DOE O 481.1D, Strategic Partnership Projects [Formerly Known as Work for Others (Non Department of Energy Funded Work)]

AVAILABLE ONLINE AT: INITIATED BY: www.directives.doe.gov Office of Management U.S. Department of Energy ORDER Washington, D.C. Approved: XX-XX-2015 SUBJECT: STRATEGIC PARTNERSHIP PROJECTS [(FORMERLY KNOWN AS WORK FOR OTHERS (NON-DEPARTMENT OF ENERGY FUNDED WORK)] 1. OBJECTIVES. Strategic Partnership Projects (SPPs) [formerly known as “Work for Others” (WFO)] is work performed for non-Department of Energy (DOE) entities by DOE/National Nuclear Security Administration (NNSA) personnel and/or their respective contractor personnel or the use of DOE/NNSA facilities for work that is not directly funded by DOE/NNSA appropriations. While SPP have the following objectives, DOE recognizes that individual projects may not meet all of the objectives. a. Provide assistance to Federal agencies and non-Federal entities in accomplishing goals that may be otherwise unattainable and to avoid duplication of effort at Federal facilities. b. Provide access to DOE/NNSA highly specialized or unique (facilities, services, or technical expertise) to non-DOE/NNSA entities when private sector facilities are inadequate. c. Increase research and development interactions between DOE/NNSA facilities and industry to provide opportunities for transferring technology originating at DOE/NNSA facilities to industry for further development or commercialization. d. Assist in maintaining core competencies and enhancing the science and technology base at DOE/NNSA facilities. 2. CANCELLATION. DOE O 481.1C, Work for Others (Non-Department of Energy Funded Work), dated X-XX-15 is canceled. 3. APPLICABILITY. a. DOE Organizations, Including National Nuclear Security Administration (NNSA). Except for the exclusions in paragraph 3c, the provisions of this Order apply to all DOE Organizations authorizing work under a SPP agreement as provided by law or contract and as implemented by the appropriate DOE/NNSA contracting officer or authorized designee b. DOE Contractors. This Order does not apply to contractors. c. Exclusions. This Order does not apply to the following. (1) Services, products, or materials regularly produced for sale at schedule rates under Departmental programs (e.g., routine irradiation services, DRAFT DOE O 481.1D http://www.directives.doe.gov/ 2 DOE O 481.1D DRAFT XX-XX-2015 isotopes, heavy water, transmission of electricity, uranium enrichment services, Naval Petroleum Reserve oil sales).Work performed by non- DOE/non-NNSA contractor personnel at a DOE-approved user facility (e.g., the National Synchrotron Light Source) or at a NNSA Defense Programs Technology Deployment Center/User Facility (e.g., the Electronics Quality Reliability Center). (2) Activities funded under the Contributed Funds Act of 1921 [Title 43 United States Code (U.S.C.) 395] or emergencies involving the protection of life, Federal lands, buildings, or equipment or law enforcement, disaster assistance, or production and maintenance of the power distribution system. (3) DOE/NNSA-funded work or services performed by one DOE/NNSA site/facility management contractor for another. (4) Visits or assignments of foreign nationals to DOE/NNSA facilities. (5) Consulting services by employees not identifying themselves as DOE/NNSA or DOE/NNSA site/facility management contractor representatives. (6) Cooperative Research and Development Agreements (CRADAs) performed under the National Competitiveness Technology Transfer Act of 1989.

(7) Work for the NNSA Naval Nuclear Propulsion Program. (8) Assignments under the Intergovernmental Personnel Act of 1970 (5 U.S.C. §§ 3371-3375). (9) Work directly funded by the Department of Homeland Security as defined in DOE O 484.1, Reimbursable Work Performed for the Department of Homeland Security, dated 4-21-03. (10) Agreements for Commercializing Technology (ACT). (11) Consistent with Secretarial Delegation Order Number 00-033.00A to the Administrator and Chief Executive Officer, Bonneville Power Administration, this Directive does not apply to Strategic Partnership Projects performed at Bonneville Power Administration. 4. REQUIREMENTS. It is Departmental policy that DOE/NNSA resources are made available to non-DOE/non-NNSA entities. Requirements of DOE/NNSA directives, applicable regulations, and the following requirements must be satisfied before work is performed. DOE O 481.1D 3 DRAFT XX-XX-2015 a. In operating DOE/NNSA Federally Funded Research and Development centers (FFRDCs) or other facilities, a contractor may not respond to Requests For Proposals (RFPs) or other procurement solicitations from another Federal agency or non-Federal entity that involves head-to-head competition with other solicitation respondents as an offer or, team member, or subcontractor to an offeror. b. A DOE/NNSA site/facility management contractor operating an FFRDC or other DOE/NNSA facility may respond to Broad Agency Announcements, financial assistance solicitations, Program Research and Development Announcements, and similar solicitations from other Federal agencies or non-Federal entities when the following conditions have been met. (1) Response to the solicitation does not result in head to head competition with other solicitation respondents as an offer or, team member, or subcontractor to an offeror . (2) The cognizant field office has been notified of intent to respond. (3) The solicitation is a general research announcement used for the acquisition of basic or applied research to further advance scientific knowledge or understanding rather than focus on a specific system or hardware solution. (4) Evaluation and selection is performed through a merit or peer review process using pre-established general selection criteria. (5) The primary bases for selection is technical approach, importance to the Agency, and funds availability. c. For work performed under a DOE/NNSA contract the responsible Contracting Officer (CO) shall ensure the following determinations are made and provide written certification that the determinations have been completed prior to his/her acceptance (see 8.a). The proposed work— (1) is consistent with or complementary to missions of DOE/NNSA and the facility to which the work is to be assigned, (2) will not adversely impact programs assigned to the facility, (3) will not place the facility in direct competition with the domestic private sector, and (4) will not create a detrimental future burden on DOE/NNSA resources. For work performed at Headquarters, the determinations and certification must be made by a DOE/NNSA Program Secretarial Officer (PSO) or designee to whom written delegation has been provided 5j(4) prior to acceptance. In all cases the 4 DOE O 481.1D DRAFT XX-XX-2015 determination and certification (D&C) process is an inherently governmental function/authority and may not be delegated to a contractor. d. In addition to paragraph 4c, above, all Federal agency sponsors must provide on

or with the funding document a written statement [example below] confirming that— (1) the requesting Agency has determined that entering into an SPP agreement with DOE/NNSA complies with the requirements of the Economy Act of 1932, as amended (31 U.S.C. 1535), or other applicable authorizations [e.g., Executive Order (E.O.) 12333]; (2) the requesting Agency has determined that entering into an SPP agreement with DOE/NNSA complies with competition requirements in Federal Acquisition Regulation (FAR) Part 6, section 6.002, Limitations; and (3) to the best of the requesting Agency’s knowledge, the work will not place DOE/NNSA and their contractor in direct competition with the domestic private sector. Sample Statement from a Federal Agency This agreement is entered into pursuant to the authority of the Economy Act of 1932, as amended (31 U.S.C. 1535,) or other statutory y authority references and adheres to Federal Acquisition Regulation (FAR) 6.002. To the best of our knowledge, the work requested will not place DOE/NNSA and its contractor in direct competition with the domestic private sector. e. The requirements of paragraphs 4a–4d must be met before a SPP agreement can be accepted or before modifications outside the scope of an existing SPP agreement can be approved. NOTE: For previously approved work with schedule and/or cost changes but no change in scope, reapplying the determinations and certification process is not required. f. Pricing of work and biennial reviews of prices and changes of materials and services must be in accordance with DOE O 522.1, Pricing of Departmental Materials and Services, dated 11-03-04.. g. Before SPP construction that exceeds $10 million at a DOE site can begin, approval must be granted by the cognizant DOE Secretarial Officer (CSO) 5k(3) and the DOE Chief Financial Officer 5b(4). The CFO must be notified seven days in advance of approval of a construction project funded through an SPP agreement that exceeds $1 million but is less than $10 million. For a NNSA site, approval must be granted by the NNSA Associate Administrator for Management DOE O 481.1D 5 DRAFT XX-XX-2015 and Budget 6a(3) and notification provided to the NNSA Director, Office of Field Financial Management 6b(4) before work can begin. Projects must meet the following requirements. (1) Construction projects must be performed according to requirements of DOE O 413.3B, Program Project Management for the Acquisition of Capital Assets, dated, 11-29-10. (2) Upon completion, title to permanent construction work must vest in DOE/NNSA. (3) Construction funded through SPP agreements must not supplement DOE- funded contraction activities unless the SPP-funded portion of the construction effort is explicitly approved by the CFO. h. Equipment acquired as part of a project must be accounted for and maintained in the same manner as DOE/NNSA property. Disposition of equipment must be as previously agreed or as instructed by the sponsor. Equipment shipping costs are the responsibility of the sponsor. i. The DOE/NNSA contractor must select the subcontractor and the work to be subcontracted. Subcontracted work must be in direct support of the DOE/NNSA contractor. j. Intelligence and Intelligence work must be conducted in accordance with— (1) E.O. 12333 (and other Executive orders and Presidential directives), (2) U.S. laws, (3) Director, Central Intelligence, directives, and (4) DOE intelligence procedures.

k. Special Access Program (SAP) work requires the approval of the DOE SAP Oversight Committee. Intelligence-related SAPs will be reviewed and approved by the Director, Office of Intelligence 5f(1) . l. Work directly funded by a foreign sponsor and performed at a non-NNSA facility requires the review and concurrence of the Office of Policy and International Affairs 5c, the CSO 5k(4)c and the cognizant Program Secretarial Officer (PSO) or designee 5j(2). Notification of the work must be provided to the appropriate Headquarters or Field component or the Office of Counter Intelligence 5(i) m. Work directly funded by a foreign sponsor and performed at an NNSA facility requires the review and concurrence of the Office of Policy and International Affairs 5c, the cognizant Program Secretarial Officer or designee 6f(3) and the NNSA Office of Institutional and Joint Programs (IJP) 6g(2). Notification of the 6 DOE O 481.1D DRAFT XX-XX-2015 work must be provided to the appropriate Headquarters of Field component of the Office of Counter Intelligence 5i. n. SPP agreements involving human or animal subjects, including research that is classified and proprietary, whether performed domestically or in an international environment, must comply with Federal regulations and DOE/NNSA requirements for human or animal subject protection 5e. o. Work that involves a space nuclear reactor or non-commercial power reactor and radioisotope power source projects at non-NNSA facilities requires the concurrence of the Director, Office of Space and Defense Power Systems. Such work, when performed at an NNSA facility, requires NNSA concurrence Office of Interagency Work 6g in coordination with Director, Office of Space and Defense Power Systems, and notification to the Office of Space and Defense Power Systems of any work accepted after such coordination. p. Cost estimates for federally sponsored work must specifically identify the amount of laboratory directed research and development (LDRD) funds to be collected as part of the project costs. The following language must be included in each SPP reimbursable agreement unless a formal agreement regarding LDRD funding has been reached between DOE/NNSA and the sponsoring Federal agency. Consistent with the Department of Energy’s (DOE’s) full cost recovery policy, DOE collects, as part of its standard indirect cost rate, a laboratory directed research and development (LDRD) cost. Based on the amount of funds accepted for this project, $ represents an estimated amount that will be used for LDRD. 5. RESPONSIBILITIES—NON-NNSA ENTITIES WITHIN DOE. In keeping with Section 3213 of the National Defense Authorization Act for Fiscal Year 2000 (P.L. 106-65), SPP responsibilities have been separated into DOE organizational responsibilities, below, and NNSA organizational responsibilities (paragraph 6). a. Office of Management. (1) Establishes in conjunction with Cognizant Secretarial Officers and NNSA officials 1 DOE SPP policies. (2) Approves requests for excluding non-NNSA SPP agreements from requirements of this Order including in cases of national emergency [for NNSA exclusions see paragraph 6b(5)]. (3) Develops, maintains, and updates the standard SPP agreement for non-Federal sponsors. (Refer to DOE M 481.1-1A, 1 NNSA officials whose responsibilities parallel those of DOE Secretarial Officers are Deputy Administrators and Assistant Deputy Administrators. DOE O 481.1D 7

DRAFT XX-XX-2015 Reimbursable Work for Non-Federal Sponsors Process Manual, dated 9-28-01.) b. Chief Financial Officer. (1) Establishes and maintains DOE SPP financial policies and procedures. (2) Develops and maintains financial information on SPP and prepares financial reports as necessary. (3) Coordinates with responsible Program Secretarial Officers to ensure the availability of funds for SPP accepted and performed at Headquarters. (4) Coordinates with CSO on construction projects funded by a SPP agreement that exceed the GPP threshold established by the DOE Chief Financial Officer. (5) Establishes and assigns required SPP values in the DOE accounting system and coordinates with the Field CFOs on these matters, as needed, for projects initiated by field elements. c. Office of Policy and International Affairs. Reviews and concurs on all SPP agreement requests to be directly funded by foreign sponsors to ensure consistency with international agreements and foreign policy objectives. d. DOE General Counsel/Field Counsel. (1) Provides legal advice and representation on SPP agreement issues. (2) Establishes policy on patent and technical data. (3) Advises on patent and technical data contract clauses. (4) Approves waiver of patent rights. e. Associate Director, Office of Biological and Environmental Research. Oversees the established DOE system to ensure that proposed SPP research, using human or animal subjects, complies with established Federal regulations and DOE requirements for the protection of these subjects. f. Director, Office of Intelligence. (1) Reviews and approves proposed intelligence and intelligence-related work and intelligence SAPs. (2) Coordinates program review of intelligence and intelligence-related work with the participation of appropriate field elements. 8 DOE O 481.1D DRAFT XX-XX-2015 (3) Reviews intelligence and intelligence-related work for duplication of effort. (4) Serves as central point of contact for coordination with sponsors of intelligence and intelligence-related work. (5) Ensures that the Cognizant Secretarial Officer is informed of problems in field management of intelligence and intelligence-related work. g. NNSA Assistant Deputy Administrator, Office of Nonproliferation Research and Engineering. Reviews all SPP nuclear nonproliferation detection technology projects. h. Director, Office of Space and Defense Power Systems. Reviews and concurs on non-NNSA proposals involving space nuclear reactor, non-commercial power reactor, and radioisotope power source projects. NOTE: Nuclear Regulatory Commission (NRC), fusion, weapons-related activities, naval propulsion reactors, and experimental reactors to establish an appropriate nuclear energy management role are excluded. i. Office of Counter Intelligence. Reviews SPP agreements funded by a foreign sponsor. Program Secretarial Officers. (1) Accept SPP agreements in accordance with the requirements of paragraph 4c. Once accepted, forwards copies of all information to the responsible CO. For work performed at Headquarters copies of all information and decision documentation should be maintained and available. (2) Reviews and concur in foreign-sponsored SPP agreements to ensure the use of program developed technologies is acceptable for the purpose of the SPP agreement. (3) Ensures SPP work performed at Headquarters involving human and/or animal subjects is compliant with established Federal regulations and

DOE requirements for protection of these subjects. (4) Approves written delegations of authority for completing the determinations and certification process for headquarters accepted SPP agreements consistent with 4c. k. Cognizant Secretarial Officers. (1) Develop and recommend changes in SPP policies to the Director, Office of Management or Office of the Chief Financial Officer. (2) Notify other Secretarial Officers of significant or sensitive SPP agreements [see paragraph 5f(4)]. DOE O 481.1D 9 DRAFT XX-XX-2015 (3) After notifying the Office of the Chief Financial Officer, approve facility construction that exceeds the GPP threshold. (4) For DOE facilities under their cognizance-- (a) Approve or designate the Head of the Field Element to approve annual SPP levels and requests for increases. (b) Conduct periodic reviews of site office SPP agreement review and approval systems using a risk based management approach. The approach shall ensure that: 1) a CSO approved risk based schedule is established that ensures sites are reviewed no less than every five years; 2) sites with higher levels of identified risk will be reviewed more frequently; and 3) reviews include assessment of review and approval procedures to ensure compliance with DOE- wide SPP policies and procedures. (c) Review and concur in foreign sponsored SPP agreements. f. Heads of DOE Field Elements. (1) Manage site specific SPP agreement review, approval and oversight functions to ensure SPP actions at facilities under their purview are consistent with DOE SPP policies and procedures. NOTE: In this capacity, heads of field elements are accountable to the cognizant Secretarial Officers. (2) Develop and implement procedures for review, acceptance, authorization, and monitoring of SPP agreements consistent with DOE policies and procedures and encourage parallel review and processing by DOE, the sponsor, and the site/facility management contractor. (3) For facilities under their purview— (a) recommend annual SPP levels for the CSOs approval or if delegated notify the CSO of the approved funding level. (b) monitor SPP funding levels to ensure consistency with approved funding levels and (c) submit requests for level increases to the CSO’s for approval or if delegated notify the CSO of the approved increase. (4) Notify the cognizant Secretarial Officer of SPP agreements that involve sensitive subjects. 10 DOE O 481.1D DRAFT XX-XX-2015 (5) Ensure that DOE and/or contractor representative review proposed SPP agreements that involve human and/or animal subjects for compliance with established Federal regulations and DOE requirements for protecting these subjects. (6) Ensure that SPP agreements under their purview are protected in accordance with applicable DOE security, safeguards, and classification policies; site security plans; and supplemental security plans specific to the projects. (7) Ensure that DOE and contractors review projects for compliance with the National Environmental Policy Act of 1969 and other environment, safety, and health requirements. (8) Ensure that the appropriate Headquarters element is involved in the SPP agreement review process. (9) Establish and implement closeout procedures for SPP agreements. (10) Ensure that resulting scientific and technical information is disseminated consistent with existing DOE Orders and regulations. (11) Establish performance measures to assess the effectiveness of the

procedures for review, acceptance authorization, and monitoring of SPP agreements. (12) Ensure that a summary of each active SPP agreement is maintained. At minimum, the information should include— (a) project title and description, (b) sponsoring Entity, (c) assigned laboratory or contractor, (d) field points of contact, (e) total estimated cost, and (f) estimated start and completion dates. (13) Ensure that project information documenting policy compliance is maintained by DOE and/or the performing contractor. (14) In coordination with cognizant Secretarial Officers, submit to the Director, Office of Management requests to grant exclusions from the requirements of this Order for non-NNSA projects. DOE O 481.1D 11 DRAFT XX-XX-2015 (15) Ensure that projects directly funded by foreign sponsors and performed at non-NNSA sites are reviewed, have the concurrence of the Office of Policy and International Affairs, appropriate program Secretarial Office, CSO and notification is provided to the appropriate Headquarters or field component of the Office of Counter Intelligence. (16) Assess and approve delegation of authority to contractors for executing agreements with non-Federal entities consistent with DOE-approved standard terms and conditions and satisfy the requirements of this Order and DOE M 481.1-1A. 6. RESPONSIBILITIES—NNSA ORGANIZATIONS. a. Associate Administrator for Management and Budget. (1) Working in coordination with the DOE Office of Management, and other Program Secretarial Officers, establish DOE SPP agreement policies. (2) Develops and implements SPP agreement procedural guidance for NNSA organizations. (3) After notifying the Office Field Financial Management, approve facility construction that exceeds the GPP threshold. b. NNSA Director, Office of Field Financial Management. (1) Conducts periodic reviews of the implementation of this Order by NNSA headquarters and heads of field elements (2) Develops and maintains financial information on SPP agreements and prepares financial reports as necessary. (3) Coordinates with responsible Deputy Administrators to ensure the availability of funds for SPP agreements accepted and performed at Headquarters. (4) Receives notification on construction projects that exceed the GPP threshold. (5) Approves requests for excluding SPP agreements from requirements of this Order including in cases of national emergency for NNSA sites in coordination with the DOE Director, Office of Management. (6) Provides concurrence in the development and updating of the standard SPP agreement for non-Federal sponsors (DOE M 481.1-1A). c. NNSA General Counsel or NNSA Field Counsel. 12 DOE O 481.1D DRAFT XX-XX-2015 (1) Provides legal advice and representation on issues related to SPP agreements. (2) Establishes policy on patent and technical data in coordination with the DOE Assistant General Counsel for Technology Transfer. (3) Advises on patent and technical data clauses of contracts in coordination with the DOE Assistant General Counsel for Technology Transfer. (4) Coordinates the approval of waiver of patent rights with the DOE Assistant General Counsel for Technology Transfer. d. Director, Office of Intelligence. (1) Reviews and approves proposed intelligence and intelligence-related work and intelligence SAPs through the appropriate site office. (2) Coordinates program review of intelligence and intelligence-related work

with the participation of appropriate field elements. (3) Reviews intelligence and intelligence-related work for duplication of effort. (4) Serves as central point of contact for coordination with sponsors of intelligence and intelligence-related work. (5) Ensures that the NNSA Administrator is informed of problems in intelligence and intelligence-related work at NNSA facilities. e. NNSA Assistant Deputy Administrator, Office of Nonproliferation Research and Engineering. Reviews and provides comments on SPP agreements involving nuclear nonproliferation detection technology projects to the NNSA Office of Institutional and Joint Programs for action. f. NNSA Deputy Administrators. Are responsible for the overall management and oversight of SPP agreements at their sites. Responsibilities include the following. (1) Develop and recommend changes in SPP policies to the NNSA Associate Administrator for Management and Budget. (2) Accepts SPP agreements in accordance with the requirements of paragraph 4c. Once accepted, copies of all information should be forwarded to the responsible CO. For work performed at Headquarters, copies of all information and decision documentation should be maintained and available. (3) Review and concur in foreign-sponsored SPP that use NNSA program developed technologies and sites. DOE O 481.1D 13 DRAFT XX-XX-2015 (4) Ensure work performed at Headquarters involving human or animal subjects complies with established Federal regulations and NNSA requirements for the protection of these subjects. (5) Notify appropriate Secretarial Officers of significant or sensitive SPP agreements. (6) After obtaining notification from the Director, Office of Field Financial Management, approve facility construction that exceeds the GPP threshold. (7) For NNSA facilities under their cognizance— (a) approve or designate the head of the Field element to approve annual SPP levels and requests for increases to approved levels (b) Conduct periodic reviews of site office SPP agreement review and approval systems using a risk based management approach. The approach shall ensure that: 1) a DA approved risk based schedule is established that ensures sites are reviewed no less than every five years; 2) sites with higher levels of identified risk will be reviewed more frequently; and 3) reviews include assessment of review and approval procedures to ensure compliance with DOE- wide SPP policies and procedures. g. Office of Institutional and Joint Programs. (1) Establishes with the Office of Management and Cognizant Secretarial Officers DOE SPP policies. (2) Reviews and concurs in foreign sponsored SPP agreements to ensure that work is appropriate for performance at NNSA sites and to ensure the use of program developed technologies is acceptable for the purpose of the SPP agreement h. Site Office Managers. (1) Function as administrative managers for SPP conducted at NNSA facilities under their purview. (2) NOTE: In this capacity, site office managers are accountable to the cognizant NNSA Deputy Administrator. (3) Develop and implement procedures for SPP review, acceptance, authorization, and monitoring consistent with NNSA policies and procedures. 14 DOE O 481.1D DRAFT XX-XX-2015 (4) Encourage parallel review and processing by NNSA, the sponsor, and the site/facility management contractor. (5) For facilities under their purview— (a) recommend annual SPP funding levels for the cognizant NNSA

Deputy Administrator’s approval or if delegated notify the DA of the approved funding level, (b) monitor SPP funding levels to ensure consistency with approved funding levels , and (c) submit requests for level increases for the DA’s approval or if delegated notify the DA of the approved funding level. (6) Notify the cognizant NNSA Deputy Administrator of SPP agreements that involve sensitive subjects. (7) Ensure that NNSA and/or contractors review proposed SPP agreements involving human or animal subjects for compliance with established Federal regulations and NNSA requirements for protecting these subjects. (8) Ensure that SPP under their purview are protected in accordance with applicable NNSA security, safeguards, and classification policies; site security plans; and supplemental security plans specific to the project. (9) Ensure that NNSA and contractors review SPP for compliance with the National Environmental Policy Act of 1969 and other NNSA environment, safety, and health requirements. (10) Coordinate with the NNSA Office of Institutional and Joint Programs to ensure that appropriate Headquarters elements are involved in the review process. (11) Establish and implement closeout procedures for SPP. Ensure that resulting scientific and technical information is disseminated consistent with existing DOE/NNSA Orders and regulations. (12) Establish performance measures to assess the effectiveness of the procedures for SPP review, acceptance, authorization and monitoring consistent with NNSA policies and procedures (13) Ensure that a summary of each active SPP agreement is maintained. At minimum, the information should include— (a) project title and description, DOE O 481.1D 15 DRAFT XX-XX-2015 (b) sponsoring Agency, (c) assigned laboratory or contractor, (d) field points of contact, (e) total estimated costs, and (f) estimated start and completion dates. (14) Ensure that project file information documenting policy compliance is maintained by NNSA and/or the performing contractor. (15) Submit to the cognizant Deputy Administrator requests for exclusion from requirements of this Order. (16) Ensure that projects directly funded by foreign sponsors and performed at NNSA sites are reviewed and have concurrence from the NNSA Office of Institutional and Joint Programs. (17) Assess and approve delegation of authority to the contractor for executing bilateral sales contracts with non-Federal entities consistent with DOE-/NNSA-approved standard terms and conditions and in compliance with the requirements of this Order and DOE M 481.1-1A. 7. REFERENCES. a. DOE O 522.1, Pricing of Departmental Materials and Services, dated 11-03-04, which establishes requirements and assigns responsibilities for setting and conducting biennial reviews of the prices and charges for materials or services sold or provided by DOE, either directly or through site/facility management contractors, to organizations and persons outside DOE/NNSA. b. DOE O 241.1B, Scientific and Technical Information Management, dated 12-13- 10, which establishes requirements and assigns responsibilities to ensure that scientific and technical information emanating from DOE research is appropriately identified, processed, disseminated, and preserved. c. DOE P 443.1B, Policy on the Protection of Human Subjects, dated 03-17-11, which defines the DOE policy for the protection of human subjects in research activities.

d. DOE O 443.1B Protection of Human Subjects, dated 3-17-11, which establishes the procedures and responsibilities for implementing the policy and requirements set forth in 10 CFR Part 745 and in DOE P 443.1. 16 DOE O 481.1D DRAFT XX-XX-2015 e. DOE O 471.5, Special Access Program Policies, Responsibilities, and Procedures, dated 03-29-11, which delineates policies, responsibilities, and procedures for SAP projects. f. DOE O 475.2A, Identifying Classified Information, dated 2-01-11, which specifies responsibilities, authorities, policies, and procedures for management of the DOE Classification System. g. DOE M 481.1-1A Chg. 1, Reimbursable Work for Non-Federal Sponsors Process Manual, dated 1-03-01, which defines requirements for performance of work for non-DOE/non-NNSA entities by DOE/NNSA and contractor personnel and for use of DOE/NNSA facilities for work that is not directly funded by DOE/NNSA appropriations h. DOE O 241.1-1B, Scientific and Technical Information Management, dated 12- 13-10, which specifies policies and procedures for ensuring that Scientific and Technical Information is appropriately managed as part of the DOE mission. i. Department of Energy Financial Management Handbook, dated 4-21-15, Chapter XIII, Reimbursable Work, Revenues, and Other Collections, which establishes DOE-/NNSA-wide financial policy and procedural guidance for certain interagency reimbursable actions and reimbursable actions with non- DOE/non NNSA entities. j. DOE Procedures for Intelligence Activities, which provide supplemental guidance/requirements for the conduct of intelligence and intelligence-related work. k. The Atomic Energy Act of 1954 (P.L. 83-303), as amended (42 U.S.C. 2011 et seq.), Sections 31, 32, and 33, which authorize the conduct of research and development and certain training activities for non-DOE/non-NNSA entities, provided that private facilities or laboratories are inadequate for that purpose. It authorizes such charges as may be appropriate for the conduct of those activities. l. The Contributed Funds Act of 1921 (43 U.S.C. 395), which permits contributions from a non-Federal participant or partner toward the cost of a project. m. The Economy Act of 1932, as amended (31 U.S.C. 1535), which authorizes an Agency to place orders for goods and services, subject to availability, with another Government agency when the head of the ordering Agency determines that it is in the best interest of the Government. n. The Energy Reorganization Act of 1974 (P.L. 93-438), Section 205 (42 U.S.C. 5845), which requires Federal agencies to furnish to the NRC, on a reimbursable basis, such research services as NRC deems necessary and requests for the performance of its function. DOE O 481.1D 17 DRAFT XX-XX-2015 o. The Intergovernmental Cooperation Act of 1968, as amended, (31 U.S.C. 6505), which authorizes Federal agencies to perform work for State and local governments in accordance with the requirements of Office of Management and Budget (OMB) Circular A-97. p. The National Competitiveness Technology Transfer Act of 1989 (P.L. 101-189), Sections 3131, 3132, 3133, and 3159, which prescribe technology transfer as a DOE mission. q. The National Environmental Policy Act of 1969 (P.L. 91-190), which encourages efforts to prevent or eliminate damage to the environment. r. The National Defense Authorization Act for Fiscal Year 2000 (P.L. 106-65), dated 9-5-99, which establishes NNSA responsibilities.

s. The Stevenson-Wydler Technology Innovation Act of 1980 (P.L. 96-480), as amended, Section 11, which states as public policy that the Federal Government must strive to transfer Federally owned or originated technology to State and local governments and the private sector. t. E.O. 12333, United States Intelligence Activities, part 1.13, which establishes responsibilities for DOE to support the U.S. intelligence community by providing expert technical, analytical, and research capability to others within the intelligence community and by anticipating how DOE can contribute to the formulation of intelligence collection and analysis requirements. u. FAR 17.5, “Interagency Acquisitions under the Economy Act,” which prescribes policies and procedures for a Federal agency to obtain supplies or services from another Federal agency. v. FAR 17.7, “Interagency Acquisitions: Acquisitions by Nondefense Agencies on Behalf of the Department of Defense,” which prescribes policies and procedures specific to acquisitions of supplies and services by non-defense agencies on behalf of the Department of Defense. w. FAR 35.017, “Federally Funded Research and Development Centers (FFRDCs),” which establishes Government-wide policies for review and termination of FFRDCs. x. OMB Circular A-97, which defines rules and regulations permitting Federal agencies to provide specialized or technical services to State and local units of government under Title III of the Intergovernmental Cooperation Act of 1968. y. Title 10 Code of Federal Regulations (CFR) Part 745, “Protection of Human Subjects,” which sets out Federal regulations for DOE for protecting human subjects of research activities. 18 DOE O 481.1D DRAFT XX-XX-2015 8. DEFINITIONS. The following terms apply to SPP conducted through DOE/NNSA and their contractors. a. Acceptance. The official signing of a reimbursable SPP agreement (e.g., bilateral sales contract or interagency agreement) by a DOE/NNSA contracting officer or a federal official with delegated authority to commit DOE/NNSA and/or their contractors to perform strategic partnership projects. b. Bilateral Sales Contract. A binding agreement that commits DOE, NNSA or a DOE/NNSA site/facility management contractor to work for a non-Federal entity. c. Cognizant Secretarial Officers/NNSA Deputy Administrators. Headquarters Assistant Secretaries, Deputy Administrators and Directors responsible for oversight or institutional management of DOE/NNSA facilities. d. Site/Facility Management Contractors. Operate and maintain Government-owned facilities under contract with and for the benefit of DOE/NNSA. e. Heads of Field Elements/Site Office Managers. Officials who direct activities of DOE/NNSA field or site offices and field organizations reporting directly to Headquarters. f. Human Subjects. Living individuals about whom a researcher obtains data through intervention or interaction with the individual or through identifiable information. g. Intelligence and Intelligence-Related Work (IW). (1) Work directly funded by intelligence appropriations or by an organization specifically identified in E.O. 12333 as an intelligence organization. (2) Work funded by either the National Foreign Intelligence Program or the Tactical Intelligence and Related Activities Program. (3) Work for which the cognizant technical DOE Headquarters official is the Director, Office of Intelligence.

h. Interagency Agreement. Provides funding, billing, and payment data in support of a reimbursable agreement. The format of the requesting Agency is acceptable as long as it contains the appropriate elements as outlined in this Order. i. Non-DOE/non NNSA Entities. Federal agencies; State, regional, and local governments; private or commercial firms; not-for-profit organizations; international organizations; and foreign governments. j. Program Secretarial Officers and Deputy NNSA Administrators. Headquarters Assistant Secretaries, Deputy Administrators, and Directors who have DOE O 481.1D 19 DRAFT XX-XX-2015 management responsibility for program planning, budgeting, and execution, of DOE/NNSA mission program activities. k. Program Secretarial Officer/Cognizant Secretarial Officer/Deputy NNSA Administrator Designee. A DOE/NNSA federal official provided specific authorities through written delegation to act on behalf of the delegating official. l. Reimbursable Agreement. A written agreement to perform work or provide a service for another Federal agency or non-Federal entity. m. Research. Systematic investigation, research, development, testing, and evaluation designed to expand or contribute to general knowledge. n. Responsible DOE/NNSA Contracting Officer. A DOE/NNSA official with responsibility for administering the contract for the operation of a DOE/NNSA research or production facility. o. Space Nuclear and Non-Commercial Power Reactor and Radioisotope Power Projects. Research and development associated with nuclear energy that is space nuclear reactor, non-commercial power reactor, and radioisotope power source projects. Excludes Nuclear Regulatory Commission, fusion, weapons-related activities, naval propulsion reactors, and experimental reactors. p. Sponsor. An entity that provides strategic partnership project funding. q. Strategic Partnership Project Agreement. Facility based agreement that authorize work for non-DOE/non NNSA entities by DOE/NNSA and/or their contractors or use of DOE/NNSA facilities for work that is not directly funded by DOE/NNSA appropriations. 9. CONTACT. For information about this Order, contact the Office of Contract and Financial Assistance Policy at 202-287-1507. BY ORDER OF THE SECRETARY OF ENERGY: ELIZABETH SHERWOOD-RANDALL Deputy Secretary DOE logo added after approval