DOE O 5000.1B, Institutional Planning by Multiprogram Laboratories

DOE 5000.1B 4-9-92 THIS PAGE MUST BE KEPT WITH DOE 5000.1B. INSTITUTIONAL PLANNING BY MULTIPROGRAM LABORATORIES. DOE 5000.1B, INSTITUTIONAL PLANNING BY MULTIPROGRAM LABORATORIES HAS REVISED DOE 5000.1A TO REFLECT ORGANIZATIONAL TITLE AND ROUTING SYMBOL EDITORIAL CHANGES REQUIRED BY 5EN-6D-91. IN ADDITION, DOE 5000.4A, LABORATORY DIRECTED RESEARCH AND DEVELOPMENT. HAS BEEN ADDED AS A REFERENCE, AND INFORMATION WHICH PREVIOUSLY APPEARED IN DOE 5000.1A AND NOW APPEARS IN DOE 5000.4A HAS BEEN DELETED FROM DOE 5000.1B. NO SUBSTANTIVE POLICY CHANGES HAVE BEEN MADE. DUE TO THE NUMBER OF PAGES AFFECTED BY THE REVISIONS. THE ORDER HAS BEEN ISSUED AS A REVISION. U.S. Department of Energy ORDER Washington, D.C. DOE 5000.1B 4-9-92 SUBJECT: INSTITUTIONAL PLANNING BY MULTIPROGRAM LABORATORIES 1. 2. 3. 4. 5. PURPOSE. To establish the Department’s policies regarding institutional planning by its multi program laboratories. The general characteristics of a satisfactory planning process are outlined, the Departmental responsibilities are defined, and the relationship of the planning process to the oversight of laboratory exploratory R&D and work for others is described. CANCELLATION. DOE 5000.1A, INSTITUTIONAL PLANNING PROCESS, of 9-12-86. SCOPE. The previsions of this Order apply to all Departmental Elements which direct, monitor, or utilize the Department’s multiprogram laboratories and to contractors performing work for the Department, as provided by law and/or contract, and as implemented by the appropriate contracting officer. BACKGROUND. The Institutional Planning Process applies to the major multiprogram laboratories of the Department listed in Attachment 1. These laboratories are Government-owned and operated for the Government by university or industrial contractors who are responsible for manage- ment of the laboratories. Each laboratory conducts work for several major DOE programs but is assigned to an individual DOE Program Secretarial Officer for overall management oversight. The contracts for the laboratories are administered by DOE Field Offices. This method of operating the laboratories allows the Department to obtain and employ the most effective management from the private sector. REFERENCES. a. DOE 4300.2B, NON-DEPARTMENT OF ENERGY FUNDED WORK, of 7-16-91, establishes the policy and procedures for authorizing and administering non-DOE funded work at all the DOE research or production facilities operated by management and operating contractors. b. DOE 4320.1B, SITE DEVELOPMENT PLANNING, of 1-7-91, which establishes the policies and assigns responsibilities and authorities for the planning and development of Department of Energy sites. c. DOE 5000.2B, MULTIPROGRAM LABORATORY APPRAISALS, of 4-9-92, which establishes the policy and objectives for appraising the performance of the Department’s multiprogram laboratories. DISTRIBUTION: INITIATED BY: All Departmental Elements Office of Energy Research 2 DOE 5000.1B 4-9-92 d. DOE 5000.4A, LABORATORY DIRECTED RESEARCH AND DEVELOPMENT, of 4-9-92, which establishes the Department’s policy and guidelines regarding Laboratory Directed Research and Development (LDRD) at its multiprogram laboratories. e. DOE 5600.1, MANAGEMENT OF THE DEPARTMENT OF ENERGY WEAPON PROGRAM AND WEAPON COMPLEX, of 6-27-79, which establishes the policy and procedures for the management of the DOE weapon program and weapon complex and for the utilization of weapon complex facilities for nonweapon activities.

f. DOE 5700.7B, WORK AUTHORIZATION SYSTEM, of 9-24-86, which establishes a uniform process for assigning and controlling work performed by the designated management and operating (M&O) contractors. 6. DEFINITIONS. a. b. c. d. e. f. Cognizant Secretarial Officer is a Program Secretarial Officer of the Department, who has responsibility for management oversight of a multiprogram laboratory. Institutional Plan is the document which reports the results of the laboratory’s annual integrated planning, for the entire facility and organization as a whole, to the Cognizant Secretarial Officer. The plan reports both the baseline 5-year planning and the 15-year strategic planning of the laboratory. Institutional Planning Process is the detailed sequence of activities that implement the annual institutional planning cycle of the Department. The process is established by the Director of Energy Research and coordinated with field and Headquarters elements through the Institutional Planning Working Group. Institutional Planning Working Group is a Committee which annually reviews the experience of institutional planning in the multiprogram laboratories and recommends improvements to the process and its documentation. The working group is made up of senior institutional planners from the cognizant Program Secretarial Offices, plus representatives from the multiprogram laboratories and related DOE Field Offices. It is chaired by the Director of Laboratory Management (ER-42). Laboratory Strategic Plan is the laboratory’s statement of its future development over a 20-year period, based on stated assumptions in the Institutional Plan of the laboratory. Multiprogram Laboratory is a major Departmental laboratory which conducts significant tasks for several programs, no one of which dominates the laboratory’s institutional nature. DOE 5000.1B 4-9-92 3 7. g. h. i. j. k. 1. New Work is a new task assignment significantly beyond the scope or level of work agreed upon in the laboratory’s approved Institutional Plan. On-site Review is an annual meeting of the multiprogram laboratory director, the responsible DOE Field Office Manager, appropriate Program Secretarial Officers, and the Cognizant Secretarial Officer for the laboratory. The purpose of the meeting is to review the laboratory’s draft institutional plan (including issues, initiatives, and 20-year strategic plan) and the laboratory’s response to summary appraisals. Program Secretarial Officer is a senior outlay program official and includes the Assistant Secretaries for Conservation and Renewable Energy (CE), Defense Programs (DP), Environmental Restoration and Waste Management (EM) Nuclear Energy (NE), and Fossil Energy, and the Directors of Energy Research (ER), New Production Reactors (NP), and Civilian Radioactive Waste Management (RW). Responsible DOE Field Office Manager is the manager of the DOE Field Office which provides the contract management function for a laboratory’s management contract. Site Development Plan is a formal written document summarizing all of the various data necessary to plan for the most effective utilization, orderly future development, and disposal of land and facilities at an individual site. Summary Appraisal is an annual report including findings and recommendations resulting from an evaluation of laboratory management activities conducted, in accordance with DOE 5000.2.

POLICY. The oversight and control of each multiprogram laboratory’s management will be assigned to a Cognizant Secretarial Officer of the Department. In exercising this oversight, the Cognizant Secretarial Officers will ensure that each of their laboratories establishes and uses a process for-medium and long-range planning of its future as an integral institution. Specific related policy includes: a. b. Each multiprogram laboratory identified in Attachment 1 will carry out institutional planning annually and report the results to its Cognizant Secretarial Officer in its Institutional Plan. Work assigned to a laboratory will be in general agreement with the missions and program projections documented in its Institutional Plan. 4 DOE 5000.1B 4-9-92 c. Work assignments to M&O contractors will not be approved if they represent attempts on the part of Headquarters Elements to obtain support services that are not a part of the approved missions of the M&O contractor. 8. RESPONSIBILITIES AND AUTHORITIES. a. The Secretary. (1) Is the sole authority establishing the role of the multi program laboratories and the policies governing their use. This authority may be delegated by the Secretary in whole or in part. (2) Issues the Department’s policy guidance to the multiprogram laboratories. (3) Annually reviews the results of multiprogram laboratory institutional planning. (4) Meets with Program or Cognizant Secretarial Officers and DOE Field Office Managers, as necessary, to address laboratory issues. b. Director of Energy Research. (1) Provides recommendations to the Secretary on Departmental policy relating to the multiprogram laboratories. (2) Develops the Institutional Planning Process and issues general Departmental instructions for multiprogram laboratory institutional planning. (3) Utilizes input from an Institutional Planning Working Group to develop the planning process and coordinate its implementation. c. Cognizant Secretarial Officers. (1) Ensure that laboratories under their cognizance conduct 5-year baseline planning and strategic 20-year long-range planning outlining the laboratory’s future development. (2) Utilize the Institutional Planning Process and the Departmental instructions provided by the Director of Energy Research in the institutional oversight of their laboratories. (3) Provide the annual call, schedule, and guidance for institutional planning to their laboratories. DOE 5000.1B 4-9-92 5 (4) Overview the Institutional Planning Process, conduct on-site reviews, establish agreement with Program Secretarial Officers, DOE Field Office Managers, and laboratory directors on the general nature and level of program activities to be conducted in each of their laboratories. (5) Approve the annual Institutional Plan of each of their laboratories. (6) Ensure that each approved Institutional Plan contains a focused set of laboratory missions that define the present and future major technical activities the Department wishes the laboratory to pursue. (7) Identify ‘laboratory issues that require Secretarial consideration and participate in deriving an appropriate solution for each issue. (8) Identify laboratory issues, initiatives, and problems, during internal budget reviews, that require consideration as part of the budget decisionmaking process. (9) During the annual on-site review, laboratory actions to correct deficiencies identified by the summary appraisal of the laboratory.

(10) Approve major new work assignments proposed for their laboratories. d. Assistant Secretary for Defense Programs modifies the laboratory planning system specified in DOE 5600.1 so that it complies, as much as possible, with all basic requirements of the Institutional Planning Process and its procedures, guidance, and format specifications, as established by the Director of Energy Research. e. Program Secretarial Officers. (1) Utilize the Institutional Planning Process and cooperate fully with the Cognizant Secretarial Officers in implementing the process. (2) Provide strategic program guidance to the multi program laboratories. (3) Review and provide comments on draft institutional plans from laboratories conducting activities in their program areas. (4) Provide the Cognizant Secretarial Officers with current program planning and expected future use of individual laboratories. DOE 5000.1B 4-9-92 (5) Participate in the on-site reviews of laboratories with a significant level of activities in their program areas. (6) Notify the Cognizant Secretarial Officer of any significant barriers to approval of the Institutional Plans. Provide comments necessary to guide the next annual planning cycle of the laboratory. f. Chief Financial Officer. (1) Prepares an annual table of anticipated laboratory funding, based on data from Program Secretarial Officers. (2) In exercising responsibility for site planning, established by DOE 4320.1B, reviews each Institutional Plan to assure that it is congruous with the Site Development Plan of the laboratory. g. Managers of Responsible DOE Field Offices. (1) (2) (3) (4) (5) (6) Act as agents of the Cognizant Secretarial Officers in the implementation of institutional planning. Ensure that the directors of the multiprogram laboratories under their purview comply with the institutional planning requirements established by the Cognizant Secretarial Officer and the Department-wide process. Provide Cognizant Secretarial Officers an independent review of issues, new initiatives, proposed construction, missions, and laboratory general purpose resource requirements, prior to the laboratory’s on-site review. Provide the Cognizant Secretarial Officer with independent assessment of a laboratory’s actions taken as a result of deficiencies identified by a summary appraisal of the laboratory. Monitor new work assignments, from the Department or other sources, to ensure that they are appropriate to the laboratory contract scope of work and the approved missions and are not in direct competition with the private sector. Monitor and approve non-DOE funded work to assure consistency with Departmental policy and guidelines. 9. A TYPICAL INSTITUTIONAL PLANNING CYCLE. The following outline describes the major steps which are considered important elements of a normal institutional planning cycle. Details of the cycle, or arrangement of the steps in time, can be modified as appropriate to meet unusual annual or laboratory situations: 6 DOE 5000.1B 7 4-9-92 a. b. c. d. e. f. g. h. i. j. k. l. The Secretary issues the multiprogram the Department. laboratory policy guidance for The Director of Energy Research coordinates and issues the Department’s general instructions for multiprogram laboratory institutional planning. Cognizant Secretarial Officers issue a call for institutional planning to their multiprogram laboratories and schedule their on-site reviews.

Management of each multiprogram laboratory submits a draft institutional plan to the Cognizant Secretarial Officer and the responsible DOE Field Office. The responsible DOE Field Office reviews the draft institutional plan of each laboratory within its purview, provides comments, and notifies the Cognizant Secretarial Officer as to whether the projected work is within the scope and provisions of the contract and is appropriate to the mission of the laboratory. Program Secretarial Officers review each draft institutional plan submittal, including the strategic plan and planning assumptions, in which the activities of their programs are discussed and submit comments to the Cognizant Secretarial Officer. The Cognizant Secretarial Officers conduct institutional planning onsite reviews at their multiprogram laboratories. The Cognizant Secretarial Officers provide the comments from the program reviews and guidance for preparing the annual Institutional Plan to their laboratories. Each multiprogram laboratory prepares an annual Institutional Plan. The responsible DOE Field Office reviews the plan, in draft, to ensure that it complies with and incorporates the essential program comments and the Cognizant Secretarial Officer’s guidance. Each multiprogram laboratory publishes its Institutional Plan and distributes it according to instructions from Headquarters. The DOE Field Office reviews the final plan and notifies the Cognizant Secretarial Officer of its general acceptability as a baseline for future work assignments and for distribution. Program Secretarial Officers review each Institutional Plan and notify the Cognizant Secretarial Officer if, for any reason, it is not acceptable as a general agreement on assignment of program work. DOE 5000.1B 4-9-92 m. The Cognizant Secretarial Officers approve the plans of their multiprogram laboratories. n. The Secretary reviews the results of the laboratories’ annual institutional planning. BY ORDER OF THE SECRETARY OF ENERGY: JOHN J. NETTLES, JR. Director of Administration and Human Resource Management