DOE HQ O 1325.1, Action Coordination and Tracking System

HQ 1325.1 7-30-79 SUBJECT: ACTION COORDINATION AND TRACKING SYSTEM 1. 2. 3. 4. 5. PURPOSE. To provide policy and general guidance for the coordination and tracking of action assignments and Departmental commitments by the Action Coordination and Tracking System (ACTS). CANCELLATION. IMD No. 0504, Serial Noe 35, DOE ACTION COORDINATION AND TRACKING SYSTEM (ACTS), of 10-17-77, and the extension notice, DOE N 1321.47, EXTENSION OF INTERIM MANAGEMENT DIRECTIVE 0504, of 6-26-79. BACKGROUND. a. The system provides a neutral, orderly, and anticipatory tracking system for informing the DOE Principals in advance of decisions needed, or major milestones to be met, on policy, regulatory, and other specified program action assignments and commitments. The system will ensure that all action assignments which are scheduled for review, clearance, or acknowledgment, by one or more of the DOE Principals, are prepared in a comprehensive, coordinated and timely manner. b. The system is intended to serve as an avenue for information trans- fer between the DOE Principals, the Secretarial Officers, and the DOE Staff Officers. The system will not provide in itself any corrective action. This remains the responsibility of Secretarial Officers, and DOE Staff Officers,in consultation with appropriate staff. It is not intended to replace normal avenues of personal interaction between DOE Principals, Secretarial Officers, DOE Staff Officers, and staff. POLICY AND OBJECTIVES. The system will be used to coordinate and track action assignments before submission to the DOE Principal(s), to communicate-results of review by the DOE Principal (s),” and to assure that all followup activities, as a result of such review, are effectively and promptly implemented as intended. APPLICABILITY. a. The procedures outlined in this directive are applicable to Depart- ment of Energy (DOE) policy, regulatory (except those of the Federal Energy Regulatory Commission (FERC)), and other program action assign- ments which require acknowledgment or decision by the DOE Principal. DISTRIBUTION: INITIATED BY: All Headquarters Elements Office of the Executive Federal Energy Regulatory Commission (info) Secretary All Field Elements (info) 2 HQ 1325.1 7-30-79 b. ACTS will contain action assignments which require tracking based upon: (1) Those assignments requested to be incorporated into the system by any one or more of the DOE Principals, and The Special Assistant; (2) Those actions submitted by Secretarial Officers, and DOE Staff Officers, for inclusion in the system; and (3) Those actions identified by the Executive Secretary (ES-l), as potential candidates for inclusion in the system, subject to approval of a DOE Principal or The Special Assistant. 6. RESPONSIBILITIES AND AUTHORITIES. a. Executive Secretary. (1) (2) (3) (4) (5) Receives action assignments from DOE Principals, and The Special Assistant, and notifies appropriate Secretarial Officers, and DOE Staff Officers. Determines, after consultation with DOE Principals, Secretarial Officers, and DOE Staff Officers, the appropriate action required, and the timing of such action assignments. Assures that action assignments are submitted in the appropriate format (Attachment 1), that they are complete, and that management review of the assignment by the cognizant Secretarial Officer(s), and DOE Staff Officer(s), has been completed.

Suggests possible action assignments to appropriate Secretarial Officers, and DOE Staff Officers, and, if decision is made to include them in ACTS, receives action assignment schedule from Secretarial Officer, and/or DOE Staff Officer, for inclusion in the system. Maintains and distributes to DOE Principals, Secretarial Officers, and DOE Staff Officers, a complete record of all action assign- ments. Updates action assignments on a weekly basis after consultation with DOE Principals, Secretarial Officers, and DOE Staff Officers. Prepares weekly summary of status of action assignments for review and comment by DOE Principals. Prepares other summary reports as appropriate. Provides direction and guidance, on behalf of the DOE Principals during the development stage of action assignments with respect to timing for coordination and review, format and style of presentation, clarity, and completeness. HQ 1325.I 3 7-30-79 (6) Reviews all end products of action assignments tracked in this system for clarity, completeness,format, and style of presenta- tion, and ensures that appropriate coordination has occurred prior to submission to the DOE Principals for review or clearance. Brings to attention of appropriate officials any questions of consistency with established policies. Arranges for additional revision or coordination as necessary. (7) In consultation with DOE Principals, Secretarial Officers, and DOE Staff Officers, advises on the necessity of convening decision/review meetings with DOE Principals and appropriate DOE officials reporting directly to the DOE Principals, to resolve policy conflicts, determine final decision, review end product, or receive additional direction. (8) Highlights implementation actions for enforcement of decisions by appropriate Secretarial Officers or DOE Staff Officers. (9) Tracks the implementation of newly prescribed action assignments. Ensures that all action assignments are incorporated into-the system in a timely manner. (10) Maintains official DOE files on all action assignments tracked in the system. (11) Develops and maintains an “ACTS Users’ Guide” providing a detailed explanation of the ACTS update and reporting procedures. b. Secretarial Officers and DOE Staff Officers. (1) Identify and initiate action assignments, either within the scope of the member’s own staff responsibility or at the direction of the DOE Principals. When initiating an action assignment or upon receipt of direction to undertake-such an action assignment, the responsible Secretarial Officer, or DOE Staff Officer, will promptly delineate the action assignment schedule, review and obtain the approval of the action assignment schedule with other DOE organizations having review and/or support responsibilities, and provide it to the Executive Secretary. (2) Assure that action assignments for which they are responsible result in products which: (a) Have been fully coordinated and have received appropriate concurrences; (b) Are of the highest obtainable quality; and (c) Are completed on schedule. (3) (4) (5) (6) HQ 1325.1 7-30-79 Assure that action assignment products sent to them for review by other Departmental organizations are reviewed on a priority basis, with appropriate comments provided. Assure that all action assignment products transmitted to a DOE Principal, either as an interim or final document, are prepared and transmitted as outlined in Chapter XVII, DOE 1325.1, Department of Energy Correspondence Manual.

Implement and enforce decisions made by DOE Principals with , respect to items tracked in ACTS. Appoint an office liaison to be the point of contact with the Executive Secretary for all matters to be tracked in this system, and assure that the ES-1 is promptly notified when the appoint- ment is changed. 7. PROCEDURES AND OPERATING GUIDANCE. a. Definitions. For the purpose of this directive, the following defi- nitions apply: (1) (2) (3) (4) DOE Principals. The Secretary, Deputy Secretary, and Under Secretary. Secretarial Officers. Assistant Secretaries; Inspector General; General Counsel; Administrators of the Energy Information Administration, and the Economic Regulatory Administration; Director of Energy Research; Director of Administration; Con- troller; Director, Office of the Secretary; Director of Pro- curement and Contracts Management; Director of Hearings and Appeals; and Director of Minority Economic Impact. DOE Staff Officers. Executive Secretary; Director of Equal Opportunity; and Chairman, Board of Contract Appeals. Action Assignment. Any information memorandum, action memorandum, intradepartmental or interdepartmental initiative which, in the view of any DOE Principal, The Special Assistant, or the Executive Secretary, requires knowledge of, or decision by, the DOE Princi- pals. Such action assignments include, but are not limited to, policy issue papers, program issue papers, regulations, rulemakings, contract actions, procurement actions, reports or documents re- quired to be issued by law or regulation, as well as those a DOE official has committed the Department to preparing. HQ 1325.1 7-30-79 5 (5) Action Assignment Schedule. A time-phased plan identifying what actions are to be taken to complete the assignment, the date by which each action is to be completed, the person responsible for ensuring completion, and any pertinent comments concerning the status of each identifiable action. Public affairs and Congres- sional information or consultation, and inter- or intradepart- mental coordination appropriate for completing the assignment, will also be submitted in the action assignment schedule, including the party responsible for such coordination, and the date on which it is to be completed. b. Operating Procedures. (1) Secretarial Officers, and DOE Staff Officers, will provide action assignment schedules to the Executive Secretary for tracking purposes, and will prepare new schedules, or revise existing ones, on their own initiative as the need arises, or in response to a call for new or revised action assignment schedules by the Executive Secretary. (2) If questions arise as to the applicability of this system to any individual action assignment, determination will be made by the Executive Secretary, and, if necessary, the DOE Principals, and/or the appropriate Secretarial Officer, or DOE Staff Officer. (3) If the review or resolution of an action assignment is so urgent that it requires action that cannot be accommodated by this system, the responsible Secretarial Officer, or DOE Staff Officer, will notify the Executive Secretary of the assignment and the timing necessary for review or resolution by the DOE Principals. (4) Secretarial Officers, and DOE Staff Officers, will provide the Executive Secretary with weekly status reports on all action assignments in progress.

(5) All documents transmitted to other DOE offices for final coordination shall have an “ACTS Item - Expedite” cover sheet (Attachment 2) with the requested information entered in the designated areas on this form. The Director of ACTS will maintain a supply of these cover sheets for distribution to the ACTS Liaison Officers. (6) All documents transmitted to a DOE Principal as part of, or in fulfillment of, an action assignment, shall be prepared and submitted in accordance with guidelines and procedures for action memorandums or information memorandums as defined in Chapter XVII, DOE 1325.1. 6 HQ 1325.1 7-30-79 (7) For statistical reports prepared in accordance with law by the Energy Information Administration, Departmentwide con- currence is not required. Nevertheless, selected reports will be tracked by ACTS to ensure timely completion. (8) When an ACTS item is entered into the system, and other DOE officials are involved, the proposed completion dates for the coordination and mandatory concurrence milestones should be reviewed and approved by each of the coordinating offices. (9) If it appears that significant milestones have been, or will be, slipped, such slippages will be reported as soon as they are identified to the DOE Principals through the issuance of weekly status reports. The Executive Secretary will consult with Secretarial Officers, and DOE Staff Officers, to determine what, if any, corrective action is proposed to DOE Principals. Responsibility for the initiation and implementation of such corrective action remains with the Secretarial Officers, or DOE Staff Officers. c. Priority Designations. (1) In order to rank ACTS items by level of importance, the following priority designations are established: (a) (b) (c) (d) (e) Critical. Action initiatives which are critical to the well-being of the energy situation in the Nation, and which will have major impact on, or redirect the focus of, energy policies or programs - Priority A. Statutory Deadline or Executive Order. Action assignments to be completed on or before a date established by law, regulation, or Executive Order - Priority B. Time Dependent DOE Commitment. An action assignment which the Department is committed publicly to complete by a specific date, but is not a legal commitment - Priority C. Routine. Action assignments associated with fulfilling the mission of the Department, but with no public commitment for completion by a specific date - Priority D. Discretionary. Action assignments with minimal “Depart- mental impact that can be subordinated to other more important-actions, but the status of which continues to be of interest to a DOE Principal - Priority E. HQ 1325.1 7-30-79 (2) The Secretarial Officer, or DOE Staff Officer assiqned responsibility for an action, designates a priority code for each new ACTS entry. The entry, together with the recommended priority designation, will be reviewed and approved at the weekly ACTS review meetings by the DOE Principal chairing the meeting. (3) The priority code established for each action will be printed on the ACTS sheet, directly under the ACTS assignment control number. (4) ACTS items assigned a priority code of "A," "B," or "C" will be placed automatically on the weekly briefing agenda for review by the DOE Principals, if the action: (a) Is overdue for coordination or submission to ES-1; (b) Requires a significant schedule modification; (c) Presents a problem or potential problem;

(d) Is scheduled for completion within the next 2 weeks; or (e) Requires DOE Principal attention as determined by the Director of ACTS. (5) ACTS items assigned a “D” or “E” priority code normally will not be placed on the weekly ACTS briefing agenda. The Director of ACTS will approve schedule modifications on a tentative basis, subject to final approval by the DOE Principals. These tentative decisions will be communicated to the DOE Principals via an information memorandum issued on a weekly basis. Unless a DOE Principal requests a specific change be made to an ACTS item, the recommended action, as proposed by the Director of ACTS, will be finalized. (6) A Secretarial Officer or DOE Staff Officer may request that an ACTS item assigned to a “D” or “E” category, be placed on the briefing package in order to highlight a particular problem. The Director of ACTS also reserves the right to place any of these items on the briefing agenda as he deems necessary, or as directed by the DOE Principals. 8 HQ 1325.1 7-30-79 (7) The Director of ACTS will maintain close communication with the Secretarial Officer, or DOE Staff Officer, and the office liaison in each organization, to ensure that the priority code represents the current assessment of the need for the action. d. Office of the Executive Secretary Point of Contact. The duties and responsibilities associated with the execution and operation of the Action Coordination and Tracking System are assigned to the Director of Action Coordination and Tracking, Office of the Executive Secretary. Questions and status reports regarding ACTS are to be addressed to the Director. e. Format and Procedures for Entering New ACTS Items. Attachment 1 outlines the format for the information required to initiate an action assignment schedule. The procedure to be followed for the preparation and submission of a new ACTS schedule is as follows: (1) Initiating offices enter the requested information on the ACTS Entry Form (Attachment 1). Instructions defining the milestones, and describing the appropriate data for entry, have been included on the back of each form. A more detailed explanation of this form may be found in the “ACTS Users’ Guide,” available from the Director of ACTS. (2) The proposed completion dates for coordination and mandatory concurrence milestones should be reviewed and approved by each coordinating office to ensure that each organization involved in the project is fully cognizant of its respective commitments and responsibilities. (3) The signature of the Secretarial, Officer, or DOE Staff Officer, is requested in the designated line on the ACTS Entry Form, as each new ACTS project and associated schedule represents a contract between the official and the DOE Principals. (4) The ACTS Entry Form is then forwarded to the Director of ACTS for final approval of the contract with the DOE Principals and formal entry into the ACTS data base. HQ 1325.1 7-30-79 9 (and 10) f. Format and Procedure for Updating ACTS Items. Office liaisons are expected to coordinate the weekly ACTS update process within their respective offices. All information associated with an ACTS schedule should be reviewed for accuracy, updated as necessary, and transmitted under the signature of the Secretarial Officer, or DOE Staff Officer, to the Director of ACTS, by noon, Wednesday of each week. Refer to the “ACTS Users’ Guide” for a more detailed explanation of the updating procedures. FOR THE SECRETARY OF ENERGY: John F. O’Leary Deputy Secretary , HQ 1325.1 7-30-79 DOE F 13251 ACTS ENTRY FORM (7-79) (2) lSSUE/ACTION TITLE. (3 I SUMMARY (4) AuTHORITY {5) END PRODUCT/RECIPIENT: - MILESTONES - TARGET DATE Attachment 1 Page 1 (1) CONTROL NO - FINAL RULEMAKINGS ONLY - (22) OFF ICE: (23) OFFICIAL: (25) PROJECT OFFICER: (270) PRIORITY DESIGNATION: A B C D , OTHER SIGNATURE OF SECRETARIAL/DOE STAFF OFFICER: OVER - Attachment 1 Page 2 HQ 1325.1 7-30-79 INSTRUCTIONS FOR COMPLETION OF ACTS ENTRY FORM TITLE HQ 1325.1 7-30-79 Attachment 2 Page 1 (and 2) ACTS NUMBER: CONTACT: PHONE NUMBER: RETURN BY: SPECIAL INSTRUCTIONS: ACTS ITEM — EXPEDITE