**[APPENDIX C]{.underline}**

**PROGRAM SECRETARIAL OFFICE PROFILES**

C.1 Defense Programs

## General Information

"The mission of Defense Programs is to ensure the safety, reliability,
and security of nuclear weapons without underground nuclear testing. We
will provide an infrastructure and the intellectual capability to
maintain the nuclear weapons stockpile, including replacing limited life
components and assuring an adequate supply of tritium. We will also
provide the ability to reconstitute underground nuclear testing and
nuclear weapons production capabilities as required to meet future
national security requirements."

The Stockpile Stewardship Program (SSP) was established in response to
the FY 1994 National Defense Authorization Act (P.L. 103-160), which
called on the Secretary of Energy to "establish a stewardship program to
ensure the preservation of the core intellectual and technical
competencies of the United States in nuclear weapons." In the absence of
nuclear testing the Stockpile Stewardship Program must: 1) support a
focused, multifaceted program to increase the understanding of the
enduring stockpile, 2) predict, detect, and evaluate potential problems
due to the aging of the stockpile, and 3) refurbish and remanufacture
weapons and components, as required. To accomplish these tasks, the SSP
is structured to sustain the strong scientific and technical base needed
to ensure the safety, reliability, and security of the stockpile.

## Program Organization and Goals

The SSP program is organized into three focus areas:

1)  Directed Stockpile Work (DSW), which is designed to ensure that
    stockpiled weapons meet military requirements.

2)  Campaigns, which are designed to provide the capability improvements
    needed to meet the future DSW needs of the nation's nuclear
    deterrent.

3)  Infrastructure (Readiness in Technical Base and Facilities, RTBF)
    that is required for stockpile work, and computational and
    experimental research activities.

### 

### Directed Stockpile Work. The purpose of the DSW Program is to ensure the safety, reliability, and security of the nation's nuclear weapons now and into the future. DSW includes weapons maintenance, surveillance, assessment and certification for the existing stockpile, scheduled weapon refurbishments and dismantlements, and systems studies and technology applications. The DSW Program encompasses a comprehensive range of activities that ensure the readiness of the nuclear stockpile.

The DSW requirements and schedule are derived from the Stockpile Life
Extension Process (SLEP). The SLEP addresses weapons stockpile concerns
by defining probable future refurbishment requirements for the nuclear
weapons stockpile. The SLEP provides the basis for focusing the DSW
research and development activities and, in consultation with the DOD,
prioritizing those activities.

### Campaigns. Campaigns are technically challenging, multi-year, multi-functional efforts across the DP laboratories, the production plants, and the Nevada Test Site (NTS), designed to develop and maintain specific critical capabilities needed to sustain a viable nuclear deterrent. The goal of these campaigns is to provide the capability to address current or future issues by employing the best scientists and engineers and the most advanced scientific infrastructure. Campaigns have milestones and specific end-dates, which are designed to focus efforts in science and computing, applied science and engineering, and production readiness, on clearly defined deliverables related to the stockpile. Currently, there are 18 Campaigns. It is anticipated that as these mature and milestones are achieved, new campaigns will be developed to address problems and issues in the DSW.

Eight campaigns deal primarily with providing the scientific
understanding required to certify the nuclear weapons stockpile in the
absence of nuclear testing, and to support the stockpile refurbishment
required for weapon life extensions. Campaigns with their results-driven
end-states comprise a significant portion of DP's mission-directed
scientific programmatic research.

[]{.mark}

### Infrastructure -- Readiness in Technical Base and Facilities. Infrastructure (Readiness in Technical Base and Facilities (RTBF)) provides the physical infrastructure and readiness activities required for the scientific, computational, engineering, and manufacturing activities of the Stockpile Stewardship program at the National Laboratories, Production Sites, and the Nevada Test Site. Maintaining the intellectual competencies of personnel in the science, engineering and manufacturing disciplines relevant to nuclear weapons technology is imperative to ensure the capability to address unanticipated technical issues as well as enable efforts in Campaigns and DSW. This program also encompasses activities needed to ensure that the infrastructure -- utilities, facilities, equipment -- are operationally safe, secure and environmentally compliant within a defined level of readiness. The primary goal of RTBF is to ensure that the infrastructure is available to conduct the scientific, technical, and manufacturing activities of the Stockpile Stewardship Program.

The major R&D activity within RTBF is the Advanced Simulation &
Computing element, which provides the computational infrastructure
necessary to support Stockpile Stewardship programs. This category
includes: Integrated Computing Systems (platforms, networks and their
operation); the Visual Interactive Environment for Weapon Simulation
(VIEWS); and the traditional Accelerated Strategic Computing Initiative
& Stockpile Computing strategies including Problem Solving Environment;
DisCom2; PathForward; One Program / Three Laboratories; University
Partnerships.

## Plan Development Process

Each year, an integrated planning process across the entire SSP
(campaigns, DSW, & RTBF) is completed by NNSA/DP managers and
representatives from the laboratories, test site, and production plants.
This planning process is based upon estimates of Congressional
appropriations for the coming fiscal year, from which program priorities
guidance are written and sent from the Deputy Administrator to the
laboratories, test site, production plants, and field offices. For each
Campaign, DSW element, and RTBF element a program plan is developed. The
program plan describes the program in terms of major technical efforts
(MTEs) in a five-year context. At the next level of detail,
implementation plans are developed that describe specific first- and
second-level milestones for the coming fiscal year. The program and
implementation plans are developed by teams comprised of representatives
from the three defense laboratories, the Nevada Test Site, the
production plants, and NNSA/DP. These plans -- some of which are
classified -- are submitted to NNSA/DP in Microsoft Word format.

**Program Execution**

Each year, based upon Congressional appropriations, the Defense Programs
executive management (e.g., Deputy Administrator and Assistant Deputy
Administrators) provides guidance to the laboratories, production
plants, and the test site on program execution priorities. Based on this
guidance, the laboratories, production plants, and test site develop or
revise the implementation plans. Work Authorizations (WAS) are issued to
the laboratories, production plants, and the test site through DOE/AL to
authorize expenditure of funds. Execution is controlled at the Budget
and Reporting Code level nine detail.

# **Tracking Process**

Defense Programs has implemented a business process to manage the
overall SSP using a tightly integrated project management approach. A
software system, called Prima Vera Project Management and Project
Controls, is used to track the details of Defense Programs activities
including the baseline and change controls. From a Department
perspective, Defense Programs tracks the first and second order
milestones, which correspond to level nine B&R codes. Finer granularity
milestones are managed at the laboratories, test site, and production
plants.

**Management Process**

Information is maintained in databases that have sufficient resolution
to understand the decomposition of the budget across all DP sites, by
all technical activities. Thus, it is possible to obtain funding levels,
by site, for any Campaign, MTE, or element of DSW and RTBF. During the
course of any given fiscal year, priorities can shift due to changes in
the stockpile that necessitate repairs or maintenance. When this occurs,
it is sometimes necessary to shift funding within the SSP, occasionally
between sites, to address the changes in priority.

**C.2 Energy Efficiency and Renewable Energy**

**General Description**

The Office of Energy Efficiency and Renewable Energy (EE) formulates and
directs programs designed to increase the production and utilization of
renewable energy and improve the energy efficiency of the
transportation, buildings, industrial, and utility sectors through
support of research, development, and technology transfer activities.
These programs include basic and applied research in fields of
scientific inquiry that can provide a general technology base, which the
private sector will be able to use in not only developing advanced
renewable and conservation applications but also actually getting these
technology applications into the marketplace. EE programs encompass
near-, mid-, and long-term research projects.

The office also has responsibility for administering energy
efficiency-oriented assistance programs, which operate through state and
local governments. EE programs are conducted on a national basis with
the assistance of DOE operations offices, EE field office, EE support
offices, and national laboratories. All of these programs are
implemented through a combination of DOE laboratories, academic
institutions, private contractors, and other Federal, state and local
government agencies.

*Office of Power Technologies.* The Office of Power Technologies is
responsible for development and promotion of the adoption of
cost-effective renewable energy and energy efficiency technologies and
practices, which enhance U.S. energy security, economic competitiveness
and environmental quality. Its goal is to provide energy supplies needed
for a growing economy at the lowest net cost. The major initiatives
include: encouraging equal treatment of supply and demand investments
and of conventional and renewable supply options through the
establishment of a number of programs aimed at assisting the U.S.
utility sector to continue to provide reliable electric energy at
minimum societal cost; and accelerating the entry of renewable energy
and advanced power system technologies into the marketplace. The energy
topics addressed by the program include:

-   Fostering the establishment of renewable or alternate energy supply
    options for use by utilities, allied industries and institutions in
    the areas of wind, hydropower, oceans and geothermal technologies.

-   expanding the technology base and utilization of solar energy
    options such as photovoltaics and solar thermal, along with biomass
    power technology supply options.

-   advancing electrical system options; district heating, shared energy
    cooperatives, and other community energy systems; and energy
    concepts involving improved energy conversion or more efficient
    energy utilization for use by utilities and other institutions.

-   advancing integrated resource planning, demand-side management,
    electric and electromagnetic field impacts, energy storage,
    electrochemistry, battery fuel cells, superconductivity, and
    hydrogen and efficiency improvements as they apply to utility usage.

*Office of Industrial Technologies.* The Office of Industrial
Technologies seeks to identify energy-conserving industrial techniques,
to promote renewable energy use in industrial applications, and to
sponsor cost-shared research and development projects to develop and
transfer this technology to the private sector. The programs are aimed
at increasing energy utilization efficiency, substituting more abundant
fuels for scarce oil and natural gas in the industrial and agricultural
sectors, and minimizing energy loss and environmental impacts and
hazards in waste streams of all types. To complement these efforts,
programs are maintained to monitor industry\'s progress toward improved
energy efficiency and the transfer of existing and new technology to the
private sector. The industrial programs encourage an increase in the
rate of adoption of energy efficiency measures and investments by the
industrial sector and seek to accelerate the introduction of
technologies, which offer significant energy efficiency potential. Among
the activities of the Office are:

-   Identification and analysis of existing but inadequately utilized
    industrial energy conservation technologies and implementation of
    appropriate Federal action.

-   Reduction of industrial waste generation, increased recycling of
    wastes, and increased use of plant- and consumer-generated wastes as
    process feedstocks.

-   Encouragement of increased energy efficiency and fuel-flexibility in
    the industrial sector to reduce petroleum dependence.

-   Support of research and development in the areas of combustion, heat
    transfer, thermodynamics, mechanics, materials chemistry,
    electrochemistry, and biocatalysis for the purpose of increasing
    energy productivity in the industrial sector and supporting and
    transferring the results of such research.

-   Stimulating implementation by private industry of new and existing
    technologies through the use of market analysis, product-specific
    commercialization plans and implementation, and industrial
    information dissemination and assistance.

*Office of Transportation Technologies.* The goal of the Office of
Transportation Technologies is to develop and assist industry in
implementing technologies, which will reduce transportation energy
demand, increase the supply and availability of domestically-produced
and abundant fuels, and minimize the environmental impacts of
transportation energy use while supporting national goals of economic
competitiveness, energy security and environmental quality. Emphasis is
placed on advancing heat engine technology through the development of
component and materials technologies; supporting a balanced program of
technology research and development for petroleum savings in the heavy
duty transport sector; advancing electric and hybrid vehicle technology
and advanced transportation propulsion systems; and developing a means
of using alternative fuels in vehicles. Program activities include:

-   Analyzing and evaluating highway and non-highway transportation
    systems and other vehicular systems such as magnetic levitation.

-   Determining the least costly and most environmentally beneficial
    transportation options by taking the entire fuel cycle into
    consideration.

-   Developing technologies to grow, harvest, and transport renewable
    feedstocks as well as the technologies to convert these feedstocks
    to transportation fuels.

-   Establishing the technology base necessary for industrial production
    of advanced transportation materials such as cost-effective ceramic
    components and tribology technologies.

*Office of Building Technologies, State and Community Programs.* The
Office of Building Technologies, State and Community Programs supports
activities designed to increase the efficiency of energy use in
commercial, residential and Federal buildings, as well as to enhance the
utilization of active and passive systems for building energy supply
options. Its programs include research, development, and other
approaches to encourage the adoption of energy efficiency and fuel
substitution technologies. Vital to this endeavor are efforts to
increase the energy efficiency of buildings and consumer products and
the transfer of energy-efficient technology to the private sector.
Building Technologies R&D activities include:

-   Developing, managing, and evaluating national research and
    development programs designed to increase the energy efficiency of
    the Nation\'s residential, commercial and industrial buildings and
    building equipment as well as to enhance the utilization of active
    and passive systems for solar building energy technology supply
    options.

-   Formulating and implementing legislative requirements for building
    energy performance standards and guidelines and appliance efficiency
    standards.

-   Developing, managing, and evaluating energy conservation planning
    and management for the Federal government with the goal of reduction
    of total energy consumption by the Federal government; increased
    energy efficiencies and reduced energy costs while altering the fuel
    mix within the Federal consumption total to enhance renewable
    resource fuels resulting in less dependence on imported fuel.

*Grant and Financial Assistance Activities of Building Technologies,
State and Community Programs.* Grants and Financial Assistance
undertakes national and international program initiatives to support
EE\'s mission to accelerate the adoption of cost-effective renewable
energy and energy efficiency technologies and practices. Office of
Building Technologies, (OBT) works with the States and with partners in
the building, industrial, transportation and utility sectors toward the
goals of economic competitiveness, energy security and environmental
quality. OBT serves as EE\'s primary technology deployment conduit with
all sectors to accelerate the adoption of energy efficient and renewable
technologies. This effort involves programs at the State and local
levels, in private and non-profit sectors as well as the international
arena. OBT has management responsibility for the 2 formula grant
programs: the State Energy Conservation Program, the Weatherization
Assistance Program, each of which may involve small businesses through
the States receiving the grants. In addition, OBT manages the
Energy-Related Inventions Program (ERIP), established to evaluate the
technical merits of energy-related inventions submitted by individual
inventors and small businesses, and to provide financial and technical
assistance to the most promising ideas. Because the ERIP relies
exclusively on unsolicited proposals, more background follows:

ERIP was established by the Federal Non-Nuclear Energy Research and
Development Act of 1974 (Public Law 93-577) to encourage innovation in
energy by the private sector as a method to expand the nation\'s energy
options. Jointly conducted by the DOE\'s Office of Conservation and
Renewable Energy and the National Institute of Standard and Technology
(NIST) the program provides a unique opportunity for the public to
submit energy-related ideas for a free technical evaluation and possible
financial support, giving special consideration to individual inventors
and small business.

To participate in the program, an inventor files an application form
(NIST-1019) and an invention disclosure with the NIST Office of
Energy-Related Inventions, describing the idea and documenting the
technical and commercial feasibility of the concept. The application
should make clear how the invention is unique, how performance and costs
are superior to similar items on the market, and how the invention will
affect national energy objectives.

Submissions that are unclear, related to nuclear energy, or
contradictory to the laws of science, are not evaluated. Once past the
initial screening, the concept is evaluated on two criteria: (1)
technical feasibility; and (2) potential impact on energy utilization or
supplies. The decision to recommend, or not to recommend to DOE for
possible support, is the last part of the NIST evaluation.

Inventions may be submitted at any stage of development and need not be
patented. Government procedures have been established to safeguard the
proprietary rights of inventors and protect the confidential
information. Although drawings are encouraged, no models or samples of
materials should be submitted unless specifically requested during the
evaluation. NIST will not test your invention.

When an invention is recommended by NIST to DOE for possible government
support, DOE works with the inventor to determine what kind of
assistance will best move the new technology toward commercialization.
Grants have been used for testing and analysis, for building an
engineering model or a working prototype, and for various aspects of
commercialization planning, if the invention is already in an advanced
state of development. All inventors recommended by NIST are required to
attend one of the Commercialization Planning Workshops sponsored by DOE.
These workshops bring together a dozen inventors and a faculty of
experts in patenting, licensing, business planning, marked analysis, and
financial and technical development. Anyone can submit an invention to
NIST for a free, confidential evaluation. There are no fees, and no
obligation, financial or otherwise, is incurred by the inventor.

*EE Support Offices.* Ten support offices nationwide implement EE\'s
policies and programs to increase the use of energy efficiency and
renewable energy technologies for the buildings, industrial,
transportation, and utility sectors in each of the six geographical
areas. The support offices carry out EE\'s mission by:

-   fostering the establishment of renewable or alternate energy
    administering the statutory energy efficiency grant programs of DOE
    and providing technical assistance and support to state offices in
    their energy and renewable energy initiatives;

-   initiating projects with specific application in the geographical
    area to demonstrate energy efficiency and renewable energy
    applications to end-users;

-   developing leveraged, cooperative projects with end-use sectors,
    academia, state governments, and others; and serving as a broker in
    facilitating joint ventures;

-   identifying targets of opportunity for the successful development
    and transfer of technology by working with state agencies, utility,
    business, and manufacturing associations, and public interest
    groups; and

-   acting as a regional clearinghouse for domestic and international
    energy efficiency and renewable energy information, educational, and
    other materials that can be provided to end-users and the general
    public.

*National Renewable Energy Laboratory.* The National Renewable Energy
Laboratory (NREL), located in Golden, Colorado, is DOE\'s and the
Nation\'s leader in developing renewable energy and related technologies
and facilitating their commercialization. Designated a national
laboratory by President Bush in September 1991 as a commitment to
renewable energy progress, NREL continues the work of the former Solar
Energy Research Institute, which was authorized by Federal statute in
1974.

NREL\'s mission includes all aspects of solar and renewable energy
research, including photovoltaics, solar thermal, biomass, wind,
building systems, resources assessment, analytical studies, and energy
storage. The laboratory\'s cooperative programs and technology transfer
initiatives with private industry help bring renewable energy
technologies into use. NREL is operated by Midwest Research Institute,
which was selected by DOE through a competitive process.

*Golden Field Office.* The Golden Field Office (GO) manages and
administers the operating contract for NREL. As such, the GO is DOE\'s
Federal manager for NREL\'s program execution, facility operation, and
all site activities. The field office, with facilities in Golden,
Colorado and Washington, DC, also approves NREL subcontracts and
consultant agreements, and oversees NREL work for non-DOE entities,
including work for other agencies.

C.3 Energy Efficiency Office of Power Technologies

**General Information**

"The Energy Efficiency (EE) Office of Power Technologies (OPT) leads the
Federal government's effort to help America's electric power industry
develop clean, renewable, more economical sources of electricity. OPT
technologies include renewable energy -- solar, wind, geothermal,
biomass, and hydropower -- as well as energy storage, hydrogen, and
superconductors."[^1] OPT is primarily an applied science program (e.g.,
PV/KWH) funded at approximately \$270.7M and is one of several offices
within the EE Program. The research performed within OPT is divided into
four crosscut categories: 1) Basic; 2) Applied; 3) Advanced Development;
and 4) Field Validation. The goal of the OPT is to promote research that
reduces the cost and time to market for products and improves product
performance. Therefore, the process to fund research is much different
than the process, for example, within the Office of Science (which is
dominantly a basic science research program).

**Programmatic Proposal Submission Process**

The OPT involves stakeholders to develop a "roadmap" or "multi-year
plan". The multi-year plan reflects program objectives and includes the
set of activities required to meet them. The plan contains a schedule to
reflect the time sequences of the activities to be performed over a
four-year period. Multi-year plans are developed for many key areas
within the OPT (e.g., Material Science for High Efficiency Collectors;
Manufacturing Processes; Electronic Conversion and Control Equipment;
and Field Validations). All plans include schedules for retrospective
peer reviews. Based upon the plans, OPT determines who should perform
the work. In response to the OPT analysis of qualified performers, the
laboratories will submit proposals (interchangeable terminology with
"annual operating plans"). An adjustment process occurs annually based
upon the results of the peer reviews of work performed which requires
annual revision of proposals.

A need exists to enable a fluid process for changing roadmaps and annual
operating plans throughout the House and Senate appropriations process
and Conference. Usually, the House and Senate OPT marks are available
sixty days prior to the beginning of the new FY. OPT uses the lesser
mark to revise roadmaps. This, in turn, requires the laboratories to
revise the annual operating plans. After the Conference, OPT iterates
with the laboratories to develop the final roadmap and annual operating
plans and purges the previous versions.

**Execution**

Two thirds of the OPT funds are distributed for research at national
laboratories and subcontracts from the national laboratories to
industrial and university performers. One third of the OPT funds are
distributed through the DOE Procurement Offices (primarily involves
Idaho Operations, Golden (financial assistance), and EE Regional
Offices). The execution information related to funds distributed through
the procurement offices is captured in an electronic system called PADS.

Funds transfer to the contractors is done by the Contractor
Identification Number (CID) at the accounting control or ECOR level. EE
has five fund types: (1) Energy and Water Development (E&WD)
Appropriations -- one-year funds, (2) FY 97 and prior -- no-year funds,
and (3) FY 98 -- one-year funds that must be obligated before year-end
or they go back to the Treasury; (4) FY 99 one-year funds and FY 99
two-year funds; and (5) FY 00 one-year funds. From FY 00 forward, all
funds will be one-year funds. This requires OPT to track execution
information including uncased balances using a matrix that reflects
information across five fund types for every program until all fund
types are fully expended (see attached report entitled OPT E&WD Uncosted
Obligations). In addition, OPT tracks program execution data by site
(see attached report entitled Office of Power Delivery Systems Program
Execution by Site). These reports are generated by Gloria Elliot, OPT
Budget and Accounting.

A real need in OPT is to have the ability to track execution information
related to funds subcontracted by laboratories to universities and
commercial entities. This information is not readily available in PADS
which reflects funds contracted by DOE **directly** to universities,
laboratories (by CID), and commercial entities, but does not reflect
funds contracted **indirectly** to universities and commercial entities
through the laboratories (CID). The amount of funds allocated for the
purpose of laboratory subcontracts to universities and commercial
entities is aggregated in the CID total to the laboratories and is not
maintained separately. For example, within the OPT PV Program,
allocation of funds to NREL may be categorized as follows (for
illustrative purposes):

NREL:

Funds for Internal Laboratory Activities \$10M

Subcontracts to Universities 2M --Indirect Procurement

Subcontracts to Industry 8M --Indirect Procurement

Total NREL \$20M

Records in PADS would reflect the following:

NREL (CID) \$20M

Direct PV Procurement to Universities 4M

Direct PV Procurement to Industry 6M

PADS reflects \$10 million going to industry and universities through
direct procurement when in reality, \$20 million went to industry and
universities due to indirect procurements through further subcontracting
from NREL to universities (\$2 million) and industry (\$8 million).

The importance of being able to capture execution data for indirect
contracts to universities and commercial entities is heightened in OPT
because approximately one half of the funds contracted to laboratories
are further contracted to universities and commercial entities.
Therefore, PADS does not enable categorizing approximately one third of
the OPT programs by actual performers. OPT is questioned on this topic
on a regular basis. The lack of indirect procurement information in PADS
forces OPT to require the laboratories to report quarterly to HQs the
amount of funds, out of the CID total, that are subcontracted to
universities and commercial entities. When the laboratories report back
to OPT, the information is maintained in a manual entry, uniform data
system.

**Tracking Process**

Laboratories report cost and progress to OPT on a quarterly basis. The
information is entered and maintained in in-house systems. Further
questioning is necessary to determine the extent of reporting to the R&D
tracking process.

**Management Process**

Some examples of activities that require compilation of data derived the
proposal submission, execution, and tracking processes include
development of the Congressional Budget Report, Program Data Book, and
Spending Plan as well as responding to regular queries about the
program.

**Summary**

For most of the processes listed in this report, OPT normally maintains
the information through in-house manual entry systems populated with
data reported back from the laboratories on a quarterly basis and is
interested in efforts to modernize across the Department from which OPT
can leverage. From their perspective, OPT would like to evaluate a more
integrated way of managing the processes. Deciding to adopt integrated
approaches will require methodologies and use of data systems to be cost
effective. An integrated approach must also make management of the
processes easier by enabling the tracking of requests by tasks
(projects), ad hoc queries, and a rational way of doing business through
a structured approach.

C.4 Environmental Management

General Information

The Office of Environmental Management (EM) has responsibility for the
largest environmental management program in the world \-- the cleanup
and long-term stewardship of the legacy of 50 years of nuclear weapons
research, production, and testing of DOE-funded nuclear energy and basic
science research in the United States. These activities collectively
produced large volumes of nuclear materials, spent nuclear fuel,
radioactive waste, and hazardous waste, resulting in contaminated
facilities, soil, and groundwater at 113 sites around the country. EM
manages some of the most technically challenging and complex work of any
environmental program in the world.

EM has identified four critical objectives that science and technology
investments must attain in order to support successful completion of the
cleanup mission: meet the high priority needs identified by cleanup
managers, including those on the critical path to site closure and those
that represent major technology gaps in waste stream disposition and
project completion; reduce the cost of EM's costliest cleanup projects
by aligning science and technology investment with EM's major cleanup
problems; reduce technological and programmatic risk so those critical
cleanup projects will be completed on time and within budget; and
accelerate and increase technology deployments by bridging the gap
between development and use.

Within EM, the Office of Science and Technology (OST) manages the
development of science and technologies to provide solutions to problems
encountered in completing the cleanup-stewardship mission.

**Mission**

OST's primary mission is to manage and direct a national,
solution-oriented science and technology program that provides the
scientific foundation, new approaches, and new technologies that bring
about significant reductions in risk, cost, and schedule for completion
of the EM cleanup-stewardship mission. OST provides the full range of
science and technology resources and capabilities, from a targeted basic
research program through development, demonstration, and deployment and
technical assistance needed to deliver and support fully developed,
deploy able scientific and technological solutions to EM cleanup and
long-term stewardship problems.

**Program Management**

The OST Program management approach is a project-based management system
that is in accordance with requirements defined in the Department's
"Integrated Planning, Accountability, and Budgeting System (IPABS)
Handbook" (DOE, 1999). IPABS employs the following features to integrate
business processes and facilitate overall project management: organizes
all work into projects with an associated focus on field project
management; develops and maintains Project Baseline Summaries (PBSs) as
the primary source of summary information; uses performance measures to
ensure accountability; provides quarterly project management tracking;
develops integrated annual budget guidance; implements and integrated
information system; and supports corporate database requirements. All
OST activities are described in two EM projects, a science project and a
technology project. Each project is a compilation of several product
lines and within each product line several work packages. The specific
work scope, funding profile, schedule, milestones, and deliverables
against which work performance and progress will be evaluated for each
work package is documented in field generated "Technical Task Plans".

**Selecting Performers**

OST uses National Laboratories, DOE site contractors, private industry
(including non and not for profit entities), and universities to conduct
it's research and development activities. Most OST projects are
continuations of prior-year-efforts. However, new work scopes may be
identified and proposed during the planning phase. A new work scope is
generally initiated through competitive procurement. OST programs issue
either targeted or broad solicitations depending on the scope of work.
Generally, new efforts in research are broadly announced to the larger
scientific audience, while near-term deployment opportunities, requiring
a more rapid response, are targeted to private industry. It is OST's
goal to compete every possible item of work that would benefit from
competitive procurement. OST primarily uses the following procurement
techniques for competitive contracts: specific requests for proposals
(RFPs) or applications (RFAs); and broad announcements designed to
collect "best-in-class" technology providers, including research
opportunity announcements (ROAs) issued annually, and program research
and development announcements (PRDAs). There are three primary areas for
which procurement actions are initiated: science and applied research;
technology development, demonstration, and testing; and accelerated
technology deployment.

**Execution Process**

OST allocates funds to specific field offices and R&D performers through
the Approved Funding Plan (AFP), a monthly CFO document. The AFP
identifies funds available for obligation and expenditure and also
establishes the framework for reporting financial data and technical
progress. The detailed work scope and deliverables for the activity is
documented in the Technical Task Plans.

C.5 Fossil Energy

**Mission**

The mission of the Fossil Energy program is "to enhance U.S. economic
and energy security by: 1) managing and performing energy-related
research that promotes the efficient and environmentally sound
production and use of fossil fuels; 2) partnering with industry and
others to advance clean and efficient fossil energy technologies toward
commercialization in U.S. and international markets; 3) managing the
Strategic Petroleum Reserve to reduce vulnerability to economic,
national security, and foreign policy consequences of supply
interruptions, and; 4) supporting the development of information and
policy options that benefit the public by ensuring access to adequate
supplies of affordable and clean energy."

**Programmatic Proposal Submission Process**

Fossil Energy negotiates an initial program and financial plan for the
program office. In response to the initial program plan, laboratories
submit Field Work Proposals (FWPs) which are written generically to
allow expansion for additional funding. Projects are identified by FWPs.

**Execution**

Project Funding Authorizations (PFAs) are attached to the FWPs. The
National Energy Technology Laboratory (NETL), uses the PFAs and FWPs to
generate guidance and passes guidance to the laboratories. The NETL, in
addition to having oversight responsibilities over the laboratories'
research and development, performs research and development in-house and
manages industrial and university R&D contracts, grants and cooperative
agreements. One additional management site exists under NETL: Albany,
Oregon. Fossil Energy also has another field site: National Petroleum
Technology Office located in Tulsa, Oklahoma.

**Tracking Process**

Portfolio managers monitor and track funding. For projects not executed
through NETL, the headquarters program offices make direct funding
authorizations to the laboratories rather than making them through NETL.

FE uses a system called the Fossil Energy Research Engineering
Development (FRED) to house tracking information. LOTUS Notes is the
technology on which FRED is based. Field managers (at FETC and Tulsa)
manually enter information, by the contract identification number (CID),
in the FRED system. FRED is available to DOE Headquarters managers and
to congressional staff. FRED is also used to house proposal and
execution information and is used for the reconciliation process.

**Management Process**

FE has a new internal system, called the Business Management Information
System Net (BMIS Net) based upon an earlier 1980 system called BMIS (not
the same as the CFOs BMIS). BMIS is based on LOTUS Notes technology and
stores information related to planned funding and obligations to each of
the sites at the accounting control level.

**Summary**

For most of the processes listed in this report, FE normally maintains
the information through in-house manual entry systems, called BMIS Net.
These systems are populated with data reported back from the
laboratories to portfolio managers at NETL, Tulsa, Oregon, and HQs. The
portfolio managers are responsible for entering the BMIS Net data.

**C.6 Office of Nuclear Energy, Science and Technology**

**Mission**

The programs of the office of Nuclear Energy, Science and Technology
(NE) promote secure, competitive, and environmentally responsible
nuclear technologies that serve the present and future needs of the
United States.

Because of our nation's reliance on nuclear energy, the Department of
Energy invests in services, products, and technologies essential to the
future. NE's important role includes;

-   Promoting research and development to advance applications of
    nuclear technologies for energy security, economic prosperity and
    quality of life.

-   Enhancing the nation's nuclear science, technology, and education
    infrastructure for the future.

-   Managing key Federal facilities and legacy nuclear materials.

**Program Overview**

The Office of Nuclear Energy, Science and Technology (NE) maintains the
Federal government's core expertise in nuclear science and technology.
Through its unique research and development infrastructure, the
Department's strives to maintain nuclear energy as a reliable,
economical, and environmentally safe source of energy for the next
century. The following programs support NE's three principal objectives.

The Nuclear Energy Research Initiative (NERI) program funds
investigator-initiated research and development at universities,
national laboratories, and industry to advance nuclear power technology.
NERI research and development focuses on proliferation-resistant reactor
and fuel technologies, high performance/efficient reactor technology,
advanced nuclear fuels, and new technologies for the minimization and
management of nuclear waste. In FY 2001, the Department proposes to
launch a new initiative within NERI, the International Clean Energy
Initiative/International Nuclear Energy Research Initiative (I-NERI), to
provide for competitive world-wide research and development of new
technologies to address the key issues affecting the future of nuclear
energy, in particular, the economics of nuclear power plants, safety,
proliferation, and waste management issues.

The Nuclear Energy Plant Optimization (NEPO) program develops key
technologies that can help ensure the long-term reliability and
efficiency of our nation's existing nuclear power plants. Today, with
the trend moving toward consolidation of ownership of nuclear plants,
and more and more plants proceeding with re-licensing, it is clear that
those plants that are cost-effective, safe, and reliable to operate,
will continue to operate for decades to come. NEPO is conducted in
cost-shared cooperation with the nuclear industry.

The University Reactor Fuel Assistance and Support program supports the
operation and upgrade of university research reactors, provides
fellowships and scholarships to outstanding students, and provides
nuclear engineering research grants. The program helps maintain domestic
capabilities to conduct research and the critical infrastructure
necessary to attract, educate, and train the next generation of
scientists and engineers with expertise in nuclear energy technologies.

The Accelerator Transmutation of Waste (ATW) research program was
initiated in FY 2000. The objective of the program is to conduct a
science-based research program that will ultimately lead to the
development, prototype deployment, demonstration and implementation of
an ATW based system to treat commercial spent fuel. The Department has
deferred requesting funding in FY 2001 pending evaluation of the trade
studies and experimental data developed in FY 2000.

The Isotope Support program provides a reliable supply of stable and
radioactive isotopes used in medicine, industry, and research. The
Advanced Nuclear Medicine Initiative inaugurated in FY 2000, conducts
medical isotope research to advance the state of U.S. medical research,
diagnosis, and treatment.

The Test Reactor Area (TRA) Landlord program provides reliable support
for activities taking place at the Test Reactor Area in Idaho which
includes naval reactor fuel and core component testing, and production
of isotopes for medicine and industry. The program funds operations,
maintenance, and upgrade activities for site common facilities and
utilities. The program ensures environmental compliance at TRA,
including identification of legacy waste and mitigation in accordance
with state regulations and DOE agreements with the State of Idaho.

The Fast Flux Test Facility (FFTF), located at the Hanford Site in
Washington, is a government-owned, 400 megawatt, sodium-cooled reactor
that operated from 1983 to 1992, providing a materials testing facility
for nuclear fusion and fission programs. In April 1992, the FFTF was
placed on hot-standby. Pending a decision on its future, expected in
mid-FY 2001, the Department continues to provide for surveillance and
maintenance of the reactor.

The activities of the Termination Costs program are focused on
Experimental Breeder Reactor-II (EBR-II) shutdown and deactivation,
treatment and disposition of sodium coolant from EBR-II and the Fermi
reactor, and treatment of sodium-bonded spent nuclear fuel. The project
to demonstrate electrometallurgical technology by treating 125 EBR-II
spent fuel and blanket assemblies has been completed. During FY 2000,
the Department is evaluating the suitability of the electrometallurgical
technology for full-scale treatment of the remaining EBR-II spent fuel
assemblies.

Uranium Program supports activities related to the Department's former
uranium enrichment program that were not transferred to the United
States Enrichment Corporation (USEC), including management of the
Department's inventory of 700,000 metric tons of depleted uranium
hexafluoride stored in Ohio, Kentucky, and Tennessee.

**C.7 Office of Defense Nuclear Nonproliferation**

**General Information**

The Office of Defense Nuclear Nonproliferation (NN) of the Department of
Energy (DOE) has the responsibility for technology and policy
development in support of national goals for nonproliferation of weapons
of mass destruction and treaty verification. DOE's Office of
Nonproliferation Research and Engineering (NN-20) program conducts
applied research, development, testing, and evaluation of science and
technology for strengthening the U.S. response to National Security
threats and threats to world peace posed by the proliferation of
nuclear, chemical, and biological weapons and diversion of special
nuclear material. Activities are focused on the development, design,
prototype construction and production of operational sensor systems
needed for proliferation detection, proliferation deterrence, nuclear
explosion monitoring, and chemical and biological nonproliferation.

**Program Organization and Goals**

The DOE will continue to leverage its considerable nuclear
nonproliferation research and

development (R&D) base to address important objectives including:
ground-based and satellite- based nuclear explosion monitoring
instrumentation, nuclear warhead dismantlement initiatives; countering
nuclear smuggling and terrorism; applying DOE's resident chemical and
biological science expertise to support U.S. preparation for and
response to the use of chemical and biological agents; and supporting
law enforcement agencies. All activities also support the timely
transfer of tested prototype systems to other U.S. Government agency
users. The program continues to support commercialization of
technologies and contributes to the Small Business Innovation Research
and the Small Business Technology Transfer programs.

Administration of NN-20 requires attention to a wide spectrum of
technologies and applications. NN-20 must respond on short notice to
calls for support for international negotiations or agreements and at
the same time must also anticipate future needs that are often not well
defined. Finally, because NN-20 does not itself operate systems, it
faces two difficult challenges: (1) it must transfer the technologies it
develops to end-users elsewhere in government, primarily the Defense
Department, the intelligence community, and law enforcement, and (2) it
must insure that the policy community is well informed of the potential
and limitations of technology.

**Proposal Submission Process**

Each year, an integrated planning process is completed by NN-20 managers
and laboratory representatives. The laboratories' proposals respond to
guidance on program priorities provided by the Assistant Deputy
Administrator. These proposals are electronically to submitted to DOE
NN-20 and added to the Project Management Information System database.

In FY 2000, the DOE will initiate a process of free and open competition
for twenty five percent of the NN-20 program. The first step in FY 2000
will be to participate in a joint, collaborative open solicitation with
the Defense Threat Reduction Agency for nuclear explosion monitoring
R&D.

**Program Execution**

Each year, based upon Congressional appropriations, the Assistant Deputy
Administrator

provides guidance to the laboratories on program execution priorities.
Work Authorization Statements are issued to the laboratories through the
DOE Operations Offices to authorize expenditure of funds. Execution is
done at the Budget and Reporting Code level.

**Tracking Process**

Laboratories report cost monthly and progress quarterly to NN-20. The
information is entered and maintained in-house systems.

**Management Process**

Some examples of activities that require compilation of data derived the
proposal submission, execution, and tracking processes include
development of the Congressional Budget Report and the Strategic Plan as
well as responding to regular queries about the program

**C.8 Office of Science**

**General Description**

The programs of the Office of Science (SC) fund basic research in order
to advance the fundamental science knowledge base, as well as train
future scientists. Research of this type has been supported by the
Department of Energy and its predecessors for over 50 years and includes
research in:

-   Basic energy sciences research in materials and chemical sciences,
    engineering and geosciences, and energy biosciences;

-   Magnetic fusion energy;

-   Biological and environmental research;

-   High energy and nuclear physics;

-   Advanced scientific computing research in mathematical,
    informational, and computational sciences.

These research programs build the science and technology base for our
Nation\'s energy security and scientific leadership.

**Programmatic Proposal Submission Process**

The Office of Science conducts a multi-facetted approach to achieve its
research goals. In addition to sponsoring basic research in the areas
listed above, the Office of Science has created a unique distributed
environment to further the science research goals of the Department and
the nation. The facilities include large accelerators, experimental
detectors, and reactors, high-precision instruments, synchrotrons,
massively parallel computers, high-capacity networks, and
high-resolution microscopes. These facilities are used by a broad base
of user groups from universities and industries all over the country and
abroad.

The Office of Science employs three primary methods for soliciting
research proposals from researchers at universities, DOE laboratories,
and industry. The first is the annual UNICALL which is issued to the DOE
laboratories. The second is an annual general Office of Science notice
for grant applications. The third is specialized notice for grant
applications from universities as well as DOE laboratories for
particular programs or initiatives. In each of these cases, multiple
paper copies of the proposals (in the formats appropriate for each
solicitation) are produced and distributed to the Program Managers to
facilitate their internal processes for committee review and to evaluate
the merits and worthiness of the proposals. Selected proposals are
further analyzed in light of the Programmatic goals and direction before
decisions are rendered regarding levels of funding. The Office of
Science is the largest funding source of research grants within the
Department. Research grants are critical components to the basic
research mission of the Office of Science.

**Execution Process**

When a program manager decides to fund a research project, the execution
process begins. This includes providing financial information, guidance
on what work is to be performed and, in the case of universities,
justification for the award under the DOE Office of Science grant
authority, 10CFR Part 605. The information provided by the program
manager is assembled and approved by the management of the relevant DOE
program and then forwarded to the Office of Science, Financial
Management Division. Data from the programs is entered into internal
Office of Science Systems as well as the CFO's FDS systems. In the case
of M&O contractors a WAS form and guidance letter are prepared. The WAS
and guidance letters for each M&O contractor are concurred in by
Financial Management Staff, Program Office Associate Directors and then
signed by SC-1.

The FDS input from Office of Science enables transfer of funds to the
Field Offices, which also receive the guidance and WAS forms. The Field
Offices sign the WAS forms and send them to the research facilities,
which also sign them. Guidance letters are also transmitted, sometimes
after retyping, to the facilities.

Finally, the research facilities assign funds to appropriate accounts in
their internal accounting systems and authorize researchers to begin
work.

**Tracking Process**

Aside from the monthly financial reporting done by the Laboratories,
researchers submit status reports documenting the accomplishments of
their research projects to satisfy the needs of the individual program
managers. Some of these reports are shared with the cognizant Operations
Office and others are sent directly to the program manager. Institutions
typically submit quarterly progress reports tracking their expenditure
of funds, but with no scientific or technical content. Laboratories
submit either electronic or paper copies of Scientific and Technical
reports (gray literature) to the Office of Scientific and Technical
Information (OSTI) in Oak Ridge, TN. Noteworthy research results are
typically documented in various scientific journals, however there are
no structured means to tie the article to the research program that
spawned it or vice versa. On occasion, the program manager is sent
journal article pre-prints or reprints, typically by the Principle
Investigator, as a validation of the research worthiness and/or in
conjunction with additional research requests. Each Laboratory submits
its own information for the annual R&D Tracking System data call, and
program managers review those submissions before they are released to
OSTI. The Office of Science responds, throughout the year, to inquiries
from stakeholders in the administration, congress and the public about
the research that is supported. To satisfy these requests for
information, program managers use the information they have gathered by
their own files when possible. However, in many cases, specialized data
calls to researchers in the field are needed. The Office of Science is
developing a grant module for the management and tracking of grant
projects as a part of the IMSC System.

**Management Process**

The management of the individual research programs in the Office of
Science is the responsibility of the individual program managers in the
scientific programs. They use a variety of tools such as spreadsheets,
email, program plans, etc. to evaluate the balance in their portfolios.
In addition, for a number of programs the B&R codes provide a coarse
summary of the funds used to support particular areas of research. Most
of the interfaces between these information sources are manual, which
complicates the task of the program managers.

Program managers in a number of areas have indicated a desire for more
flexible tools that would enable them to more easily see how their
research portfolio fits with other similar research supported by other
parts of DOE.

[^1]: http://www.eren.doe.gov/organization