**ATTACHMENT J.2**

**APPENDIX B**

**PERFORMANCE EVALUATION MEASUREMENT PLAN**

**Applicable to the Operation of**

**Ames Laboratory**

**Contract No. DE-AC02-07CH11358**

**FY 2007**

**CONTRACTOR PERFORMANCE EVALUATION AND MEASUREMENT PLAN**

**FOR**

**MANAGEMENT AND OPERATIONS OF THE**

**AMES LABORATORY**

![](media/image1.wmf){width="3.3569444444444443in"
height="3.3333333333333335in"}

## U.S. DEPARTMENT OF ENERGY

**AMES SITE OFFICE**

[U.S. DEPARTMENT OF ENERGY ii](#u.s.-department-of-energy)

[INTRODUCTION 2](#introduction)

[I. DETERMINING THE CONTRACTOR\'S PERFORMANCE RATING AND
PERFORMANCE-BASED FEE
2](#i.-determining-the-contractors-performance-rating-and-performance-based-fee)

[II. PERFORMANCE GOALS, OBJECTIVES & PERFORMANCE MEASURES
2](#__RefHeading___Toc112565611)

[Background 2](#background)

[Performance Goals, Objectives, and Performance Measures
2](#performance-goals-objectives-and-performance-measures)

[1.0 Provide for Efficient and Effective Mission Accomplishment
2](#provide-for-efficient-and-effective-mission-accomplishment)

[1.1 Science and Technology Results Provide Meaningful Impact on the
Field In determining the performance of the Objective the DOE
evaluator(s) shall consider the following as measured by progress
reports, peer reviews, Field Work Proposals (FWPs), Program Office
reviews/oversight, etc.:
2](#science-and-technology-results-provide-meaningful-impact-on-the-field-in-determining-the-performance-of-the-objective-the-doe-evaluators-shall-consider-the-following-as-measured-by-progress-reports-peer-reviews-field-work-proposals-fwps-program-office-reviewsoversight-etc.)

[1.2 Provide Quality Leadership in Science and Technology In determining
the performance of the Objective the DOE evaluator(s) shall consider the
following as measured by progress reports, peer reviews, Program Office
reviews/oversight, etc.:
2](#provide-quality-leadership-in-science-and-technology-in-determining-the-performance-of-the-objective-the-doe-evaluators-shall-consider-the-following-as-measured-by-progress-reports-peer-reviews-program-office-reviewsoversight-etc.)

[1.3 Provide and Sustain Science and Technology Outputs that Advance
Program Objectives and Goals
2](#provide-and-sustain-science-and-technology-outputs-that-advance-program-objectives-and-goals)

[1.4 Provide for Effective Delivery of Science and Technology
2](#provide-for-effective-delivery-of-science-and-technology)

[2.0 Provide for Efficient and Effective Design, Fabrication,
Construction and Operations of Research Facilities
2](#provide-for-efficient-and-effective-design-fabrication-construction-and-operations-of-research-facilities)

[2.1 Provide Effective Facility Design(s) as Required to Support
Laboratory Programs (i.e., activities leading up to CD-2)
2](#provide-effective-facility-designs-as-required-to-support-laboratory-programs-i.e.-activities-leading-up-to-cd-2)

[2.2 Provide for the Effective and Efficient Construction of Facilities
and/or Fabrication of Components (execution phase, Post CD-2 to CD-4)
2](#provide-for-the-effective-and-efficient-construction-of-facilities-andor-fabrication-of-components-execution-phase-post-cd-2-to-cd-4)

[2.3 Provide Efficient and Effective Operation of Facilities
2](#provide-efficient-and-effective-operation-of-facilities)

[2.4 Effective Utilization of Facility(ies) to Grow and Support the
Laboratory's Research Base
2](#effective-utilization-of-facilityies-to-grow-and-support-the-laboratorys-research-base)

[3.0 Provide Effective and Efficient Science and Technology Program
Management
2](#provide-effective-and-efficient-science-and-technology-program-management)

[3.1 Provide Effective and Efficient Stewardship of Scientific
Capabilities and Program Vision
2](#provide-effective-and-efficient-stewardship-of-scientific-capabilities-and-program-vision)

[3.2 Provide Effective and Efficient Science and Technology
Project/Program Planning and Management
2](#provide-effective-and-efficient-science-and-technology-projectprogram-planning-and-management)

[3.3 Provide Efficient and Effective Communications and Responsiveness
to Customer Needs
2](#provide-efficient-and-effective-communications-and-responsiveness-to-customer-needs)

[4.0 Provide Sound and Competent Leadership and Stewardship of the
Laboratory
2](#provide-sound-and-competent-leadership-and-stewardship-of-the-laboratory)

[4.1 Provide a Distinctive Vision for the Laboratory and an Effective
Plan for Accomplishment of the Vision to Include Strong Partnerships
Required to Carry Out those Plans
2](#provide-a-distinctive-vision-for-the-laboratory-and-an-effective-plan-for-accomplishment-of-the-vision-to-include-strong-partnerships-required-to-carry-out-those-plans)

[4.2 Provide for Responsive and Accountable Leadership throughout the
Organization
2](#provide-for-responsive-and-accountable-leadership-throughout-the-organization)

[4.3 Provide Efficient and Effective Corporate Office Support as
Appropriate
2](#provide-efficient-and-effective-corporate-office-support-as-appropriate)

[5.0 Sustain Excellence and Enhance Effectiveness of Integrated Safety,
Health, and Environmental Protection
2](#sustain-excellence-and-enhance-effectiveness-of-integrated-safety-health-and-environmental-protection)

[5.1 Provide a Work Environment that Protects Workers and the
Environment
2](#provide-a-work-environment-that-protects-workers-and-the-environment)

[5.2 Provide Efficient and Effective Implementation of Integrated
Safety, Health and Environment Management
2](#provide-efficient-and-effective-implementation-of-integrated-safety-health-and-environment-management)

[5.3 Provide Efficient and Effective Waste Management, Minimization, and
Pollution Prevention
2](#provide-efficient-and-effective-waste-management-minimization-and-pollution-prevention)

[6.0 Deliver Efficient, Effective, and Responsive Business Systems and
Resources that Enable the Successful Achievement of the Laboratory
Mission(s)
2](#deliver-efficient-effective-and-responsive-business-systems-and-resources-that-enable-the-successful-achievement-of-the-laboratory-missions)

[6.1 Provide an Efficient, Effective, and Responsive Financial
Management System(s)
2](#provide-an-efficient-effective-and-responsive-financial-management-systems)

[6.2 Provide an Efficient, Effective, and Responsive Acquisition and
Property Management System(s)](#__RefHeading___Toc112565658)

[6.3 Provide an Efficient, Effective, and Responsive Human Resources
Management System
2](#provide-an-efficient-effective-and-responsive-human-resources-management-system)

[6.4 Provide Efficient, Effective, and Responsive Management Systems for
Internal Audit and Oversight; Quality; Information Management; and Other
Administrative Support Services as Appropriate
2](#provide-efficient-effective-and-responsive-management-systems-for-internal-audit-and-oversight-quality-information-management-and-other-administrative-support-services-as-appropriate)

[6.5 Demonstrate Effective Transfer of Technology and Commercialization
of Intellectual Assets
2](#demonstrate-effective-transfer-of-technology-and-commercialization-of-intellectual-assets)

[7.0 Sustain Excellence in Operating, Maintaining, and Renewing the
Facility and Infrastructure Portfolio to Meet Laboratory Needs
2](#sustain-excellence-in-operating-maintaining-and-renewing-the-facility-and-infrastructure-portfolio-to-meet-laboratory-needs)

[7.1 Manage Facilities and Infrastructure in an Efficient and Effective
Manner that Optimizes Usage and Minimizes Life Cycle Costs
2](#manage-facilities-and-infrastructure-in-an-efficient-and-effective-manner-that-optimizes-usage-and-minimizes-life-cycle-costs)

[7.2 Provide Planning for and Acquire the Facilities and Infrastructure
Required to support Future Laboratory Programs
2](#provide-planning-for-and-acquire-the-facilities-and-infrastructure-required-to-support-future-laboratory-programs)

[8.0 Sustain and Enhance the Effectiveness of Integrated Safeguards and
Security Management (ISSM) and Emergency Management Systems
2](#sustain-and-enhance-the-effectiveness-of-integrated-safeguards-and-security-management-issm-and-emergency-management-systems)

[8.1 Provide an Efficient and Effective Emergency Management System
2](#provide-an-efficient-and-effective-emergency-management-system)

[8.2 Provide an Efficient and Effective System for Cyber-Security
2](#provide-an-efficient-and-effective-system-for-cyber-security)

[8.3 Provide an Efficient and Effective System for the Protection of
Special Nuclear Materials, Classified Matter, and Property
2](#provide-an-efficient-and-effective-system-for-the-protection-of-special-nuclear-materials-classified-matter-and-property)

[8.4 Provide an Efficient and Effective System for the Protection of
Classified and Sensitive Information
2](#provide-an-efficient-and-effective-system-for-the-protection-of-classified-and-sensitive-information)

[ATTACHMENT I. OFFICE OF SCIENCE PROGRAM OFFICE GOAL & OBJECTIVE
WEIGHTINGS
2](#attachment-i.-office-of-science-program-office-goal-objective-weightings)

[ATTACHMENT II. EVALUATION SCHEDULE
2](#attachment-ii.-evaluation-schedule)

# INTRODUCTION

This document, the Performance Evaluation and Measurement Plan (PEMP),
primarily serves as DOE's Quality Assurance/Surveillance Plan (QASP) for
the evaluation of *[Name of Contractor]{.underline}* (hereafter referred
to as "the Contractor") performance regarding the management and
operations of the Ames Laboratory (hereafter referred to as "the
Laboratory") for the evaluation period from January 1, 2007, through
September 30, 2007. The performance evaluation provides a standard by
which to determine whether the Contractor is managerially and
operationally in control of the Laboratory and is meeting the mission
and requirement performance expectations/objectives of the Department as
stipulated within this contract.

This document also describes the distribution of the total available
performance-based fee and the methodology for determining the amount of
fee earned by the Contractor as stipulated within the clauses entitled,
"Determining Total Available Performance Fee and Fee Earned,"
"Conditional Payment of Fee, Profit, or Incentives," and "Total
Available Fee: Base Fee Amount and Performance Fee Amount." In
partnership with the Contractor and other key customers, the Department
of Energy (DOE) Headquarters (HQ) and the Site Office have defined the
measurement basis that serves as the Contractor's performance-based
evaluation and fee determination. The total available fee for FY 2007 is
\$\_\_\_\_\_\_\_\_\_.

The Performance Goals (hereafter referred to as Goals), Performance
Objectives (hereafter referred to as Objectives) and set of Performance
Measures and Targets (hereafter referred to as Performance
Measures/Targets) for each Objective discussed herein were developed in
accordance with contract expectations set forth within the contract. The
Performance Measures for meeting the Objectives set forth within this
plan have been developed in coordination with HQ program offices as
appropriate. Except as otherwise provided for within the contract, the
evaluation and fee determination will rest solely on the Contractor's
performance within the Performance Goals and Objectives set forth within
this plan.

The overall performance against each Objective of this performance plan,
to include the evaluation of Performance Measures identified for each
Objective, shall be evaluated jointly by the appropriate HQ office or
major customer and the Site Office. This cooperative review methodology
will ensure that the overall evaluation of the Contractor results in a
consolidated DOE position taking into account specific Performance
Measures as well as all additional information not otherwise identified
via specific Performance Measures. The Site Office shall work closely
with each HQ program office or major customer throughout the year in
evaluating the Contractor's performance and will provide observations
regarding programs and projects as well as other management and
operation activities conducted by the Contractor throughout the year.[\
]{.mark}

[Section I]{.underline} provides information on how the performance
rating (grade) for the Contractor, as well as how the performance-based
fee earned (if any) will be determined.

[Section II]{.underline} provides the detailed information concerning
each Goal, their corresponding Objectives, and Performance Measures of
performance identified, along with the weightings assigned to each Goal
and Objective and a table for calculating the final score for each Goal.

# I. DETERMINING THE CONTRACTOR\'S PERFORMANCE RATING AND PERFORMANCE-BASED FEE

[]{#__RefHeading___Toc112565611 .anchor}The FY 2007 Contractor
performance grades will be determined based on the weighted sum of the
individual scores earned for each of the Goals described within this
document for Science and Technology and for Management and Operations
(see Table A below). No overall rollup grade will be provided.
Performance evaluations shall be measured and graded at the Objective
level, which rollup to provide the performance evaluation determination
for each Goal. Performance evaluations will be rolled up for an overall
grade for Science and Technology and for Management and Operations. The
rollup of the performance of each Goal will then be utilized to
determine the overall Contractor performance grade for Science and
Technology and Management and Operations. The total overall points
derived for Science and Technology will be utilized to determine the
amount of available fee that may be earned (see Table B). The overall
points derived for Management and Operations will be utilize to
determine the multiplier to be applied (see Table C) to the Science and
Technology fee earned to determine the final amount of fee earned for FY
2007. Each Goal is composed of two or more weighted Objectives and each
Objective has a set of Performance Measures, which are identified to
assist the reviewer in determining the Contractor's overall performance
in meeting that Objective. Each of the Performance Measures identifies
significant activities, requirements, and/or milestones important to the
success of the corresponding Objective and shall be utilized as the
primary means of determining the Contractor's success in meeting the
Objective. Although the Performance Measures are the primary means for
determining performance, other performance information available to the
evaluating office from other sources to include, but not limited to, the
Contractor's self-evaluation report, operational awareness (daily
oversight) activities; "For Cause" reviews (if any); other outside
agency reviews (OIG, GAO, DCAA, etc.), and the annual 2-week review (if
needed), may be utilized in determining the Contractor's overall success
in meeting an Objective. The following describes the methodology for
determining the Contractor's grade for each Goal:

[]{.mark}

[Performance Evaluation Methodology]{.underline}:

The purpose of this section is to establish a methodology to develop
scoring at the Objective Level. Each Objective within a Goal shall be
assigned a numerical score, per Figure I-1 below, by the evaluating
office. Each evaluation will measure the degree of effectiveness and
performance of the Contractor in meeting the Objective and shall be
based on the Contractor's success in meeting the set of Performance
Measures identified for each Objective as well as other performance
information available to the evaluating office from other sources as
identified above. The set of Performance Measures identified for each
Objective represent the set of significant indicators that if fully met,
collectively places performance for the Objective in the "B+" grade
range. For some targets, it serves the evaluator to provide additional
grading details (for example at the A, C+, and D levels) and in those
cases details have been included in the PEMP. However, these should be
considered as guidelines that do not restrict the evaluation from
considering other factors that contribute to the evaluation.

  ------------------------------------------------------------------------
  **Letter   **Numeric    **Definition**
  Grade**    Grade**      
  ---------- ------------ ------------------------------------------------
  A+         4.3 -- 4.1   Significantly exceeds expectations of
                          performance as set within performance measures
                          identified for each Objective or within other
                          areas within the purview of the Objective. Areas
                          of notable performance have or have the
                          potential to significantly improve the overall
                          mission of the Laboratory. No specific
                          deficiency noted within the purview of the
                          overall Objective being evaluated.

  A          4.0 -- 3.8   Notably exceeds expectations of performance as
                          set within performance measures identified for
                          each Objective or within other areas within the
                          purview of the Objective. Areas of notable
                          performance either have or have the potential to
                          improve the overall mission of the Laboratory.
                          Minor deficiencies noted are more than offset by
                          the positive performance within the purview of
                          the overall Objective being evaluated and have
                          no potential to adversely impact the mission of
                          the Laboratory.

  A-         3.7 -- 3.5   Meets expectations of performance as set within
                          performance measures identified for each
                          Objective with some notable areas of increased
                          performance identified. Deficiencies noted are
                          offset by the positive performance within the
                          purview of the overall Objective being evaluated
                          with little or no potential to adversely impact
                          the mission of the Laboratory.

  B+         3.4 -- 3.1   Meets expectations of performance as set by the
                          performance measures identified for each
                          Objective with no notable areas of increased or
                          diminished performance identified. Deficiencies
                          identified are offset by positive performance
                          and have little to no potential to adversely
                          impact the mission of the Laboratory.

  B          3.0 -- 2.8   Most expectations of performance as set by the
                          performance measures identified for each
                          Objective are met and/or other minor
                          deficiencies are identified. Performance
                          measures or other minor deficiencies identified
                          are offset by positive performance within the
                          purview of the Objective and have little to no
                          potential to adversely impact the mission of the
                          Laboratory.

  B-         2.7 -- 2.5   One or two expectations of performance set by
                          the performance measures are not met and/or
                          other deficiencies are identified and although
                          they may be offset by other positive
                          performance, they may have the potential to
                          negatively impact the Objective or overall
                          Laboratory mission accomplishment.

  C+         2.4 -- 2.1   Some expectations of performance set by the
                          performance measures are not met and/or other
                          minor deficiencies are identified and although
                          they may be offset by other positive
                          performance, they may have the potential to
                          negatively impact the Objective or overall
                          Laboratory mission accomplishment.

  C          2.0 -- 1.8   A number of expectations as set by the
                          performance measures are not met and/or a number
                          of other deficiencies are identified and
                          although they may be somewhat offset by other
                          positive performance, they have the potential to
                          negatively impact the Objective or overall
                          Laboratory mission accomplishment.

  C-         1.7 -- 1.1   Most expectations as set by the performance
                          measures are not met and/or other major
                          deficiencies are identified which have or will
                          negatively impact the Objective or overall
                          Laboratory mission accomplishment if not
                          immediately corrected.

  D          1.0 -- 0.8   Most or all expectations as set by the
                          performance measures are not met and/or other
                          significant deficiencies are identified which
                          have negatively impacted the Objective and/or
                          overall Laboratory mission accomplishment.

  F          0.7 -- 0     All expectations as set by the performance
                          measures are not met and/or other significant
                          deficiencies are identified which have
                          significantly impacted both the Objective and
                          the accomplishment of the Laboratory mission.
  ------------------------------------------------------------------------

**Figure I-1. Letter Grade and Numerical Score Definitions**

[\
Calculating Individual Goal Scores and Letter Grade]{.underline}:

Each Objective is assigned the earned numerical score by the evaluating
office as stated above. The Goal rating is then computed by multiplying
the numerical score by the weight of each Objective within a Goal. These
values are then added together to develop an overall score for each
Goal. A set of tables is provided at the end of each Performance Goal
section of this document to assist in the calculation of Objective
scores to the Goal score. Utilizing Table A, below, the scores for each
of the Science and Technology (S&T) Goals and Management and Operations
(M&O) Goals are then multiplied by the weight assigned and these are
summed to provide an overall score for each. The total score for Science
and Technology and Management and Operations is compared to the letter
grade scale found in Table B, below, to determine the overall S&T and
M&O grades for FY 2007.

The raw score (rounded to the nearest hundredth) from each calculation
shall be carried through to the next stage of the calculation process.
The raw score for Science and Technology and Management and Operations
will be rounded to the nearest tenth of a point for purposes of
identifying the overall letter grade as indicated in Table B and for
utilization in determining fee as indicated in Table C. A standard
rounding convention of x.44 and less rounds down to the nearest tenth
(here, x.4), while x.45 and greater rounds up to the nearest tenth
(here, x.50).

[]{.mark}

  ---------------------------- ------------- ---------- ------------ ------------ ---------
  **S&T Performance Goal**     **Numerical   **Letter   **Weight**   **Weighted   **Total
                               Score**       Grade**                 Score**      Score**

  1.0 Mission Accomplishment                            TBD%[^1]                  

  2.0 Construction and                                  TBD%                      
  Operations of User Research                                                     
  Facilities and Equipment                                                        

  3.0 Science and Technology                            TBD%                      
  Research Project/Program                                                        
  Management                                                                      

  **Total Score**                                                                 

  **M&O Performance Goal**     **Numerical   **Letter   **Weight**   **Weighted   **Total
                               Score**       Grade**                 Score**      Score**

  4.0 Leadership and                                    20%                       
  Stewardship of the                                                              
  Laboratory                                                                      

  5.0 Integrated Safety,                                30%                       
  Health, and Environmental                                                       
  Protection                                                                      

  6.0 Business Systems                                  20%                       

  7.0 Operating, Maintaining,                           20%                       
  and Renewing Facility and                                                       
  Infrastructure Portfolio                                                        

  8.0 Integrated Safeguards                             10%                       
  and Security Management and                                                     
  Emergency Management Systems                                                    

  **Total Score**                                                                 
  ---------------------------- ------------- ---------- ------------ ------------ ---------

**Table A. FY *[YEAR]{.underline}* Contractor Evaluation Score
Calculation**

  ---------------------------------------------------------------------------------------------------------------------------------------------------------
  Final     A+            A             A-            B+            B             B-            C+            C             C-            D         F
  Grade                                                                                                                                             
  --------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- --------- -------
  **Total   **4.3-4.1**   **4.0-3.8**   **3.7-3.5**   **3.4-3.1**   **3.0-2.8**   **2.7-2.5**   **2.4-2.1**   **2.0-1.8**   **1.7-1.1**   1.0-0.8   0.7-0
  Score**                                                                                                                                           

  ---------------------------------------------------------------------------------------------------------------------------------------------------------

**Table B. FY 2007 Contractor Letter Grade Scale**

[Determining the Amount of Performance-Based Fee Earned]{.underline}:

The percentage of the available performance-based fee that may be earned
by the Contractor shall be determined based on the overall weighted
score for the S&T Goals (see Table A. above) and then compared to Table
C. below. The overall numerical score of the M&O Goals from Table A.
above shall then be utilized to determine the final fee multiplier (see
Table C.), which shall be utilized to determine the overall amount of
performance-based fee earned for FY 2007 as calculated within Table D.

[Award Term Incentive]{.underline}.

**Ames Laboratory FY 2007 Request for Proposal offers Award Term
Incentives to the successful contractor. The base term of the contract
is five years. The proposed contract contains a non-monetary performance
incentive which will allow the selected offeror to earn up to an
additional fifteen years of contract term for exemplary performance.
(Please refer to section F, Clause F.2 of Ames Contract/Solicitation)\
**

  ------------------------------------------------------------------------
  **Overall Weighted Score from   **Percent S&T Fee   **M&O Fee
  Table A.**                      Earned**            Multiplier**
  ------------------------------- ------------------- --------------------
  **4.3**                         **100%**            **100%**

  **4.2**                                             

  **4.1**                                             

  **4.0**                         **97%**             **100%**

  **3.9**                                             

  **3.8**                                             

  **3.7**                         **94%**             **100%**

  **3.6**                                             

  **3.5**                                             

  **3.4**                         **91%**             **100%**

  **3.3**                                             

  **3.2**                                             

  **3.1**                                             

  **3.0**                         **88%**             **95%**

  **2.9**                                             

  **2.8**                                             

  **2.7**                         **85%**             **90%**

  **2.6**                                             

  **2.5**                                             

  **2.4**                         **75%**             **85%**

  **2.3**                                             

  **2.2**                                             

  **2.1**                                             

  **2.0**                         **50%**             **75%**

  **1.9**                                             

  **1.8**                                             

  **1.7**                         **0%**              **60%**

  **1.6**                                             

  **1.5**                                             

  **1.4**                                             

  **1.3**                                             

  **1.2**                                             

  **1.1**                                             

  **1.0 to 0.8**                  **0%**              **0%**

  **0.7 to 0.0**                  **0%**              **0%**
  ------------------------------------------------------------------------

Table C. - Performance-Based Fee Earned Scale

  ------------------------------------------------------ ----------------
  **Overall Fee Determination**                          

  **Percent S&T Fee Earned from Table C.**               

  **M&O Fee Multiplier from Table C.**                   

  **Overall Earned Performance-Based Fee**               
  ------------------------------------------------------ ----------------

**Table D. -- Final Percentage of Performance-Based Fee\
Earned Determination**

[\
\
Adjustment to the Letter Grade and/or Performance-Based Fee
Determination]{.underline}:

The lack of performance objectives and measures in this plan do not
diminish the need to comply with minimum contractual requirements.
Although the performance-based Goals and their corresponding Objectives
shall be the primary means utilized in determining the Contractor's
performance grade and/or amount of performance-based fee earned, the
Contracting Officer may unilaterally adjust the rating and/or reduce the
otherwise earned fee based on the Contractor's performance against all
contract requirements as set forth in the Prime Contract. While
reductions may be based on performance against any contract requirement,
specific note should be made to contract clauses which address reduction
of fee including, Standards of Contractor Performance Evaluation, DEAR
970.5215-1 -- Total Available Fee: Base Fee Amount and Performance Fee
Amount, and Conditional Payment of Fee, Profit, and Other Incentives --
Facility Management Contracts. Data to support rating and/or fee
adjustments may be derived from other sources to include, but not
limited to, operational awareness (daily oversight) activities; "For
Cause" reviews (if any); other outside agency reviews (OIG, GAO, DCAA,
etc.), and the annual 2-week review (if needed).

The adjustment of a grade and/or reduction of otherwise earned fee will
be determined by the severity of the performance failure and
consideration of mitigating factors. DEAR 970.5215-3 Conditional Payment
of Fee, Profit, and Other Incentives -- Facility Management Contracts is
the mechanism used for reduction of fee as it relates to performance
failures related to safeguarding of classified information and to
adequate protection of environment, health and safety. Its guidance can
also serve as a example for reduction of fee in other areas.\
\
The final Contractor performance-based rating and fee earned
determination will be contained within a year-end report, documenting
the results from the DOE review. The report will identify areas where
performance improvement is necessary and, if required, provide the basis
for any performance-based rating and/or fee adjustments made from the
otherwise earned rating/fee based on Performance Goal achievements.

**II. PERFORMANCE GOALS, OBJECTIVES & PERFORMANCE MEASURES**

## Background 

[]{.mark}

The current performance-based management approach to oversight within
DOE has established a new culture within the Department with emphasis on
the customer-supplier partnership between DOE and the laboratory
contractors. It has also placed a greater focus on mission performance,
best business practices, cost management, and improved contractor
accountability. Under the performance-based management system the DOE
provides clear direction to the laboratories and develops annual
performance plans (such as this one) to assess the contractors
performance in meeting that direction in accordance with contract
requirements. The DOE policy for implementing performance-based
management includes the following guiding principles:

-   Performance objectives are established in partnership with affected
    organizations and are directly aligned to the DOE strategic goals;

-   Resource decisions and budget requests are tied to results; and

-   Results are used for management information, establishing
    accountability, and driving long-term improvements.

The performance-based approach focuses the evaluation of the
Contractor's performance against these Performance Goals. Progress
against these Goals is measured through the use of a set of Objectives.
The success of each Objective will be measured based on a set of
Performance Measures, both objective and subjective, that are to focus
primarily on end-results or impact and not on processes or activities.
Measures provide specific evidence of performance, and collectively,
they provide the body of evidence that indicates performance relative to
the corresponding Objectives. On occasion however, it may be necessary
to include a process/activity-oriented measure when there is a need for
the Contractor to develop a system or process that does not currently
exist but will be of significant importance to the DOE and the
Laboratory when completed or that lead to the desired outcome/result.

[]{.mark}

## Performance Goals, Objectives, and Performance Measures

The following sections describe the Performance Goals, their supporting
Objectives, and associated performance measures for FY 2007.

## 1.0 Provide for Efficient and Effective Mission Accomplishment 

> **The Contractor produces high-quality, original, and creative results
> that advance science and technology; demonstrates sustained scientific
> progress and impact; receives appropriate external recognition of
> accomplishments; and contributes to overall research and development
> goals of the Department and its customers.**
>
> The weight of this Goal is TBD%.
>
> The Provide for Efficient and Effective Mission Accomplishment Goal
> measures the overall effectiveness and performance of the Contractor
> in delivering science and technology results which contribute to and
> enhance the DOE's mission of protecting our national and economic
> security by providing world-class scientific research capacity and
> advancing scientific knowledge by supporting world-class,
> peer-reviewed scientific results, which are recognized by others.\
> \
> Each Objective within this Goal is to be assigned the appropriate
> numerical score by the Office of Science Program Office as identified
> below. The overall Goal score from each Program Office is computed by
> multiplying numerical scores earned by the weight of each Objective,
> and summing them (see Table 1.1). The final weights to be utilized for
> determining weighted scores will be determined following the end of
> the performance period and will be based on actual Budget Authority
> for FY 2007.

-   Office of Advanced Scientific Computing Research (ASCR) (TBD%)

-   Office of Basic Energy Sciences (BES) (TBD%)

-   Office of Biological and Environmental Research (BER) (TBD%)

-   Office of Workforce Development for Teachers and Scientists (WDTS)
    (TBD%)

> The overall performance score and grade for this Goal will be
> determined by multiplying the overall score assigned by each of the
> offices identified above by the weightings identified for each and
> then summing them (see Table 1.2 below). The overall score earned is
> then compared to Table 1.3 to determine the overall letter grade for
> this Goal. Individual Program Office weightings for each of the
> Objectives identified below are provided within Table 1.1. The
> Contractor's success in meeting each Objective shall be determined
> based on the Contractor's performance as viewed by the Office of
> Science Program Offices for which the Laboratory conducts work. Should
> one or more of the HQ Program Offices choose not to provide an
> evaluation for this Goal and its corresponding Objectives, the
> weighting for the remaining HQ Program Offices shall be recalculated
> based on their percentage of BA for FY 2007 as compared to the total
> BA for those remaining HQ Program Offices.

Objectives:

## Science and Technology Results Provide Meaningful Impact on the Field**  In determining the performance of the Objective the DOE evaluator(s) shall consider the following as measured by progress reports, peer reviews, Field Work Proposals (FWPs), Program Office reviews/oversight, etc.:**

-   The impact of publications on the field;

-   Publication in journals outside the field indicating broad impact;

-   Impact on DOE or other customer mission(s);

-   Successful stewardship of mission-relevant research areas;

-   Significant awards (R&D 100, FLC, Nobel Prizes, etc.);

-   Invited talks, citations, making high-quality data available to the
    scientific community; and

-   Development of tools and techniques that become standards or
    widely-used in the scientific community.

  -------- -----------------------------------------------------------------
  **A to   Changes the way the research community thinks about a particular
  A+**     field; resolves critical questions and thus moves research areas
           forward; results generate huge interest/enthusiasm in the field.

  **B+**   Impacts the community as expected. Strong peer review comments in
           all relevant areas.

  **B**    Not strong peer review comments in at least one significant
           research area.

  **C**    One research area just not working out. Peer review reveals that
           a program isn't going anywhere.

  **D**    Failure of multiple program elements.

  **F**    Gross scientific incompetence and/or scientific fraud.
  -------- -----------------------------------------------------------------

## 

## Provide Quality Leadership in Science and Technology  **In determining the performance of the Objective the DOE evaluator(s) shall consider the following as measured by progress reports, peer reviews, Program Office reviews/oversight, etc.:**

-   Willingness to pursue novel approaches and/or demonstration of
    innovative solutions to problems;

-   Willingness to take on high-risk/high payoff/long-term research
    problems, evidence that the Contractor "guessed right" in that
    previous risky decisions proved to be correct and are paying off;

-   The uniqueness and challenge of science pursued, recognition for
    doing the best work in the field;

-   Extent of collaborative efforts, quality of the scientists attracted
    and maintained at the Laboratory;

-   Staff members visible in leadership position in the scientific
    community; and

-   Effectiveness in driving the direction and setting the priorities of
    the community in a research field.

  ---------- ----------------------------------------------------------------
  **A to     Laboratory staff lead Academy or equivalent panels; laboratory's
  A+**       work changes the direction of research fields; world-class
             scientists are attracted to the laboratory, lab is trend-setter
             in a field.

  **B^+^**   Strong research performer in most areas; staff asked to speak to
             Academy or equivalent panels to discuss further research
             directions; lab is center for high-quality research and attracts
             full cadre of researchers; some aspects of programs are
             world-class.

  **B**      Strong research performer in many areas; staff asked to speak to
             Academy or equivalent panels to discuss further research
             directions; few aspects of programs are world-class.

  **C**      Working on problems no longer at the forefront of science; stale
             research; evolutionary, not revolutionary.

  **D**      Failure of multiple program elements.

  **F**      Gross scientific incompetence and/or scientific fraud.
  ---------- ----------------------------------------------------------------

## Provide and Sustain Science and Technology Outputs that Advance Program Objectives and Goals** **

In determining the performance of the Objective the DOE evaluator(s)
shall consider the following as measured through progress reports, peer
reviews, Field Work Proposals (FWPs), Program Office reviews/oversight,
etc.:

-   The number of publications in peer-reviewed journals;

-   The quantity of output from experimental and theoretical research;
    and

-   Demonstrated progress against peer reviewed recommendations,
    headquarters guidance, etc.

  ---------- -----------------------------------------------------------------
  **Pass**   Not failing; see below.

  **Fail**   Peer reviewers not satisfied; output not meeting general
             scientific standards; minimal progress against FWPs.
  ---------- -----------------------------------------------------------------

> Note: The numerical grade for "Pass" is 4.3 and for "Fail" it is 0.7

## Provide for Effective Delivery of Science and Technology

## 

In determining the performance of the Objective the DOE evaluator(s)
shall consider the following as measured by progress reports, peer
reviews, Field Work Proposals (FWPs), Approved Financial Plans (AFPs),
Program Office reviews/oversight, etc.:

-   Efficiency and effectiveness in meeting goals and milestones;

-   Efficiency and effectiveness in delivering on promises, and getting
    instruments to work as promised; and

-   Efficiency and effectiveness in transmitting results to the
    community and responding to DOE or other customer guidance.

  ---------- -----------------------------------------------------------------
  **Pass**   Not failing; (see numerical grades)

  **Fail**   Peer reviewers not satisfied; significant number of milestones
             not met, results not delivered to community while it matters..
  ---------- -----------------------------------------------------------------

### Note: The numerical grade for "Pass" is 4.3 and for "Fail" it is 0.7

### 

  ----------------------------- ---------- ------------- ------------ ------------ -----------
  **Science Program             **Letter   **Numerical   **Weight**   **Weighted   **Overall
  Office**[^2]                  Grade**    Score**                    Score**      Score**

  **Office of Advanced                                                             
  Scientific Computing                                                             
  Research**                                                                       

  1.1 Impact                                             50%                       

  1.2 Leadership                                         20%                       

  1.3 Output                                             15%                       

  1.4 Delivery                                           15%                       

  Overall ASCR Total                                                               

  **Office of Biological and                                                       
  Environmental Research**                                                         

  1.1 Impact                                             30%                       

  1.2 Leadership                                         20%                       

  1.3 Output                                             20%                       

  1.4 Delivery                                           30%                       

  Overall BER Total                                                                

  **Office of Basic Energy                                                         
  Sciences**                                                                       

  1.1 Impact                                             40%                       

  1.2 Leadership                                         30%                       

  1.3 Output                                             15%                       

  1.4 Delivery                                           15%                       

  Overall HEP Total                                                                

  **Office of Workforce                                                            
  Development for Teachers and                                                     
  Scientists**                                                                     

  1.1 Impact                                             25%                       

  1.2 Leadership                                         30%                       

  1.3 Output                                             30%                       

  1.4 Delivery                                           15%                       

  Overall WDTS Total                                                               
  ----------------------------- ---------- ------------- ------------ ------------ -----------

**Table 1.1 -- 1.0 Program Office Performance Goal Score Development**

  -------------------------- ---------- ------------- ----------- ------------ -----------
  **Science Program Office** **Letter   **Numerical   **Funding   **Weighted   **Overall
                             Grade**    Score**       Weight\     Score**      Weighted
                                                      (BA)**                   Score**

  **Office of Advanced                                TBD%                     
  Scientific Computing                                                         
  Research**                                                                   

  **Office of Biological and                          TBD%                     
  Environmental Research**                                                     

  **Office of Basic Energy                            TBD%                     
  Sciences**                                                                   

  **Office of Workforce                               TBD%                     
  Development for Teachers                                                     
  and Scientists**                                                             

  Performance Goal 1.0 Total                                                   
  -------------------------- ---------- ------------- ----------- ------------ -----------

**Table 1.2 -- Overall Performance Goal Score Development**[^3]

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------
  **Total   **4.3-4.1**   **4.0-3.8**   **3.7-3.5**   **3.4-3.1**   **3.0-2.8**   **2.7-2.5**   **2.4-2.1**   **2.0-1.8**   **1.7-1.1**   **1.0-0.8**   **0.7-0**
  Score**                                                                                                                                               
  --------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- -----------
  Final     A+            A             A-            B+            B             B-            C+            C             C-            D             F
  Grade                                                                                                                                                 

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------

Table 1.3 -- 1.0 Goal Final Letter Grade

## 2.0 Provide for Efficient and Effective Design, Fabrication, Construction and Operations of Research Facilities

> **The Contractor provides effective and efficient strategic planning;
> fabrication, construction and/or operations of Laboratory research
> facilities; and is responsive to the user community.**
>
> The weight of this Goal is TBD%.
>
> The Provide for Efficient and Effective Design, Fabrication,
> Construction and Operations of Research Facilities Goal shall measure
> the overall effectiveness and performance of the Contractor in
> planning for and delivering leading-edge specialty research and/or
> user facilities to ensure the required capabilities are present to
> meet today's and tomorrow's complex challenges. It also measures the
> Contractor's innovative operational and programmatic means for
> implementation of systems that ensures the availability, reliability,
> and efficiency of these facilities; and the appropriate balance
> between R&D and user support.
>
> Each Objective within this Goal is to be assigned the appropriate
> numerical score by the Office of Science Program Office as identified
> below. The overall Goal score from each Program Office is computed by
> multiplying numerical scores earned by the weight of each Objective,
> and summing them (see Table 2.1). Final weights to be utilized for
> determining weighted scores will be determined following the end of
> the performance period and will be based on actual Budget Authority
> (BA) for FY 2007.

-   Office of Advanced Scientific Computing Research (ASCR) (TBD%)

-   Office of Basic Energy Sciences (BES) (TBD%)

-   Office of Biological and Environmental Research (BER) (TBD%)

-   Office of Workforce Development for Teachers and Scientists (WDTS)
    (TBD%)

> The overall performance score and grade for this Goal will be
> determined by multiplying the overall score assigned by each of the
> offices identified above by the weightings identified for each and
> then summing them (see Table 2.2 below). The overall score earned is
> then compared to Table 2.3 to determine the overall letter grade for
> this Goal. Individual Program Office weightings for each of the
> Objectives identified below are provided within Table 2.1. The
> Contractor's success in meeting each Objective shall be determined
> based on the Contractor's performance as viewed by DOE HQ Office of
> Science's (SC) Program Offices for which the Laboratory conducts work.
> Should one or more of the HQ Program Offices choose not to provide an
> evaluation for this Goal and its corresponding Objectives, the
> weighting for the remaining HQ Program Offices shall be recalculated
> based on their percentage of BA for FY 2007 as compared to the total
> BA for those remaining HQ Program Offices.

Objectives:

## Provide Effective Facility Design(s) as Required to Support Laboratory Programs (i.e., activities leading up to CD-2)

> In determining the performance of the Objective the DOE evaluator(s)
> shall consider the following as measured by scientific/technical
> workshops developing pre-conceptual R&D, progress reports, Lehman
> reviews, Program/Staff Office reviews/oversight, etc.:

-   Effectiveness of planning of preconceptual R&D and design for
    life-cycle efficiency;

-   Leverage of existing facilities at the site;

-   Delivery of accurate and timely information needed to carry out the
    critical decision and budget formulation process.; and

-   Ability to meet the intent of DOE Order 413.3, Program and Project
    Management for the Acquisition of Capital Assets.

  -------- ----------------------------------------------------------------
  **A to   In addition to meeting all measures under B^+^, the laboratory
  A+**     is recognized by the research community as the leader for making
           the science case for the acquisition; Takes the initiative to
           demonstrate the potential for revolutionary scientific
           advancement. Identifies, analyzes and champions novel approaches
           for acquiring the new capability, including leveraging or
           extending the capability of existing facilities and financing.
           Proposed approaches are widely regarded as innovative, novel,
           comprehensive, and potentially cost-effective. Reviews
           repeatedly confirm potential for scientific discovery in areas
           that support the Department's mission, and potential to change a
           discipline or research area's direction.

  **B+**   Provides the overall vision for the acquisition. Displays
           leadership and commitment to achieving the vision within
           preliminary estimates that are defensible and credible in terms
           of cost, schedule and performance; develops quality analyses,
           preliminary designs, and related documentation to support the
           approval of the mission need (CD-0), the alternative selection
           and cost range (CD-1) and the performance baseline (CD-2).
           Solves problems and addresses issues. Keeps DOE appraised of the
           status, near-term plans and the resolution of problems on a
           regular basis. Anticipates emerging issues that could impact
           plans and takes the initiative to inform DOE of possible
           consequences.

  **B**    Fails to meet expectations in one of the areas listed under B+.

  **C**    The laboratory team develops the required analyses and
           documentation in a timely manner. However, inputs are mundane
           and lack innovation and commitment to the vision of the
           acquisition.

  **D**    The potential exists for credible science and business cases to
           be made for the acquisition, but the laboratory fails to take
           advantage of the opportunity.

  **F**    Proposed approaches are based on fraudulent assumptions; the
           science case is weak to non-existent, the business case is
           seriously flawed.
  -------- ----------------------------------------------------------------

## 2.2 Provide for the Effective and Efficient Construction of Facilities and/or Fabrication of Components (execution phase, Post CD-2 to CD-4)

> In determining the performance of the Objective the DOE evaluator(s)
> shall consider the following as measured by progress reports, Lehman
> reviews, Program/Staff Office reviews/oversight, etc.:

-   Adherence to DOE Order 413.3 Project Management for the Acquisition
    of Capital Assets;

-   Successful fabrication of facility components

-   Effectiveness in meeting construction schedule and budget; and

-   Quality of key staff overseeing the project(s).

  -------- -----------------------------------------------------------------
  **A to   Laboratory has identified and implemented practices that would
  A+**     allow the project scope to be increased if such were desirable,
           without impact on baseline cost or schedule; Laboratory always
           provides exemplary project status reports on time to DOE and
           takes the initiative to communicate emerging problems or issues.
           There is high confidence throughout the execution phase that the
           project will meet its cost/schedule performance baseline; Reviews
           identify environment, safety and health practices to be
           exemplary.

  **B+**   The project meets CD-2 performance measures; the laboratory
           provides sustained leadership and commitment to environment,
           safety and health; reviews regularly recognize the laboratory for
           being proactive in the management of the execution phase of the
           project; to a large extent, problems are identified and corrected
           by the laboratory with little, or no impact on scope, cost or
           schedule; DOE is kept informed of project status on a regular
           basis; reviews regularly indicate project is expected to meet its
           cost/schedule performance baseline.

  **B**    The project fails to meet expectations in one of the areas listed
           under B+.

  **C**    Reviews indicate project remains at risk of breaching its
           cost/schedule performance baseline; Laboratory commitment to
           environment, safety and health issues is adequate; Reports to DOE
           can vary in degree of completeness; Laboratory commitment to the
           project appears to be subsiding.

  **D**    Reviews indicate project is likely to breach its cost/schedule
           performance baseline; and/or Laboratory commitment to
           environment, safety and health issues is inadequate; reports to
           DOE are largely incomplete; laboratory commitment to the project
           has subsided.

  **F**    Laboratory falsifies data during project execution phase; shows
           disdain for executing the project within minimal standards for
           environment, safety or health, fails to keep DOE informed of
           project status; reviews regularly indicate that the project is
           expected to breach its cost/schedule performance baseline.
  -------- -----------------------------------------------------------------

## 2.3 Provide Efficient and Effective Operation of Facilities

> In determining the performance of the Objective the DOE evaluator(s)
> shall consider the following as measured by progress reports, peer
> reviews, Program/Staff Office reviews/oversight, performance against
> benchmarks, Approved Financial Plans (AFPs), etc.:

-   Availability, reliability, and efficiency of facility(ies);

-   Degree the facility is optimally arranged to support community;

-   Whether R&D is conducted to develop/expand the capabilities of the
    facility(ies);

-   Effectiveness in balancing resources between facility R&D and user
    support; and

-   Quality of the process used to allocate facility time to users.

  ---------- -----------------------------------------------------------------
  **A to     Performance of the facility exceeds expectations as defined
  A+**       before the start of the year in any of these categories: cost of
             operations, users served, availability, beam delivery, or
             luminosity, and this performance can be directly attributed to
             the efforts of the laboratory; and /or: the schedule and the
             costs associated with the ramp-up to steady state operations are
             less than planned and are acknowledged to be 'leadership caliber'
             by reviews; Data on ES&H continues to be exemplary and widely
             regarded as among the 'best in class'.

  **B^+^**   Performance of the facility meets expectations as defined before
             the start of the year in all of these categories: cost of
             operations, users served, availability, beam delivery, or
             luminosity, and this performance can be directly attributed to
             the efforts of the laboratory; and /or: the schedule and the
             costs associated with the ramp-up to steady state operations
             occur as planned; Data on ES&H continues to be very good as
             compared with other projects in the DOE.

  **B**      The project fails to meet expectations in one of the areas listed
             under B+.

  **C**      Performance of the facility fails to meet expectations in several
             of the areas listed under B+; for example, the cost of operations
             is unexpectedly high and availability of the facility is
             unexpectedly low, the number of users is unexpectedly low beam
             delivery or luminosity is well below expectations. Acquisition
             operates at steady state, on cost and on schedule, but the
             reliability of performance is somewhat below planned values,
             **[or]{.underline}** acquisition operates at steady state, but
             the associated schedule and costs exceed planned values.
             Commitment to ES&H is satisfactory.

  **D**      Performance of the facility fails to meet expectations in many of
             the areas listed under B+; for example, the cost of operations is
             unexpectedly high and availability of the facility is
             unexpectedly low. Acquisition operates somewhat below steady
             state, on cost and on schedule, and the reliability performance
             is somewhat below planned values, **[or]{.underline}**
             acquisition operates at steady state, but the schedule and costs
             associated exceed planned values. Commitment to ES&H is
             satisfactory.

  **F**      The facility fails to operate; acquisition operates well below
             steady state **and/or** the reliability of the performance is
             well below planned values.
  ---------- -----------------------------------------------------------------

## 2.4 Effective Utilization of Facility(ies) to Grow and Support the Laboratory's Research Base

> In determining the performance of the Objective the DOE evaluator(s)
> shall consider the following as measured by peer reviews,
> participation in international design teams, Program/Staff Office
> reviews/oversight, etc.:

-   Contractor's efforts to take full advantage of the facility to
    strengthen the Laboratory's research base; and

-   Conversely the facility is strengthened by a resident research
    community that pushes the envelope of what the facility can do
    and/or are among the scientific leaders using the facility.

  ---------- ---------------------------------------------------------------
  **A to     Reviews document how multiple disciplines are using the
  A+**       facility in new and novel ways and reviews document that full
             advantage has been taken of the facility to strengthen the
             laboratory's research base.

  **B^+^**   Reviews state strong and effective team approach exists toward
             establishing an internal user community; laboratory is
             capitalizing on existence of facility to grow internal
             capabilities.

  **B**      Reviews state that lab is establishing an internal user
             community, but laboratory is still not capitalizing fully on
             existence of facility to grow internal capabilities.

  **C**      Reviews state that the laboratory has made satisfactory use of
             the facility, but has not demonstrated much innovation.

  **D**      Few indigenous staff use the facility, with none using it in
             novel ways; research base is very thin.

  **F**      Laboratory does not know how to operate/use its own facility
             adequately.
  ---------- ---------------------------------------------------------------

  ----------------------------- ---------- ------------- ------------ ------------ -----------
  **Science Program             **Letter   **Numerical   **Weight**   **Weighted   **Overall
  Office**[^4]                  Grade**    Score**                    Score**      Score**

  **Office of Basic Energy                                                         
  Sciences**                                                                       

  2.1 Provide Effective                                  0%                        
  Facility Design(s)                                                               

  2.2 Provide for the Effective                          0%                        
  and Efficient Construction of                                                    
  Facilities and/or Fabrication                                                    
  of Components                                                                    

  2.3 Provide Efficient and                              70%                       
  Effective Operation of                                                           
  Facilities                                                                       

  2.4 Effective Utilization of                           30%                       
  Facility to Grow and Support                                                     
  the Laboratory's Research                                                        
  Base                                                                             

  Overall BES Total                                                                

  **Office of Biological and                                                       
  Environmental Research**                                                         

  2.1 Provide Effective                                  0%                        
  Facility Design(s)                                                               

  2.2 Provide for the Effective                          0%                        
  and Efficient Construction of                                                    
  Facilities and/or Fabrication                                                    
  of Components                                                                    

  2.3 Provide Efficient and                              0%                        
  Effective Operation of                                                           
  Facilities                                                                       

  2.4 Effective Utilization of                           0%                        
  Facility to Grow and Support                                                     
  the Laboratory's Research                                                        
  Base                                                                             

  Overall BER Total                                                                

  **Office of Advanced                                                             
  Scientific Computing                                                             
  Research**                                                                       

  2.1 Provide Effective                                  0%                        
  Facility Design(s)                                                               

  2.2 Provide for the Effective                          0%                        
  and Efficient Construction of                                                    
  Facilities and/or Fabrication                                                    
  of Components                                                                    

  2.3 Provide Efficient and                              0%                        
  Effective Operation of                                                           
  Facilities                                                                       

  2.4 Effective Utilization of                           0%                        
  Facility to Grow and Support                                                     
  the Laboratory's Research                                                        
  Base                                                                             

  Overall ASCR Total                                                               
  ----------------------------- ---------- ------------- ------------ ------------ -----------

**Table 2.1 -- 2.0 Program Office Performance Goal Score Development**[\
]{.mark}

[]{.mark}

[]{.mark}

[]{.mark}

[]{.mark}

[]{.mark}

[]{.mark}

  -------------------------- ---------- ------------- ----------- ------------ -----------
  **Science Program Office** **Letter   **Numerical   **Funding   **Weighted   **Overall
                             Grade**    Score**       Weight\     Score**      Weighted
                                                      (BA)**                   Score**

  **Office of Basic Energy                            TBD%        0            
  Sciences**                                                                   

  **Office of Biological and                          TBD%        0            
  Environmental Research**                                                     

  **Office of Advanced                                TBD%        0            
  Scientific Computing                                                         
  Research**                                                                   

  Overall Program Office                                                       
  Total                                                                        
  -------------------------- ---------- ------------- ----------- ------------ -----------

**Table 2.2 -- Overall Performance Goal Score Development**[^5]

[\
]{.mark}

[]{.mark}

## 3.0 Provide Effective and Efficient Science and Technology Program Management[ ]{.mark}

**The Contractor provides effective program vision and leadership;
strategic planning and development of initiatives; recruits and retains
a quality scientific workforce; and provides outstanding research
processes, which improve research productivity.**

[]{.mark}

> The weight of this Goal is TBD%.

The Provide Effective and Efficient Science and Technology Program
Management Goal shall measure the Contractor's overall management in
executing S&T programs. Dimensions of program management covered
include: 1) providing key competencies to support research programs to
include key staffing requirements; 2) providing quality research plans
that take into account technical risks, identify actions to mitigate
risks; and 3) maintaining effective communications with customers to
include providing quality responses to customer needs.

> Each Objective within this Goal is to be assigned the appropriate
> numerical score by the Office of Science Program Office as identified
> below. The overall Goal score from each Program Office is computed by
> multiplying numerical scores earned by the weight of each Objective,
> and summing them (see Table 3.1). The final weights to be utilized for
> determining weighted scores will be determined following the end of
> the performance period and will be based on actual Budget Authority
> for FY 2007.

-   Office of Advanced Scientific Computing Research (ASCR) (TBD%)

-   Office of Biological and Environmental Research (BER) (TBD%)

-   Office of Basic Engineering Sciences (BES) (TBD %)

-   Office of Workforce Development for Teachers and Scientists (WDTS)
    (TBD%)

[]{.mark}

> The overall performance score and grade for this Goal will be
> determined by multiplying the overall score assigned by each of the
> offices identified above by the weightings identified for each and
> then summing them (see Table 3.2 below). The overall score earned is
> then compared to Table 3.3 to determine the overall letter grade for
> this Goal. Individual Program Office weightings for each of the
> Objectives identified below are provided within Table 3.1. The
> Contractor's success in meeting each Objective shall be determined
> based on the Contractor's performance as viewed by the Office of
> Science Program Offices for which the Laboratory conducts work. Should
> one or more of the HQ Program Offices choose not to provide an
> evaluation for this Goal and its corresponding Objectives, the
> weighting for the remaining HQ Program Offices shall be recalculated
> based on their percentage of BA for FY 2007 as compared to the total
> BA for those remaining HQ Program Offices.

Objectives:

## 3.1 Provide Effective and Efficient Stewardship of Scientific Capabilities and Program Vision

## []{.mark}

> In determining the performance of the Objective the DOE evaluator(s)
> shall consider the following as measured by peer reviews, existence
> and quality of strategic plans as determined by SC and scientific
> community review, Program Office reviews/oversight, etc.:

-   Efficiency and Effectiveness of joint planning (e.g., workshops)
    with outside community;

-   Articulation of scientific vision;

-   Development of core competencies, ideas for new facilities and
    research programs; and

-   Ability to attract and retain highly qualified staff.

  -------- ----------------------------------------------------------------
  **A to   Providing strong programmatic vision that extends past the
  A+**     laboratory and for which the lab is a recognized leader within
           SC and in the broader research communities; development and
           maintenance of outstanding core competencies, including
           achieving superior scientific excellence in both exploratory,
           high-risk research and research that is vital to the DOE/SC
           missions; attraction and retention of world-leading scientists;
           recognition within the community as a world leader in the field.

  **B+**   Coherent programmatic vision within the laboratory with input
           from and output to external research communities; development
           and maintenance of strong core competencies that are cognizant
           of the need for both high-risk research and stewardship for
           mission-critical research; attracting and retaining scientific
           staff who are very talented in all programs.

  **B**    Programmatic vision that is only partially coherent and not
           entirely well connected with external communities; development
           and maintenance of some, but not all core competencies with
           attention to, but not always the correct balance between,
           high-risk and mission-critical research; attraction and
           retention of scientific staff who talented in most programs.

  **C**    Failure to achieve a coherent programmatic vision with little or
           no connection with external communities; partial development and
           maintenance of core competencies (i.e., some are neglected) with
           imbalance between high-risk and mission-critical research;
           attracting only mediocre scientists while losing the most
           talented ones.

  **D**    Minimal attempt to achieve programmatic vision; little ability
           to develop any core competencies with a complete lack of
           high-risk research and ignorance of mission-critical areas;
           minimal success in attracting even reasonably talented
           scientists.

  **F**    No attempt made to achieve programmatic vision; no demonstrated
           ability to develop any core competencies with a complete lack of
           high-risk research and ignorance of mission-critical areas;
           failure to attract even reasonably talented scientists.
  -------- ----------------------------------------------------------------

## 3.2 Provide Effective and Efficient Science and Technology Project/Program Planning and Management

> In determining the performance of the Objective the DOE evaluator(s)
> shall consider the following as measured by peer reviews, existence
> and quality of strategic plans as determined by SC and scientific
> community review, Program Office and scientific community
> review/oversight, etc.:

-   Quality of R&D and/or user facility strategic plans

-   Adequacy in considering technical risks;

-   Success in identifying/avoiding technical problems;

-   Effectiveness in leveraging (synergy with) other areas of research;
    and

-   Demonstration of willingness to make tough decisions (i.e., cut
    programs with sub-critical mass of expertise, divert resources to
    more promising areas, etc.).

  ---------- ----------------------------------------------------------------
  **A to     Research plans are proactive, not reactive, as evidenced by
  A+**       making hard decisions and taking strong actions; plans are
             robust against budget fluctuations -- multiple contingencies
             planned for; new initiatives are proposed and funded through
             reallocation of resources from less effective programs; plans
             are updated regularly to reflect changing scientific and fiscal
             conditions; plans include ways to reduce risk, duration of
             programs.

  **B^+^**   Plans are reviewed by experts outside of lab management and/or
             include broadly-based input from within the laboratory; research
             plans exist for all program areas; plans are consistent with
             known budgets and well-aligned with DOE interests; work follows
             the plan.

  **B**      Research plans exist for all program areas; work follows the
             plan.

  **C**      Research plans exist for most program areas; work does not
             always follow the plan.

  **D**      Plans do not exist for a significant fraction of the lab's
             program areas, or significant work is conducted outside those
             plans.

  **F**      No planning is done.
  ---------- ----------------------------------------------------------------

## 3.3 Provide Efficient and Effective Communications and Responsiveness to Customer Needs

> In determining the performance of the Objective the DOE evaluator(s)
> shall consider the following as measured by Program Office
> reviews/oversight, etc.:

-   The quality, accuracy and timeliness of response to customer
    requests for information;

-   The extent to which the Contractor keeps the customer informed of
    both positive and negative events at the Laboratory so that the
    customer can deal effectively with both internal and external
    constituencies; and

-   The ease of determining the appropriate contact (who is on-point for
    what).

  ---------- ---------------------------------------------------------------
  **A to     Communication channels are well-defined and information is
  A+**       effectively conveyed; important or critical information is
             delivered in real-time; responses to HQ requests for
             information from laboratory representatives are prompt,
             thorough, correct and succinct; laboratory representatives
             *always* initiate a communication with HQ on emerging issues
             there are no surprises.

  **B^+^**   Good communication is valued by all staff throughout the
             contractor organization; responses to requests for information
             are thorough and are provided in a timely manner; the integrity
             of the information provided is never in doubt

  **B**      Evidence of good communications is noted throughout the
             contractor organization and responses to requests for
             information provide the minimum requirements to meet HQ needs;
             with the exception of a few minor instances HQ is alerted to
             emerging issues.

  **C**      Laboratory representatives recognize the value of sound
             communication with HQ to the mission of the laboratory.
             However, laboratory management fails to demonstrate that its
             employees are held accountable for ensuring effective
             communication and responsiveness; laboratory representatives do
             not take the initiative to alert HQ to emerging issues.

  **D**      Communications from the laboratory are well-intentioned but
             generally incompetent; the laboratory management does not
             understand the importance of effective communication and
             responsiveness to the mission of the laboratory.

  **F**      Contractor representatives are openly hostile and/or
             non-responsive -- emails and phone calls are consistently
             ignored; communications typically do not address the request;
             information provided can be incorrect, inaccurate or fraudulent
             -- information is not organized, is incomplete, or is
             fabricated.
  ---------- ---------------------------------------------------------------

###  []{.mark}

  ------------------------------- ---------- ------------- ------------ ------------ -----------
  **Science Program Office**[^6]  **Letter   **Numerical   **Weight**   **Weighted   **Overall
                                  Grade**    Score**                    Score**      Score**

  **Office of Basic Energy                                                           
  Sciences**                                                                         

  3.1 Effective and Efficient                              40%                       
  Stewardship                                                                        

  3.2 Project/Program Planning                             40%                       
  and Management                                                                     

  3.3 Communications and                                   20%                       
  Responsiveness                                                                     

  Overall BES Total                                                                  

  **Office of Advanced Scientific                                                    
  Computing Research**                                                               

  3.1 Effective and Efficient                              35%                       
  Stewardship                                                                        

  3.2 Project/Program Planning                             35%                       
  and Management                                                                     

  3.3 Communications and                                   30%                       
  Responsiveness                                                                     

  Overall ASCR Total                                                                 

  **Office of Biological and                                                         
  Environmental Research**                                                           

  3.1 Effective and Efficient                              20%                       
  Stewardship                                                                        

  3.2 Project/Program Planning                             30%                       
  and Management                                                                     

  3.3 Communications and                                   50%                       
  Responsiveness                                                                     

  Overall BER Total                                                                  

  **Office of Workforce                                                              
  Development for Teachers and                                                       
  Scientists**                                                                       

  3.1 Effective and Efficient                              20%                       
  Stewardship                                                                        

  3.2 Project/Program Planning                             40%                       
  and Management                                                                     

  3.3 Communications and                                   40%                       
  Responsiveness                                                                     

  Overall WDTS Total                                                                 
  ------------------------------- ---------- ------------- ------------ ------------ -----------

**Table 3.1 -- 3.0 Program Office Performance Goal Score Development**

[]{.mark}

[]{.mark}

[]{.mark}

[]{.mark}

[]{.mark}

[]{.mark}

[]{.mark}

[]{.mark}

[]{.mark}

  -------------------------- ---------- ------------- ----------- ------------ -----------
  **Science Program Office** **Letter   **Numerical   **Funding   **Weighted   **Overall
                             Grade**    Score**       Weight\     Score**      Weighted
                                                      (BA)**                   Score**

  **Office of Advanced                                TBD%                     
  Scientific Computing                                                         
  Research**                                                                   

  **Office of Biological and                          TBD%                     
  Environmental Research**                                                     

  **Office of Basic Energy                            TBD%                     
  Sciences**                                                                   

  **Office of Workforce                               TBD%                     
  Development for Teachers                                                     
  and Scientists**                                                             

  Overall Program Office                                                       
  Total                                                                        
  -------------------------- ---------- ------------- ----------- ------------ -----------

**Table 3.2 -- Overall Performance Goal Score Development**[^7]

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------
  **Total   **4.3-4.1**   **4.0-3.8**   **3.7-3.5**   **3.4-3.1**   **3.0-2.8**   **2.7-2.5**   **2.4-2.1**   **2.0-1.8**   **1.7-1.1**   **1.0-0.8**   **0.7-0**
  Score**                                                                                                                                               
  --------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- -----------
  Final     A+            A             A-            B+            B             B-            C+            C             C-            D             F
  Grade                                                                                                                                                 

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------

Table 3.3 -- 3.0 Goal Final Letter Grade

## 4.0 Provide Sound and Competent Leadership and Stewardship of the Laboratory[ ]{.mark}

**The Contractor's Leadership provides effective and efficient direction
in strategic planning to meet the mission and vision of the overall
Laboratory; is accountable and responsive to specific issues and needs
when required; and corporate office leadership provides appropriate
levels of resources and support for the overall success of the
Laboratory.**

[]{.mark}

> The weight of this Goal is 20%.

The Provide Sound and Competent Leadership and Stewardship of the
Laboratory Goal shall measure the Contractor's Leadership capabilities
in leading the direction of the overall Laboratory. It also measures the
responsiveness of the Contractor to issues and opportunities for
continuous improvement and corporate office involvement/commitment to
the overall success of the Laboratory.

Each Objective within this Goal is to be assigned the appropriate
numerical score by the evaluating office as described within Section I
of this document. Each Objective has one or more measures, the outcomes
of which collectively assist the evaluating office in determining the
Contractor's overall performance in meeting that Objective. Each of the
measures identifies significant tasks, activities, requirements,
accomplishments, and/or milestones for which the outcomes/results of are
important to the success of the corresponding Objective. Although other
performance information available to the evaluating office from other
sources may be used, the outcomes of measures identified for each
Objective shall be the primary means of determining the Contractor's
success in meeting an Objective. The overall Goal score is computed by
multiplying numerical scores earned by the weight of each Objective, and
summing them (see Table 4.1 at the end of this section). The overall
score earned is then compared to Table 4.2 to determine the overall Goal
letter grade.

[]{.mark}

## 4.1 Provide a Distinctive Vision for the Laboratory and an Effective Plan for Accomplishment of the Vision to Include Strong Partnerships Required to Carry Out those Plans

## []{.mark}

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   Quality of the Vision developed for the Laboratory and effectiveness
    in identifying its distinctive characteristics;

-   Quality of Strategic/Work Plan for achieving the approved Laboratory
    vision;

-   Quality of required Laboratory Business Plan;

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-   Ability to establish and maintain long-term
    partnerships/relationships that advance/expand ongoing Laboratory
    missions and/or provide new opportunities/capabilities; and

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```
-   Effectiveness in developing and implementing commercial research and
    development opportunities that leverage accomplishment of DOE goals
    and projects with other federal agencies that advances the
    utilization of Laboratory technologies and capabilities

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 35%.
>
> 4.1a The Contractor provides effective strategic guidance and support
> for Ames Laboratory's science programs and operations, strengthening
> core competencies and growing the Laboratory into the future.
>
> 4.1b The Contractor and Ames Laboratory Senior Leadership develop and
> promote scientific initiatives and continue to seek opportunities to
> grow the Laboratory consistent with the stated vision.
>
> 4.1c The Contractor and the Laboratory develop new, and strengthen
> existing, mutually beneficial partnerships with key government,
> industry, university and other Laboratory partners.
>
> 4.1d The Laboratory Business Plan provides all required data in a
> clear and concise manner and is completed within established
> guidelines and schedules.
>
> 4.1e The Contractor and Ames Laboratory seek opportunities for public
> outreach thru science education in concert with DOE.

## 4.2 Provide for Responsive and Accountable Leadership throughout the Organization

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   Leadership's ability to instill responsibility and accountability
    down and through the entire organization; and

-   The effectiveness and efficiency of Leadership in identifying and/or
    responding to Laboratory issues or opportunities for continuous
    improvement.

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 30%.
>
> 4.2a The Contractor Senior Leadership is responsive to resolving
> strategic issues that impact
>
> the overall performance of the Laboratory, if any.
>
> 4.2b The Contractor and Ames Laboratory's Senior Leadership's response
> to Laboratory issues is timely and immediate mitigating actions are
> identified and implemented as appropriate.
>
> 4.2c Leadership proactively implements opportunities for improvement
> and maintains cognizance of corrective action plans, ensuring timely
> and effective implementation of corrections.
>
> 4.2d The Senior Management will ensure that commitments made during
> the RFP process (if applicable) and significant contractor commitments
> made to DOE during the current performance period are successfully
> accomplished as planned.

## 4.3 Provide Efficient and Effective Corporate Office Support as Appropriate

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   Corporate Office involvement in and support of business and other
    infrastructure process and procedure improvements;

-   The willingness to enter into and effectiveness of joint
    appointments when appropriate; and

-   Where appropriate, the willingness to develop and work with the
    Department in implementing innovative financing agreements and/or
    provide private investments into the Laboratory.

> The overall effectiveness/performance of the following set of measures
> (tasks, activities, requirements, accomplishments, and/or milestones)
> shall be utilized by evaluators as the primary measure of the
> Contractor's success in meeting this Objective and for determining the
> numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 35%.
>
> 4.3a The contractor participates in peer reviews of Laboratory science
> programs and provides for review of Laboratory business management and
> ES&H systems to feed the development of strategic guidance, refine
> performance measures and assist with enhancing and improving the
> Laboratory's core competencies.
>
> 4.3b The Laboratory Director works with the Contractor/Corporate
> Office to identify openings that could be filled with split-appointees
> that would help grow the Laboratory and enhance core competencies,
> while supporting the mission of both institutions.
>
> 4.3c The contractor exhibits willingness to consider innovative
> options, such as third party financing, to grow and/or maintain the
> Laboratory

  ------------------------------------------------------------------------------------------
  **ELEMENT**                   **Letter   **Numerical   **Objective   **Total    **Total
                                Grade**    Score**       Weight**      Points**   Points**
  ----------------------------- ---------- ------------- ------------- ---------- ----------
  **4.0 Effectiveness and                                                         
  Efficiency of Contractor                                                        
  Leadership and Stewardship**                                                    

  4.1 Provide a Distinctive                              35%                      
  Vision for the Laboratory and                                                   
  an Effective Plan for                                                           
  Accomplishment of the Vision                                                    
  to Include Strong                                                               
  Partnerships Required to                                                        
  Carry Out those Plans                                                           

  4.2 Provide for Responsive                             30%                      
  and Accountable Leadership                                                      
  throughout the Organization                                                     

  4.3 Provide Efficient and                              35%                      
  Effective Contractor Support                                                    

  **Performance Goal 4.0                                                          
  Total**                                                                         
  ------------------------------------------------------------------------------------------

**Table 4.1 -- 4.0 Goal Performance Rating Development**[\
]{.mark}

[]{.mark}

[]{.mark}

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------
  **Total   **4.3-4.1**   **4.0-3.8**   **3.7-3.5**   **3.4-3.1**   **3.0-2.8**   **2.7-2.5**   **2.4-2.1**   **2.0-1.8**   **1.7-1.1**   **1.0-0.8**   **0.7-0**
  Score**                                                                                                                                               
  --------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- -----------
  Final     A+            A             A-            B+            B             B-            C+            C             C-            D             F
  Grade                                                                                                                                                 

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------

Table 4.2 -- 4.0 Goal Final Letter Grade

## 5.0 Sustain Excellence and Enhance Effectiveness of Integrated Safety, Health, and Environmental Protection[ ]{.mark}

**The Contractor sustains and enhances the effectiveness of integrated
safety, health and environmental protection through a strong and well
deployed system.**

[]{.mark}

> The weight of this Goal is 30%.

The Sustain Excellence and Enhance Effectiveness of Integrated Safety,
Health, and Environmental Protection Goal shall measure the Contractor's
overall success in preventing worker injury and illness; implement ISM
down through and across the organization; and provide effective and
efficient waste management, minimization, and pollution prevention.

Each Objective within this Goal is to be assigned the appropriate
numerical score by the evaluating office as described within Section I
of this document. Each Objective has one or more measures, the outcomes
of which collectively assist the evaluating office in determining the
Contractor's overall performance in meeting that Objective. Each of the
measures identifies significant tasks, activities, requirements,
accomplishments, and/or milestones for which the outcomes/results of are
important to the success of the corresponding Objective. Although other
performance information available to the evaluating office from other
sources may be used, the outcomes of measures identified for each
Objective shall be the primary means of determining the Contractor's
success in meeting an Objective. The overall Goal score is computed by
multiplying numerical scores earned by the weight of each Objective, and
summing them (see Table 5.1 at the end of this section). The overall
score earned is then compared to Table 5.2 to determine the overall Goal
letter grade.

[]{.mark}

## 5.1 Provide a Work Environment that Protects Workers and the Environment

## []{.mark}

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   The success in meeting ES&H goals.

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 35%.
>
> 5.1a The Contractor's success in reducing serious illnesses and
> injuries as measured by the days away, restricted or transferred
> (DART) case rate.
>
> *Days Away, Restricted, or Transferred (DART) Case Rate* -- the number
> of cases of an injury or illness case where the most serious outcome
> of the case, as identified on the OSHA Form 300 columns H or I,
> resulted in days away from work or days of job restriction or transfer
> x 200,000 (100 employees working 40 hours per week for 50 weeks per
> year) / the actual number of hours worked. The SC DART Goal for 2007 =
> 0.25.
>
> 5.1a (1) Targets DART Case Rate for FY 2007.
>
> [Target]{.underline} [DART Case Rate]{.underline}
>
> A [\<]{.underline} 0.20
>
> B 0.20 - 0.65 (B+ = 0.25)
>
> C 0.66 - 1.05
>
> D \> 1.06
>
> 5.1b The Contractor's success in reducing accidents, illnesses and
> injuries as measured by the total reportable case rate (TRCR)
>
> *Total Recordable Case Rate* - The number of all occupational
> illnesses and occupational injuries resulting in loss of
> consciousness, restriction of work or motion, transfer to another job,
> or require medical treatment beyond first aid x 200,000 (100 employees
> working 40 hours per week for 50 weeks per year) / the actual number
> of hours worked. The SC TRCR target for 2007 = 0.87.
>
> 5.1b (1) Targets TRCR for FY 2007.
>
> [Target]{.underline} [TRCR]{.underline}
>
> A [\<]{.underline} 0.60
>
> B 0.60 - 1.05 (B+ = .87)
>
> C 1.06 - 1.47
>
> D \> 1.47
>
> 5.1c The number of reportable occurrences related to environmental
> compliance
>
> 5.1 c (1) No more than a single environmental compliance occurrence
> that meets the thresholds for ORPS reporting at a significance
> category level 1, 2, or 3 will be considered a B+.
>
> 5.1d Completion of corrective actions related to ES&H reviews and
> reportable events, as designated and agreed to by the Laboratory and
> Ames Site Office within the scheduled due date. All changes in
> scheduled due dates must be agreed to by Ames Site Office.
>
> 5.1d (1) Target
>
> [Target Levels]{.underline} [Expectation]{.underline}
>
> A 0-1 corrective actions are not completed as scheduled.
>
> B 2-3 corrective actions are not completed as scheduled. (B+ =2 not
> completed as scheduled)
>
> C 4-5 corrective actions are not completed as scheduled.
>
> D more than 5 corrective actions are not completed as scheduled.
>
> 5.1e The strength of the Laboratory's Independent Walk-through
> Program, as measured by performance of walk-throughs of laboratory
> spaces by a team of safety specialists, with participation by Senior
> Management.
>
> 5.1e (1) To meet expectations (B+), Senior Laboratory Management
> participates in ≥ 85% of Walkthroughs.
>
> 5.1e (2) To meet expectations (B+), inspections of 100% of the
> Laboratory space is completed during FY 2007.

## 5.2 Provide Efficient and Effective Implementation of Integrated Safety, Health and Environment Management

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   The commitment of leadership to strong ES&H performance is
    appropriately demonstrated;

-   The maintenance and appropriate utilization of hazard
    identification, prevention, and control processes/activities; and

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-   The degree to which scientists and workers are involved and engaged
    in the ES&H program at the bench level.

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 35%.
>
> 5.2a Commitment to hazard awareness is demonstrated by employee
> completion of required ESH training.
>
> 5.2a (1) To meet the target expectation (B+) 90% of mandatory ES&H
> training is completed on time.
>
> 5.2a (2) To meet the target expectation (B+), upon completion of a new
> employee's Training Needs Questionnaire (TNQ) the resulting Employee
> Training Profiles will be provided to the employee and the employee's
> supervisor. Also, quarterly Training Summary Reports will be provided
> to supervisors indicating all mandatory training modules and
> completion statistics, including a list of employees with pending
> mandatory training. The purpose of the communication is to reinforce
> the supervisor's awareness to ensure that employees are compliant with
> mandatory training and specifically note the critical importance of
> training for student employees. New software will allow for improved
> tracking of training records for specific work groups, such as
> graduate students, undergraduate students by individual training
> module.
>
> 5.2b Completion rate of concerns identified during the Annual
> Independent Walk-through which are completed within scheduled time
> period.
>
> 5.2b (1) To meet the target expectation (B+), 90% of the concerns
> identified during the annual independent walk-throughs are completed
> within the scheduled time period.
>
> 5.2c The strength of the Laboratory's program to improve safety
> systems as measured by the quality and number of Topical Appraisals of
> ES&H.
>
> 5.2c (1) To meet the target expectation (B+), internal topical
> appraisals are completed annually to address issues identified and
> agreed to by the Laboratory and Ames Site Office.
>
> 5.2d Repeat findings are minimized by effective causal analysis and
> corrective action development and implementation.
>
> 5.2d (1) To meet the target expectation (B+) repeat findings do not
> account for more than 7% of all internal and external appraisal
> findings.
>
> 5.2e The strength of the Laboratory's processes to plan work safely as
> measured by completion and/or updating of readiness reviews.
>
> 5.2e(1) To meet target (B+), 100% of readiness reviews are completed
> by the scheduled review date and in all cases prior to work beginning.
>
> 5.2e (2) No work processes are observed that have not been properly
> reviewed..
>
> 5.2f The Laboratory implements effective systems of reporting ESH
> concerns and conducting causal analyses.
>
> 5.2f (1) To meet target (B+) all ORPS and PAAA concerns and events are
> reported consistent with requirements and within the specified time
> periods.
>
> 5.2g The Laboratory will conduct quarterly forums with safety
> specialists from Iowa State University's Environment Health and Safety
> Department and student representatives to discuss safety program
> improvements and share lessons learned from DOE and The Contractor and
> other academic institutions.

## 5.3 Provide Efficient and Effective Waste Management, Minimization, and Pollution Prevention

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   Efficiency and Effectiveness of efforts to minimize the generation
    of waste.

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 30%.
>
> 5.3a Success in implementation of the Laboratory's Environmental
> Management System
>
> 5.3a (1) To meet the target (B+) the Laboratory fully implements the
> EMS. To achieve a higher level, the Laboratory conducts a benchmark
> study of EMS objectives and targets used at similar facilities.
>
> 5.3b Success in ongoing efforts to reduce hazardous waste 5.3b (1) All
> new activities will be specifically reviewed for waste minimization
> efforts. These reviews will be documented in the individual readiness
> reviews.

## 

  ------------------------------------------------------------------------------------------
  **ELEMENT**                   **Letter   **Numerical   **Objective   **Total    **Total
                                Grade**    Score**       Weight**      Points**   Points**
  ----------------------------- ---------- ------------- ------------- ---------- ----------
  **5.0 Sustain Excellence and                                                    
  Enhance Effectiveness of                                                        
  Integrated Safety, Health,                                                      
  and Environmental                                                               
  Protection**                                                                    

  5.1 Provide a Work                                     35%                      
  Environment that Protects                                                       
  Workers and the Environment                                                     

  5.2 Provide Efficient and                              35%                      
  Effective Implementation of                                                     
  Integrated Safety, Health and                                                   
  Environment Management                                                          

  5.3 Provide Efficient and                              30%                      
  Effective Waste Management,                                                     
  Minimization, and Pollution                                                     
  Prevention                                                                      

  **Performance Goal 5.0                                                          
  Total**                                                                         
  ------------------------------------------------------------------------------------------

**Table 5.1 -- 5.0 Goal Performance Rating Development**[\
]{.mark}

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------
  **Total   **4.3-4.1**   **4.0-3.8**   **3.7-3.5**   **3.4-3.1**   **3.0-2.8**   **2.7-2.5**   **2.4-2.1**   **2.0-1.8**   **1.7-1.1**   **1.0-0.8**   **0.7-0**
  Score**                                                                                                                                               
  --------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- -----------
  Final     A+            A             A-            B+            B             B-            C+            C             C-            D             F
  Grade                                                                                                                                                 

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------

Table 5.2 -- 5.0 Goal Final Letter Grade

## 6.0 Deliver Efficient, Effective, and Responsive Business Systems and Resources that Enable the Successful Achievement of the Laboratory Mission(s)[ ]{.mark}

**The Contractor sustains and enhances core business systems that
provide efficient and effective support to Laboratory programs and its
mission(s).**

[]{.mark}

> The weight of this Goal is 20%.

The Provide Business Systems that Efficiently and Effectively Support
the Overall Mission of the Laboratory Goal shall measure the
Contractor's overall success in deploying, implementing, and improving
integrated business system that efficiently and effectively support the
mission(s) of the Laboratory.

Each Objective within this Goal is to be assigned the appropriate
numerical score by the evaluating office as described within Section I
of this document. Each Objective has one or more measures, the outcomes
of which collectively assist the evaluating office in determining the
Contractor's overall performance in meeting that Objective. Each of the
measures identifies significant tasks, activities, requirements,
accomplishments, and/or milestones for which the outcomes/results of are
important to the success of the corresponding Objective. Although other
performance information available to the evaluating office from other
sources may be used, the outcomes of measures identified for each
Objective shall be the primary means of determining the Contractor's
success in meeting an Objective. The overall Goal score is computed by
multiplying numerical scores earned by the weight of each Objective, and
summing them (see Table 6.1 at the end of this section). The overall
score earned is then compared to Table 6.2 to determine the overall Goal
letter grade.

[]{.mark}

## 6.1 Provide an Efficient, Effective, and Responsive Financial Management System(s)

## []{.mark}

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   Demonstration of efficient and effective financial management
    system(s) support;

-   The effectiveness of the financial management system(s) as validated
    by internal and external audits and reviews;

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-   The continual improvement of financial management system(s) through
    the use of results of audits, review, and other information; and

-   The degree of knowledge and appropriate utilization of established
    system processes/procedures by Contractor management and staff.

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 30%.
>
> 6.1a Demonstrate an effective financial management system through
> external reviews, surveys and inspections and routine communication
> with AMSO and the CH.
>
> 6.1b Control uncosted balances as measured by the percentage of
> uncosted balances to total available cost (TAC). (Only uncosted
> balances that exceeded \$1 million at the four-digit B&R level will be
> included in this evaluation)
>
> 6.1b (1) Acceptable range for Operating costs are less than or equal
> to 13% of TAC and acceptable range of Capital Equipment costs is less
> than or equal to 50% of TAC.
>
> 6.1c Contractor billings should conform to signed Work For Others
> agreements in that total billing should not exceed agreement amounts,
> funding expiration dates should be observed, and closeouts should be
> initiated promptly upon completion of work.
>
> 6.1c (1) Zero billing errors on non-corporate/interoffice invoices

## 6.2 Provide an Efficient, Effective, and Responsive Acquisition and Property Management System(s)

> In measuring the performance of this Objective the DOE evaluator shall
> consider the following:

-   Demonstration of efficient and effective acquisition and property
    management system(s) support;

-   The effectiveness of the acquisition and property management
    system(s) as validated by internal and external audits and reviews;

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-   The continual improvement of acquisition and property management
    system(s) through the use of results of audits, review, and other
    information; and

-   The degree of knowledge and appropriate utilization of established
    system processes/procedures by management and staff.

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 10%.
>
> 6.2a Demonstrate effective acquisition and property management systems
> through mechanisms such as external reviews, surveys, inspections and
> ongoing communication with the AMSO and the Chicago Office.
>
> 6.2b Perform Procurement Balanced Scorecard evaluation in accordance
> with the FY 2007 Balanced Scorecard Plan and successfully meet at
> least 11 of the BSC targets.
>
> 6.2c Perform Property Balanced Scorecard evaluation in accordance with
> the FY 2007
>
> Balanced Scorecard Plan and successfully meet at least 90% of the BSC
> targets.

## 

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 10%.

## 6.3 Provide an Efficient, Effective, and Responsive Human Resources Management System

## 

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   Demonstration of efficient and effective human resources management
    system support;

-   The effectiveness of the human resources management system as
    validated by internal and external audits and reviews;

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-   The continual improvement of the human resources management system
    through the use of results of audits, review, and other information;
    and

-   The degree of knowledge and appropriate utilization of established
    system processes/procedures by Contractor management and staff.

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 10%.
>
> 6.3a Effectiveness of HR systems processes and services as validated
> through the use of a customer service survey.
>
> 6.3a (1) Overall customer feedback is between 2 and 2.5 on a five
> point scale or action plans are implemented and measurable progress
> and actions have been taken.
>
> 6.3b Success in attraction and/or retention of highly qualified
> employees
>
> 6.3b (1) In-hire compensation package assures 85% acceptance rate
>
> 6.3c Demonstrate effective compensation management through alignment
> with competitive market.
>
> 6.3c (1) Benchmark 85% of Ames Lab's scientific jobs against market to
> validate accuracy
>
> 6.3c (2) Evaluate any difference between market rates and internal
> value to validate Lab's salary ranges for scientific jobs
>
> 6.3d Maintains a systematic approach to the recruiting and retention
> of new talent from diverse populations
>
> 6.3e Increase diversity in the workforce through participation of
> minorities and women in feeder programs (such as, two year training
> programs, four year colleges, and graduate level) and increase
> participation by technical staff in hosting minority and female
> students in their respective departments.

## 6.4 Provide Efficient, Effective, and Responsive Management Systems for Internal Audit and Oversight; Quality; Information Management; and Other Administrative Support Services as Appropriate

## 

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   Demonstration of efficient and effective management systems support;

-   The effectiveness of the management systems as validated by internal
    and external audits and reviews;

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-   The continual improvement of management systems through the use of
    results of audits, review, and other information; and

-   The degree of knowledge and appropriate utilization of established
    system processes/procedures by Contractor management and staff.

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 30%.
>
> 6.4a Demonstrate effective Internal Audit and Oversight; Quality;
> Information Management; and Other Administrative Support Services
> management systems through reviews, surveys and inspections
>
> 6.4b Completion of corrective actions from reviews surveys and
> inspections in accordance with approved Corrective Action Plans
>
> 6.4c Percentage of unlimited-distribution technical reports, which are
> issued during the fiscal year, and are available to DOE-OSTI in
> full-text electronic form within 15 business days of Ames Laboratory
> receipt.
>
> 6.4d The Laboratory provides effective tactical IT planning in support
> of the Laboratory's mission and goals
>
> 6.4d(1) FY 2007 IM plans are in alignment with the Laboratory's
> Operations and Infrastructure Strategic Plan; IT related goals and
> strategies are in place by December 31, 2006.
>
> 6.4d(2) FY 2008 IM plans are in alignment with the Laboratory's
> Operations and Infrastructure Strategic Plan ; IT related goals and
> strategies are in place by September 30, 2007.
>
> 6.4e The Information Management Program provides cost effective
> products and improved services.
>
> 6.4e(1) Information management accomplishments completed based on FY
> 2007 IM plans and demonstrate measurable improvement and cost
> effective IM services and products.
>
> 6.4f IM products and services meet customer requirements as
> demonstrated by customer feedback.
>
> 6.4g The Laboratory uses the results of the Peer Review Process to
> revitalize all communications and trust activities.
>
> 6.4h The Lab performs a thorough analysis of its productivity and
> allocation of resources to ensure they are aligned with those of the
> DOE-SC.
>
> 6.4i The Laboratory Public Affairs Office leads a lab-wide (and
> including IPRT) process to prepare a cross-cutting plan to coordinate
> and increase the external exposure of the lab.

## 6.5 Demonstrate Effective Transfer of Technology and Commercialization of Intellectual Assets

## 

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   The proper stewardship of intellectual assets and Laboratory owned
    or originated technology;

-   The market impacts created/generated as a result of technology
    transfer and deployment activities; and

-   Communication products contributing to the transfer of Laboratory
    originated knowledge and technology.

> The overall performance (outcomes/results) of the following set of key
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 20%.

6.5a Send Customer Surveys to all current WFO/CRADA customers within
three months of each instruments end of performance period and/or
immediately following performance completions (A customer survey example
is provided in DOE G-481.1-1 entitled "Department of Energy Work For
Others Guide"). List the total number of sponsors/customers available to
send surveys? Identify total number of sponsors/customers that
responded? What was your overall response rate?

Please describe the overall results from customer surveys - Identify
opportunities for improvement and/or notable practices.

> 6.5b Describe Common Technical Transfer Mechanisms used during this
> period to promote collaborative technology relationships. For example,
> collegial exchanges- what workshops were attended by Laboratory
> personnel, conferences, etc., that promoted the Laboratory's
> Technology Transfer Program.

6.5c Provide the total number of proposal instruments submitted by the
Laboratory's Technology Transfer Program Office during this period.
Taking into account Ames size, how does this compare to other DOE
Laboratories?

6.5d Please list the total number of active WFO agreements/CRADAs in
relation to the Laboratory's core competency. Please explain what WFO
agreement tie to which core competency.

+-----------------------------+--------+--------+-------+-----+-----+
| **ELEMENT**                 | **     | **Num  | *     | *   | *   |
|                             | Letter | erical | *Obje | *To | *To |
|                             | G      | S      | ctive | tal | tal |
|                             | rade** | core** | Wei   | Po  | Po  |
|                             |        |        | ght** | int | int |
|                             |        |        |       | s** | s** |
+=============================+========+========+=======+=====+=====+
| **6.0 Deliver Efficient,    |        |        |       |     |     |
| Effective, and**            |        |        |       |     |     |
|                             |        |        |       |     |     |
| **Responsive Business       |        |        |       |     |     |
| Systems and Resources that  |        |        |       |     |     |
| Enable the Successful       |        |        |       |     |     |
| Achievement of the          |        |        |       |     |     |
| Laboratory Mission(s)**     |        |        |       |     |     |
+-----------------------------+--------+--------+-------+-----+-----+
| 6.1 Provide an Efficient,   |        |        | 30%   |     |     |
| Effective, and Responsive   |        |        |       |     |     |
| Financial Management        |        |        |       |     |     |
| System(s)                   |        |        |       |     |     |
+-----------------------------+--------+--------+-------+-----+-----+
| 6.2 Provide an Efficient,   |        |        | 10%   |     |     |
| Effective, and Responsive   |        |        |       |     |     |
| Acquisition and Property    |        |        |       |     |     |
| Management System(s)        |        |        |       |     |     |
+-----------------------------+--------+--------+-------+-----+-----+
| 6.3 Provide an Efficient,   |        |        | 10%   |     |     |
| Effective, and Responsive   |        |        |       |     |     |
| Human Resources Management  |        |        |       |     |     |
| System                      |        |        |       |     |     |
+-----------------------------+--------+--------+-------+-----+-----+
| 6.4 Provide Efficient,      |        |        | 30%   |     |     |
| Effective, and Responsive   |        |        |       |     |     |
| Management Systems for      |        |        |       |     |     |
| Internal Audit and          |        |        |       |     |     |
| Oversight; Quality;         |        |        |       |     |     |
| Information Management; and |        |        |       |     |     |
| Other Administrative        |        |        |       |     |     |
| Support Services as         |        |        |       |     |     |
| Appropriate                 |        |        |       |     |     |
+-----------------------------+--------+--------+-------+-----+-----+
| 6.5 Demonstrate Effective   |        |        | 20%   |     |     |
| Transfer of Technology and  |        |        |       |     |     |
| Commercialization of        |        |        |       |     |     |
| Intellectual Assets         |        |        |       |     |     |
+-----------------------------+--------+--------+-------+-----+-----+
| **Performance Goal 6.0      |        |        |       |     |     |
| Total**                     |        |        |       |     |     |
+-----------------------------+--------+--------+-------+-----+-----+

**[Table 6.1 -- 6.0 Goal Performance Rating Development]{.mark}**

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------
  **Total   **4.3-4.1**   **4.0-3.8**   **3.7-3.5**   **3.4-3.1**   **3.0-2.8**   **2.7-2.5**   **2.4-2.1**   **2.0-1.8**   **1.7-1.1**   **1.0-0.8**   **0.7-0**
  Score**                                                                                                                                               
  --------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- -----------
  Final     A+            A             A-            B+            B             B-            C+            C             C-            D             F
  Grade                                                                                                                                                 

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------

Table 6.2 -- 6.0 Goal Final Letter Grade

## 7.0 Sustain Excellence in Operating, Maintaining, and Renewing the Facility and Infrastructure Portfolio to Meet Laboratory Needs[ ]{.mark}

**The Contractor provides appropriate planning for, construction and
management of Laboratory facilities and infrastructures required to
efficiently and effectively carry out current and future S&T programs.**

[]{.mark}

> The weight of this Goal is 20%.

The Sustain Excellence in Operating, Maintaining, and Renewing the
Facility and Infrastructure Portfolio to Meet Laboratory Needs Goal
shall measure the overall effectiveness and performance of the
Contractor in planning for, delivering, and operations of Laboratory
facilities and equipment needed to ensure required capabilities are
present to meet today's and tomorrow's complex challenges.

Each Objective within this Goal is to be assigned the appropriate
numerical score by the evaluating office as described within Section I
of this document. Each Objective has one or more measures, the outcomes
of which collectively assist the evaluating office in determining the
Contractor's overall performance in meeting that Objective. Each of the
measures identifies significant tasks, activities, requirements,
accomplishments, and/or milestones for which the outcomes/results of are
important to the success of the corresponding Objective. Although other
performance information available to the evaluating office from other
sources may be used, the outcomes of measures identified for each
Objective shall be the primary means of determining the Contractor's
success in meeting an Objective. The overall Goal score is computed by
multiplying numerical scores earned by the weight of each Objective, and
summing them (see Table 7.1 at the end of this section). The overall
score earned is then compared to Table 7.2 to determine the overall Goal
letter grade.

[]{.mark}

## 7.1 Manage Facilities and Infrastructure in an Efficient and Effective Manner that Optimizes Usage and Minimizes Life Cycle Costs

## []{.mark}

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   The management of real property assets to maintain effective
    operational safety, worker health, environmental protection and
    compliance, property preservation, and cost effectiveness while
    meeting program missions, through effective facility utilization,
    maintenance and budget execution;

-   The day-to-day management and utilization of space in the active
    portfolio;

-   The maintenance and renewal of building systems, structures and
    components associated with the Laboratory's facility and land
    assets; and

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-   The management of energy use and conservation practices.

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 80%.
>
> 7.1a The Maintenance Investment Index (MII) for the fiscal year
> \`associated with the performance period.
>
> The MII, expressed as a percentage, is defined as the Actual OE funded
> Maintenance and Repair (M&R) Expenditures (at the end of the fiscal
> year associated with the performance period) divided by the
> Replacement Plant Value (RPV).

*Actual Maintenance Expenditures*

*MII =*

*RPV (\$)*

7.1a (1) MII Target for FY 2007; B+ level = 1.8:

> 7.1b The Facility Condition Index (FCI)
>
> The FCI, expressed as a percentage, is defined as the Total Needed OE
> funded Maintenance and Repair (M&R) Deficiencies (at the end of the
> fiscal year associated with the performance period) divided by the
> Replacement Plant Value (RPV).

*Total Needed M & R Deficiencies (\$)*

*FCI =*

*RPV (\$)*

7.1b (1) FCI Target for FY 2007; B+ level = 1.9 -- 2.5

> 7.1c Successful implementation of facility improvements that achieve
> cost savings in the form of material or contract dollars that will not
> need to be spent for facility maintenance.
>
> 7.1d Effective execution of the goals within the Energy Performance
> Management Agreement
>
> 7.1d (1) Target expectation B+ = 75% of the Energy requirements
> scheduled to be accomplished during the Fiscal Year in accordance with
> the Comprehensive Energy Management Plan (CEMP) are completed.
>
> [Target]{.underline} [CEMP % Requirements Completed]{.underline}
>
> A 78 %
>
> B+ 75 %
>
> C+ 72 %
>
> D 69 %
>
> 7.1d (2) Target expectation B+ = Energy use per gross square foot is
> less than the previous year as negotiated between the DOE and the lab.
>
> [Targets]{.underline} [Energy Use Rating Scale]{.underline}
>
> A \> 0.04
>
> B+ 0.039 - 0.030
>
> C+ 0.029 - 0.020
>
> D 0.019 -- 0.010

7.1.d.(3) Demonstrate commitment to purchases of energy efficient
products, including products with low standby power devices. \[Note: A
list of device types and specific products within the type having
recommended low standby levels can be found at
[http://oahu.lbl.gov/]{.underline} .\]

> [Target]{.underline} [Energy Efficient products]{.underline}
>
> A \> 10
>
> B+ 7 -- 9
>
> C 4 -- 8
>
> D 1 - 3
>
> 7.1.d.(4) Establish a plan that will enable the metering of
> electricity for all Ames Laboratory buildings by 2012. The plan should
> identify the meters to be installed according to the guidelines of the
> DOE Metering Plan. The target to achieve the B+ level is to meter at
> least one additional Laboratory building during FY2007.
>
> 7.1.d (5) New buildings are designed (conceptual design, Title 1, and
> Title 2) to use 30 percent less energy than the ASHRAE 90.1 2004
> standard. To achieve the B+ level, at least 50% of new buildings
> designed during FY2007 are designed to use 30 percent less energy than
> the ASHRAE 90.1 2004 standard.

## 7.2 Provide Planning for and Acquire the Facilities and Infrastructure Required to support Future Laboratory Programs

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   Integration and alignment of the Ten Year Site Plan to the
    Laboratory's comprehensive strategic plan;

-   The facility planning, forecasting, and acquisition for effective
    translation of business needs into comprehensive and integrated
    facility site plans;

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-   The effectiveness in producing quality site and facility planning
    documents as required;

-   The involvement of relevant stakeholders in all appropriate aspects
    of facility planning and preparation of required documentation;

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-   Overall responsiveness to customer mission needs; and

-   Efficiency in meeting Cost and Schedule Performance Index for
    construction projects (when appropriate).

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 20%.
>
> 7.2a Facility planning, forecasting, and acquisition activities
> translate needs and facility condition information into useful
> strategic plans
>
> 7.2b The Ten Year Site Plan and the IFI Budget are submitted according
> to the required schedule and demonstrate effective and realistic
> facility planning
>
> 7.2c The management information systems development projects are
> executed in accordance with generally acceptable project management
> practices.

  ------------------------------------------------------------------------------------------
  **ELEMENT**                   **Letter   **Numerical   **Objective   **Total    **Total
                                Grade**    Score**       Weight**      Points**   Points**
  ----------------------------- ---------- ------------- ------------- ---------- ----------
  **7.0 Sustain Excellence in                                                     
  Operating, Maintaining, and                                                     
  Renewing the Facility and                                                       
  Infrastructure Portfolio to                                                     
  Meet Laboratory Needs**                                                         

  7.1 Manage Facilities and                              80%                      
  Infrastructure in an                                                            
  Efficient and Effective                                                         
  Manner that Optimizes Usage                                                     
  and Minimizes Life Cycle                                                        
  Costs                                                                           

  7.2 Provide Planning for and                           20%                      
  Acquire the Facilities and                                                      
  Infrastructure Required to                                                      
  support Future Laboratory                                                       
  Programs                                                                        

  **Performance Goal 7.0                                                          
  Total**                                                                         
  ------------------------------------------------------------------------------------------

**Table 7.1 -- 7.0 Goal Performance Rating Development**[\
]{.mark}

[]{.mark}

[]{.mark}

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------
  **Total   **4.3-4.1**   **4.0-3.8**   **3.7-3.5**   **3.4-3.1**   **3.0-2.8**   **2.7-2.5**   **2.4-2.1**   **2.0-1.8**   **1.7-1.1**   **1.0-0.8**   **0.7-0**
  Score**                                                                                                                                               
  --------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- -----------
  Final     A+            A             A-            B+            B             B-            C+            C             C-            D             F
  Grade                                                                                                                                                 

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------

Table 7.2 -- 7.0 Goal Final Letter Grade

## 8.0 Sustain and Enhance the Effectiveness of Integrated Safeguards and Security Management (ISSM) and Emergency Management Systems[ ]{.mark}

**The Contractor sustains and enhances the effectiveness of integrated
safeguards and security and emergency management through a strong and
well deployed system.**

[]{.mark}

> The weight of this Goal is 10%.

The Sustain and Enhance the Effectiveness of Integrated Safeguards and
Security Management (ISSM) and Emergency Management Systems Goal shall
measure the Contractor's overall success in safeguarding and securing
Laboratory assets that supports the mission(s) of the Laboratory in an
efficient and effective manner and provides an effective emergency
management program.

Each Objective within this Goal is to be assigned the appropriate
numerical score by the evaluating office as described within Section I
of this document. Each Objective has one or more measures, the outcomes
of which collectively assist the evaluating office in determining the
Contractor's overall performance in meeting that Objective. Each of the
measures identifies significant tasks, activities, requirements,
accomplishments, and/or milestones for which the outcomes/results of are
important to the success of the corresponding Objective. Although other
performance information available to the evaluating office from other
sources may be used, the outcomes of measures identified for each
Objective shall be the primary means of determining the Contractor's
success in meeting an Objective. The overall Goal score is computed by
multiplying numerical scores earned by the weight of each Objective, and
summing them (see Table 8.1 at the end of this section). The overall
score earned is then compared to Table 8.2 to determine the overall Goal
letter grade.

[]{.mark}

## 8.1 Provide an Efficient and Effective Emergency Management System

## []{.mark}

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   The Contractor's success in meeting Emergency Management goals and
    expectations;

-   The commitment of leadership to a strong Emergency Management
    performance is appropriately demonstrated; and

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-   The maintenance and appropriate utilization of Emergency Management
    procedures and processes are effectively demonstrated.

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 35%.
>
> 8.1a Emergency Management events are mitigated and reporting is done
> according to requirements
>
> 8.1b Results of reviews, surveys, and inspections demonstrate that
> Emergency Management systems are effective
>
> 8.1c Employee and Management are trained in their Emergency Management
> responsibilities
>
> 8.1d 90% of the corrective actions associated with Emergency
> Management reviews are completed in accordance with scheduled due
> dates.

## Provide an Efficient and Effective System for Cyber-Security

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   The Contractor's success in meeting Cyber-Security goals and
    expectations;

-   The commitment of leadership to a strong Cyber-Security performance
    is appropriately demonstrated;

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-   Integration of Cyber-Security into the culture of the organization
    for effective deployment of the system is demonstrated; and

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-   The maintenance and appropriate utilization of Cyber-Security risk
    identification, prevention, and control processes/activities.

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 50%.
>
> The status of the Cyber Security Program is reported in accordance
> with FISMA and NIST Guidance and Cyber-Security Events are reported
> and mitigated as necessary.
>
> [8.2a(1) Target Levels]{.underline}
>
> \[A\] - In addition to below, incident reporting includes analysis of
> causal factors, impact to network security, and evaluation of
> corrective actions to prevent re-occurrence.
>
> \[B+\] - In addition to below, Plan of Action and Milestones (POAMs)
> reporting is accompanied by a security status update for each cyber
> enclave. Incident reporting includes all classes of incidents from DOE
> Manual 205.1-1.
>
> \[C+\] - In addition to below, POAMs reporting addresses all issues
> from external reviews and the program self assessment. All incident
> reporting to CIAC is compliant with CIAC issued procedures.
>
> \[D\] -- POAMs are reported on a quarterly basis and system
> re-certification and re-accreditation is accomplished in required
> timeframes. System root compromises are reported to CIAC. In the event
> there are no incidents, a negative report is submitted.
>
> 8.2b Establish and maintain a program of system and network
> configuration management for each defined system enclave.
>
> [8.2b(1) Target Levels]{.underline}
>
> \[A\] - In addition to below, systems for automated patch management
> have been implemented for prevalent system environments.
>
> \[B+\] - In addition to below, configuration guidelines are reviewed
> quarterly and updated as needed to address security advisories.
>
> \[C+\] - In addition to below, specific configuration guidelines
> address prevalent system environments.
>
> \[D\] - General Configuration guidelines are adopted and distributed
> to system administrators.
>
> 8.2c Conduct a robust program of vulnerability scanning to include but
> not be limited to: 1) semi-annual network vulnerability scans on
> network systems that provide communications services visible to the
> public Internet community and 2) network vulnerability scans on the
> Ames Laboratory internal network systems so that all systems are
> scanned each year
>
> 8.2d Demonstrate promptness in correcting identified vulnerabilities
> and addressing corrective actions associated with reviews according to
> schedule. Ensure that the identified high-risk vulnerabilities on high
> risk systems, as defined by the Ames Laboratory Risk Management Plan,
> are addressed through corrective action or document the reasons for
> accepting the risk. Justified exceptions are to be approved by the
> Ames Site Office. High risk vulnerabilities on high risk systems will
> be addressed within 30 business days of discovery and moderate
> vulnerabilities on high risk systems within 80 business days.
>
> Ensure that high and moderate vulnerabilities on identified critical
> and/or sensitive systems are addressed within 30 business days of
> discovery. Document the reasons for accepting the risk and identify
> the corrective measures taken that reduce the risk these systems have
> on the internal and external networks.
>
> 8.2d(1) Target Levels
>
> [Target Level]{.underline} [% Vulnerabilities addressed within
> Schedule]{.underline}
>
> \[A\] 95%
>
> \[B+\] 90%
>
> \[C+\] 85%
>
> \[D\] \<80%
>
> 8.2e Employee and Management awareness of their Cyber-Security
> responsibilities.
>
> [8.2e(1)]{.underline}
>
> [Target Level]{.underline} [% Training Completed within
> Schedule]{.underline}
>
> \[A\] 97%
>
> \[B+\] 90%
>
> \[C+\] 85%
>
> \[D\] \<80%

## 

## 8.3 Provide an Efficient and Effective System for the Protection of Special Nuclear Materials, Classified Matter, and Property 

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   The Contractor's success in meeting Safeguard goals and
    expectations;

-   The commitment of leadership to strong Safeguards performance is
    appropriately demonstrated;

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-   Integration of Safeguards into the culture of the organization for
    effective deployment of the system is demonstrated; and

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-   The maintenance and appropriate utilization of Safeguards risk
    identification, prevention, and control processes/activities.

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 10%.
>
> 8.3a Incidents of Safeguards and Security concerns are detected,
> reported, investigated and resolved promptly.
>
> 8.3b Demonstrate an effective Integrated Safeguards and Security
> Management System through a thorough annual self-assessment and by
> positive results from any external reviews surveys and inspections
>
> 8.3c Corrective actions or compensatory measures for deficiencies are
> promptly implemented and monitored until resolution
>
> 8.3d Employee and Management awareness of their Safeguards
> responsibilities
>
> 8.3e Vulnerability Assessments accurately address current Laboratory
> operations.

## 8.4 Provide an Efficient and Effective System for the Protection of Classified and Sensitive Information

## 

> In measuring the performance of this Objective the DOE evaluator(s)
> shall consider the following:

-   The Contractor's success in meeting protection of classified and
    sensitive information goals and expectations;

-   The commitment of leadership to strong protection of classified and
    sensitive information performance is appropriately demonstrated;

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-   Integration of protection of classified and sensitive information
    into the culture of the organization for effective deployment of the
    system is demonstrated; and

-   The maintenance and appropriate utilization of protection of
    classified and sensitive information risk identification,
    prevention, and control processes/activities.

> The overall performance (outcomes/results) of the following set of
> measures (tasks, activities, requirements, accomplishments, and/or
> milestones) shall be utilized by evaluators as the primary measure of
> the Contractor's success in meeting this Objective and for determining
> the numerical score awarded. The evaluation of this Objective may also
> consider other tasks, activities, requirements, accomplishments,
> and/or milestones not otherwise identified below but that provide
> evidence to the effectiveness/performance of the Contractor in meeting
> this Objective. The weight of this Objective is 5%.

## 

> 8.4a The sensitive subjects list is maintained current.
>
> 8.4b Reporting requirements related to counterintelligence, including
> trip reports are met on time.
>
> 8.4c Laboratory reports are made promptly to the CH CI Office or the
> local FBI of any contacts or elicitation attempts with people of any
> nationality who seek sensitive unclassified information (e.g.,
> proprietary or CRADA information) without proper authorization by any
> means. This includes any compromising situation or other
> inconsistencies associated with foreign travel or a visit or
> assignment.

8.4d Counterintelligence awareness training materials are provided
effectively to staff

  ------------------------------------------------------------------------------------------
  **ELEMENT**                   **Letter   **Numerical   **Objective   **Total    **Total
                                Grade**    Score**       Weight**      Points**   Points**
  ----------------------------- ---------- ------------- ------------- ---------- ----------
  **8.0 Sustain and Enhance the                                                   
  Effectiveness of Integrated                                                     
  Safeguards and Security                                                         
  Management (ISSM)**                                                             

  8.1 Provide an Efficient and                           35%                      
  Effective Emergency                                                             
  Management System                                                               

  8.2 Provide an Efficient and                           50%                      
  Effective System for                                                            
  Cyber-Security                                                                  

  8.3 Provide an Efficient and                           10%                      
  Effective System for the                                                        
  Protection of Special Nuclear                                                   
  Materials, Classified Matter,                                                   
  and Property                                                                    

  8.4 Provide an Efficient and                           5%                       
  Effective CI System for the                                                     
  Protection of Classified and                                                    
  Sensitive Information                                                           

  **Performance Goal 8.0                                                          
  Total**                                                                         
  ------------------------------------------------------------------------------------------

**Table 8.1 -- 8.0 Goal Performance Rating Development**[\
]{.mark}

[]{.mark}

[]{.mark}

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------
  **Total   **4.3-4.1**   **4.0-3.8**   **3.7-3.5**   **3.4-3.1**   **3.0-2.8**   **2.7-2.5**   **2.4-2.1**   **2.0-1.8**   **1.7-1.1**   **1.0-0.8**   **0.7-0**
  Score**                                                                                                                                               
  --------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- ------------- -----------
  Final     A+            A             A-            B+            B             B-            C+            C             C-            D             F
  Grade                                                                                                                                                 

  -----------------------------------------------------------------------------------------------------------------------------------------------------------------

Table 8.2 -- 8.0 Goal Final Letter Grade

# **ATTACHMENT I. OFFICE OF SCIENCE PROGRAM OFFICE GOAL & OBJECTIVE WEIGHTINGS**

  ----------------------------- ---------- ------------- ------------ ------------ -----------
  **Science Program Office**    **Letter   **Numerical   **Weight**   **Weighted   **Overall
                                Grade**    Score**                    Score**      Score**

  **Office of Basic Energy                                                         
  Sciences**                                                                       

  1.1 Impact                                             50%                       

  1.2 Leadership                                         20%                       

  1.3 Output                                             15%                       

  1.4 Delivery                                           15%                       

  Overall BES Total                                                                

  **Office of Advanced                                                             
  Scientific Computing                                                             
  Research**                                                                       

  1.1 Impact                                             40%                       

  1.2 Leadership                                         30%                       

  1.3 Output                                             15%                       

  1.4 Delivery                                           15%                       

  Overall ASCR Total                                                               

  **Office of Biological and                                                       
  Environmental Research**                                                         

  1.1 Impact                                             30%                       

  1.2 Leadership                                         20%                       

  1.3 Output                                             20%                       

  1.4 Delivery                                           30%                       

  Overall BER Total                                                                

  **Office of Workforce                                                            
  Development for Teachers and                                                     
  Scientists**                                                                     

  1.1 Impact                                             25%                       

  1.2 Leadership                                         30%                       

  1.3 Output                                             30%                       

  1.4 Delivery                                           15%                       

  Overall WDTS Total                                                               
  ----------------------------- ---------- ------------- ------------ ------------ -----------

# **ATTACHMENT II.** EVALUATION SCHEDULE

01/01/2007 Effective Start Date for 2007 PEMP.

05/15/2007 The Contractor reports to DOE on mid-year status.

\*\*(Note: Mid-year Self-Assessment will be conducted on Sections 4-8 of
the PEMP)

09/30/2007 The evaluation period ends.

10/25/2007 The Contractor submits to DOE its Self-Assessment based on
the PEMP.

01/05/2008 DOE develops a draft report and transmits it to the
Contractor.

01/12/2008 The Contractor submits comments on the draft report to DOE.

02/15/2008 DOE transmits the final report to the Contractor.

# 

[^1]: Weights will be determined following the end of the evaluation
    period based on the sum of each Program Offices weighting for each
    Goal multiplied by the percentage of FY 2007 Budget Authority for
    each.

[^2]: A complete listing of the S&T Goals & Objectives weightings for
    the SC Programs is provided within Attachment I to this plan.

[^3]: The final weights to be utilized for determining weighted scores
    will be determined following the end of the performance period and
    will be based on actual Budget Authority for FY 2007.

[^4]: A complete listing of S&T Goals & Objectives weightings for the SC
    Programs is provided within Attachment I to this plan.

[^5]: Weightings for each Customer listed within Table 2.2 are
    preliminary, based upon FY 2005 Budget Authority figures, and are
    provided for informational purposes only. The final weights to be
    utilized for determining weighted scores will be determined
    following the end of the performance period and will be based on
    actual Budget Authority for FY 2006.

[^6]: A complete listing of the S&T Goals & Objectives weightings for
    the SC Programs is provided within Attachment I to this plan.

[^7]: Final weights to be utilized for determining weighted scores will
    be determined following the end of the performance period and will
    be based on actual Budget Authority for FY 2007.