful level and is   |
| * | **(GS & WG)**              | included as a separate, stand-alone |
| * |                            | critical element.**                 |
+---+----------------------------+-------------------------------------+
| * | **SES & Other Managers in  | **Add the prescribed generic        |
| * | Support Positions**        | standard to the employee's existing |
| 4 |                            | performance plan as am              |
| * |                            | attachment.**                       |
| * |                            |                                     |
+---+----------------------------+-------------------------------------+
| * | **All Other Federal        | **Add the prescribed generic        |
| * | Employees**                | standard to the employee's existing |
| 5 |                            | performance plan as an              |
| * |                            | attachment.**                       |
| * |                            |                                     |
+---+----------------------------+-------------------------------------+

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  **6**   **Current performance management policies restrict the number of
          critical elements allowed in an individual performance plan. Will
          the number of allowable critical elements be increased to
          accommodate the new safety standard?**

  ------- ------------------------------------------------------------------

**[Answer:]{.underline}**

Yes, all departmental performance management policies will be modified
to reflect an increase in the maximum number of critical elements
allowed. Pending formal amendment of the policies, the memorandum,
"Safety Performance Standards for All Federal Employees", dated November
30, 2006 serves as the basis and authority for the increase in the
number of critical elements.

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  **7**   **Will I assign a numerical weight to the safety standard?**

  ------- ------------------------------------------------------------------

**[Answer:]{.underline}**

**[NNSA--Non Bargaining Unit Employees]{.underline}**

In accordance with performance policy for NNSA employees in GS, GM, EK
and EN positions, no prescribed numerical weights will be applied to the
safety standards.

**[NNSA Bargaining Unit Employees and all other DOE
Components]{.underline}**

For SES or managers in support positions and employees who do not
execute safety responsibilities, a prescribed numerical weight will not
be applied to the generic performance standards.

However, if a manager or employee has safety as a primary job
responsibility and his/her performance plan includes a job specific
safety performance standard, then the weight for this critical element
will be assigned by the rating official in accordance with the
applicable performance management policy. In this instance, the assigned
weight, therefore, the annual performance rating level for the safety
standard will impact the annual performance summary rating.

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  **8**   **How will the rating requirement of "Met" or "Not Met" be
          addressed and what impact, if any, will this have on the final
          rating of record?**

  ------- ------------------------------------------------------------------

**[Answer]{.underline}:**

The use of the "Met"/"Not Met" rating approach is limited to those
employees who do not have job specific safety responsibilities and
accordingly, would not have opportunities to exhibit performance that
exceeds that normally deemed to be "fully successful".

Given this scenario, a rating of "Met" on this individual element is not
factored into the overall computation of the annual performance summary
rating. A rating of "Not Met" on this critical performance
element/standard would result in an overall summary rating of
"Unacceptable"/ "Fails to Meet Expectations" (or equivalent).

In accordance with prescribed performance management regulation, if at
any time during the appraisal period, performance is determined to be
unacceptable in a critical element, the agency must provide the employee
assistance in improving performance.

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  **9**   **As a supervisor, what should I do if I observe "Unacceptable"
          performance involving the critical safety element/standard ?**

  ------- ------------------------------------------------------------------

**[Answer]{.underline}**:

Whenever supervisors observe unacceptable employee performance on any
critical element, they are required to take immediate, prompt corrective
action to bring about improvements. Action must not be postponed until
the end of the annual rating period. The supervisor and the employee
should discuss the probable cause and plan strategies for overcoming it.
At the discretion of the supervisor, strategies for improving
performance may include, but are not limited to, on-the-job training or
other kinds of training, referral to employee assistance programs, or
closer supervision.

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  **10**   **The proposed wording in the generic standard appears to
           constitute an *absolute* *standard* (one that allows for no errors
           or cannot be surpassed) that would result in a \"fails to meet\"
           should one workplace accident, injury, illness, and unplanned
           release to the environment occur. Was this element intended to be
           an absolute standard?**

  -------- ------------------------------------------------------------------

**[Answer]{.underline}**:

The intent of the safety critical element is to convey a measure of
accountability to all DOE employees for their personal safety and the
safety of others who maybe affected by their actions. Individual
employees who, as a result of their negligence or failure to observe
existing safety requirements, cause accidents, injuries, property
damage, or related outcomes will be subject to the range of penalties
prescribed under Federal regulations that address employee conduct
issues.

However, the occurrence of an accident or similar event does not
automatically trigger conduct (i.e., suspension or removal) or
performance processes (performance improvement plan issuance) if not
warranted by fact-finding conducted by appropriate officials (DOE safety
inspectors/officers, OSHA inspectors, etc.).

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  **11**   **As currently written, the generic standards do not fully meet
           the requirement that performance elements be results-based and
           contain credible measures. Is there any chance that these
           standards will be revised?**

  -------- ------------------------------------------------------------------

**[Answer]{.underline}**:

The performance standard for Federal employees who do not execute safety
responsibilities (Category 5) has been amended to include appropriate
measures. The **[revised]{.underline}** [standard]{.underline} reads as
follows:

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  **12**   **What are the "bargain-able" issues related to implementation of
           this new standard?**

  -------- ------------------------------------------------------------------

Negotiable issues related to the Impact and Implementation (I&I
Bargaining) of this new performance standard will vary at each local
site office.

**SES PROGRAM**

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  **13**   **Can we use a very abbreviated version of the standard that cross
           references a more extensive master guidance document?**

  -------- ------------------------------------------------------------------

**[Answer:]{.underline}**

No**.** Until the FY07 SES form is revised, raters should attach the
appropriate safety standard to the existing performance plan as an
additional page.

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  **14**   **In the SES Program, can we put the standard under leadership (HR
           matters) or must it be in the programmatic section?   **

  -------- ------------------------------------------------------------------

**[Answer]{.underline}**:

The safety standard must to addressed in the programmatic section.

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  **15**   **Is there a minimum percentage value, and do we have to re-write
           all existing forms to carve out that % from all others?**

  -------- ------------------------------------------------------------------

**[Answer]{.underline}:**

For SES Line Managers (Category 2) who will incorporate the safety
standard as part of the five (5) key program objectives, the percentage
must come from the existing 60%. There is not a minimum value prescribed
other than it must be at least 1% (no decimals).