DOE O 540.1B, Departmental Business Instrument Numbering System for Actions Conducted Outside of the Strategic Integrated Procurement Enterprise System (STRIPES)

AVAILABLE ONLINE AT: INITIATED BY: www.directives.doe.gov Office of Management U.S. Department of Energy ORDER Washington, D.C. Approved: 5-23-08 SUBJECT: DEPARTMENTAL BUSINESS INSTRUMENT NUMBERING SYSTEM FOR ACTIONS CONDUCTED OUTSIDE OF THE STRATEGIC INTEGRATED PROCUREMENT ENTERPRISE SYSTEM (STRIPES) 1. PURPOSE. To prescribe procedures for assigning identifying numbers to all new business instruments processed outside the Strategic Integrated Procurement Enterprise System (STRIPES). 2. CANCELLATIONS. DOE O 540.1A, Departmental Business Instrument Numbering System, dated 1-27-05. 3. APPLICABILITY. a. All Departmental Elements. Except for the exclusions in paragraph 3c, this Order applies to all Departmental elements that are permitted by DOE policy to assign identifying numbers to DOE business instruments processed outside of STRIPES. (Go to http://www.directives.doe.gov/pdfs/reftools/org-list.pdf for the current listing of Departmental elements.) (1) The Administrator of the National Nuclear Security Administration (NNSA) shall assure that NNSA employees and contractors comply with their respective responsibilities under this directive. Nothing in this directive will be construed to interfere with the NNSA Administrator’s authority under section 3212(d) of Public Law (P.L.) 106-65 to establish Administration-specific policies, unless disapproved by the Secretary. (2) This order applies to: (a) Awards under the micro-purchase threshold that use a bulk funded Government-wide purchase card as the method of payment, including requisitions and, when used, written award and solicitation documents. (b) Awards identified as being excluded from STRIPES, via a formal policy, by the Office of Procurement and Assistance Management. (3) This Order does not apply to business instruments issued prior to the deployment of STRIPES at a DOE or NNSA awarding office. b. DOE Contractors. This Order does not apply to contractors. c. Exclusions. This Order does not apply to awards issued by the Bonneville Power Administration and the Federal Energy Regulatory Commission. DOE O 540.1B https://www.directives.doe.gov/references/DOEDepartmentalElements.pdf 2 DOE O 540.1B 5-23-08 4. REQUIREMENTS. Business instruments numbers are created and formatted in the following way. Once STRIPES has been deployed at an organization, most procurement and financial assistance requisitions, solicitations, and awards will be required to be processed within STRIPES and the organization will no longer manually assign business instrument numbers for these instruments. STRIPES will assign the appropriate numbers automatically. The numbering format of business instruments processed outside of STRIPES has been designed to prevent the duplication of numbers issued by STRIPES. Therefore, the business numbering format required by this Order does not match the format used for instruments processed within STRIPES. a. Requisition Number (formerly called the Procurement Request Authorization Number). Components of a requisition number are defined in Figure 1. Figure 1. Requisition Numbering Example- REQ-08AD12345 REQ – Represents that the document is a Requisition 08 Represents the Fiscal Year (FY) the Requisition was Initiated AD – Represents the Program Office Initiating the Requisition 12345 – Represents a Unique Five Character Serial Number Examples of supplementary requisition numbers are as follows. (1) REQ-08AD12345.000—New award initiative

(2) REQ-08AD12345.001—First subsequent action in FY 2008 (3) REQ-08AD12345.002—Second subsequent action in FY 2008 (4) REQ-09AD12345.001—First subsequent action in FY 2009 (5) REQ-09AD12345.002—Second subsequent action in FY 2009 b. Solicitation Number. Components of a solicitation number are defined in Figure 2. Figure 2. Solicitation Numbering Example- DE-SOL-12345 DE – Represents the Department of Energy SOL – Represents that the document is a Solicitation 12345 – Represents a Unique Five Character Serial Number DOE O 540.1B 3 5-23-08 c. Award Business Instrument Number. Components of an award instrument number are defined in Figure 3. Figure 3. Award Business Instrument Numbering Example- DE-AD12345 DE – Represents the Department of Energy AD – Represents the Program Office Initiating the Award 12345 – Represents a Unique Five Character Serial Number d. Modification and Amendment Numbers Must Be Sequential, Beginning with 000 for a New Award. The modification numbers will be three digits, for example 001, 002, 003. e. Tracking a Number from Requisition to Award. The last seven characters of the requisition, solicitation, and business instrument numbers are the register number, which is established when the requisition is generated. 5. RESPONSIBILITIES. a. Director, Office of Procurement and Assistance Management. (1) Guides newly established program offices in establishing register numbers. (2) Define responsibilities in the use of register numbers. (3) Guides established program offices in issuing existing register numbers. (4) Assists program offices in resolving register number assignments conflicts. (5) Assists program offices in resolving problems associated with the establishment and/or use of register numbers. b. Program Office Heads. (1) Establish registers for controlling issuance of unique numbers required for preparation of business instruments. (2) Assign unique requisition numbers (3) Issue unique numbers that contain current program office codes as the initiating program office rather than field office designations. 4 DOE O 540.1B 5-23-08 c. Awarding Office Heads. Assign unique numbers to solicitation and award instruments. 6. DEFINITIONS. a. Awarding Office. A DOE or NNSA contracting activity that issues solicitations and awards. b. Awarding Office Head. The person responsible for a contracting activity, such as the head of the contracting activity, the manager of an operations/site/field office, or management personnel at a similar level. c. Business Instrument. A legal document that defines an agreement between DOE and a company, individual, another Government agency, or public or private institution. d. Business Instrument Number. A unique coded number used to identify a business instrument. e. Program Office. The organization that requests the acquisition of goods or services or initiates a financial assistance action using the prescribed requisition document. f. Program Office Head. The Assistant Secretary, director, or equivalent for a program office or major staff function g. Register Number. An element of a requisition number and associated solicitation and business instrument numbers composed of a code that identifies the initiating office followed by a unique five digit number. The register number remains unchanged throughout the procurement process, even if the instrument fails to be executed. The number may not be reused until after the award file has been destroyed.

h. Requisition. Formal beginning of the process leading to a new award or a modification of an existing award. The requisition document is used for financial assistance actions also. i. Requisition Number. A unique coded number that identifies an individual requisition (see Figure 1). j. Solicitation. Method used by DOE to request applications, proposals, or quotations and invite bids. k. Solicitation Number. A unique coded number that identifies a solicitation. 7. NECESSITY FINDING STATEMENT. In compliance with sec. 3174 of P.L. 104-201 (50 USC 2584 note), DOE hereby finds that this order is necessary for the protection of human health and the environment or safety, fulfillment of current legal requirements, or conduct of critical administrative functions. DOE O 540.1B 5 (and 6) 5-23-08 8. CONTACT. Questions concerning this Order should be addressed to the Office of Procurement and Assistance Management, Information Management Systems Division at 202-287-1703. BY ORDER OF THE SECRETARY OF ENERGY: JEFFERY F. KUPFER Acting Deputy Secretary