DOE O 5100.5, Office of Management and Budget - Budget Process

DOE-5100.5/TOC TABLE OF CONTENTS ISSUE DATE: 07-21-83 LAST CHANGE: CHANGE DATE: DOE-5100.5 OFFICE OF MANAGEMENT AND BUDGET - BUDGET PROCESS TABLE OF CONTENTS CHAPTER I - GENERAL Page 1. Introduction ................................................... I-1 2. General Policies and Guidelines ................................ I-2 Figure I-1 - Cross Reference of OMB Directives ........ I-2 3. Restrictions on Disclosure of Budget Information ............... I-4 4. Freedom of Information Act (FOIA) .............................. I-5 5. Public Request for Budgetary Information ....................... I-5 CHAPTER II - OFFICE OF MANAGEMENT AND BUDGET - PHASE I 1. OMB Submission ................................................. II-1 a. Overview ................................................... II-1 b. Initial Submission.......................................... II-1 c. Justification - General Guidance............................ II-2 (1) Overview of Budget Justification Material.............. II-2 (2) Funding Levels......................................... II-2 (3) Ranking................................................ II-2 (4) Staffing Control Levels................................ II-3 Figure II-1 - Ranking Sheets........................... II-4 d. Justification - Detailed Guidance........................... II-5 (1) Lead Table............................................. II-5 (2) Summary of Changes..................................... II-5 Figure II-2 - Lead Table............................... II-6 Figure II-3 - Summary of Changes....................... II-7 (3) Narrative.............................................. II-8 (4) Construction Project Data Sheets....................... II-8 Figure II-4 - Financial Schedule - Construction Projects ................................ II-14 Figure II-5 - Financial Schedule - General Plant Projects................................. II-14 Figure II-6 - Construction Project Data Sheets - Plant and Capital Equipment Funded............. II-31 Figure II-7 - Construction Project Data Sheets Operating Expenses Funded................ II-38 (5) Federal Manpower Justification......................... II-45 (6) Manpower Figures....................................... II-45 Figure II-8 - Summary of Full-Time Equivalents - Program Organizations.................... II-46 Figure II-9 - Summary of Full-Time - Headquarters Staff Organizations............................ II-47 Figure II-10 - Summary of Full-Time Equivalents Operations Offices ...................... II-48

e. Computer Materials (Fall Overview).......................... II-49 (1) Checklist for Supplementary Source Document............ II-49 (2) Checklist for Current Services Estimates (SSD-S)....... II-50 2. Other OMB Materials............................................. II-51 a. Telecommunications.......................................... II-51 b. Mayor Computer Requirements................................. II-51 (1) Major Item Identification.............................. II-51 (2) Major Computer Requirements Crosscut Summary........... II-52 (3) Data on ADP Systems.................................... II-52 (4) Initial Submission (OMB Estimates)..................... II-52 (5) Revised Submission (Congressional Estimates)........... II-52 3. Data on Research and Development................................ II-52 Figure II-11 - Report on Obligations for Telecommunications Systems.............. II-54 4. Data on Environmental Programs.................................. II-55 CHAPTER III - OFFICE OF MANAGEMENT AND BUDGET SUBMISSION - PHASE II 1. Print Materials Submission (Budget Appendix Material)........... III-1 a. Appropriation Language...................................... III-1 b. Program and Financing Schedule.............................. III-1 c. Object Classification....................................... III-2 d. Personnel Summary........................................... III-2 Figure III-1 - End of Year Positions, Fiscal Year FTE Summary................................. III-4 Figure III-2 - Permanent Positions by Appropriation.... III-5 Figure III-3 - Personnel Summary by Appropriation...... III-6 Figure III-4 - Personnel Summary by Appropriation by Year................................. III-7 e. Checklist for the Budget Appendix Materials................. III-8 2. Pay Cost Supplementals.......................................... III-9 3. Special Information Submission.................................. III-10 4. Departmental Administration..................................... III-10 Figure III-5 - Organizations Included in Departmental Administration.......................... III-11 Figure III-6 - Federal Personnel Support Services Schedule................................ III-12 Figure III-7 - Federal Travel and Transportation of Persons Schedule........................ III-13 Figure III-8 - Federal Personnel Expenses Summary Schedule................................ III-14 Figure III-9 - Object Class Funding Summary............ III-15 5. Outlays......................................................... III-16 Figure III-10 - Analysis of Budget Authority, Obligations and Outlays................ III-17 6. Supplemental Requests........................................... III-18 Figure III-11 - Example Supplemental Budget Request Memorandum............................. III-21 7. OMB Appeal Process.............................................. III-24 Figure III-12 - FY 19BY Appeal Format.................. III-25 Figure III-13 - Summary of FY 19BY Appeal Item......... III-26 Figure III-14 - FY 19CY Supplemental Agenda............ III-27 Figure III-15 - Summary of FY 19CY Supplemental Appeal Items.................................. III-28

DOE-5100.5/CI CHAPTER I - GENERAL ISSUE DATE: 07-21-83 LAST CHANGE: CHANGE DATE: DOE-5100.5 OFFICE OF MANAGEMENT AND BUDGET - BUDGET PROCESS CHAPTER I GENERAL 1. INTRODUCTION. a. The OMB Budget submission provides a mechanism for the annual OMB review of the Department's resource requirements. The OMB budget represents an update of the Internal Review Budget (IRB) to reflect the Secretary's decisions on the Department's budget. The submission should be based on the guidance contained in the Secretary's budget allowance. The process is initiated in early August with the issuance of the OMB call letter to the Heads of Headquarters Elements and selected field elements. Included in the call letter will be due dates; an approved program structure; a list of required figures; and any pertinent fiscal and policy information necessary to prepare the budget request. b. A statistical table reflecting the final Secretary's allowance will be issued shortly after the Secretary makes the final budget decisions and will serve as the control table for the OMB submission. Following reviews at the Assistant Secretary level the budget submissions undergo a second review, by the budget analysts in the Office of Budget, to determine that they accurately represent Secretarial decisions and are suitably supported by the justification. When the estimates are received in OMB they are referred to the examiners assigned to the program involved. They identify budgetary and programmatic issues of major importance to be raised for discussion with the Department's representatives at hearings conducted by OMB. Following the hearings, OMB examiners prepare their summary of the issues and their recommendations for the OMB Director's review. The Director's review results in the initial OMB allowance and provides an opportunity for the principal officials of OMB to obtain an understanding of the Department's program operations and budget requests. Analyses are prepared reflecting significant issues involving the relationship of the Department requests to the planning ceiling set for the Department as a result of the spring planning review. c. In anticipation of receipt of the OMB allowance, the Office of the Secretary and the Assistant Secretary, Management and Administration, will inform Departmental Elements of the OMB plans for passback of the allowances, together with a DOE schedule of events that will lead to the submission of an appeal document to OMB. The schedule of events includes dates for submission of formal appeals and timing of internal DOE reviews. d. OMB transmits the allowances to DOE in late November. OMB prepares an allowance fact sheet for each major program receiving an allowance different than the original DOE request. The fact sheet includes dollar allowances for current year supplementals, budget year requests, and 2 out years. Prior to actual receipt of the allowance, the Office of Budget personnel meet with OMB budget examiners to obtain additional clarifying information. Based on the analysis of the OMB allowance the Department undertakes an appeal process which results in additional supporting justification being sent to OMB. After analysis of the DOE appeals, OMB informs the Secretary of their final budget actions. On occasion the OMB may request hearings or additional information concerning the DOE appeal data.

2. GENERAL POLICIES AND GUIDELINES. General information and policies on the preparation and submission of budget estimates are contained in OMB Circular A-11, "Preparation and Submission of Budget Estimates." The budget request to OMB must conform to the policies and other requirements of Circular A-11. Circular A-11 sections, cross referenced against OMB directives and other regulations, provide the additional guidance necessary for the preparation of estimates (see Figure I-1). __________________________________________________________________________ | Circular A-11 Circular or | | Reference Other Regulations Title or Subject | | ------------- ----------------- ---------------- | | 13.2 Circular A-19 Procedures for the | | coordination and | | clearance of agency | | recommendations on | | proposed, pending, and | | enrolled legislation. | | | | 13.5 Circular A-45 (revised), Policies governing | | A-25 and A-121 charges for rental | | quarters and related | | facilities. | | | | 13.7 Circular A-10 Responsibilities for | | disclosure with | | respect to the budget. | | | | 13.2 Executive Order 12291 Reduction of onerous | | paperwork. | | | | 13.3 Circular A-64 Position management | | system and employment | | ceiling. | | | | 13.3 Circular A-76 Policies for acquiring | | 13.5(o) commercial or | | industrial products | | for Government use. | | | | 13.3(12) Circular A-30 Federal Employee | | Executive Order 11609 Uniform Allowance Act. | | | | 13.4(c) Executive Order 12348 Comparative cost | | Circular A-63 analysis to lease or | | (Revised) purchase general | | purpose real property. |

| | | 13.4(d) Executive Order 11490 Design and | | construction of | | Federal building | | including fallout | | protection. | | | | 13.4(e) Circular A-106 Reporting requirements | | Executive Order 11752 in connection with the | | Executive Order 12088 prevention, control, | | and abatement of | | environmental | | pollution at existing | | Federal facilities. | | | | 13.4(g) Executive Order 11988 Use of flood plains | | Executive Order 11990 for construction. | | | | 13.4(m) Circular A-18 Policies on | | construction of family | | housing. | | | | 13.4(n) GSA FPMR Policies on | | 101-35.2 acquisition of | | automated data | | processing equipment. | | | | 13.4(p) Circular A-95 Evaluation, review, | | and coordination of | | Federal and federally | | assisted programs and | | projects. | | | | 13.4(r) Circular A-63 Advisory committee | | management. | | | | 13.5 Circular A-112 Methods for estimating | | outlays. | |________________________________________________________________________| Figure I-1 Cross-reference of OMB Directives 3. RESTRICTIONS ON DISCLOSURE OF BUDGET INFORMATION. OMB Circular A-10, Revised, "Responsibilities for Disclosure With Respect to the Budget," imposes upon Federal officials and employees certain responsibilities with respect to the executive budget. Attention is specifically directed to the provisions of this Circular which restrict budgetary disclosures, as set forth below:

"Requirements for confidentiality prior to official transmittal. The confidential nature of agency submissions, requests, recommendations, supporting materials, and similar communications should be maintained, since these documents are an integral part of the decision making process by which the President resolves budget issues and develops recommendations to the Congress. Presidential budget decisions are not final until the budget itself is transmitted to Congress. Amendments to the budget and supplemental appropriation requests may also follow the transmittal of the budget. Budgetary information should not be disclosed in any form prior to transmittal by the President of the material to which it pertains. The head of each agency is responsible for preventing premature disclosures of this budgetary information. "Agency testimony before and communications with Congress on budgetary matters. In furnishing information on appropriations and budgetary matters, representatives of agencies should be aware of the limitations on such communications, including the limitation that: "No estimate or request for an appropriation and no request for an increase in an item of any such estimate or request... shall be submitted to Congress or any committee thereof by any officer or employee of any department or establishment, unless at the request of either House of Congress." (31 U.S.C. 15) "Furthermore, agency representatives should be aware of restrictions upon communications to influence legislation that are not conducted through proper official channels (18 U.S.C. 1913). "Clearance of changes in the President's budget. The prohibition against submissions by agencies to Congress of estimates or requests for appropriations without the approval of the President or request of either House of Congress applies to changes in appropriation language and to changes in the limitations recommended in the budget. When an agency desires to propose such changes, written requests will be presented to the Office of Management and Budget (in accordance with the provisions of OMB Circular No. A-11). All such requests must be transmitted through the Office of Budget and must include complete justification as to the need for the change." 4. FREEDOM OF INFORMATION ACT (FOIA). This Act requires that, with certain exceptions, identifiable records of the agency must be made available to the public. Nevertheless, OMB Circular A-10, revised, states that an agency should not release budgetary documents subject to the FOIA before the end of the fiscal year to which those records pertain. Specifically, it reads as follows: "Information available to the public. An agency may disclose budgetary records of that agency, if otherwise appropriate, upon a request for such records pursuant to the FOIA following the end of the fiscal year to which such information pertains. Although it is not possible to determine merely by the generic category of records whether an agency would be authorized to withhold records requested under the FOIA in every instance, most budgetary documents of an agency that are subject to the FOIA should be exempt from mandatory release pursuant to the provisions of 5 U.S.C. 552(b)(5), and an agency should not release such records prior to the expiration of the fiscal year to which such records pertain. Depending upon the nature of the records requested, other exemptions to the FOIA may apply or the release of records within 5 U.S.C. 552(b)(5) may be inappropriate even after the end of the fiscal year to which the records pertain. Agency heads will be held responsible for determining the propriety of releases of records under the FOIA pertaining to budgetary matters."

5. PUBLIC REQUESTS FOR BUDGETARY INFORMATION. Information from the Department's field budget requests, the Internal Review Budget (IRB) request, or the OMB request may not be released to the public. Information from these documents falls within the purview of OMB Circular A-10. Citizen inquiries may be referred to the Budget Formulation Branch (MA-301.3). DOE-5100.5/CII CHAPTER II - OFFICE OF MANAGEMENT AND BUDGET SUBMISSION - PHASE I ISSUE DATE: 07-21-83 LAST CHANGE: CHANGE DATE: DOE-5100.5 OFFICE OF MANAGEMENT AND BUDGET - BUDGET PROCESS CHAPTER II OFFICE OF MANAGEMENT AND BUDGET SUBMISSION - PHASE I 1. OMB SUBMISSION. a. Overview. The DOE budget is transmitted to OMB in several distinct phases. The initial submission due 9-15, includes the justifications, legislative proposals, and projected program supplementals as well as certain analytical crosscuts annually specified by OMB Circular A-11, section 15.1. Also included as part of the "initial submission" but usually due several days later is the "computer materials" submission. This is also referred to by OMB as "fall overview" and includes current services estimates, multi-year projections, receipts estimates, loan and credit program data and supplementary source documents. The second phase is the "print material" submission which is due to OMB upon receipt of the initial OMB allowance (OMB Circular A-11, section 15.3). The print material submission encompasses the items that are included in the Appendix to the President's Budget. In addition, after receipt of the initial OMB allowance the "computer materials" must be updated to reflect the allowance. Pay cost supplemental requests are generally on a separate track with due dates specified by OMB during the review process. b. Initial Submission. The OMB submission is divided into four categories, the regular budget request, legislative proposals, program supplementals, and certain crosscut materials required by OMB Circular A-11. Each of these four categories require separate OMB schedules. (1) The regular request consists of items for which funds are requested and which typically have existing substantive legislation authorizing the program. This represents the majority of the funds requested. (2) The legislative program represents a notification to Congress that a request for funds will be submitted upon enactment of substantive legislation. These items are typically included in a separate section of the President's budget. (3) Program supplementals include amounts needed for the current year due to unanticipated increases in resource requirements. (See page III-19, paragraph 6, for detailed guidance.) (4) OMB Circular A-11, "Crosscut Materials," includes specific analytical exhibits in specific subject areas. Detailed guidance for preparation of these materials is contained in OMB Circular A-11 and on page II-51, paragraph 2, of this directive. c. Justification - General Guidance.

(1) Overview of Budget Justification Material (OMB Circular A-11, Section 24.1). The Department's budget justifications will be prepared on the basis of discrete programs or organizational entities known as decision units. For each decision unit, programs will identify and discuss the implications of several funding levels. The format is similar to that used in the IRB Process. In addition, all decision unit funding levels must be ranked in priority order. Organizations, including those budgeted in the Departmental administration appropriation, are required to justify their staffing requests in their budget submissions to OMB. Manpower justifications are to be expressed in terms of full-time equivalents (FTE) (full-time permanent (FTP) and total). (2) Funding Levels (OMB Circular A-11, Section 24.1(a)). For each decision unit, the implications of the following will be identified and discussed: (a) Departmental Request will reflect the Department's preferred funding level, which is generally above the anticipated revised OMB target. All budget justifications are to be written to this level. (b) Revised OMB Target will reflect the amounts contained in the mid-session review as modified by OMB. These amounts are generally issued by OMB in mid-July. They may only be modified to reflect subsequent congressional action or approved Presidential initiatives. (c) Decrement Level is a level that typically falls below both the Departmental request and the revised OMB target. It will describe what activities will not be performed as a result of a 10 percent decrement below the revised OMB target. A decremental level is not required for each decision unit. However, organizations must have a sufficient number of reduced level packages to equal an overall 10 percent reduction from the revised OMB target level for their respective organizations. Further, they may not be used to reopen major issue items already the subject of Secretarial decisions. (3) Ranking (OMB Circular A-11, Section 24.1(b)3.). (a) To facilitate the Departmentwide ranking, organizational elements should also include a single comprehensive list, which ranks the various funding levels of all decision units in decreasing order of priority. A format for the ranking is illustrated by Figure II-1. For any decision unit, the decrement level must be ranked before the revised OMB target or Departmental request levels of the same decision unit. However, a Departmental request level for one decision unit may be ranked ahead of the decremental level of another decision unit. The ranking format should include: 1 A clear indication of the priority assigned to the funding level.

2 Identification of the decision unit and of each funding level. 3 Budget authority, budget outlays, and total full-time equivalent associated with each of the funding levels. 4 Cumulative budget authority, budget outlays, and FTE amounts. 5 A concise description of the decision unit at each funding level. (b) Program offices must submit a statement containing the rationale for their ranking. It should focus on how the request furthers the overall DOE goals and objectives. This rationale will be used in the Department-wide ranking. Therefore, the priority strategy employed and the potential impact of the rankings should be carefully considered. (4) Staffing Control Levels. Budget Year staffing controls reflect the budget levels to be requested. The basic justification will be written for the Departmental request level. Control tables reflecting the decisions on staffing will be included in the Secretary's allowance letter. Control levels for manpower, expressed in terms of FTP and total full-time equivalents given in the Secretary's allowance letter will be computerized for all organizations. These computerized tables will be provided to OMB as the official record of the Departmental staffing requested by appropriation, decision unit, and organization. The staffing levels shown in these tables will be those from which OMB will develop its manpower allowance mark for each decision unit, organization, and for the Department in total. Questions regarding these controls should be addressed to the Manpower Control Branch (MA-211.2). Changes in mix or deviation from the control levels cannot be made without prior approval of the Manpower Resource Management Division (MA-211). Changes will be considered only if the request is specific and justified. ____________________________________________________________________________ | Department of Energy | | FY 19BY OMB BUDGET | | RANKING SHEET | | Organization | | (in thousands of dollars) | | | | Cost This Activity Cumulative | | Rank Decision Unit -------------------- ----------------------- | | BA BO FTE BA BO FTE | | ------- ------- --- --------- --------- --- | | 1. Multi-Program Facilities 35,500 40,000 --- 35,500 40,000 --- | | (decrement) | | | | 2. Basic Energy Sciences 228,500 231,700 7 264,000 271,700 7 | | (decrement) | | | | 3. High Energy Physics 356,600 360,000 9 620,600 631,700 16 | | (decrement) ___|________| | | | | | 4. Basic Energy Sciences | 31,000 31,000 3 651,600 662,600 19 | | (revised OMB target) | | | | | | | | |21. Multi-Program Facilities| 15,000 5,000 --- 1,701,500 1,689,000 327 |

| (Departmental request)| | | | | | ------------------------- | | | Narrative explanation of | | | | | | _______________________|______________________ | | | Outlays associated with decrement packages | | | | often higher than BA because decremental | | | | level includes all outlays resulting from | | | | prior year appropriations. | | | |____________________________________________| | | | | Description | | Rank Decision Unit ------------------------------------------ | | | | 1. Multi-Program Facilities Provides $25 million for continued funding | | (decrement) of 19PY construction starts, $7 million to | | begin construction of ESRL at ORNL, $2.5 | | million for new starts in 19BY Reduced | | program level. | | | | 2. Basic Energy Sciences Defer Social and Economic Sciences and | | (decrement) High Temperature Materials Lab. Decreases | | of research of 8% from 19PY level. | | Several facilities shutdown or severely | | limited in operation. | | | | 3. High Energy Physics Facility utilization 20-30%. Isabelle and | | (decrement) tevatron 1 pace slowed, Energy Saver | | Operation deferred until late 19PY+1, | | Tevatron II deferred, and 20% loss of | | scientific manpower. | | | | 4. Basic Energy Sciences Defer Social and Economic Sciences and | | (revised OMB target) High Temperature Materials Lab. Decrease | | of research of 3% from 19PY level. | | Reduced utilization of existing facilities | | and less planned use of new facilities. | | | | | | 21. Multi-Program Facilities Provides for a more economic funding | | (Departmental request) pattern for 19PY projects and permits | | about $43 Million for new starts in 19BY | | comprised of 18 project at several | | different labs. Enables progress on | | backlog. | | | | | | ___________________|____________________ | | | Cannot be longer than 4 lines, 50 | | | | characters per line for each funding | | | | level. | | | |______________________________________| | |__________________________________________________________________________| Figure II-1

Ranking Sheet d. Justification - Detailed Guidance. (1) Lead Table. Justifications prepared for each Assistant Secretary by appropriation at the decision unit level of detail will include a lead table in the format of Figure II-2. The table should include a breakout of each lower level of detail addressed in the narrative. Funding data included in the table must be consistent with control tables and the narrative justifications. The table will include five columns, as follows: (a) Prior Year (PY) Appropriation. Reflects amounts appropriated to date including enacted supplementals made comparable to the Fiscal Year 19 Budget Year (FY 19BY) structure. Comparability transfers should be footnoted. (b) Calendar Year (CY) Estimate. Should reflect the amounts contained in the President's budget, as amended, made comparable to the budget year. However, if there is an enacted appropriation or a conference report, funding provided in the appropriate congressional reports would be reflected. Comparability transfers should be footnoted. (c) Budget Year (BY) Estimates: 1 Decrement level; 2 Revised OMB target; and 3 Departmental request. (2) Summary of Changes. (a) A summary of changes, Figure II-3, will follow each lead table in the justification material and be consistent. This table is an itemized list of the dollar changes which occur among the FY 19CY budget level, the decremental, OMB target, and program planning FY 19BY levels. The table is not intended to be a justification, but rather an identification of proposed changes. The relationship between the lead table and the summary of changes table is analogous to the same tables used in the congressional justification. (b) The summary of change will be prepared for each decision unit and must agree with the preceding lead table. Increases will be identified for each subactivity level shown in the lead table and discussed in the narrative justification. The stub should be constructed in such a way that in one or two lines the increases can be explained.

____________________________________________________________________________ | DEPARTMENT OF ENERGY | | FY 19BY OMB BUDGET | | LEAD TABLE | | NUCLEAR | | ------- | | Energy Supply Research and Development - Operating Expenses | | Energy Supply Research and Development - Plant and Capital Equipment | | (Tabular dollars in thousands. Narrative material in whole dollars.) | | | | FY 19BY Revised | | ------------------------------- | | Depart- | | FY 19PY FY 19CY mental | | Appropriation Request Decrement OMB Target Request | | ------------- ------- ----------- ---------- -------- | | Conventional Reactor | | Systems (NE) | | Light Water Reactor | | Systems | | Operating Expenses $23,900 $49,500 $51,200 $56,900 $62,600 | | Capital Equipment 0 500 600 600 600 | | -------- ------- -------- -------- -------- | | Subtotal 23,900 50,000 51,800 57,500 63,200 | | Three Mile Island | | (TMI) | | Examination Activities | | Operating Expenses 0 0 9,000 10,000 10,000 | | Capital Equipment 0 0 0 0 0 | | -------- ------- -------- -------- -------- | | Subtotal 0 0 9,000 10,000 10,000 | | Advanced Reactor | | Systems | | Operating Expenses 4,000 4,700 5,400 5,400 5,400 | | Capital Equipment 100 300 300 300 300 | | -------- ------- -------- -------- -------- | | Subtotal 4,100 5,000 5,700 5,700 5,700 | | Program Direction | | Operating Expenses 941 1,298 1,500 1,500 1,600 | | -------- ------- -------- -------- -------- | | Subtotal 941 1,298 1,500 1,500 1,600 | | Total | | Operating Expenses 68,341 55,498 67,100 73,800 79,600 | | Capital Equipment 2,600 800 900 800 900 |

| -------- ------- -------- -------- -------- | | Conventional Reaction $ 70,941 $56,298 $ 68,000 $ 74,600 $ 80,500 | | Systems | | | | Staffing Total FTE's 65/67 63/65 62/63 63/65 63/65 | | ------------------------------------------------------------------------ | | Authorization: Section 31, P.L. 83-703 | | ------------------------------------------------------------------------ | |__________________________________________________________________________| Figure II-2 Lead Table ____________________________________________________________________________ | DEPARTMENT OF ENERGY | | FY 19BY OMB BUDGET | | | | SUMMARY OF CHANGES | | ------------------ | | Decision Unit Title | | (dollars in thousands) | | | | FY 19CY Budget request $ 68,700 | | | | High temperature reactor technology | | - reduce scope of experiment -1,200 | | by eliminating one test | | | | TMI | | - Increase number of inspections +500 | | -------- | | Decremental level $ 68,000 | | High Temperature reactor technology | | - Expand number of experiments +5,700 | | | | TMI | | - Expand program to include core | | removal +1,000 | | -------- | | OMB Target level $ 74,700 | | | | High temperature reactor technology | | - Conduct temperature test +5,700 | | | | Program direction | | - Increase FTE by 3 positions +100 | | in quality control monitoring -------- | | Departmental request level $ 80,500 | |__________________________________________________________________________| Figure II-3 Summary of Changes

(3) Narrative (OMB Circular A-11, Section 24.1(b)1). (a) The narrative justification provides a detailed, logical explanation of program goals and objectives, the best means for attaining them, the rationale for a Federal role, and the estimated resources required to do so. The justification documents for each Assistant Secretary are to be organized by appropriation accounts and detailed at the specific decision unit level of detail. The justification must explain and justify the FY 19BY amounts in the lead table in a consistent and organized manner. It should focus on the Departmental request level. Further, OMB Circular A-11 provides specific minimum requirements for the narrative portion of the justification. This includes the nature of the problem being addressed, the rationale for a Federal role, objectives and accomplishments, as well as the relationship to other programs and constraints. (b) The narrative should utilize the financial and workload data which will enhance the understanding of the characteristics of the organization or appropriation. Lower level breakdown strengthens the justification, and its use is encouraged. In a separate section, the narrative should describe the activities that would be eliminated and the impact if the decision unit were funded at the OMB target level. In another separate, but similar, section the narrative should describe the additional activities that would be eliminated and the impact if the decision unit were funded at the decrement level. (4) Construction Project Data Sheets. (a) Key Concepts, Budgeting for Plant Acquisition and Construction, and Capital Equipment Not Related to Construction versus Operating Expenses. The budgets for operating expenses (OE), plant acquisition and construction (PL), and capital equipment not related to construction (CE) should be prepared so as to be consistent with the accounting treatment as prescribed in DOE 2200.1, ACCOUNTING POLICY AND PRACTICES, paragraph 4b, chapters II and VI. Below are guidelines to be used in simplifying the determination as to where the acquisition of land, facilities, or equipment should be budgeted: 1 Items of capital equipment for which the Department will retain title, cost in excess of $3,000, have an expected service life of more than 1 year, and not required to complete a construction project, shall be budgeted for as capital equipment not related to construction. Low value capital equipment, $3,000 or less, may be budgeted from plant and capital equipment (P&CE) or operating expenses in accordance with the policy stated in DOE 5100.1. PROGRAMMING, BUDGETING, AND ACCOUNTING FOR THE ACQUISITION OF LOW VALUE CAPITAL EQUIPMENT.

2 Items of capital equipment not related to construction required for experimental projects shall be budgeted from operating expenses if the equipment will be destroyed during the experiment or will have no further value other than scrap upon completion of the experiment. 3 Budget plant and capital equipment funds for the following: a All land acquisition (fee or easement). b All constructed facilities and capital equipment necessary to provide a complete and operable facility. c Exception, facilities, or equipment which meet the definition of research and development, and which normally have an estimated life of less than 3 years may be budgeted for as operating expenses. 4 The leasing of facilities and equipment is permissible when it is in the best interest of the Government to do so. Lease payments are budgeted for as operating expenses: a Lease With Option to Purchase. When a lease contains an option to purchase, the lease payments are budgeted as operating expenses. However, if the option is exercised by the Government, the purchase price under the option will be budgeted for as plant and capital equipment not related to construction. b Lease Purchase Agreements. Agreements which provide for transfer of title at the end of the lease term or for the transfer of title by exercise of an option at a nominal sum unrelated to the value of the property at the time the option is exercised, are considered installment purchases. Funds for the annual payments shall be budgeted under operating expenses. However, because the Department assumes all risks of ownership, the total amount of the annual payments shall be recorded as an item of DOE-owned property and capitalized. In the event the purchase is accelerated prior to the last year of the lease-to-ownership arrangement whereby the full amount of the remaining installments are paid at one time, then funds required to complete the purchase shall be budgeted for as plant and capital equipment not related to construction. Note that real property may not be acquired in this manner as the Department has no lease-purchase authority for real estate. c ADP Planning Documents. When ADP equipment is going into a rehabilitated location it should be capital equipment; in a new location it should be plant. (b) General.

1 Construction project data sheets are used to explain and justify the need for construction projects. These documents are to be updated and submitted annually as part of the field budget submissions for all projects requesting DOE funding in FY 19BY. The data sheets shall be prepared as illustrated in Figure II-6, "Plant and Capital Equipment," and Figure II-7, "Operating Expenses Funded," using the amount of space required for the presentation under each section. Continuation pages shall be used as necessary. The data sheets examples may not contain all of the elements described in the instructions. 2 Construction projects and operating expenses funded projected over $25 million total estimated cost (TEC) should be validated by the Office of Project and Facilities Management (MA-22) prior to submission of the IRB. 3 Construction project data sheets present the description, justification, and cost data for all construction projects budgeted and accounted for under plant and capital equipment and operating expenses appropriations. Include in the cost of a construction project, all costs in connection with the addition and or retirement of plant and equipment (including transferred equipment and materials), land, improvements to land, buildings (including permanently attached equipment), utilities, and initial movable equipment such as machine tools, laboratory and office furniture, and equipment necessary to outfit a building or group of buildings for operation. Exclude initial stocks of spare parts or other materials and supplies which are initially chargeable to inventories. Estimates for general plants projects (GPP) shall provide only for work to be authorized during the fiscal year, since funds for this purpose are both authorized and appropriated annually. 4 General plant projects shall be assigned to outlay programs. The predominant program at any given site normally assumes budget responsibility for those GPP's which provide basic support for all functions at the site. GPP support for program-specific work at the weapons activities multiprogram laboratory will be funded by the program originating the request. (c) Preparation of Construction Project Data Sheets. 1 DOE is required by law to obtain congressional authorization for the appropriation of funds. Insofar as practical, the development and review of the program to be submitted to the Congress for authorization will be undertaken as an integral part of the regular budget process, both internally and through OMB. Construction project data sheets shall be prepared and submitted for all projects requiring authorization or appropriation in the budget year.

2 Construction project data sheets shall be prepared as follows: a A separate data sheet shall be submitted for each new plant or facility and for each alteration or addition involving the construction, modification, alteration, or improvement of a building which is estimated to cost more than $1 million. The construction of a number of similar or related units, under a specific program, may be submitted as a single project, i.e., the construction of a group of facilities for a specific reactor. b A single data sheet shall be submitted to include other projects on a consolidated basis, covering alterations, improvements, additional, or new construction as well as provision, where necessary, for construction items of an unpredictable or unforeseeable nature which is estimated to cost less than $1 million. These projects shall be titled "General Plant Projects." The data sheet shall be prepared to indicate the funds requested in the program planning estimate, and include a note to indicate which projects would be deleted to attain the target estimate and the decremental estimate as indicated in Figure III-15. c Data sheets for the multi-program general purpose facilities program will be submitted for those projects selected by the multi-program general purpose facilities review committee. d A data sheet should be an objective document written from the standpoint of the Department as a whole rather than as one segment of the Department. Personal pronouns, building and area numbers, identification of staff personnel, and unsubstantiated value judgements should not be used. A data sheet should be self-sufficient. The use of technical terms that have a special connotation in industry or science should be avoided and should not depend on the reader having access to other documents. e The scope of the project shall be set forth in the data sheets in detail sufficient to permit a careful review and evaluation of the project. The data sheet items should not, however, be stated so precisely as to preclude the exercise of appropriate latitude by the manager in the actual design and construction of the project, as described in the data sheet, after authorization and appropriation of the funds.

f Information required on page II-25, subparagraphs n through r for Figure II-6 and page II-30, subparagraphs o through s for Figure II-7 should be presented on separate sheets as these data are removed from the figures for the submission to Congress. 3 The following detailed instructions govern the preparation of construction project data sheets, Figure II-6. a Item 1, Title and Location of Project. i Each project title must be unclassified. ii Project titles shall be sufficiently short and descriptive to permit ready reference. iii Project title should not include specific building or area numbers. iv In typing project titles, an initial capital shall be used for the first word in the project title and for proper names. v The location of the project shall be given. b Item 2, Project Number. New project numbers shall be issued by the Budget Formulation Branch within each budget year, showing the year, the organizational code, the appropriation, and the sequential number of the project. c Items 3 and 3a, Date A-E Work Initiated and Date Physical Construction Starts. Insert the quarter and year in which A-E work began or is to be initiated and physical construction started or is to be started, respectively. Do not assume "start" of a budget year project prior to the start of FY 19BY. The most realistic dates possible should be shown based on the status of conceptual work, assuming availability funds at the beginning of the budget year. d Item 4, Date Construction Ends. Insert the quarter and year in which construction is expected to be completed. e Item 5, Previous Cost Estimate. i Insert the last total estimated cost of project which has previously been submitted to the Congress. The date on which that estimate was determined shall also be shown. ii If the project has not previously been submitted to Congress then the word "none" should be shown. f Item 6, Current Cost Estimate. Insert the current total estimated cost of the project and the date on which the estimate was prepared or reviewed and confirmed. If plant engineering and design (PE&C) funds are included in the current cost estimate, indicate as follows: Current Cost Estimate $27,350 Less amount for PE&D 350

Net Cost Estimate $27,000 g Item 7, Financial Schedules. For all construction projects, indicate by fiscal year, the amounts required for authorization, appropriation, obligations, and costs. The total of these columns shall agree with item 6, "Current Cost Estimate" or "Net Cost Estimate," if PE&D is included. The tabulation should be consistent with the project schedule dates as shown in items 3, 3a, and 4. Where the totals of these columns are at variance with item 6, an explanation footnote should be provided. Financial schedules should reflect all funding for the project from its beginning. Where an authorization bill was not enacted, authorization data should reflect the amounts appropriated to the extent necessary to bring authorizations to date in line with appropriations to date. Programs should seek sufficient authorization to cover budget year appropriations only. The Department will no longer request authorization of the total estimated project cost in advance of the appropriation requirements. i Figure II-4 is a financial schedule required for all construction projects: ___________________________________________________________________ | Fiscal Year Authorizations Appropriations Obligations Costs | | ----------- -------------- -------------- ----------- ------- | | Prior Years $50,000 $30,000 $30,000 $ 5,000 | | 19CY --- $20,000 $20,000 $ 7,000 | | 19BY $15,000 $15,000 $15,000 $13,000 | | 19BY+1 $15,000 $15,000 $15,000 $20,000 | | 19BY+2 $20,000 | | after 19BY+3 $14,400 | | | |_________________________________________________________________| Figure II-4 Financial Schedule - Construction Projects ii In addition, General Plant Projects shall show, for purposes of comparison, the obligations and costs incurred for similar work in the 2 preceding years. This data shall be reported as outlined in Figure II-5.

_______________________________________________________________________ | Costs | | --------------------------------- | | Fiscal Year Obligations FY 19PY FY 19CY FY 19BY After | | ------------------ ----------- ------- ------- --------------- | | FY 19PY-1 Projects $ 0 1/ $1,000 $ 500 $ 0 $ 0 | | FY 19PY Projects 5,000 3,000 1,000 1,000 0 | | FY 19CY Projects 6,000 0 4,000 1,000 1,000 | | FY 19BY Projects 7,000 0 0 4 000 3,000 | | ------ ------ ------ ------ | | $4,000 $5,500 $6,000 $4,000 | | | | 1/ FY 19PY-1 or prior projects shall be shown only if costs are | | incurred in FY 19PY, 19CY, or 19BY. Costs prior to FY 19PY | | shall not be shown for such projects. | |_____________________________________________________________________| Figure II-5 Financial Schedule - General Plant Projects h Item 8, Brief Physical Description of Project. This item should state clearly, but concisely, the essential features of the project, indicating whether it is a new facility, alteration of existing facilities, or addition to existing facility. In describing facilities, code words, if used, should be identified as such. Any unusual technical terms should be explained when used in project descriptions. Describe the following physical aspects as applicable. The description should read such that easy correlation can be made with the cost estimate given in item 10. i Describe improvements to land and, where this item constitutes a major portion of the project, include information such as the approximate length, width, and type of roadways, approximate capacities of parking areas, and any proposed drainage structures and fencing. ii Describe each building or building addition, including approximate floor plan dimensions, gross area, number of stories, story heights, basement, if provided; types of construction and reason for using such if not obvious; types of heating and air-conditioning; capacities of cranes and any design, fabrication, or construction features which are unusual or specialized and have a significant impact on the cost estimate, such as shielding, protective construction, hot cells, or special ventilation systems, environmental protection systems, and fire protection systems. iii Describe other structures, such as pits, tunnels, towers, bunkers, stacks, and other enclosures not included in subparagraph ii, above.

iv Describe any special facilities, such as accelerator components, movable shielding, vacuum systems, processing piping, power or controls, reactor vessels, inert gas, hydrogen or purging systems, or cryogenic systems. v Describe types of utilities to be provided, such as water, sewer, and power, and where this item constitutes a major portion of the project, include information such as the length and size of the utility lines. vi Describe any standard equipment included in this project such as office and laboratory furniture and equipment, hoists, and machine tools. vii Describe any computer system or component of a computer system having a total estimated purchase cost of $400,000 or more including related capitalizable costs. The types of related capitalizable costs and an estimate of each cost shall be provided. A brief justification and explanation of the rationale for utilizing construction funds shall be provided. viii For those projects not receiving full appropriation in this year's budget, provide a brief description of that portion of the scope to be accomplished with this year's appropriation. ix For those facilities where nuclear contamination will occur, identify the tentative method of decommissioning the facility at the end of its useful life, indicate the expected useful life of the facility, and include a cost estimate for decommissioning. The cost estimate should be developed using constant year dollars. (See page II-22, subparagraph m). Indicate that the estimate is in constant year dollars and the reference year. Identify the approximate year when the final decommissioning method will be selected and the final cost estimate for decommissioning will be developed. This information will be used as a baseline for an authorization request for a construction project where the decommissioning will be a significant project. x Projects for GPP may be described in more general terms by identifying the contractor and other installations covered by the project and stating the nature of the various types of alterations, modifications, improvements, or new construction to be undertaken.

i Item 9, Purpose, Justification of Need, and Scope of Project. This item should lead off with a sentence stating clearly and concisely the primary reason for proposing the project. The narrative justification shall also include the following elements as applicable: i Describe the research, development, or production program which is underway or planned, including the relationship of the proposed facility (both as to need and timing) to the program objectives and schedules. ii State the criteria which determined the size or scope of the project, such as volume of production, storage capacity, number of persons to be housed, and/or space requirements for research. iii To the maximum extent feasible within security limitations, data sheets for projects involving production increases should indicate the present production rate or capacity and the change proposed. If the project is deemed to be an intermediate phase of a long-range program, indicate its relationship to the foreseeable planned capacity. If a production facility, state annual capacity and basis therefore, i.e., 1-shift, 2-shift operation, 5-day week, 6-day week. When inclusion of capacity involves "Top Secret" data, indices shall be used therefore to the maximum extent practicable, or, if not practicable, the information shall be submitted separately to the program organization concerned. iv If the purpose of the project is for replacement of existing facilities, explain fully the circumstances which make replacement necessary and the disposition to be made of the replaced facilities. v Indicate that existing facilities have been reviewed to determine that the need cannot be met by modification of existing facilities. This is of particular importance in the case of radioactively contaminated facilities where decontamination and decommissioning costs are factors. vi State the reasons for the proposed timing of the completion of the project and the effect on the program if the project is deferred or not authorized.

vii To the maximum extent practicable, justifications should contain data on the economics of the project including the basis for calculating savings and payout. In computing savings, comparative cost estimates shall include the cost of depreciation of the facility. Justifications can often be strengthened by reference to alternatives and to the consequences of disapproval. viii If the data sheet shows both a previous cost estimate and a current cost estimate on line 5 and 6 of Figure II-6, explain the factors involved in determining the revised estimate. ix If construction costs include overhead of an offsite contract laboratory operated by a university or other institution, the reasons for including such overhead and the method by which the amount of such overhead was determined shall be stated. x The construction project data sheet shall state the estimated gross annual cost (excluding depreciation) for operating the facilities upon completion, less any offsetting reductions which are applicable. In case of replacement facilities, include comparative data for the facilities being replaced. aa For production type facilities or power producing facilities both the first full-year's operating costs, maintenance costs, and the annual costs at equilibrium should be set forth. Gross annual costs, revenues, or other offsetting reductions, and new annual costs should be shown. bb For research or development facilities, including new research machines, show separately the operating costs, maintenance costs, the total cost of the the research or development program to be carried out, and the incremental program cost related to occupation of the new building. cc In all cases, the basis for these estimates of annual cost for operations and maintenance should be included. xi For any construction project which requires the conduct of a research and development (R&D) program directly pre-requisite to its specific design and construction features and for which R&D funds are included in the operating expenses appropriation request, the total estimated costs for the budget year and for each future year of such R&D will be included for such project. (See page II-23, subparagraph bb).

xii The justification for GPP shall set forth major known subprojects and examples of cost, a brief physical description, and a concise narrative justification. Include only those classifications that are applicable to the project. All costs should be presented in current year dollars. j Item 10, Detail of Cost Estimate. i This section of the data sheet consists of an estimate for each of the account classifications listed in subparagraph iii, below. Under each of the classifications give a breakdown of the costs, indicating significant units and costs wherever possible. ii General administrative and other indirect costs, properly charged to the project, shall not be shown as a line item but shall be prorated among the various elements of construction costs. Also the estimated costs of construction management services by private firms shall be similarly prorated among the various elements of construction costs. Only the account classifications applicable to the project need be listed. However, if it has been determined that the project will be administered under an "offsite" contract with a university or other institution, and that the institution will be reimbursed for overhead in connection with such administration, a memorandum entry shall be included indicating the estimated amount of such overhead. The costs for preparing system design descriptions or any comparable technical documentation are to be budgeted for and costed to the operating or plant and capital equipment appropriations consistent with the treatment of related expenditures, e.g., documents which are accomplished for conceptual design are charged to operating costs while those performed for Title I and II are charged to plant and capital equipment. The costs for preparing environmental documentation shall be budgeted for and costed to operating expenses. iii The account classifications to be used, together with explanatory notes, are provided below: aa Engineering Design and Inspection Costs at the Approximate Percent of Construction Costs. Compute costs and indicate as approximate percentage of total construction costs rounding off to the nearest percent. Include costs for safety analysis reviews made after selection of the site.

bb Land and Land Rights. Provide a breakdown identifying each site to be acquired, the acreage or square miles involved, unit cost, and total cost or the cost of each land right acquired. See DOE 4300.1, REAL ESTATE MANAGEMENT, for regulations concerning the acquisition of real property. cc Construction Costs. (i) Improvements to Land. Indicate the types of improvements to be made and total cost. Where this subitem constitutes a major portion of the project, it should be expressed in terms of units, unit costs, and total cost, such as ____ miles of road at $____ per mile. (ii) Buildings. List and identify each Building or building addition to be constructed or existing building to be modified, showing gross square feet, unit cost, and total cost. If the unit cost is unusually high, provide a footnote explanation. (iii) Other Structures. List and provide costs for each major other structure described on page II-14, subparagraph h. (iv) Special Facilities. Identify major engineered equipment, and special systems, as described on page II-14 subparagraph h. Where major equipment components identified under "Special Facilities" appear to be standard in nature but are listed as special because, for example, they actually require special engineering and/or fabrication to meet requirements, an explanation of the special nature of the equipment should be included. (v) Utilities. List the types of utilities described on page II-14, subparagraph h and the total cost. Where this subitem constitutes a major portion of the project, units, unit costs, and total costs should be shown. dd Standard Equipment. List and provide costs for the major items of "off-the-shelf" equipment and furnishings, requiring a nominal engineering effort, as described in item 8. Costs shall include any engineering effort required.

ee Major Computer Items. List and provide costs for each major computer item as described in item 8. ff Removal Cost Less Salvage. Include removal costs less salvage incident to the replacement of plant and equipment applicable to the project. Separate projects shall be established to budget and account for removal costs and salvage incident to the retirement of plant and equipment which is not to be replaced. gg Contingency at Approximate Percentage of Above Costs. Compute and indicate a contingency amount as a percentage of all above costs, rounding to the nearest percent. This contingency is provided to cover unforeseen and unpredictable situations and shall not provide for increasing the scope of the project. The amount of contingency will depend on the status of design and complexity of the project. hh Unit cost per square foot or cubic foot for buildings or other construction shall be computed on the basis of gross areas and shall exclude the amount included in the estimate for contingencies. Unit costs should not be more precise than warranted by the status of design. ii The items to be shown in this section of the data sheet should include all pertinent data on quantities and unit costs, even if this repeats some data reported in item 8 or 9. Unusual unit cost, engineering design, and inspection or contingency rates should be explained in footnotes. The total estimated cost shall agree with item 6. jj A statement should be included as a footnote at the end of the estimate to show the basis for the estimate, e.g., "conceptual design is complete, and Title 1 design is 25 percent complete." kk The items to be shown in this section of the data sheet shall be listed in tabular form, wherever practicable; so that the cost data may stand out in the presentation. If explanatory notes for any of the items listed are necessary, they will be provided as a footnote to the section. Explanatory notes shall be provided to indicate reasons why certain unit costs may be out of the normal range; cost allowances made for isolation; costs related to speedup of construction showing hours per week which estimate is based; and factors affecting the contingent amount. The method to be used in showing these footnotes is noted in Figure II-6.

ll Normally, costs should be rounded off to the nearest $10,000 for item costs and to the nearest $100,000 for total costs. mm Escalation rates should be explicitly stated and when the rates are significantly different that the guidance provided in the budget call, a thorough explanation should be provided. k Item 11, Method of Performance. Indicate the type of contracting arrangements contemplated, using the following paragraphs or combinations of parts of these paragraphs as a guide: i Design and inspection will be performed under a negotiated architect or engineer contract. Construction and procurement will be accomplished by fixed price contracts awarded on the basis of competitive bidding. ii Design and inspection will be performed by the operating contractor. To the extent feasible, construction and procurement will be accomplished by fixed price contracts and subcontracts awarded on the basis of competitive bidding. l Items 12 and 13. All projects which have a total estimated cost (TEC) of $5 million or more, and for projects with a TEC of less than $5 million where there are significant "other direct project costs" or when there are exceptionally large "other related costs," will have an item 12 and an item 13. Item 12 will contain the financial schedule and item 13 will contain the narrative material associated with the financial schedule. These items are used to explain and justify construction projects on a total cost basis. Items 12 and 13 shall be prepared as illustrated in Figure II-6, using the amount of space as required for presentation under each section. If items 12 and 13 are not required, indicate on the data sheet "items 12 and 13 are not required." m The following are more detailed instructions to use in completing items 12 and 13. The cost estimates in items 12 are to be developed using the general guidance provided below. Item 13 will parallel the costs detailed in item 12 with a narrative justification and explanation. The narrative shall include a brief description of each item in 12, its cost, the basis for operating expense funding and a schedule for accomplishment of the item. It should include the estimated start and completion dates and relevant project interface dates.

i Total Project Cost. aa Total Facility Cost. This section shall contain all those costs which are directly related to construction of the facility. (i) The construction line item costs must agree with those costs contained in prior sections of the data sheet. (ii) Plant Engineering and Design (PE&D) costs shall be shown in the proper year to agree with data sheet. (iii) Operating Expense Funded Equipment. Any equipment, system, component, or other item which is funded from the operating expenses appropriation for the direct use of the construction project or is required to make the facility or experiment complete and operable should be included. A narrative justification should be included to explain the reasons for expenses funded items and examples of items to be funded in this manner. (iv) Inventories. Any inventories which are necessary to put the facility into use should be included. bb Other Project Costs. (i) R&D Necessary to Complete Construction. Any construction project which requires the conduct of a research and development program directly prerequisite to its specific design and construction features and for which R&D funds are included in the operating expenses appropriation request, the total estimated cost by fiscal year for such R&D will be included. Funds used for conceptual design should be included. (ii) Conceptual Design. Indicate the cost of conceptual design and should be escalated to the year of expenditure. (iii) Other Project Related Costs. Any other costs directly related to the project that occur on a one time basis, such as startup costs, training, and decommissioning cost, should be listed and provide a narrative explaining and justifying each cost. (iv) All costs under (i) and (iii) shall be escalated to the year of expenditure.

ii Other Related Funding Requirements. This section should include the ongoing costs directly associated with the operation of the facility and the programmatic effort to be conducted using the facility which is not appropriate for inclusion in total project cost. An estimate of the annual costs and a narrative explanation should be included. In this portion of the data sheet, the narrative explanation will take precedence over the cost estimates. Any significant variances in the annual cost estimates should be explained in the narrative. For example, there may be the planned purchases of a major item of equipment which will substantially change the annual costing rate or make a significant change in the mode of operation. Indicate the estimated useful life of the project (years). aa A facility operating cost estimate should include the annual costs to operate and and maintain the facility including cost of utilities, labor, and materials. Indicate the man-years of efforts required to operate facility. bb Include programmatic effort which relies upon the direct and primary use of the facility. Provide a yearly estimate and narrative justification. cc An estimate of annual capital equipment needs not related to construction but related to the programmatic effort included in subparagraph ii, above, should be included. The accompanying narrative should explain any expected installations of new programmatic related capital equipment. dd Include a yearly cost estimate and narrative justification of GPP or other expected construction related to programmatic effort included in subparagraph ii, above. Include the man-years of effort required to maintain and repair the facility. ee Any other expected annual costs should be listed with an accompanying narrative. iii Significant Cost Variations. In addition, any significant variations in the annual costing rates for the preceding items should be footnoted. For example, the procurement of a new nuclear reactor core on a very infrequent basis would greatly increase the annual capital equipment cost rate for a facility. These deviations in costs should be segregated from the annual cost rates.

n Item 14, Incorporation of Fallout Shelters in Future Federal Buildings. For all suitable buildings the total estimated costs shall include fallout shelter space conforming to the design requirements. The existence of adequate fallout shelter space in the vicinity or the location of this facility in a security area should not necessarily prevent the consideration of providing shelter space in new facilities. For purposes of this item, one of the following statements should normally be used: i Efforts will be made through the use of slanting techniques in design of this building to provide additional shelter space at little or no additional costs. ii If fallout shelters are not provided, indicate the reason, i.e., sufficient space available, and deficiency programmed in another project. iii The building to be constructed as a part of this project is not suitable for use as a fallout shelter because ... (the reason may be type of construction, such as prefabricated metal buildings, or type of work to be performed in the facility, such as the handling of explosives or radioactive material). iv This project does not include the construction of new buildings or building additions. Therefore, the provision for fallout shelters is not applicable. o Item 15, Federal Compliance with Pollution Control Standards. This section of the data sheet should contain a statement indicating that the total estimated cost of the project includes the cost of those measures which may be necessary to assure that the facility or building will meet the requirements of Executive Order 12088, "Federal Compliance with Pollution Control Standards". A brief statement of those controls provided which assure compliance with the foregoing should also be provided for each type of pollutant. This section should normally contain one of the following paragraphs: i The total cost of this project includes the costs of those measures necessary to assure compliance with Executive Order 12088. Sanitary waste will be discharged into existing sewers connected to adequate sewage treatment facilities. Airborne contaminants will be collected and filtered before being released to the atmosphere. (This paragraph should be modified to reflect the type of pollutants produced by each particular project.)

ii The performance of this project will inherently assure compliance with the requirements of Executive Order 12088. (To be used for projects specifically for pollution control.) iii As presently conceived, operation of this project will not generate any environmental pollutants; therefore, the requirements of Executive Order 12088 are not applicable. p Item 16, Evaluation of Flood Hazards. This section of the data sheet should contain a statement with regard to the evaluation and consideration of flood hazards in accordance with the requirements of Executive Order 11988, "Evaluation of Flood Hazard in Locating Federally Owned or Financed Buildings, Roads, and Other Facilities, and in Disposing of Federal Lands and Properties." Section 4 of the Executive order requires that, "Any requests for appropriations for Federal construction of new buildings, structures, roads or other facilities... shall be accompanied by a statement by the head of the agency on the findings of his agency's evaluation and consideration of flood hazards in the development of such requests." Reference is made to the Flood Hazard Evaluation Guidelines for Federal Executive Agencies, published by the Water Resources Council, of 5-72. If it is determined that the project site is not subject to the defined hazards, it is recommended that the following statement be used: "This project will be located in an area not subject to flooding determined in accordance with Executive Order 11988." q Item 17, Compliance with the National Environmental Policy Act, Floodplains/Wetlands Environmental Review Requirements, and Other Related Environmental Statutes. This section of the data sheet should present information on planning for compliance with the National Environmental Policy Act, DOE 5440.1B, IMPLEMENTATION OF THE NATIONAL ENVIRONMENTAL POLICY ACT, the Council on Environmental Quality Regulation (40 CFR 1500-1508), DOE's NEPA guidelines (45 FR 20694, as amended), DOE's regulation 10 CFR 1022, and other related statutes including but not limited to the Clean Air Act, the Clean Water Act, the National Historic Preservation Act, and the Endangered Species Act. Examples of such information include, if a NEPA document has been completed for the proposed project, reference to that document should be made; if a NEPA document is under preparation for a proposed project, reference should be made to that document, its status, and its schedule completion date; and, if a determination on the level of NEPA documentation has not been made for a proposed project, indicate when information will be provided for Headquarters use in determining the need for further documentation for those actions still requiring Headquarters determinations. In all

cases, state whether or not the proposed project is located in a floodplain/wetland. r Item 18, Accessibility for the Handicapped. Provide a statement indicating that the project will be accessible to the handicapped in accordance with the Architectural Barriers Act, Public Law 90-480, and implementing instructions in the Federal Property Management Regulations (41 CFR 101-91.6). Section 501 of the Rehabilitation Act of 1973 (Public Law 93-112), as amended, requires the development of an affirmative action plan for employment of the handicapped by Federal agencies. Affirmative action plans are also required by 41 CFR 60-250, "Affirmative Action Obligations of Contractors and Subcontractors for Disabled Veterans and Veterans of the Vietnam Era," 41 CFR 60-741, "Affirmative Action Obligations of Contractors and Subcontractors for Handicapped Workers," and DOE 3220.2, EQUAL OPPORTUNITY IN OPERATING AND ONSITE SERVICE CONTRACTOR FACILITIES. 4 The following instructions govern the preparation of Operating Expenses Funded Project Data Sheets, Figure II-7. This document should be prepared only if the project is in procurement, fabrication, or construction phases in the FY 19BY and the total cost is estimated to be $5 million or more. This includes projects to be jointly funded by the end of the FY 19BY. The schedule is not required if the project is still in the conceptual design stage in the FY 19BY. Figure II-7 contains the following information: a Project Title. The title should be short and descriptive. b Total Estimated Cost (TEC). The TEC should be only the total cost of construction as if the project were a line item construction project, i.e., the cost to build an operable facility or experiment. c Operating Expenses (OE). For the items listed below on page II-29, subparagraphs d through g, provide the cumulative obligations for prior (before FY 19PY) year, the B/A, Obligations and B/O for the FY 19PY, the B/A and B/O for the FY 19CY and FY 19BY, and an estimate of future year requirements (BA/BO) through completion of the project. i Design and Construction. This is the cost of constructing the facility. These costs should include engineering, design, inspection, physical construction costs, standard equipment, and contingency.

ii R&D Related to Construction. Includes conceptual design and any other R&D related to the construction of the facility. iii Facility Operations. Includes all costs associated with the programmatic use and operation and maintenance of the facility and the number of years estimated for operation. iv Direct Project Related Support Costs. Includes all other operating expense funds such as inventories, and training. v Capital Equipment. Includes equipment to be used in the construction of the facility or for facility operations. vi Total Operating Expenses. Summation of subparagraph i through v above. d Other DOE Costs. Includes all other DOE funding related to the program/project activity (i.e., PE&D and line item). e Total DOE Cost. Total of subparagraphs c and d above. f Non-DOE Cost. Includes identification of all non-DOE funding. The basis for the non-DOE funding should be identified (i.e., signed contract and contractor proposal). i Design and construction. ii Facility operations and maintenance. iii Other. iv Total non-DOE funding. g Total Project Cost. Summation of subparagraphs e and f, above. h Description, Objective, and Justification. Provide a clear and concise description of the project indicating in general terms the technical features of the project. State the objectives of the project and how they relate to the overall mission of the program and the Department. Also state why this project will meet the objective stated above. i Schedule of Planned Activities. Provide a schedule indicating quarter and fiscal year of the start and completion of major activities. At a minimum, include schedule for conceptual design, detailed design, long-lead procurement, construction and startup/operations. Include explanatory notes to highlight and clarify the schedule (i.e., the reason that long lead procurement must be initiated). j Management and Contracting Plan. This plan is required to identify overall program or project strategy regarding the procurement approach, anticipated participation by industry or other Government agencies, program or project management location, and general approach to management organization contemplated.

k Prior Year Achievements. Provide a narrative description of achievement relating to the development of the project in prior years. l CY Achievements. Refer to subparagraph k above. m Reasons for Increases or Decreases. Indicate the reason for an increase or decrease in funding requirements as related to the last budget request approved by Congress. Also indicate the fiscal year of the last approved budget request. n Construction Cost Estimate. Refer to page II-18, subparagraph j. o Incorporation of Fallout Shelters in Future Federal Buildings. Refer to page II-25, subparagraph n. Judgment should be exercised in locating fallout protection in operating expenses funding facilities which have a useful life of 3 years or less. p Federal Compliance with Pollution Control Standards. Refer to page II-26, subparagraph o. q Evaluation of Flood Hazards. Refer to page II-26, subparagraph p). r Compliance with the National Environmental Policy Act and Related Statutes. Refer to page II-27, subparagraph q. s Accessibility for the Handicapped. Refer to page II-27, subparagraph r. ____________________________________________________________________________ | Department of Energy | | FY 19BY OMB BUDGET SUBMISSION | | | | CONSTRUCTION PROJECT DATA SHEETS | | Atomic Energy Defense Activities - Plant and Capital Equipment | | Atomic Energy Defense Activities | | Decision Unit | | | | (Tabular dollars in thousands. Narrative material in whole dollars.) | | ________________________________________________________________________ | | 1. Title and location of project: 2. Project No. 80-AE-3 | | Steam generation facilities, | | Idaho Fuels Processing Facility, | | Idaho | | ________________________________________________________________________ | | 3. Date A-E work initiated: 4th Qtr. 5. Previous cost | | FY 1979 (PE&D) Funds) estimate: $24,000 | | Less amount for 500 | | 3a. Date physical construction PE&D: ------- | | starts: 2nd Qtr. FY 1982 Net cost estimate: $23,500 | | Date: 1/80 | | 4. Date construction ends: 3rd Qtr. | | FY 1984 a/ 6. Current cost | | estimate: $29,000 | | Less amount for 500 | | PE&D (FY 79): ------- | | Net cost estimate: $28,500 a/| | Date: 12/80 |

| ________________________________________________________________________ | | 7. Financial Schedule: | | ------------------- | | Fiscal Year Authorization Appropriations Obligations Costs | | ----------- ------------- -------------- ----------- ----- | | 1980 $23,500 $10,000 $ 7,000 b/ $ 0 | | 1981 -- 8,500 11,500 c/ 10,000 | | 1982 5,000 10,000 10,000 9,500 | | 1983 -- -- -- 8,000 | | 1984 -- -- -- 1,000 | | _____________________________ | | a/ The increased TEC reflects the addition of a cogenerator capability, | | delays caused by studies on alternative energy sources such as | | geothermal and natural gas, and revisions in the funding schedule in | | FY 1980 and FY 1981. | | b/ Reflects Congressional deferrals of $3,000,000 to FY 1981. | | c/ Reflects Congressional reduction of $5,000,000. | |__________________________________________________________________________| Figure II-6 Construction Project Data Sheets Plant and Capital Equipment Funded ____________________________________________________________________________ | CONSTRUCTION PROJECT DATA SHEETS | | -------------------------------- | | ________________________________________________________________________ | | 1. Title and location of project: Steam 2. Project No. 80-AE-3 | | generation facilities, Idaho Fuels | | Processing Facility, Idaho | | ________________________________________________________________________ | | 8. Brief Physical Description of Project | | ------------------------------------- | | This project provides for the design, procurement, and construction | | of a coal-fired steam generator facility to meet present and | | projected steam requirements for projects planned at IFPF through FY | | 1985. The facility will be designed for a 25-year life, will be | | steel frame construction with insulated metal panels and be | | approximately 125' x 132'. The project will include: (a) facilities | | for coal receiving, handling, and storage; (b) two 67,500 lb/hr | | coal-fired boilers; (c) a 16,500 s.f. building to house the | | necessary equipment; (d) water treatment equipment; (e) air | | pollution control equipment; (f) solid waste disposal equipment; (g) | | liquid waste treatment equipment; (h) utility tunnel; (i) | | connections to existing utility systems; (j) railroad spur; (k) | | connecting roads; (l) parking facilities; (m) all ancillary features | | required for peak operating efficiency and safety; (n) capability to | | convert to cogeneration; and (o) a boiler stack. Funds requested | | will allow for the construction of the boiler house and stack, and | | will support installation of long lead procurement items such as the | | boilers and associated auxiliary equipment. | | | | 9. Purpose, Justification of Need for, and Scope of Project | | -------------------------------------------------------- | | The purpose of this project is to provide a coal-fired steam |

| generation facility which will replace, in part, the existing | | oil-fired equipment and will provide expansion capacity for planned | | plant requirements and normal reserve capacity, plus capability to | | convert to cogeneration at some future date. | | | | The budget authority level requested in FY 1982 is for the | | continuance of facility design, equipment procurement and the | | initiation of construction. | | | | The Idaho Fuels Processing Facility (IFPF) was built in 1951 and has | | undergone a series of expansions and modifications which have | | increased steam requirements beyond the steam generation | | capabilities of the original installation. The present steam system | | will not provide for essential loads should one boiler go off-line. | | New production facilities are being designed and built which will | | further exceed the existing available steam generation capabilities. | | Without additional steam capacity, required production rates would | | not be achieved. | | | | Specific programs and projects are the driving force behind the need | | for increased steam generation capacity at IFPF. These projects and | | projected peak steam requirements are: (a) the New Waste Calcining | | Facility (NWCF), 19,440 lb/hr; (b) Fluorinel and Storage (FAST) | | Facility, 11,880 lb/hr; (c) Remote Analytical facility Upgrade and | | Expansion, 1,404 lb/hr; (d) a proposed Plant Process Chemistry | | Building, 22,097 lb/hr; (e) other GPP projects, 900 lb/hr; and (f) | | reserve capacity, steam plant load and distribution losses, 13,930 | | lb/hr for a total additional future requirement of approximately | |__________________________________________________________________________| Figure II-6 Construction Project Data Sheets Plant and Capital Equipment Funded (Continued) ____________________________________________________________________________ | CONSTRUCTION PROJECT DATA SHEETS | | -------------------------------- | | ________________________________________________________________________ | | 1. Title and location of project: Steam 2. Project No. 80-AE-3 | | generation facilities, Idaho Fuels | | Processing Facility, Idaho | | ________________________________________________________________________ | | 9. Purpose, Justification of Need for, and Scope of Project (continued) | | -------------------------------------------------------------------- | | 69,651 lb/hr of steam. This, combined with the current base load of | | 65,550 lb/hr, will increase the total plant requirement to | | approximately 135,200 lb/hr. It will not be possible to accommodate | | additional loads from these facilities without expanding the | | existing steam generation system and adding reserve capacity. | | Without reserve capacity, several facilities could be forced into | | unplanned shutdown should be boiler malfunction during the winter | | months. Should this project be disapproved, curtailed operation of | | the above facilities would be required. | | |

| National policy is to minimize the consumption of, and eventually to | | eliminate the use of, fuel oil. Implementation of this project will | | permit the IFPF to provide normal steam requirements from coal-fired | | sources. | | | | The scope of this project is determined by the volume and rate of | | steam generation, coal unloading rate and storage capacity. This | | facility will produce steam at a peak rate of 135,000 lb/hr | | including losses incurred from boiler breakdown, distribution, and | | feedwater heating. The new boilers will be designed to generate | | steam of a quality required for cogeneration and for process and | | plant heating purposes. | | | | The coal handling plant is sized for an unloading rate of 100 ton | | capacity receiving hopper. The dean storage area is sized to | | contain 6,400 tons of coal, which represents a 30 day supply for | | each boiler. Coal will be delivered in 70 to 90 ton capacity bottom | | dumping cars. Ten cars with 700 tons of coal will be sufficient for | | a three day capacity at a maximum rate of 135,000 lb/hr steam. | | | | A bucket elevator will transfer the coal from the receiving hopper | | to two live coal bunkers in the boiler house at a rate of 100 ton/hr.| | The live coal bunkers have a capacity of 135 tons of coal each, | | which represents 30 hours supply at maximum continuous rating. | | | | The delay in funding or at authorizing this project will have the | | following effect: | | | | (1) The existing steam-generation equipment for production | | activities is subject to failure causing loss of production. | | Many facilities will be operable with rigid administrative | | control of steam use. After 1983, Fluorinel fuel processing | | and operations of the New Waste Calcining Facility could not be | | conducted concurrently which would result in significantly | | reduced processing capacity for Fluorinel, severely increased | | cost per ton of fuel processed, and increased backlog of fuel | | being stored. | | | | (2) Progressive growth to meet projected production requirements | | would be severely limited due to lack of steam. | | | | (3) Steam required to meet projected production requirements would | | be installed in a stepwise manner resulting in small units with | | a higher installation cost, higher operation cost, and | | substantially decreased energy efficiency. | | | | (4) Significantly increased overall cost to maintain and repair the | | existing aging system. | | | | (5) Annual operations and maintenance costs are approximately $1.3 | | million per year. | |__________________________________________________________________________| Figure II-6 Construction Project Data Sheets

Plant and Capital Equipment Funded (Continued) ____________________________________________________________________________ | CONSTRUCTION PROJECT DATA SHEETS | | -------------------------------- | | ________________________________________________________________________ | | 1. Title and location of project: Steam 2. Project No. 80-AE-3 | | generation facilities, Idaho Fuels | | Processing Facility, Idaho | | ________________________________________________________________________ | | 9. Purpose, Justification of Need for, and Scope of Project (continued) | | -------------------------------------------------------------------- | | Disapproval of new coal-fired steam generation equipment will mean | | complete dependence on oil as fuel and will incur a serious risk to | | IFPF operations should the current plant's capacity at be available | | for reasons of repair or maintenance. In any event the existing | | steam capacity will be inadequate after 1983. | | | | 10. Details of Cost Estimate a/ Item Cost Total Cost | | ------------------------ - --------- ---------- | | a. Engineering, design and inspection at 24% | | of construction costs, item b b/ $ 3,400 b/ | | b. Construction costs 16,500 - | | (1) Improvements to land including | | grading, landscaping, drainage | | diversion, paving, parking, fencing, | | lighting, and pedestrian access walks $ 200 | | (2) Buildings 1,600 | | (a) Coal boiler house, 16,500 sq. ft. | | at approximately $97/sq. ft. | | (3) Other structures includes boiler stack, | | ash burial pit, and underground tunnel 4,300 | | (4) Utilities, including electrical power, | | water, sanitary sewer lines, compressed | | air, fuel oil, condensate return lines, | | railroad spurs. etc. 1,600 | | (5) Special facilities includes coal | | handling equipment, air pollution | | control equipment, ash handling | | equipment, water treatment equipment, | | and two coal fired boilers capable of | | cogeneration 8,800 | | c. Standard equipment includes auxiliary | | equipment ($2,995), and office furniture ($) 3,000 | | d. Removal less salvage 0 | | ------- | | Subtotal 22,900 | | e. Contingency at approximately 24% of above 5,600 | | cost ------- | | Total estimated Costs $28,500 b/c/| | | | ---------------------- | | a/ The above estimates we based on conceptual design and feasibility |

| studies which are 100% complete. | | b/ Excludes $500,000 of PE&D. | | c/ All cost have been escalated at the rate of 12% to current year costs | | based upon the methodology developed for ID. | |__________________________________________________________________________| Figure II-6 Construction Project Data Sheets Plant and Capital Equipment Funded (Continued) ____________________________________________________________________________ | CONSTRUCTION PROJECT DATA SHEETS | | -------------------------------- | | ________________________________________________________________________ | | 1. Title and location of project: Steam 2. Project No. 80-AE-3 | | generation facilities, Idaho Fuels | | Processing Facility, Idaho | | ________________________________________________________________________ | | 11. Method of Performance | | --------------------- | | Contracting arrangements are as follows: | | | | a. Design, Procurement and Construction: Fixed-price contract | | awarded on the basis of competitive bidding. | | b. Title III Inspection: By Architect-Engineer contractor under | | operating contractor surveillance. | | | | 12. Funding Schedule of Project Funding and Other Related Funding | | Requirements | | ------------------------------------------------------------- | | Prior | | Years FY 1980 FY 1981 FY 1982 FY 1983 FY 1984 Total | | ----- ------- ------- ------- ------- ------- -------| | a. Total project | | costs | | 1. Total facility | | costs | | (a) Construction | | line item $ 0 $ 0 $10,000 $ 9,500 $ 8,000 $ 1,000 $28,500| | (b) PE&D 500 0 0 0 0 0 500| | (c) Inventories 0 0 0 0 180 0 180| | ------ ------ ------- ------- ------- ------- -------| | Total $ 500 $ 0 $10,000 $ 9,500 $ 8,180 $ 1,000 $29,180| | direct costs | | 2. Other project | | costs | | (a) R&D necessary | | to complete | | construction $ 0 $ 0 $ 0 $ 0 $ 0 $ 0 $ 0| | (b) Conceptual | | design costs 450 0 0 0 0 0 450| | (c) Other project | | related costs 200 0 440 540 470 300 1,950| | ------ ------ ------- ------- ------- ------- -------|

| Total other $ 650 $ 0 $ 440 $ 540 $ 470 $ 300 $ 2,400| | project costs ------ ------ ------- ------- ------- ------- -------| | Total project $1,150 $ 0 $10,440 $10,040 $ 8,650 $ 1,300 $31,580| | costs Item ====== ====== ======= ======= ======= ======= =======| | 1 & 2) | | | | b. Other related annual costs (estimated life of project: 25 years) | | 1. Facility operating costs $ 1,300 | | 2. Programmatic operating expenses directly related | | to the facility 0 | | 3. Capital equipment not related to construction but | | related to the programmatic effort in the facility 130 | | 4. Maintenance, repair, GPP or other construction | | related to programmatic effort in the facility 100 | | ------- | | Total related annual costs $ 1,530 | | ======= | |__________________________________________________________________________| Figure II-6 Construction Project Data Sheets Plant and Capital Equipment Funded (Continued) ____________________________________________________________________________ | CONSTRUCTION PROJECT DATA SHEETS | | ________________________________ | | ________________________________________________________________________ | | 1. Title and location of project: Steam 2. Project No. 80-AE-3 | | generation facilities, Idaho Fuels | | Processing Facility, Idaho | | ________________________________________________________________________ | | 13. Narrative Explanation of Total Project Funding and Other Related | | Funding Requirements | | ---------------------------------------------------------------- | | a. Total project funding | | | | 1. Total Facility | | (a) Inventories - Inventories necessary to put the facility | | into use are estimated to cost $180,000. | | | | 2. Other project funding | | (a) R&D necessary to complete construction - Conceptual | | Design was completed at a cost of $450,000. | | (b) Other project related funding - Project support and | | startup are estimated to cost $1,950,000. | | | | b. Total related funding requirements - It is estimated the | | facility will be used 25 years for its programmatic purpose. | | | | 1. Facility operating costs - The major elements comprising the | | annual operating costs are coal costs, labor costs, and | | operating costs of boiler, fan systems and motors. | | | | The total delivery cost of coal to the steam plant will be |

| approximately $25.45/ton based on 1977 dollars. This is | | equivalent to a price of $1.48/10 6 BTU. | | | | To operate the facility, three boiler plant operators and | | one coal yard operator on a three shift rotation basis will | | be required. Routine plant maintenance will be completed by | | the boiler plant operators. | | | | 2. Programmatic operating expenses directly related to the | | facility - The steam generated by the coal-fired boilers | | will be consumed by the following IFPF facilities: | | | | New Waste Calcining Facilities....................... 14% | | Remote Analytical Facility Upgrade and Expansion..... 1% | | Fluorinel and Storage Facility....................... 9% | | Remainder of Plant................................... 76% | | | | 3. Capital equipment not related to construction but related to | | the programmatic effort in the facility - Estimated cost is | | to cover the costs of dump trucks, inloader, bulldozer, etc. | | necessary to handle the coal over a 25 year period. | | | | 4. Maintenance, repair, GPP or Other Construction Related to | | Programmatic Effort - Estimated cost is based on experience | | with average cost for the replacement of lines, valves, pump | | and motor repairs per year. | |__________________________________________________________________________| Figure II-6 Construction Project Data Sheets Plant and Capital Equipment Funded (Continued) ____________________________________________________________________________ | CONSTRUCTION PROJECT DATA SHEETS | | ________________________________ | | ________________________________________________________________________ | | 1. Title and location of project: Steam 2. Project No. 80-AE-3 | | generation facilities, Idaho Fuels | | Processing Facility, Idaho | | ________________________________________________________________________ | | 14. Incorporation of Fallout Shelters: Indicate whether shelter space | | ---------------------------------- | | is included. If not, give the rationale why it is not included. | | | | 15. Federal Compliance with Pollution Control Standards: Indicate | | ---------------------------------------------------- | | measures taken if necessary, to control environmental pollutants and | | indicate that those costs we included in the TEC. | | | | 16. Evaluation of Flood Hazards: Indicate whether or not flood hazards | | ---------------------------- | | have been considered. If located in a flood plain, indicate | | mitigating action planned. | | |

| 17. Environmental Impact: Indicate status of compliance with the | | --------------------- | | National Environmental Policy Act and if the project is located in | | a floodplain/wetland. | | | | 18. Accessibility for the Handicapped: Provide a statement indicating | | ---------------------------------- | | accessibility for the Handicapped in accordance with the | | Architectural Barriers Act (Public Law 90-480) and the Federal | | Property Management Regulations (41 CFR 101-19.6). | |__________________________________________________________________________| Figure II-6 Construction Project Data Sheets Plant and Capital Equipment Funded (Continued) ____________________________________________________________________________ | DEPARTMENT OF ENERGY | | FY 19BY OMB BUDGET PROCESS | | | | OPERATING EXPENSE FUNDED PROJECT DATA SHEET | | ------------------------------------------- | | DEFENSE PROGRAMS | | | | | | Atomic Energy Defense Activities Construction | | Atomic Energy Defense Activities | | Defense Nuclear Waste | | | | (Tabular dollars in thousands. Narrative material in whole dollars.) | | | | Reedy Creek Utilities Demonstration Plant | | Idaho Operations Office | | | | Total Estimated Cost (TEC) $14,945,000 | | (For Design and Construction) | | | | | |__________________________________________________________________________| Figure II-7 Construction Project Data Sheets Operating Expenses Funded ____________________________________________________________________________ | Reedy Creek Utilities Demonstration Plant | | Idaho Operations Office | | | | Total Estimated Cost (TEC) $14,945,000 | | | | (Tabular dollars in thousands. Narrative material in whole dollars.) | | ------------------------------------------------------------------------ | | Cumulative FY 1981 | | Prior Years FY 1980 Actual Estimate | | ----------- ---------------------- -------------- |

| Obs. B/A Obs. B/O B/A B/O | | ----------- ------ ------ ------ ------ ------ | | Operating expenses (DOE): | | ------------------------- | | Design and construction $ 85 $3,300 $3,300 $2,437 $8,745 $8,400 | | R&D related to 100 140 140 140 250 250 | | construction | | Facility operations 0 0 0 0 0 0 | | Direct project related 0 0 0 0 0 0 | | support costs | | Capital equipment 0 0 0 0 0 0 | | ----- ------ ------ ------ ------ ------ | | Total operating expenses 185 3,440 3,440 2,577 8,995 8,650 | | | | Other DOE funding: | | ------------------ | | Activity - Conservation 0 575 575 575 400 400 | | and Solar Energy ----- ------ ------ ------ ------ ------ | | | | Total DOE funding: 185 4,015 4,015 3,152 9,395 9,050 | | ------------------ | | | | Non-DOE funding: | | ---------------- | | Design and construction 0 0 0 0 500 500 | | ----- ------ ------ ------ ------ ------ | | Total Project funding $ 185 $4,015 $4,015 $3,152 $9,895 $9,550 | | --------------------- | |__________________________________________________________________________| Figure II-7 Construction Project Data Sheets Operating Expenses Funded (Continued) ____________________________________________________________________________ | Reedy Creek Utilities Demonstration Plant | | Idaho Operations Office | | | | Total Estimated Cost (TEC) $14,945,000 | | | | (Tabular dollars in thousands. Narrative material in whole dollars.) | | ------------------------------------------------------------------------ | | FY 1982 Estimate Total Cost | | ---------------- ---------- | | B/A B/O B/A | | ---------------- ---------- | | Operating expenses (DOE): | | ------------------------- | | Design and construction $1,340 $2,548 $13,470 | | R&D related to construction 0 0 490 | | Facility operations 370 370 370 | | Direct project related support 0 0 50 | | costs | | Capital equipment 30 30 30 |

| ------ ------ ------- | | Total operating expenses $1,740 $2,948 $14,410 | | | | Other DOE costs | | --------------- | | Activity - Conservation and | | Solar Energy, design and | | construction 0 0 975 | | ------ ------ ------- | | Total DOE costs $1,740 $2,948 $15,385 | | --------------- | | | | Non-DOE costs | | ------------- | | Design and construction 0 0 500 | | ------ ------ ------- | | Total Project costs $1,740 $2,948 $15,885* | | ------------------- | | | | *To reconcile with the TEC of $14,945,000 delete $940,000 associated | | with "Direct project related support costs." | |__________________________________________________________________________| Figure II-7 Construction Project Data Sheets Operating Expenses Funded (Continued) ____________________________________________________________________________ | Reedy Creek Utilities Demonstration Plant | | Idaho Operations Office | | | | Total Estimated Cost (TEC) $14,945,000 | | | | (Tabular dollars in thousands. Narrative material in whole dollars.) | | ------------------------------------------------------------------------ | | Description, Objective and Justification | | ---------------------------------------- | | Conceptual design is complete for a Transuranic (TRU) Waste Treatment | | Facility (TWTF) at the Idaho National Engineering Laboratory (INEL). | | Its objective is to process (chemically and physically treat and | | immobilize) the retrievable stored INEL TRU waste and have the | | capability to process buried TRU waste. The Reedy Creek Utilities | | Demonstration Plant, located at Lake Buena Vista, Florida, is being | | undertaken as a cold (non-radioactive) pilot demonstration plant. | | | | A promising technology for immobilizing the TRU waste it the INEL is the | | slagging pyrolysis incinerator. Rights to this incinerator are held by | | Andco, Inc. of Buffalo, New York. While the "slagger" is based on "old" | | blast furnace technology, it has not been used is a nuclear waste | | incinerator. There is limited experience with this technology in the | | United States and none in DOE. Development and testing it the Mol, | | Belgium slagging incinerator will be useful to characterize the end | | product, however, this incinerator his a different design and scale. | | Identical scale tests are necessary to confirm how the slagging |

| incinerator will perform with simulated INEL transuranic waste. | | | | Reedy Creek Utilities Company Incorporated (RCUC), a wholly-owned | | subsidiary of Walt Disney Enterprises, submitted an unsolicited proposal | | for a joint project to build an exact scale demonstration incinerator | | that will support the Idaho project: (a) a slagging pyrolysis | | incinerator would be designed, constructed, and tested in time to | | confirm or impact design before construction starts on the Idaho unit; | | (b) the capacity will be identical to Idaho's at approximately 100 | | tons/day gross throughout; (c) DOE will have unlimited use of the | | facility for the first year of operation and 30 days per year for the | | next 10 years; (d) additional use can be purchased at the pleasure of | | the Government; and (e) title will transfer to RCUC after the full year | | of exclusive use by DOE. If the incinerator meets RCUC performance | | expectations, the U.S. Government (Treasury) will recapture a | | substantial part of its investment around 1985. | | | | By constructing a cold pilot plant, DOE will gain early design, | | construction, and operating experience before the commitment to | | construct a major radioactive waste processing facility at the INEL. | | The demonstration incinerator will verify the designing of the INEL | | incinerator at the same scale. By operating the demonstration plant | | with simulated INEL feed, valuable operating and technical data will be | | gained. The cold demonstration plant may indicate design changes that | | may be required in the radioactive waste incinerator. Such changes | | could then be incorporated before construction rather than by retrofit | | during construction or after startup. | | | | (a) Schedule of Planned Activities | | ------------------------------ | | The following table presents the total program broken down by | | primary tasks. | | | | Activity Start Complete | | --------------------------- ---------- ---------- | | Procurement and Fabrication 1Q FY 1980 4Q FY 1981 | | Facility Construction 4Q FY 1980 1Q FY 1982 | | Facility Startup 1Q FY 1982 2Q FY 1982 | | Test Program 2Q FY 1982 2Q FY 1983 | |__________________________________________________________________________| Figure II-7 Construction Project Data Sheets Operating Expenses Funded (Continued)

____________________________________________________________________________ | Reedy Creek Utilities Demonstration Plant | | Idaho Operations Office | | | | Total Estimated Cost (TEC) $14,945,000 | | | | (Tabular dollars in thousands. Narrative material in whole dollars.) | | ------------------------------------------------------------------------ | | (b) Management and Contracting | | -------------------------- | | The RCUC will design and construct the total facility with the | | support of appropriate subcontractors. DOE approval will be | | required for the preliminary design, the final design, and | | initiation of procurement of long lead items. Operation of the | | facility will be the sole responsibility of RCUC. | | | | Technical decision on the management of the facility, during DOE's | | dedicated operating periods, will be made jointly by representatives | | of RCUC and the Department of Energy. RCUC will monitor daily | | operation and collect date. | | | | The RCUC stresses quality control and quality assurance in all | | aspects of its operation. Quality assurance programs are designed | | into every facet of the RCUC's operation and are highly successful | | in providing utilities for up to 80,000 visitors per day plus a base | | population of 35,000 people at Walt Disney World. Quality assurance | | at Walt Disney World results primarily from emphasis on planning and | | the employment of competent professionals and technicians. These | | procedures, coupled with strong management and administrative | | control, will provide the same high level of quality assurance in | | constructing and operating the cold demonstration facility as in the | | other utilities operated by the company. | | | | (c) Prior Year Achievements | | ----------------------- | | Engineering design for the facility and the process were completed | | and construction started. | | | | (d) CY Achievements | | --------------- | | Civil/structural (building, site, and utilities) were completed. | | Installation of process equipment was started. Process equipment | | checkout was started. | | | | (e) Reasons for Increases and Decreases | | ----------------------------------- | | The TEC for this project has increased by $5,085,000 from the data | | sheet which supported the FY 19BY Budget Request because: | | | | o The original estimate was parametric, we now have fixed-price | | bids (1-1/2 years later). | | o Scope changes have been made including building, adding a second | | overhead crane, and a redundant induced draft fan. | | o Escalation. | | | | o Project start delayed 5 months due to difficult agreement | | negotiations. | | o Design/construction schedule had to be extended by 5 months. | |__________________________________________________________________________| Figure II-7 Construction Project Data Sheets Operating Expenses Funded (Continued)

____________________________________________________________________________ | Reedy Creek Utilities Demonstration Plant | | Idaho Operations Office | | | | Total Estimated Cost (TEC) $14,945,000 | | | | (Tabular dollars in thousands. Narrative material in whole dollars.) | | ------------------------------------------------------------------------ | | (f) Cost Estimate | | ------------- | | The costs shown are based on RCUC's final design, appropriately 20% | | of construction complete, and fixed-price contracts for the bulk of | | remaining work. The DOE funding outlined in this schedule is | | limited to the actual design, construction, and checkout periods. | | The operation of the facility will be the sole responsibility of | | RCUC with the first year to be devoted exclusively to DOE testing. | | DOE funding for the Ready Creek testing program is at included in | | this schedule. | | Item Cost Total Cost | | --------- ---------- | | 1. Engineering, design, and inspection, and | | project management at 34% of construction | | costs, Item 2 $ 3,770 | | | | 2. Construction costs 11,020 | | (a) Improvements to land $ 450 | | (b) Buildings and structures 3,570 | | (c) Process equipment 5,950 | | (d) Utilities 550 | | (e) Startup 500 _______ | | Subtotal 14,790 | | | | 3. Contingency @ approximately 1% of above costs 155 | | | | Total Estimated Cost $14,945 a/| | ======= - | | -------------------------------- | | a/ Facility construction will be accomplished by fixed-price contracts | | and procurements. Estimate is based on fixed-price bids and quotes | | now in hand. Escalation is at separately identified in these | | fixed-price commitments. | |__________________________________________________________________________| Figure II-7 Construction Project Data Sheets Operating Expenses Funded (Continued)

____________________________________________________________________________ | Reedy Creek Utilities Demonstration Plant | | Idaho Operations Office | | | | Total Estimated Cost (TEC) $14,945,000 | | | | (Tabular dollars in thousands. Narrative material in whole dollars.) | | ------------------------------------------------------------------------ | | Incorporation of Fallout Shelters: Indicate whether shelter space is | | ---------------------------------- | | included. If not, give the rationale why it is not included. | | | | Federal Compliance with Pollution Control Standards: Indicate measures | | ---------------------------------------------------- | | taken, if necessary, to control environmental pollutants and indicate | | that those costs are included in the TEC. | | | | Evaluation of flood Hazards: Indicate whether or not flood hazards have | | ---------------------------- | | been considered. If located in a flood plain, indicate mitigating | | action planned. | | | | Environmental Impact: Indicate status of compliance with the National | | --------------------- | | Environmental Policy Act and if the project is located in a floodplain/ | | wetland. | | | | Accessibility for the Handicapped: Provide a statement indicating | | ---------------------------------- | | accessibility for the Handicapped in accordance with the Architectural | | Barriers Act (Public Law 90-480) and the Federal Property Management | | Regulations (41 CFR 101-19.6). | |__________________________________________________________________________| Figure II-7 Construction Project Data Sheets - Operating Expenses Funded (Continued) (5) Federal Manpower Justification. Federal manpower requests are to be justified in narrative form on a decision unit basis for program organizations. For organizations budgeted for in the Departmental administration appropriation, these justifications are to be done on an organizational basis. Staffing levels must be justified for each request level contained in the budget submission to OMB. Organizations should be very specific in formulating this narrative. It should clearly indicate the differences, if any, from the FY 19CY staffing level and contain an explanation of the difference whether it is an increase or a decrease. In cases where increases above the FY 19CY level are being requested, the justification should be very precise and provide a level of detail that will enable the OMB staff to fully evaluate the programmatic and functional impacts of the request.

(6) Manpower Figures. (a) The first tier organization preparing a budget is required to submit an overall summary of Federal civilian manpower requirements by appropriation, decision unit, and organization using either Figure II-8, II-9, or II-10. (The stub for Figure II-9 must be exactly the same as the stub on the manpower controls). Some organizations may be asked to provide more detail on manpower distributions and will be contacted separately if additional information is required. (b) Organizations included in the Departmental administration appropriation will distribute their manpower requirements to the major internal organization level. (c) Full-time permanent employment generally is for those positions established for a year or more whose incumbents are expected to work 40 hours per week. The other than full-time permanent category includes for budget purposes full-time temporary, part-time (both temporary and permanent) and intermittent employment subject to OMB ceiling controls. Youth opportunity programs (Stay-in-School and Federal Junior Fellowship) are excluded from the other than full-time permanent category. (d) Figures II-8, II-9, and II-10 are not to be included in the budget materials to go to OMB, but are to be submitted directly to the Office of Organization and Management Systems. ____________________________________________________________________________ | DEPARTMENT OF ENERGY | | FY 19BY OMB BUDGET | | | | Summary of Staffing Included in Major Activities | | | | SUMMARY OF FULL-TIME EQUIVALENT - PROGRAM ORGANIZATIONS | | ------------------------------------------------------- | | FY 19BY REQUEST | | Organization: _________________________ ______________________________ | | OMB Program | | Decremental Target Planning | | Appropriation/Major FY 19BY FY 19CY Level Level Level | | Activity/Organization FTP Total FTP Total FTP Total FTP Total FTP Total| | --------------------- --------- --------- ----------- --------- ---------| | ABC Appropriation: | | | | Decision Unit | | Decision Unit | | Headquarters |

| Operations Office X | | Operations Office Y | | | | Decision Unit | | Headquarters | | Project Office A _________ _________ ___________ _________ _________| | Subtotal ABC | | Appropriation | | | | DEF Appropriation: | | | | Decision Unit | | Decision Unit | | Headquarters | | Operations Office X _______ _________ ___________ _________ _________| | Subtotal DEF | | Appropriation | | ---------------------------------------------------| | | | Organizational Recap: | | | | Headquarters | | Operations Office X | | Operations Office Y | | Project Office A | | _________ _________ ___________ _________ _________| | | | Total | |__________________________________________________________________________| Figure II-8 Summary of Full-Time Equivalent - Program Organizations ____________________________________________________________________________ | DEPARTMENT OF ENERGY | | FY 19BY OMB BUDGET | | | | Summary of Staffing Included in Major Activities | | | | SUMMARY OF FULL-TIME EQUIVALENT - HEADQUARTERS STAFF ORGANIZATION | | | | FY 19BY REQUEST | | Organization: _________________________ ______________________________ | | OMB Program | | Decremental Target Planning | | Appropriation/Major FY 19BY FY 19CY Level Level Level | | Activity/Organization FTP Total FTP Total FTP Total FTP Total FTP Total| | --------------------- --------- --------- ----------- --------- ---------| | APPROPRIATION: | | -------------- | | Office of the Assistant | | Secretary | | (Director, etc.) | | |

| Office of ... | | | | Office of ... | | | | Office of ... | | | | Office of ... | | | | | | _________ _________ ___________ _________ _________| | Total ========= ========= =========== ========= =========| | | |__________________________________________________________________________| Figure II-9 Summary of Full-Time Equivalent - Headquarters Staff Organization ____________________________________________________________________________ | DEPARTMENT OF ENERGY | | FY 19BY OMB BUDGET | | | | Summary of Staffing Included in Major Activities | | | | SUMMARY OF FULL-TIME EQUIVALENT - OPERATIONS OFFICES | | | | FY 19BY REQUEST | | Organization: _________________________ ______________________________ | | OMB* Program* | | Decremental* Target Planning | | Appropriation/Major FY 19PY FY 19CY Level Level Level | | Activity/Organization FTP Total FTP Total FTP Total FTP Total FTP Total| | --------------------- --------- --------- ----------- --------- ---------| | ABC APPROPRIATION: | | | | Program Support | | Office of the | | Manager | | Office of the | | General Counsel | | .... for Administration | | .... for XXXXX | | .... for YYYYY | | Subtotal Program ________ _________ ___________ _________ _________| | Support | | | | Program:** | | | | Fossil | | .... | | .... | | Energy Research | | .... | | Defense | | .... |

| .... | | Nuclear | | .... | | .... | | Subtotal Program ________ _________ ___________ _________ _________| | | | Total ABC | | Appropriation __________________________________________________| | | | DEF Appropriation: | | | | Program Support ________ _________ ___________ _________ _________| | | | Total ======== ========= =========== ========= =========| | | | * Subject to official designation in the budget call. | | ** Identify all program with 1 or more FTEs in any year. | |__________________________________________________________________________| Figure II-10 Summary of Full-Time Equivalent Operations Offices e. Computer Materials (Fall Overview). The computer materials listed in OMB Circular A-11, section 15.1, will be submitted (prior to 10-1) according to dates to be supplied by OMB. The computer materials consist of: receipt estimates; supplementary source data; multi-year planning estimates projections; and current services estimates. The information will be revised to reflect reestimates, approved administration initiatives and policy guidance, and completed congressional action. FY 19BY and approved FY 19BY + 4 data will not be included on the listings but must be filled in by the program organizations. Budget requests not reflecting latest policy guidance will not be acceptable as the basis for revision. All materials will be revised subsequent to reflect OMB and Presidential decisions, reestimates, congressional action, and new assumptions. Unlike the justifications, the computer materials should reflect actual appropriation amounts and should not be made comparable with the budget year. The data in each of the budget schedules must be complete and internally consistent. Consistency is also required between the various schedules within each account. The following checklists will assist in determining completeness, internal consistency, and the consistency of the same data in different schedules. (1) Checklist for Supplementary Source Document. (a) General. 1 Is the correct identification code entered on each page of the schedule? 2 In section A, "Analysis of Budget Authority and Outlays": a Are all the required columns filled in on the budget authority and outlay lines?

b Are the amounts for each coded line and the totals for budget authority and outlays the same as on the program and financing schedule? c Where memorandum entries are required, do they agree with supporting data? (For example, "Appropriation to liquidate contract authority" must be same as line coded 40.49 or 60.49 on the program and financing schedule.) 3 In section B "Distribution of Outlays": a Do the totals of the columns add to the total outlays in section A? b The amounts on line 311 may not exceed the amounts for new budget authority for each year as shown on lines coded 40 through 50 on the program and financing schedule. Similarly, line 312 may not exceed lines 60 through 69 on the program and financing schedule. c The amount on line 313 for each year may not exceed the obligated balances on lines coded 72 (or 72 with two-digit suffix) on the program and financing schedule. d The amount on line 314 for each year may not exceed the unobligated balances on lines coded 21 (or 21 with two-digit suffix) on the program and financing schedule. e The memo entry amount on line 315 may not exceed the amount of the memo entry for "Appropriations to liquidate contract authority" in section A of the SSD for each year. 4 In section C, "Character Classification": a Are the totals of budget authority and outlays the same as in section A for each year? b Is each separate function in this section treated as though it were a separate account? c Are proper character codes shown in each line entry? (2) Checklist for Current Services Estimates SSSD-S-L. (a) Detail Data Processing. 1 Are current services estimates provided for each program and financing schedule that has a transmittal code of "O"? 2 Is an "S" written at the top of each page? 3 Is the 11-digit identification code for each account correct? This code is shown on the program and financing (P and F) schedules in the OMB budget appendix for the budget year. 4 Are the line codes indicated the same as those in the program and financing schedule for the account? 2. OTHER OMB MATERIALS. The other OMB materials comprise the final part of the initial OMB submission. Refer to the OMB Circular A-11 section shown parenthetically below for specific guidance. Guidance concerning additional materials is provided below. Typically, the other OMB materials include: Information in Rental Payments to GSA, (24.3); Analysis of National Climate Program Activities, (24.4); Data on Research and Development, (44.1 - 55.4); and Data on Social Research and Development Activities, (48.1 - 48.5).

a. Telecommunications. Where FY 19BY estimates for telecommunications requirements exceed $1 million or are more than 10 percent of the total estimate for a decision unit, additional information should be provided (Figure II-11). In these cases, the telecommunication systems and services should be described and justified in a narrative statement reflecting quantifiable benefits in terms of increased productivity, reduced costs or decreased levels of staffing attributable to the effective use of communications technology. Questions on telecommunications requirements may be addressed to the Division of Telecommunications, MA-253. b. Major Computer Requirements. Each organization should identify and justify all major items of ADP equipment proposed for the budget year (BY) in the appropriate decision unit of the funding or landlord program; and submit a consolidated crosscut summary computer table of all major items of ADP equipment for the past year (PY), the current year (CY), and BY. Each of these requirements is discussed below. (1) Major Item Identification. A major item of ADP equipment is defined as an component or group of components having a total estimated purchase cost of $400,000 or more including related capitalizable costs. The determining factor for a major item of ADP equipment is the estimated purchase cost of the item irrespective of the type of funding used or whether the actual method of acquisition is purchase, lease, or some combination of the two. Thus, a leased item of ADP equipment is a major item if the estimated purchase cost of the item is $400,000 or more even if the annual lease cost is less than $400,000. All major items of ADP equipment proposed for the BY must be separately identified and justified in the appropriate narrative material supplied by the funding or landlord program. This separate identification and justification pertains to all major items of ADP equipment regardless of whether they are proposed for lease or purchase or whether they are to be funded from operating, capital, or construction funds. In cases where major items of ADP equipment are funded from operating expenses by a single program, the total annual cost of the lease, or lease to ownership, must be shown by the funding program. In those cases where major items of ADP equipment are funded from operating expenses by multiple programs, the total annual cost of the lease, or lease to ownership, must be shown by the program having budget responsibility for general purpose equipment at that location. Where appropriate, however, it should be noted that the actual costs will be shared programmatically according to a charge-back plan based upon utilization. (2) Major Computer Requirements Crosscut Summary. In addition to the requirement to identify and justify all major items of ADP equipment in the narrative material as described above, the Department is required to prepare a crosscut summary computer table which specifically lists each major item of ADP

equipment, except for items funded from construction projects, utilizing/requiring funds during either the PY, CY, or BY. The Office of ADP Management (MA-24) is responsible for coordinating the preparation of this consolidated Department crosscut computer table and assuring its timely submittal to OMB. In order to assure that the information contained in the table accurately reflects the latest budget decisions, MA-24 will require the assistance of Headquarters program divisions prior to the OMB submittal. Accordingly, based upon the results of the internal review, MA-24 will prepare an initial crosscut computer table for cognizant program review and markup. After this review process is completed, MA-24 will prepare a final Depa