DOE O 5700.7C, Work Authorization System

DOE 5700.7C 5-18-92 THIS PAGE MUST BE KEPT WITH DOE 5700.7C, WORK AUTHORIZATION SYSTEM. DOE 5700.7C, WORK AUTHORIZATION SYSTEM, HAS REVISED DOE 5700.713 TO REFLECT ORGANIZATIONAL TITLE, ROUTING SYMBOL, AND OTHER EDITORIAL REVISIONS TO INCORPORATE CHANGES REQUIRED BY SEN-6. NO SUBSTANTIVE CHANGES HAVE BEEN MADE. DUE TO THE NUMBER OF PAGES AFFECTED BY THE REVISIONS, THE ORDER HAS BEEN ISSUED AS A REVISION. U.S. Department of Energy Washington, DC. SUBJECT: WORK AUTHORIZATION SYSTEM ORDER D O E 5 7 0 0 . 7 C 5-18-92 1. 2. 3. 4. PURPOSE. To establish a work authorization and control process for work performed by designated management and operating (M&O) contractors. CANCELLATION. DOE 5700.76, WORK AUTHORIZATION SYSTEM, of 9-24-86. SCOPE. The provisions of this Order apply to all Departmental Elements and designated M&O contractors performing work for the Department as provided by law and as implemented by the appropriate contracting officer. REFERENCES. a. b. c. d. e. f. DOE 1332.1A, UNIFORM REPORTING SYSTEM, of 10-15-85, which describes the content and format of plans and reports to be obtained from Department of Energy (DOE) contractors as required by contract. DOE 1360.46, SCIENTIFIC AND TECHNICAL COMPUTER SOFTWARE, of 12-31-91, which gives the policies and procedures for providing and sharing software developed by the Department for scientific and technical applications. DOE 1430.1C, MANAGEMENT OF SCIENTIFIC AND TECHNICAL INFORMATION, of 2-27-92, which provides detailed information concerning the reporting and dissemination Of technical information. DOE 1430.2A, SCIENTIFIC AND TECHNICAL INFORMATION PROGRAM, of 12-14-87, which establishes implementation procedures for the, technical information policy as set forth in DOE 1430.1C. DOE 2200.6, FINANCIAL ACCOUNTING, of 10-24-88, which establishes policy and general procedures for the financial management of cash, advances, receivables, inventories, and investment of funds; accountability for plant and capital equipment; current and long- term liabilities; and accounting for equity revenues, collections, expenses, and reimbursable work performed by DOE on behalf of Federal agencies and non-Federal entities. DOE 4200.1C, COMPETITION IN CONTRACTING, of 1-9-87, which implements the provisions of the Competition in Contracting Act. DISTRIBUTION: INITIATED BY: All Departmental Elements Office of Procurement, Assistance and Program Management 2 DOE 5700.7C 5-18-92 g. DOE 4200.3C, MANAGEMENT OF SUPPORT SERVICES CONTRACT ACTIVITY, of 5-17-91, which provides the policy, procedures, and responsibility for the management of support service contracts with the Department of Energy. h. DOE 4700.1, PROJECT MANAGEMENT SYSTEM, of 3-6-87, which provides for implementing instructions, formats, and procedures for the project management system. i. DOE 5000.1B, INSTITUTIONAL PLANNING BY MULTIPROGRAM LABORATORIES, of 4-9-92, which establishes the institutional planning process for DOE multiprogram laboratories. 5. APPLICABILITY. The Work Authorization System applies to work that is performed by the designated M&O contractors, except work involving services, products, or materials regularly produced for sale at scheduled rates under Departmental programs (e.g., routine irradiation services, radioisotopes, heavy water, enriched uranium, production or transmission of electricity), plant and capital equipment expenditures including line item construction projects, and projects designated as DOE major projects or major system acquisitions pursuant to DOE 4700.1, PROJECT MANAGEMENT SYSTEM.

6. DEFINITIONS. a. b. c. d. e. M&O Contractor is a contractor that has been formally designated by the Secretary as an M&O contractor in accordance with DOE policies. (See Attachment 1.) Institutional Plan is a document prepared annually by each multiprogram laboratory which describes the results of the laboratory’s annual institutional planning and the general agreement reached on the types and levels of activities to be conducted. Multiprogram laboratory is a Government-owned facility specifically designated in DOE 5000.1B. Program Secretarial Officer, is a senior outlay program official and includes the Assistant Secretaries for Conservation and Renewable Energy, Defense Programs, Environmental Restoration and Waste Management, Fossil Energy, and Nuclear Energy; and the Directors of Energy Research, Civilian Radioactive Waste Management, and New Production Reactors; and who is responsible for the assignment of work to the M&O contractor. Lead Program Secretarial Officer is the Program Secretarial Officer who is responsible for the institutional overview of the activities of one or more M&O contractors. DOE 5700.7C 5-18-92 f. Work Assignment performed by an work assignment should identify mark progress. 3 is a group of related tasks or activities to be M&O contractor. Where possible and appropriate, a should be measurable in terms of performance and verifiable events, outcomes, or deliverables that g. Work Authorization Form (DOE F 5700.2) is a document that authorizes the performance of work by a specific M&O contractor (for an example, see Attachment 2.) It must contain, directly or by reference to other documentation (such as program letters, program plans, or project plans), the following elements as a minimum: (1) A brief narrative description of what is to be done; (2) A statement of current fiscal year funds to be provided and a citation of the funding source; (3) For work assignments that have defined completion points, the total required funding estimate; (4) The expected period of (5) The schedule, results, (6) The specific reporting performance; or product expected; and requirements. h. Field Work Proposal Format is a standard format that may be used by a program office to secure information for program planning or budget formulation. It may be used as all or part of the docu- mentation for work authorization. The format may also be used by an M&O contractor to describe work proposed by the contractor. (For an example, see Attachment 3.) At the discretion of the Program Secretarial Officer, the Field Work Proposal Format may be used for non-M&O contractors for budget and financial planning purposes. 7. POLICY. It is Departmental policy to have a uniform process for assigning controlling work performed by the designated M&O contractors that: a. Requires work assignments to be aggregated at the estimate of cost and obligations requirement level unless otherwise approved by the Program Secretarial Officer and the DOE Field Office Manager. b. Establishes the relative responsibilities of the program office and the DOE Field Office for determining the appropriateness of work assignments and for monitoring work performance 4 c. d. e. f. g. h. DOE 5700.7C 5-18-92 Assigns to the Program Secretarial Officers the responsibility for assuring the technical and programmatic adequacy of the documentation and requirements of their program work authorizations.

Assures work assigned to the multiprogram laboratories is consistent with the program mix approved in the institutional plan. Recognizes and accommodates the delegation of various program responsibilities to a DOE Field Office including responsibility for M&O assignment decisions when so delegated by a Program Office or by other DOE procedures (e.g., for non-DOE funded work). Provides a basis for monitoring contractor performance in terms of work accomplishment. Recognizes, is compatible with, and where appropriate, is integrated with the other Departmental systems related to the planning, budgeting, direction, control, and reporting of work assigned to M&Os. Includes a standard numbering system for all work authorizations for reporting and accountability purposes. 8. RESPONSIBILITIES AND AUTHORITIES. a. The Under Secretary shall establish Departmental policies for the assignment and control of work authorization to the designated M&O contractors. b. Lead Program Secretarial Officers shall: (1) (2) (3) Inform other DOE Elements of any restrictions or constraints on the use of a contractor facility under their cognizance. For M&O contractors under their cognizance that use the institutional planning process, provide guidelines under which approval of new work, as defined in DOE 5000.1B, may be delegated to a DOE Field Office. Recommend to the Under Secretary appropriate changes in the policies for work authorization for the designated M&O contractors. DOE 5700.7C 5 5-18-92 c. Program Secretarial Officers shall: (1) Provide general approval of work to be accomplished under the provisions of this Order, normally as part of the institutional planning, budget formulation, or similar processes. Approval of specific work authorizations and associated documentation may be delegated. (2) Prepare work authorizations, aggregate activities into related work assignments at the highest appropriate level, and defend the level of aggregation selected. (3) For work authorizations they initiate, ensure that: (a) (b) (c) (d) (e) The authorized work is appropriate for performance by an M&O contractor. Adequate consideration has been given to the alternative use of non-DOE resources. The work is not inappropriately duplicative of other ongoing work. The work is within the mission of the M&O contractor and otherwise appropriate for performance by the selected M&O contractor. The documentation provided with the work authorization and the requirements that it stipulates are both technically and programmatically adequate for their purpose. (4) As needed, issue and revise work authorizations to the DOE Field Offices and request necessary financial plan changes through the Chief Financial Officer (CR-1) for all approved work assignments. Authorizations for work planned in the current fiscal year are to be issued by the beginning of the fiscal year to the maximum extent possible. (5) Notify CR-1 when requesting periodic financial reports, except those provided for by the DOE Financial Information System. (6) Ensure that formal agreement is reached with the DOE Field Office in any instance in which the DOE Field Office is delegated technical assessment of work assignments or technical oversight and control of assigned work. (7) Monitor reports submitted to ensure that work performed and costs incurred conform to work authorizations which it issues. 6 DOE 5700.7C 5-18-92 d. Managers of DOE Field Offices shall: (1) (2) (3) (4) (5)

(6) (7) (8) (9) (l0) Ensure that work performed by an M&O contractor does not violate any restrictions or constraints on the use of DOE controlled facilities. Ensure that the work authorization requirements have been satisfied prior to granting authorization to proceed and that the M&O contractor has no significant disagreement with the assignment before work commences. Review all proposed work authorizations to M&O contractors under their cognizance to ensure that they are appropriate for performance by an M&O, that they are within the mission of the M&O selected, and for M&O’s with institutional plans, are within the scope and general levels of effort agreed upon. Issue and revise work authorizations for work assigned by the DOE Field Office, as in the case of non-DOE funded work, or when the assignment decision has been delegated. Monitor reports submitted to ensure that work performed and cost incurred conform to work authorizations which it issues. Authorizations for work planned in the current fiscal year are to be issued by the beginning of the fiscal year to the maximum extent possible. Authorize work in accordance with the approved funding program, programmatic guidance, and established procedures for administrative control of funds. Review field work proposals prepared by contractors for consistency with program and other guidance, and transmit the proposals with any comments and recommendations to Headquarters program offices within the timeframes estab- lished in the budget call issued by the Chief Financial Officer and program guidance issued by the Headquarters program offices. Ensure that M&O contractors provide technical information to the Director of Scientific and Technical Information (AD-21) in accordance with the requirements of DOE 1430.1C. Ensure that at least one copy of all approved Work Authorization Forms (DOE F 5700.2) is sent to the Office of Scientific and Technical Information (AD-21). DOE 5700.7C 5-18-92 e. Chief Financial Officer (CR-1) , shall: (1) Review all requests for periodic not provided for by the Financial (2) Perform other tasks of an account associated with the process descri issuing financial plans. f. Director of Procurement, Assistance and financial reports which are Information System; and ing and budgetary nature bed in this Order, such as Program Management (PR-1) shall: (1) Coordinate and secure Secretarial approval of any changes to the list of designated M&O contractors and issue update lists as necessary. (2) Develop work authorization system procedures in coordination with Departmental Elements. 9. REQUIREMENTS AND PROCEDURES. a. As a minimum, each work authorization will require one technical progress report each fiscal year, a final technical report at the termination of the work assignment, and an annual report, of costs incurred in relation to authorization funding. These minimum requirements shall be met as described in the work authorization form and shall comply with the requirements of DOE 1332.1A, UNIFORM REPORTING SYSTEM.” b. Each work authorization shall have a unique identifying number which shall remain unchanged for the total life of the work assignment. Each number shall conform to an 11 digit alphanumeric format as described in Attachment 2, page 2. Any exceptions to this format shall be clearly described in block 13 of the work authorization form (Attachment 2, page 1).

c. Work authorizations may authorize work for the current year or for subsequent years, subject to the availability of appropriated funds. A work authorization needs to be revised during the current year only to the extent necessary to reflect changes in funding or program guidance related to the current year. A multiyear work authorization need not be revised in the current year to reflect changes contemplated in subsequent years, but must be revised at the beginning of each fiscal year to reflect changes in funding, schedule, or scope originally authorized for that year. 7 8 DOE 5700.7C 5-18-92 BY d. DOE Field Offices shall obtain a signed copy of each work authorization accepted by the M&O contractor as evidence of acceptance of the work authorization. Initiation of work on the work authorization by the M&O contractor constitutes acceptance of work authorization. e. Program Offices may transfer funds to a DOE Field Office and formally delegate certain responsibilities and authorities of the program manager such as the assignment of tasks and/or distribu- tion of such funds to two or more M&Os under their cognizance. In such circumstances, the DOE Field Office shall be responsible for the preparation and issuance of the work authorization. f. Use of DOE F 5120.1, “Field Work Proposal,” may be required by a Program Office in any specific program area to provide information for program planning or budget formulation, be used as part or all of the documentation of a work assignment, and by an M&O contractor to describe prospective work proposed by the contractor. g. Funds necessary to support work authorizations will be provided through the existing financial plan process. The M&O contractor will have the flexibility to manage individual tasks within the work assignment. Manpower and dollars may be shifted, as necessary, subject to DOE or congressionally imposed constraints and, if required, program office concurrence. ORDER OF THE SECRETARY OF ENERGY: DONALD W. PEARMAN, JR. Acting Director Administration and Human Resource Management Attachment 1 DOE 5700.7C 5-18-92 Page 2 MANAGEMENT AND OPERATING CONTRACTS DOE 5700.7C Attachment 2 5-18-92 Page I 1. 2. 3. 4. 5. 6. 8. 13. 14. 15. 16. EXAMPLE OF WORK AUTHORIZATION FORM Work Authorization U.S. DEPARTMENT OF ENERGY MANAGEMENT & OPERATING (M&O) CONTRACT WORK AUTHORIZATION INITIATOR: George Simpson ER-10 NAME & SIGNATURE ORGANIZATION CODE TELEPHONE NO. PROJECT TITLE: Characterization of Organics in Solid and Sludge Waste from Emerging Energy Technologies RESPONSIBLE ASSISTANT SECRETARY: Director of Energy Research RESPONSIBLE DOE FIELD OFFICE: DOE CHICAGO FIELD OFFICE M&O CONTRACTOR NAME: University of Chicago WORK AUTHORIZATION NO.: FUNDS HEREBY AUTHORIZED B&R NO. $000 100 9. PERFORMANCE PERIOD COVERED BY FUNDS FROM: 10-1-86 TO: 9-30-87 10. WORK START DATE: 10-1-86 11. EXPECTED COMPLETION DATE: 9-30-87 12. FUTURE FUNDING PLANNED ($000) : $30 WORK AUTHORIZED: (Brief description, schedule, results or products and reporting requirements, and any shifting or funds permitted within the work authorization): NAME & SIGNATURE DATE WORK AUTHORIZATION OFFICIAL: James Harp 9-24-86 DOE FIELD OFFICE OFFICIAL: Robert Jones 9-24-86 M&O CONTRACTOR OFFICIAL: Harley Doe 9-24-86 HA/ 00 /01 Attachment 2 Page 2 DOE 5700.7C 5-18-92 DOE WORK AUTHORIZATION SYSTEM (WAS) WORK AUTHORIZATION FORM INSTRUCTIONS A. The Work Authorization Form is a document which authorizes the performance of work by a specific M&O contractor.

Item 1. Enter the name, signature, organi- zation code, and telephone number of Individual initiating the authorization. Item 2. When the work authorized relates to a specific project, enter the title of the project. Item 3. Enter the title of the Assistant Secretary responsible for the authorized work. Item 4. Enter the title of the DOE FIELD Office responsible for the authorized work. Item 5. Enter the name of the M&O contractor responsible for the authorized work. Item 6. Each work authorization number will remain the same for the life of the work assignment. Each number shall conform to the following alphanumeric format: “ --/-----/--/-- AA/11111/AA/11 a. The first two positions: The first two letters of the B&R code. b. The next two positions: The next two digits of the B&R code. c. The next two positions: A two digit sequential number for each authorization (01 to 99). d. The next one position: The last digit of the fiscal Year to which the authorization applies. - e. The next two posi office alpha code. f. The next two posi numeric code. tion: The DOE field tions: The M&O contractor Item 7. If the Initial authori- zation is changed, enter the appropriate revision number. Item 8. Enter the amount of funds authorized under each B&R code. Item 9. Use a two digit numeric format (MO-DA-YR) to indicate the performance period of the authori- zation; for example, 10-01-85 TO: 09-30-86. Item 10. Enter the estimated work start date; for example 09-25-06. Item 11. Enter the estimated work completion date; for example 09-05-86. Item 12. Enter the estimated fund- ing which will be required above the funds provided in the work authorization. Item 13. Enter a brief description of work authorized. schedule, results or products, and reporting require- ments. Item 140 Enter the name and signature of the work authorizing official, and the date of his/her signature. Item 15. Enter the name and signature of the DOE Field Office Official, and the date of his/her signature. Item 16. Enter the name and signature of the M&O official, and the date of his/her signature. DOE 5700.7C 5-18-92 Attachment 3 Page 1 FIELD WORK PROPOSAL (Format) U.S. DEPARTMENT OF ENERGY FIELD WORK PROPOSAL 1. WORK PACKAGE NUMBER 2.REVISION 3 DATE PREPAREDNO. . ERW0001 o 9-1-85 3. WORK PACKAGE TITLE 5. BUDGET AND REPORTING CODE Organics in Solid and Sludge Waste . from Emergency Energy Technologies AA-05-15 6. WORK PROPOSAL TERM 7. IS THIS WORK PACKAGE INCLUDED . Begin: (mm dd yy) End: (mm dd yy ) IN THEINSTITUTIONAL PLAN 10 01 85 09 30 86 Yes 8 . NAME: (Last, First. MI) (FTS Number) 11 . HEADQUARTERS 14 DOE ORGANIZATION HEADQUARTERS/DOE FIELD ORGANIZATION: . CODE: OFC PROGRAM MANAGER George Simpson Energy Research ER 9. DOE FIELD OFFICE WORK PROPOSAL 12. DOE FIELD 15. DOE ORGANIZATION REVIEWER Bob Johnson OFFICE: CODE DOE Chicago Field Office CH 1O. CONTRACT OR WORK PROPOSAL MANAGER 13. CONTRACTOR NAME: 16. CODE: John Smith Univ. of Chicago 12 17. PROPOSAL DESCRIPTION (Approach, anticipated benefit in 200 words or less:) In processes such as coal gasification, coal liquefaction, and the extraction of oil from oil shale, wastes are generated that are normally biologically or chemically treated before disposal. To assist in determining the best treatment for obtaining material suitable for disposal, a knowledge of the chemical composition of the wastes is required.

The primary objective of this interlaboratory study is to characterize, by narrow-bore capillary column gas chromatography/mass spectrometry, the organics in solid and sludge wastes from the processes of emerging energy technologies and determine their potential for leaching after solid waste disposal. 18. CONTRACTOR WORK PROPOSAL MANAGER: 19 . DOE FIELD OFFICE OFFICIAL (Signature) (Date) (Signature) 20 DETAIL ATTACHMENTS: (Date) . (see Attachments) a. Facility Requirements e. Approach i. Environmental Assessment b. Publications f. Technical progress j. Explanation of Milestones c. Purpose g. Future Accomplishments k. Other (Specify) d. Background h. Relationships to Other Projects Attachment 3 Page 2 DOE 5700.7C 5-18-92 WORK PROPOSAL REQUIREMENTS FOR OPERATING/EQUIPMENT OBLIGATIONS AND COSTS DATE PREPAREDCONTRACTOR NAME WORK PROPOSAL NO. REV. NO. University of Chicago ERWOOO1 o 9-1-85 21 . STAFFI NG (in staff years) PRIOR I BY AUTHOR- BY+l BY+2 TOTAL TO COMPETE 0.2 0.7 0.9 YEARS BY-1 REQUEST 0.2 $100 30 $ 0 $ 0 IZED 0 0.2 0.2 $100 30 a. SCIENTIFIC b. OTHER DIRECT . . . . . . . . . . . . c. TOTAL DIRECT . . . . . . . . . . . . 22. OPERATING EXPENSE (in Thousands) s 30 100 a. TOTAL OBLIGATIONS b. TOTAL COSTS 23. EQUIPMENT (in Thousands) a. EQUIPMENT OBLIGATIONS b. EQUIPMENT COSTS 24. MILESTONE SCHEDULE (Tasks) BY SCHEDULE PROPOSED Develop procedures for analysis Extraction of Samples Analysis Setup Extract Analysis Leaching & Analysis Leachate Reporting of Results 10/85-12/85 01/86-02/86 02/86 03/86-08/86 03/86-08/86 09/86 25. REPORTING REQUIREMENTS (DESCRIPTION) Milestone Status Report - Monthly Analysis Findings - AS produced Final Report - At close of project 000 0 0.2 DOE 5700.7C 5-18-92 Attachment 3 Page 3 DOE WAS FIELD WORK PROPOSAL INSTRUCTIONS Attachment 3 Page 4 DOE 5700.7C 5-18-92 DOE WAS FIELD WORK PROPOSAL INSTRUCTIONS (CONTINUED) DOE 5700.7C Attachment 3 5-18-92 Page 5 (and 6) DOE WAS FIELD WORK PROPOSAL INSTRUCTIONS (CONTINUED)