79C3C34C52B45572883A05D425EB0F82
DOE Order 481.1
https://www.directives.doe.gov/directives-documents/400-series/0481.1-BOrder-d/@@images/file
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| Indicators in focus are typically shown highlighted in yellow; |
Peer Indicators (that share the same Vulnerability association) are shown highlighted in pink; |
"Outside" Indicators (those that do NOT share the same Vulnerability association) are shown highlighted in green; |
Trigger Words/Phrases are shown highlighted in gray. |
Link to Orphaned Trigger Words (Appendix (Indicator List, Indicator Peers, Trigger Words, Type/Vulnerability/Indicator Overlay)
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p.000002: commercialization.
p.000002:
p.000002: d. Assist in maintaining core competencies and enhancing the science and technology base at DOE/NNSA
p.000002: facilities.
p.000002:
p.000002: 2. CANCELLATION. DOE O 481.1C, Work for Others (Non-Department of Energy Funded Work), dated 1-24-05 is
p.000002: canceled.
p.000002:
p.000002: 3. APPLICABILITY.
p.000002:
p.000002: a. DOE Organizations, Including National Nuclear Security Administration (NNSA). Except for the exclusions in
p.000002: paragraph 3.c, the provisions of this Order apply to all DOE Organizations authorizing work under a SPP agreement as
p.000002: provided by law or contract and as implemented by the appropriate DOE/NNSA contracting officer or authorized designee.
p.000002:
p.000002: b. DOE Contractors. This Order does not apply to contractors.
p.000002:
p.000002: c. Exclusions. This Order does not apply to the following:
p.000002:
p.000002: (1) Services, products, or materials regularly produced for sale at scheduled rates under Departmental programs
p.000002: (e.g., routine irradiation services, isotopes, heavy water, transmission of electricity, uranium enrichment services,
p.000002: Naval Petroleum Reserve oil sales).
p.000002:
p.000002:
p.000002: AVAILABLE ONLINE AT:
p.000002: INITIATED BY:
p.000002: www.directives.doe.gov
p.000002: Office of Management
p.000002:
p.000002: 2
p.000002: DOE O 481.1D
p.000002: 12-5-2016
p.000002: (2) Work performed by non-DOE/non-NNSA contractor personnel at a DOE-approved user facility (e.g., the National
p.000002: Synchrotron Light Source 2).
p.000002:
p.000002: (3) Activities funded under the Contributed Funds Act of 1921 [Title 43 United States Code (U.S.C.) 395] or
p.000002: emergencies involving the protection of life, Federal lands, buildings, or equipment or law enforcement, disaster
p.000002: assistance, or production and maintenance of the power distribution system.
p.000002:
p.000002: (4) DOE/NNSA-funded work or services performed by one DOE/NNSA site/facility management contractor for another.
p.000002:
p.000002: (5) Visits or assignments of foreign nationals to DOE/NNSA facilities.
p.000002:
p.000002: (6) Consulting services by employees not identifying themselves as DOE/NNSA or DOE/NNSA site/facility management
p.000002: contractor representatives.
p.000002:
p.000002: (7) Cooperative Research and Development Agreements (CRADAs) performed under the National Competitiveness
p.000002: Technology Transfer Act of 1989.
p.000002:
p.000002: (8) Work for the NNSA Naval Nuclear Propulsion Program.
p.000002:
p.000002: (9) Assignments under the Intergovernmental Personnel Act of 1970 (5 U.S.C. §§ 3371-3375).
p.000002:
p.000002: (10) Work directly funded by the Department of Homeland Security as defined in DOE O 484.1, Reimbursable Work
p.000002: Performed for the Department of Homeland Security, dated 8-17-06.
p.000002:
p.000002: (11) Agreements for Commercializing Technology (ACT).
p.000002:
p.000002: (12) Consistent with Secretarial Delegation Order Number 00-033.00A to the Administrator and Chief Executive
p.000002: Officer, Bonneville Power Administration, this Directive does not apply to Strategic Partnership Projects performed at
p.000002: Bonneville Power Administration.
p.000002:
p.000002: 4. REQUIREMENTS. It is Departmental policy that DOE/NNSA resources are made available to non-DOE/non-NNSA
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Social / Access to Social Goods
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p.000002: U.S. Department of Energy ORDER
p.000002:
p.000002: Washington, D.C.
p.000002: DOE O 481.1D
p.000002:
p.000002: Approved: 12-5-2016
p.000002:
p.000002: SUBJECT: STRATEGIC PARTNERSHIP PROJECTS [FORMERLY KNOWN AS WORK FOR OTHERS (NON-DEPARTMENT OF ENERGY FUNDED WORK)]
p.000002:
p.000002: 1. OBJECTIVES. Strategic Partnership Projects (SPP) [formerly known as “Work for Others” (WFO)] is work
p.000002: performed for non-Department of Energy (DOE) entities by DOE/National Nuclear Security Administration (NNSA) personnel
p.000002: and/or their respective contractor personnel or the use of DOE/NNSA facilities for work that is not directly funded by
p.000002: DOE/NNSA appropriations. SPP have the following objectives (DOE recognizes that individual projects may not meet all of
p.000002: the objectives).
p.000002:
p.000002: a. Provide assistance to Federal agencies and non-Federal entities in accomplishing goals that may be otherwise
p.000002: unattainable and to avoid duplication of effort at Federal facilities.
p.000002:
p.000002: b. Provide access to DOE/NNSA highly specialized or unique facilities, services, or technical expertise to
p.000002: non-DOE/non-NNSA entities when private sector facilities are inadequate.
p.000002:
p.000002: c. Increase research and development interactions between DOE/NNSA facilities and industry to provide
p.000002: opportunities for transferring technology originating at DOE/NNSA facilities to industry for further development or
p.000002: commercialization.
p.000002:
p.000002: d. Assist in maintaining core competencies and enhancing the science and technology base at DOE/NNSA
p.000002: facilities.
p.000002:
p.000002: 2. CANCELLATION. DOE O 481.1C, Work for Others (Non-Department of Energy Funded Work), dated 1-24-05 is
p.000002: canceled.
p.000002:
p.000002: 3. APPLICABILITY.
p.000002:
p.000002: a. DOE Organizations, Including National Nuclear Security Administration (NNSA). Except for the exclusions in
p.000002: paragraph 3.c, the provisions of this Order apply to all DOE Organizations authorizing work under a SPP agreement as
p.000002: provided by law or contract and as implemented by the appropriate DOE/NNSA contracting officer or authorized designee.
p.000002:
p.000002: b. DOE Contractors. This Order does not apply to contractors.
p.000002:
p.000002: c. Exclusions. This Order does not apply to the following:
p.000002:
p.000002: (1) Services, products, or materials regularly produced for sale at scheduled rates under Departmental programs
p.000002: (e.g., routine irradiation services, isotopes, heavy water, transmission of electricity, uranium enrichment services,
p.000002: Naval Petroleum Reserve oil sales).
p.000002:
p.000002:
p.000002: AVAILABLE ONLINE AT:
p.000002: INITIATED BY:
p.000002: www.directives.doe.gov
p.000002: Office of Management
p.000002:
p.000002: 2
...
p.000005:
p.000005: (3) Construction funded through SPP agreements must not supplement DOE- funded construction activities unless the
p.000005: SPP-funded portion of the construction effort is explicitly approved by the CFO.
p.000005:
p.000005: h. Equipment acquired as part of a project must be accounted for and maintained in the same manner as DOE/NNSA
p.000005: property. Disposition of equipment must be as previously agreed or as instructed by the sponsor. Equipment shipping
p.000005: costs are the responsibility of the sponsor.
p.000005:
p.000005: i. The DOE/NNSA contractor must select the subcontractor and the work to be subcontracted. Subcontracted work
p.000005: must be in direct support of the DOE/NNSA contractor.
p.000005:
p.000005: j. Intelligence and Intelligence-related projects (defined in paragraph 8.i) must be conducted in accordance
p.000005: with—
p.000005:
p.000005: (1) Executive Order 12333, as amended
p.000005:
p.000005: (2) Other Executive Orders and Presidential Directives,
p.000005:
p.000005: (3) U.S. laws,
p.000005:
p.000005: (4) Intelligence Community Directives,
p.000005:
p.000005: (5) Remaining Director, Central Intelligence, Directives, and
p.000005:
p.000005: (6) DOE’s “Procedures for Intelligence Activities.”1
p.000005: (7) (7) Department of Energy Delegation Order No. 00-020.00A to the Director of Intelligence and
p.000005: Counterintelligence, dated March 19, 2013, and subsequent revisions.
p.000005:
p.000005: 1 DOE’s “Procedures for Intelligence Activities” are approved by the Office of the Attorney General.
p.000005:
p.000006: 6
p.000006: DOE O 481.1D
p.000006: 12-5-2016
p.000006: k. Special Access Program (SAP) work requires the approval of the DOE SAP Oversight Committee. Intelligence
p.000006: SAPs will be reviewed and approved by the Director, Office of Intelligence and Counterintelligence 5.f(1).
p.000006:
p.000006: l. Work directly funded by a foreign sponsor and performed at a DOE (non-NNSA facility) requires the review
p.000006: and concurrence of the Office of International Affairs 5.c, the CSO 5.j(4)(c) and the cognizant PSO or designee 5.i(2).
p.000006: Notification of the work must be provided to the appropriate Headquarters or Field component of the Office of
p.000006: Intelligence and Counterintelligence.
p.000006:
p.000006: m. Work directly funded by a foreign sponsor and performed at an NNSA facility requires review and concurrence
p.000006: by the DOE Office of International Affairs 5c. The field office will notify the NNSA Principal Deputy Administrator or
p.000006: designee (NNSA Office of Strategic Partnership Programs) 6.f(6) and Office of Intelligence and Counterintelligence
p.000006: (DOE-IN).
p.000006:
p.000006: n. SPP agreements involving human, including their identified data and bio- specimens, or animal subjects,
p.000006: whether performed domestically or in an international environment, regardless of the classification level, must comply
p.000006: with Federal regulations and DOE/NNSA directives/requirements for human or animal subject protection. For intelligence
p.000006: and intelligence-related projects involving human subjects, these projects are reviewed by the Central DOE
p.000006: Institutional Review Board – Classified (IRB-C). See DOE O 443.1B, Chg. 1 and DOE N 443.1, for the applicable
p.000006: requirements when conducting human subject research.
p.000006:
p.000006: o. Work that involves research, development or production of radioisotope or fission systems or their
...
p.000017: and responsibilities for implementing the policy and requirements established in 45 CFR Part 46 10 CFR Part 745 and in
p.000017: DOE P 443.1.
p.000017:
p.000017: d. DOE N 443.1 Protection of Human subjects in Classified Research, dated 1-21- 16, supplements DOE O 443.1B
p.000017: for research that is classified in whole or in part.
p.000017:
p.000017: e. DOE Order 457, 1A, Nuclear Counter Terrorism, dated 8-26-23, support for DOE activities for health, safety,
p.000017: and common defense by reducing the threat of inadvertent or unauthorized disclosure of sensitive improvised nuclear
p.000017: device (IND) information.
p.000017:
p.000017: f. DOE O 471.1B, Identification and Protection of Unclassified Controlled Nuclear Information, dated March 1,
p.000017: 2010, which provides requirements and responsibilities for identifying Unclassified Controlled Nuclear Information and
p.000017: protecting it from unauthorized dissemination.
p.000017:
p.000017: g. DOE O 471.3, Identifying and Protecting Official Use Only Information, Admin Change 1, dated January 13,
p.000017: 2011, which establishes a program within DOE and NNSA to identify certain unclassified controlled information as
p.000017: Official Use Only (OUO) and to identify, mark, and protect documents containing such information.
p.000017:
p.000018: 18
p.000018: DOE O 481.1D
p.000018: 12-5-2016
p.000018:
p.000018: h. DOE O 471.5, Special Access Program Policies, Responsibilities, and Procedures, dated 03-29-11, which
p.000018: delineates policies, responsibilities, and procedures for SAP projects.
p.000018:
p.000018: i. DOE O 475.2B, Identifying Classified Information, dated 10-03-14, which specifies responsibilities,
p.000018: authorities, policies, and procedures for management of the DOE Classification System.
p.000018:
p.000018: j. DOE M 481.1-1A Chg. 1, Reimbursable Work for Non-Federal Sponsors Process Manual, dated 1-03-01, which
p.000018: defines requirements for performance of work for non-DOE/non-NNSA entities by DOE/NNSA and contractor personnel and for
p.000018: use of DOE/NNSA facilities for work that is not directly funded by DOE/NNSA appropriations
p.000018:
p.000018: k. Department of Energy Financial Management Handbook, dated 4-21-15, Chapter XIII, Reimbursable Work,
p.000018: Revenues, and Other Collections, which establishes DOE-/NNSA-wide financial policy and procedural guidance for certain
p.000018: interagency reimbursable actions and reimbursable actions with non- DOE/non NNSA entities.
p.000018:
p.000018: l. DOE Procedures for Intelligence Activities, which provide supplemental guidance/requirements for the
p.000018: conduct of intelligence and intelligence-related work.
p.000018:
p.000018: m. The Atomic Energy Act of 1954 (P.L. 83-303), as amended (42 U.S.C. 2011 et seq.), Sections 31, 32, and 33,
p.000018: which authorize the conduct of research and development and certain training activities for non-DOE/non-NNSA
p.000018: entities, provided that private facilities or laboratories are inadequate for that purpose. It authorizes such charges
p.000018: as may be appropriate for the conduct of those activities.
p.000018:
p.000018: n. The Contributed Funds Act of 1921 (43 U.S.C. 395), which permits contributions from a non-Federal
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Social / Linguistic Proficiency
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p.000006: n. SPP agreements involving human, including their identified data and bio- specimens, or animal subjects,
p.000006: whether performed domestically or in an international environment, regardless of the classification level, must comply
p.000006: with Federal regulations and DOE/NNSA directives/requirements for human or animal subject protection. For intelligence
p.000006: and intelligence-related projects involving human subjects, these projects are reviewed by the Central DOE
p.000006: Institutional Review Board – Classified (IRB-C). See DOE O 443.1B, Chg. 1 and DOE N 443.1, for the applicable
p.000006: requirements when conducting human subject research.
p.000006:
p.000006: o. Work that involves research, development or production of radioisotope or fission systems or their
p.000006: components, when the potential ultimate application is to produce power or propulsion in space or to produce
p.000006: terrestrial power for national security or defense applications under the Atomic Energy Act authority (i.e. not NRC-
p.000006: licensed), at non-NNSA facilities requires the concurrence of the Director, Office of Space and Defense Power Systems
p.000006: (see paragraph 5.h.) Such work, when performed at an NNSA facility, requires concurrence of the NNSA Office of
p.000006: Strategic Partnership Programs 6.g and will be coordinated with the Director, Office of Space and Defense Power Systems
p.000006: and notification provided to the Office of Space and Defense Power Systems when accepted.
p.000006:
p.000006: p. Cost estimates for federally sponsored SPP must specifically identify the amount of laboratory directed
p.000006: research and development (LDRD) funds to be collected as part of the project costs. The following language must be
p.000006: included in each SPP reimbursable agreement unless a formal agreement regarding LDRD funding has been reached between
p.000006: DOE/NNSA and the sponsoring Federal agency.
p.000006:
p.000006: “Consistent with the Department of Energy’s (DOE’s) full cost recovery policy, DOE collects, as part of its standard
p.000006: indirect cost rate, a laboratory directed research and development (LDRD) cost. Based on the amount of funds accepted
p.000006:
p.000006: DOE O 481.1D
p.000007: 7
p.000007: 12-5-2016
p.000007: for this project, $ represents an estimated amount that will be used for LDRD.”
p.000007:
p.000007: 5. RESPONSIBILITIES—NON-NNSA ENTITIES WITHIN DOE. In keeping with Title 50 U.S.C. § 2401, SPP responsibilities
p.000007: have been separated into DOE organizational responsibilities, below, and NNSA organizational responsibilities in
p.000007: paragraph 6,
p.000007:
p.000007: a. Office of Management.
p.000007:
p.000007: (1) Establishes, in conjunction with Cognizant Secretarial Officers (CSO) and NNSA officials2, DOE SPP policies.
p.000007: (2) Approves requests for excluding non-NNSA SPP agreements from requirements of this Order including in cases of
p.000007: national emergency [for NNSA exclusions, see paragraph 6.b(5)].
p.000007:
p.000007: (3) Develops, maintains, and updates the standard SPP agreement for non-Federal sponsors. (Refer to DOE M
p.000007: 481.1-1A, Reimbursable Work for Non-Federal Sponsors Process Manual, dated 9-28-01.)
p.000007:
p.000007: b. Chief Financial Officer.
p.000007:
p.000007: (1) Establishes and maintains DOE SPP financial policies and procedures.
p.000007:
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p.000002: and/or their respective contractor personnel or the use of DOE/NNSA facilities for work that is not directly funded by
p.000002: DOE/NNSA appropriations. SPP have the following objectives (DOE recognizes that individual projects may not meet all of
p.000002: the objectives).
p.000002:
p.000002: a. Provide assistance to Federal agencies and non-Federal entities in accomplishing goals that may be otherwise
p.000002: unattainable and to avoid duplication of effort at Federal facilities.
p.000002:
p.000002: b. Provide access to DOE/NNSA highly specialized or unique facilities, services, or technical expertise to
p.000002: non-DOE/non-NNSA entities when private sector facilities are inadequate.
p.000002:
p.000002: c. Increase research and development interactions between DOE/NNSA facilities and industry to provide
p.000002: opportunities for transferring technology originating at DOE/NNSA facilities to industry for further development or
p.000002: commercialization.
p.000002:
p.000002: d. Assist in maintaining core competencies and enhancing the science and technology base at DOE/NNSA
p.000002: facilities.
p.000002:
p.000002: 2. CANCELLATION. DOE O 481.1C, Work for Others (Non-Department of Energy Funded Work), dated 1-24-05 is
p.000002: canceled.
p.000002:
p.000002: 3. APPLICABILITY.
p.000002:
p.000002: a. DOE Organizations, Including National Nuclear Security Administration (NNSA). Except for the exclusions in
p.000002: paragraph 3.c, the provisions of this Order apply to all DOE Organizations authorizing work under a SPP agreement as
p.000002: provided by law or contract and as implemented by the appropriate DOE/NNSA contracting officer or authorized designee.
p.000002:
p.000002: b. DOE Contractors. This Order does not apply to contractors.
p.000002:
p.000002: c. Exclusions. This Order does not apply to the following:
p.000002:
p.000002: (1) Services, products, or materials regularly produced for sale at scheduled rates under Departmental programs
p.000002: (e.g., routine irradiation services, isotopes, heavy water, transmission of electricity, uranium enrichment services,
p.000002: Naval Petroleum Reserve oil sales).
p.000002:
p.000002:
p.000002: AVAILABLE ONLINE AT:
p.000002: INITIATED BY:
p.000002: www.directives.doe.gov
p.000002: Office of Management
p.000002:
p.000002: 2
p.000002: DOE O 481.1D
p.000002: 12-5-2016
p.000002: (2) Work performed by non-DOE/non-NNSA contractor personnel at a DOE-approved user facility (e.g., the National
p.000002: Synchrotron Light Source 2).
p.000002:
p.000002: (3) Activities funded under the Contributed Funds Act of 1921 [Title 43 United States Code (U.S.C.) 395] or
p.000002: emergencies involving the protection of life, Federal lands, buildings, or equipment or law enforcement, disaster
p.000002: assistance, or production and maintenance of the power distribution system.
p.000002:
p.000002: (4) DOE/NNSA-funded work or services performed by one DOE/NNSA site/facility management contractor for another.
p.000002:
p.000002: (5) Visits or assignments of foreign nationals to DOE/NNSA facilities.
p.000002:
p.000002: (6) Consulting services by employees not identifying themselves as DOE/NNSA or DOE/NNSA site/facility management
p.000002: contractor representatives.
p.000002:
p.000002: (7) Cooperative Research and Development Agreements (CRADAs) performed under the National Competitiveness
p.000002: Technology Transfer Act of 1989.
p.000002:
p.000002: (8) Work for the NNSA Naval Nuclear Propulsion Program.
p.000002:
p.000002: (9) Assignments under the Intergovernmental Personnel Act of 1970 (5 U.S.C. §§ 3371-3375).
p.000002:
p.000002: (10) Work directly funded by the Department of Homeland Security as defined in DOE O 484.1, Reimbursable Work
p.000002: Performed for the Department of Homeland Security, dated 8-17-06.
p.000002:
p.000002: (11) Agreements for Commercializing Technology (ACT).
p.000002:
p.000002: (12) Consistent with Secretarial Delegation Order Number 00-033.00A to the Administrator and Chief Executive
p.000002: Officer, Bonneville Power Administration, this Directive does not apply to Strategic Partnership Projects performed at
p.000002: Bonneville Power Administration.
p.000002:
p.000002: 4. REQUIREMENTS. It is Departmental policy that DOE/NNSA resources are made available to non-DOE/non-NNSA
p.000002: entities when private facilities are inadequate. Requirements of DOE/NNSA directives, applicable regulations, and the
p.000002: following requirements must be satisfied before work is performed.
p.000002:
p.000002: a. In operating DOE/NNSA Federally Funded Research and Development centers (FFRDCs) or other facilities, a
p.000002: contractor may not respond to Requests For Proposals (RFPs) or other procurement solicitations from another Federal
p.000002: agency
p.000002:
p.000002: DOE O 481.1D
p.000003: 3
p.000003: 12-5-2016
p.000003: or non-Federal entity that involves head-to-head competition with other solicitation respondents as an offeror, team
p.000003: member, or subcontractor to an offeror.
p.000003:
p.000003: b. A DOE/NNSA site/facility management contractor operating an FFRDC or other DOE/NNSA facility may respond to
p.000003: Broad Agency Announcements, financial assistance solicitations, Program Research and Development Announcements, and
p.000003: similar solicitations from other Federal agencies or non-Federal entities when the following conditions have been met:
p.000003:
p.000003: (1) Response to the solicitation does not result in head to head competition with other solicitation respondents
p.000003: as an offeror, team member, or subcontractor to an offeror.
p.000003:
p.000003: (2) The cognizant field office has been notified of intent to respond.
p.000003:
p.000003: (3) The solicitation is a general research announcement used for the acquisition of basic or applied research to
p.000003: further advance scientific knowledge or understanding rather than focused on a specific system or hardware solution.
p.000003:
p.000003: (4) Evaluation and selection is performed through a merit or peer review process using pre-established general
p.000003: selection criteria.
p.000003:
p.000003: (5) The primary bases for selection include quality of the scientific/ technical approach, importance to the
p.000003: Agency, and funds availability.
p.000003:
p.000003: c. The following determinations and a written certification of their completion must be made prior to the
p.000003: acceptance of a SPP project (see paragraph 8.a). The proposed work—
p.000003:
p.000003: (1) is consistent with or complementary to missions of DOE/NNSA and the facility to which the work is to be
p.000003: assigned,
p.000003:
p.000003: (2) will not adversely impact DOE/NNSA programs assigned to the facility,
p.000003:
p.000003: (3) will not place the facility in direct competition with the domestic private sector, and
p.000003:
p.000003: (4) will not create a detrimental future burden on DOE/NNSA resources.
p.000003:
p.000003: For work performed under a DOE or NNSA contract the cognizant Contracting Officer (CO) must ensure the determinations
p.000003: are made and provide the written certification. For work performed at Headquarters, the DOE/NNSA Program Secretarial
p.000003: Officer (PSO), or designee to whom written delegation has been provided pursuant to 5.i(4) must ensure the
p.000003: determinations are made and provide
p.000003:
p.000004: 4
p.000004: DOE O 481.1D
p.000004: 12-5-2016
p.000004: the written certification. In all cases the determination and certification process is an inherently governmental
p.000004: function and may not be delegated to a contractor.
p.000004:
p.000004: d. In addition to paragraph 4.c, above, all Federal agency sponsors must provide on or with the funding
p.000004: document a written statement [example below] confirming that—
p.000004:
p.000004: (1) the requesting Agency has determined that entering into an SPP agreement with DOE/NNSA complies with the
p.000004: requirements of the Economy Act of 1932, as amended (31 U.S.C. 1535), or other applicable authorizations [e.g.,
p.000004: Executive Order (E.O.) 12333];
p.000004:
p.000004: (2) the requesting Agency has determined that entering into an SPP agreement with DOE/NNSA complies with
p.000004: competition requirements in Federal Acquisition Regulation (FAR) Part 6, section 6.002, Limitations; and
p.000004:
p.000004: (3) to the best of the requesting Agency’s knowledge, the work will not place DOE/NNSA and their contractor in
p.000004: direct competition with the domestic private sector.
p.000004:
p.000004: Sample Statement from a Federal Agency
p.000004:
p.000004: This agreement is entered into pursuant to the authority of the Economy Act of 1932, as amended (31 U.S.C. 1535,) or
p.000004: other statutory authority and adheres to Federal Acquisition Regulation (FAR) 6.002. To the best of our knowledge, the
p.000004: work requested will not place DOE/NNSA and its contractor in direct competition with the domestic private sector.
p.000004:
p.000004: e. The requirements of paragraphs 4.a–4.d must be met before a SPP agreement can be accepted or before
p.000004: modifications outside the scope of an existing SPP agreement can be approved.
p.000004:
p.000004: NOTE: For previously approved work with schedule and/or cost changes but no change in scope, reapplying the
p.000004: determinations and certification process is not required.
p.000004:
p.000004: f. Pricing of work and biennial reviews of prices and charges of materials and services must be in accordance
p.000004: with DOE O 522.1, Pricing of Departmental Materials and Services, dated 11-03-04.
p.000004:
p.000004: g. Before SPP construction that exceeds $10 million at a DOE site can begin, approval must be granted by the
p.000004: cognizant DOE Cognizant Secretarial Officer (CSO) 5.j(3)and the DOE Chief Financial Officer 5.b(4). The CFO must be
p.000004: notified seven days in advance of approval of a construction project funded through an SPP agreement that exceeds $1
p.000004: million but is less than $10 million.
p.000004:
p.000004: DOE O 481.1D
p.000005: 5
p.000005: 12-5-2016
p.000005: For a NNSA site, approval for SPP construction that exceeds $10 million must be granted by the Associate Administrator
p.000005: for Acquisition and Project Management 6.f(6) and Associate Administrator for Management and Budget 6.a(3) and
p.000005: notification provided to the NNSA Director, Office of Field Financial Management 6.b(4) before work can begin. Projects
p.000005: must meet the following requirements:
p.000005:
p.000005: (1) Construction projects must be performed according to requirements of DOE O 413.3B, Program Project Management
p.000005: for the Acquisition of Capital Assets, dated, 11-29-10.
p.000005:
p.000005: (2) Upon completion, title to permanent construction work must vest in DOE/NNSA.
p.000005:
p.000005: (3) Construction funded through SPP agreements must not supplement DOE- funded construction activities unless the
p.000005: SPP-funded portion of the construction effort is explicitly approved by the CFO.
p.000005:
p.000005: h. Equipment acquired as part of a project must be accounted for and maintained in the same manner as DOE/NNSA
p.000005: property. Disposition of equipment must be as previously agreed or as instructed by the sponsor. Equipment shipping
p.000005: costs are the responsibility of the sponsor.
p.000005:
p.000005: i. The DOE/NNSA contractor must select the subcontractor and the work to be subcontracted. Subcontracted work
p.000005: must be in direct support of the DOE/NNSA contractor.
p.000005:
...
p.000006: research and development (LDRD) funds to be collected as part of the project costs. The following language must be
p.000006: included in each SPP reimbursable agreement unless a formal agreement regarding LDRD funding has been reached between
p.000006: DOE/NNSA and the sponsoring Federal agency.
p.000006:
p.000006: “Consistent with the Department of Energy’s (DOE’s) full cost recovery policy, DOE collects, as part of its standard
p.000006: indirect cost rate, a laboratory directed research and development (LDRD) cost. Based on the amount of funds accepted
p.000006:
p.000006: DOE O 481.1D
p.000007: 7
p.000007: 12-5-2016
p.000007: for this project, $ represents an estimated amount that will be used for LDRD.”
p.000007:
p.000007: 5. RESPONSIBILITIES—NON-NNSA ENTITIES WITHIN DOE. In keeping with Title 50 U.S.C. § 2401, SPP responsibilities
p.000007: have been separated into DOE organizational responsibilities, below, and NNSA organizational responsibilities in
p.000007: paragraph 6,
p.000007:
p.000007: a. Office of Management.
p.000007:
p.000007: (1) Establishes, in conjunction with Cognizant Secretarial Officers (CSO) and NNSA officials2, DOE SPP policies.
p.000007: (2) Approves requests for excluding non-NNSA SPP agreements from requirements of this Order including in cases of
p.000007: national emergency [for NNSA exclusions, see paragraph 6.b(5)].
p.000007:
p.000007: (3) Develops, maintains, and updates the standard SPP agreement for non-Federal sponsors. (Refer to DOE M
p.000007: 481.1-1A, Reimbursable Work for Non-Federal Sponsors Process Manual, dated 9-28-01.)
p.000007:
p.000007: b. Chief Financial Officer.
p.000007:
p.000007: (1) Establishes and maintains DOE SPP financial policies and procedures.
p.000007:
p.000007: (2) Develops and maintains financial information on SPP and prepares financial reports as necessary.
p.000007:
p.000007: (3) Coordinates with responsible Cognizant Secretarial Officers to ensure the availability of funds for SPP
p.000007: accepted and performed at Headquarters.
p.000007:
p.000007: (4) Concurs on construction projects funded by a SPP agreement that exceed
p.000007: $10 million.
p.000007:
p.000007: (5) Establishes and assigns required SPP values in the DOE accounting system and coordinates with the Field CFOs
p.000007: on these matters.
p.000007:
p.000007: c. Office of International Affairs. Reviews and concurs on all SPP agreement requests to be directly funded by
p.000007: foreign sponsors to ensure consistency with international agreements and foreign policy objectives.
p.000007:
p.000007: d. DOE General Counsel/Field Counsel.
p.000007:
p.000007: (1) Provides legal advice and representation on SPP agreement issues.
p.000007:
p.000007:
p.000007: 2NNSA officials whose responsibilities parallel those of DOE Secretarial Officers are Deputy Administrators and
p.000007: Assistant Deputy Administrators.
p.000007:
p.000008: 8
p.000008: DOE O 481.1D
p.000008: 12-5-2016
p.000008:
p.000008: (2) Establishes policy on patent and technical data.
p.000008:
p.000008: (3) Advises on patent and technical data contract clauses.
p.000008:
p.000008: (4) Approves waiver of patent rights.
p.000008:
p.000008: e. Associate Director, Office of Biological and Environmental Research. Acts as the DOE Institutional Official
p.000008: for the Protection of Human Subjects in Research and is the Secretary’s designee to oversee the DOE/NNSA’s Protection
p.000008: of Human Subjects in Research.
p.000008:
p.000008: (1) In consultation with NNSA, oversees the implementation of the DOE system to ensure that all human subject
p.000008: research complies with established Federal regulations and DOE directives/requirements.
p.000008:
p.000008: (2) Coordinates with DOE-IN on all Intelligence and Intelligence-related human subjects SPP, regardless of
p.000008: funding source or classification.
p.000008:
p.000008: (3) Oversees the implementation of animal research protection.
p.000008:
p.000008: f. Director, Office of Intelligence and Counterintelligence (DOE-IN).
p.000008:
p.000008: (1) Manages, reviews, and approves proposed intelligence and intelligence- related SPP including intelligence
p.000008: SAPs pursuant to 4.j in coordination with the appropriate field office manager or designee.
p.000008:
p.000008: (2) Coordinates program review of intelligence and intelligence-related SPP with the participation of appropriate
p.000008: Field Intelligence Elements (defined in paragraph 8.f) and field office manager or designee.
p.000008:
p.000008: (3) Reviews intelligence and intelligence-related SPP for duplication of effort if duplication is not requested
p.000008: by the sponsor.
p.000008:
p.000008: (4) Serves as central point of contact for coordination with sponsors of intelligence and intelligence-related
p.000008: SPP.
p.000008:
p.000008: (5) Informs, if applicable, the Cognizant Secretarial Officer, e.g. the Director of Science of problems with
p.000008: intelligence and intelligence-related SPP.
p.000008:
p.000008: (6) Conducts counterintelligence review of SPP agreements funded by a foreign sponsor.
p.000008:
p.000008: g. NNSA Assistant Deputy Administrator, Office of Nonproliferation Research and Engineering. Reviews and
p.000008: concurs on SPP nuclear nonproliferation detection technology projects.
p.000008:
p.000008: DOE O 481.1D
p.000009: 9
p.000009: 12-5-2016
p.000009: h. Director, Office of Space and Defense Power Systems. Concurs on proposals involving radioisotope or fission
p.000009: systems or their components, when the potential ultimate application is to produce electric power or propulsion in
p.000009: space or to produce terrestrial power for defense or national security applications under DOE Atomic Energy Act
p.000009: authority (i.e. not NRC-licensed) at non-NNSA facilities; coordinates with NNSA on such work at NNSA facilities. This
p.000009: excludes fusion, weapons-related activities and naval propulsion reactors.
p.000009:
p.000009: i. Program Secretarial Officers.
p.000009:
p.000009: (1) Accepts Headquarters accepted SPP agreements in accordance with the requirements of paragraph 4.c. Once
p.000009: accepted, forwards copies of all information to the cognizant CO to approve placement of work and funding onto the
p.000009: contract where the work will be performed. For work accepted and performed at Headquarters copies of all information
p.000009: and decision documentation should be maintained and available by the accepting office.
p.000009:
p.000009: (2) Reviews and concurs on foreign-sponsored SPP agreements to ensure the use of program developed technologies
p.000009: is acceptable for the purpose of the SPP agreement.
p.000009:
p.000009: (3) Ensures SPP work performed at Headquarters involving human and/or animal subjects is compliant with
p.000009: established Federal regulations and DOE directives/requirements for protection of these subjects.
p.000009:
p.000009: (4) Approves written delegations of authority for completing the determinations and certification process for
p.000009: Headquarters accepted SPP agreements consistent with 4.c.
p.000009:
p.000009: j. Cognizant Secretarial Officers.
p.000009:
p.000009: (1) Develop and recommend changes in SPP policies to the Director, Office of Management or Office of the Chief
p.000009: Financial Officer.
p.000009:
p.000009: (2) Notify other Secretarial Officers of significant or sensitive SPP agreements.
p.000009:
p.000009: (3) After obtaining concurrence from the Office of the Chief Financial Officer, approve facility construction
p.000009: that exceeds $10 million.
p.000009:
p.000009: (4) For DOE facilities under their cognizance--
p.000009:
p.000009: (a) Approve or designate the Head of the Field Element to approve annual SPP levels and requests for increases.
p.000009:
p.000010: 10
p.000010: DOE O 481.1D
p.000010: 12-5-2016
p.000010: (b) Conduct periodic reviews of field office SPP agreement review and approval systems using a risk based
p.000010: management approach. The approach shall ensure that: 1) a CSO approved risk based schedule is established that ensures
p.000010: sites are reviewed no less than every five years; 2) sites with higher levels of identified risk will be reviewed more
p.000010: frequently; and 3) reviews include assessment of review and approval procedures to ensure compliance with DOE- wide SPP
p.000010: policies and procedures.
p.000010:
p.000010: (c) Review and concur in foreign sponsored SPP agreements.
p.000010:
p.000010: (d) Provide copies of approved annual SPP levels to other program organizations as requested.
p.000010:
p.000010: k. Heads of DOE Field Elements.
p.000010:
p.000010: (1) Manage site-specific SPP agreement review, approval and oversight functions to ensure SPP actions at
p.000010: facilities under their purview are consistent with DOE SPP policies and procedures.
p.000010:
p.000010: NOTE: In this capacity, Heads of Field Elements are accountable to the Cognizant Secretarial Officers.
p.000010:
p.000010: (2) Develop and implement procedures for review, acceptance, authorization, and monitoring of SPP agreements
...
p.000012: (6) Provides concurrence in the development and updating of the standard SPP agreement for non-Federal sponsors
p.000012: (DOE M 481.1-1A).
p.000012:
p.000012: c. NNSA Office of the General Counsel or NNSA Field Counsel.
p.000012:
p.000012: (1) Provides legal advice and representation on issues related to SPP agreements.
p.000012:
p.000012: DOE O 481.1D
p.000013: 13
p.000013: 12-5-2016
p.000013: (2) Establishes policy on patent and technical data in coordination with the DOE Assistant General Counsel for
p.000013: Technology Transfer.
p.000013:
p.000013: (3) Advises on patent and technical data clauses of contracts in coordination with the DOE Assistant General
p.000013: Counsel for Technology Transfer.
p.000013:
p.000013: (4) Coordinates the approval of waiver of patent rights with the DOE Assistant General Counsel for Technology
p.000013: Transfer.
p.000013:
p.000013: d. Director, Office of Intelligence and Counterintelligence (DOE-IN).
p.000013:
p.000013: (1) Manages, reviews, and approves proposed intelligence and intelligence- related SPP including intelligence
p.000013: SAPs pursuant to 4.j in coordination with the appropriate field office manager or designee.
p.000013:
p.000013: (2) Coordinates program review of intelligence and intelligence-related SPP with the participation of appropriate
p.000013: Field Intelligence Elements 8.f and field office manager or designee.
p.000013:
p.000013: (3) Reviews intelligence and intelligence-related SPP for duplication of effort if duplication is not requested
p.000013: by the sponsor.
p.000013:
p.000013: (4) Serves as central point of contact for coordination with sponsors of intelligence and intelligence-related
p.000013: SPP.
p.000013:
p.000013: (5) Inform, if applicable, the Cognizant Secretarial Officer (e.g., NNSA Administrator) and Field Office Manager
p.000013: of problems with intelligence and intelligence-related SPP, at sites under the FOM and CSO’s cognizance.
p.000013:
p.000013: e. NNSA Assistant Deputy Administrator, Office of Nonproliferation Research and Engineering. Reviews SPP
p.000013: agreements involving nuclear nonproliferation detection technology projects and provides comments to the NNSA Office of
p.000013: Strategic Partnership Programs for possible action in coordination with the relevant field office.
p.000013:
p.000013: f. NNSA Principal Deputy Administrator. Responsible for oversight of SPP agreements at NNSA sites through the
p.000013: NNSA Office of Strategic Partnership Program. Responsibilities include the following and may be further delegated.
p.000013:
p.000013: (1) Develop and recommend changes in SPP policies to the NNSA Associate Administrator for Management and Budget.
p.000013:
p.000013: (2) Accepts Headquarters accepted SPP agreements in accordance with the requirements of paragraph 4.c for NNSA.
p.000013: Once accepted, copies of all information should be forwarded to the cognizant CO to approve placement of work and
p.000013: funding onto the contract where the work will be
p.000013:
p.000014: 14
p.000014: DOE O 481.1D
p.000014: 12-5-2016
p.000014: performed. For work performed at Headquarters, copies of all information and decision documentation should be
p.000014: maintained and available.
p.000014:
p.000014: (3) Review and concur in foreign-sponsored SPP that use NNSA program developed technologies and sites.
p.000014:
p.000014: (4) Ensure work performed at Headquarters involving human or animal subjects complies with established Federal
p.000014: regulations and NNSA directives/requirements for the protection of these subjects.
p.000014:
...
p.000019: agencies on behalf of the Department of Defense.
p.000019:
p.000019: y. FAR 35.017, “Federally Funded Research and Development Center” (FFRDCs), which establishes Government-wide
p.000019: policies for review and termination of FFRDCs.
p.000019:
p.000019: z. OMB Circular A-97, which defines rules and regulations permitting Federal agencies to provide specialized or
p.000019: technical services to State and local units of government under Title III of the Intergovernmental Cooperation Act of
p.000019: 1968.
p.000019:
p.000019: aa. Title 45 of Code of Federal Regulations (CFR) part 46, "Federal Policy for the Protection of Human Subjects,"
p.000019: which sets forth Federal regulations for protection of human subjects involved in research activities.
p.000019:
p.000019: bb. Title 10 Code of Federal Regulations (CFR) Part 745, “Protection of Human Subjects,” which sets forth DOE's
p.000019: directives/regulations for protecting human subjects involved in research activities.
p.000019:
p.000020: 20
p.000020: DOE O 481.1D
p.000020: 12-5-2016
p.000020: cc. Department of Energy Delegation Order No. 00-020.00A to the Director of Intelligence and Counterintelligence,
p.000020: dated March 19, 2013, and subsequent revisions.
p.000020:
p.000020: 8. DEFINITIONS. The following terms apply to SPP conducted through DOE/NNSA and their contractors.
p.000020:
p.000020: a. Acceptance. The official signing of a reimbursable agreement (e.g., bilateral sales contract or interagency
p.000020: agreement) by a cognizant DOE/NNSA contracting officer or a federal official with delegated authority to commit
p.000020: DOE/NNSA and/or their contractors to perform strategic partnership projects.
p.000020:
p.000020: b. Bilateral Sales Contract. A binding agreement that commits DOE, NNSA or a DOE/NNSA site/facility management
p.000020: contractor to perform work for a
p.000020: non-Federal entity. Agreements with non-federal customers require bilateral sales contracts.
p.000020:
p.000020: c. Cognizant Secretarial Officers/NNSA Principal Deputy Administrator. Headquarters Assistant Secretaries,
p.000020: Deputy Administrator and Directors responsible for oversight or institutional management of DOE/NNSA facilities.
p.000020:
p.000020: d. DOE Institutional Official for the Protection of Human Subjects in Research. Senior official delegated by
p.000020: the Secretary (DOE O 443.1B, Chg. 1) to oversee the DOE/NNSA’s Protection of Human Subjects in Research.
p.000020:
p.000020: e. Facility/Site Management Contractors. Operate and maintain Government-owned facilities under contract with
p.000020: and for the benefit of DOE/NNSA.
p.000020:
p.000020: f. Field Intelligence Element (FIE). An intelligence component of the DOE-IN Field Intelligence Enterprise,
p.000020: which includes Management and
p.000020: Operating contractors and subcontractor employees located at DOE/NNSA facilities that provide products and services to
p.000020: DOE, the Intelligence Community (IC), and non-IC Federal agencies. FIE Directors are approved by the Director of DOE-IN
p.000020: and have responsibility for compliance and oversight of all intelligence and intelligence-related SPP at the DOE/NNSA
...
p.000021: Activities;
p.000021:
p.000021: (2) Intelligence-related projects are sponsored by non-Intelligence Community Federal agencies, regardless of
p.000021: appropriation type, utilizing DOE’s authorities under Executive Order 12333 applicable U.S. laws, other Executive
p.000021: Orders, Presidential Directives, Intelligence Community Directives, and DOE Procedures for Intelligence Activities; and
p.000021:
p.000021: (3) Activity for which the cognizant technical DOE Headquarters official is the Director, Office of Intelligence
p.000021: and Counterintelligence.
p.000021:
p.000021: j. Interagency Agreement. Provides the statement of work, terms and conditions, funding, billing, and payment
p.000021: data in support of a reimbursable agreement. The format of the requesting Agency is acceptable as long as it contains
p.000021: the appropriate elements as outlined in this Order.
p.000021:
p.000021: k. Non-DOE/non NNSA Entities. Federal agencies; State, regional, and local governments; private or commercial
p.000021: firms; not-for-profit organizations; international organizations; and foreign governments.
p.000021:
p.000021: l. Program Secretarial Officers and Deputy NNSA Administrators. Headquarters Assistant Secretaries, Deputy
p.000021: Administrators, and Directors who have management responsibility for program planning, budgeting, and execution, of
p.000021: DOE/NNSA mission program activities. In this capacity, these individuals have funded program related technology
p.000021: development proposed for use in the SPP work and must concur on its use on all foreign-sponsored SPP agreements.
p.000021:
p.000021: m. Program Secretarial Officer/Cognizant Secretarial Officer/Deputy NNSA Administrator Designee. A DOE/NNSA
p.000021: federal official provided specific authorities through written delegation to act on behalf of the delegating official.
p.000021:
p.000021: n. Reimbursable Agreement. A written agreement to perform work or provide a service for another Federal agency
p.000021: or non-Federal entity on a reimbursable basis.
p.000021:
p.000021: o. Research. Systematic investigation, including research, development, testing, and evaluation designed to
p.000021: develop, expand or contribute to general knowledge.
p.000021:
p.000022: 22
p.000022: DOE O 481.1D
p.000022: 12-5-2016
p.000022: p. Responsible DOE/NNSA Contracting Officer. A DOE/NNSA official with responsibility for administering the
p.000022: contract for the operation of a DOE/NNSA research or production facility.
p.000022:
p.000022: q. Sponsor. An entity that provides strategic partnership project funding.
p.000022:
p.000022: r. Strategic Partnership Projects. Work for non-DOE/non-NNSA entities by DOE/NNSA and/or their contractors or
p.000022: use of DOE/NNSA facilities for work that is not directly funded by DOE/NNSA appropriations consistent with the
p.000022: requirements of this order.
p.000022:
p.000022: 9. CONTACT. For information about this Order, contact the Office of Contract and inancial Assistance Policy at
p.000022: 202-287-1507.
p.000022:
p.000022: BY ORDER OF THE SECRETARY OF ENERGY:
p.000022:
p.000022:
p.000022: ELIZABETH SHERWOOD-RANDALL
...
Social / Property Ownership
Searching for indicator property:
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p.000004: with DOE O 522.1, Pricing of Departmental Materials and Services, dated 11-03-04.
p.000004:
p.000004: g. Before SPP construction that exceeds $10 million at a DOE site can begin, approval must be granted by the
p.000004: cognizant DOE Cognizant Secretarial Officer (CSO) 5.j(3)and the DOE Chief Financial Officer 5.b(4). The CFO must be
p.000004: notified seven days in advance of approval of a construction project funded through an SPP agreement that exceeds $1
p.000004: million but is less than $10 million.
p.000004:
p.000004: DOE O 481.1D
p.000005: 5
p.000005: 12-5-2016
p.000005: For a NNSA site, approval for SPP construction that exceeds $10 million must be granted by the Associate Administrator
p.000005: for Acquisition and Project Management 6.f(6) and Associate Administrator for Management and Budget 6.a(3) and
p.000005: notification provided to the NNSA Director, Office of Field Financial Management 6.b(4) before work can begin. Projects
p.000005: must meet the following requirements:
p.000005:
p.000005: (1) Construction projects must be performed according to requirements of DOE O 413.3B, Program Project Management
p.000005: for the Acquisition of Capital Assets, dated, 11-29-10.
p.000005:
p.000005: (2) Upon completion, title to permanent construction work must vest in DOE/NNSA.
p.000005:
p.000005: (3) Construction funded through SPP agreements must not supplement DOE- funded construction activities unless the
p.000005: SPP-funded portion of the construction effort is explicitly approved by the CFO.
p.000005:
p.000005: h. Equipment acquired as part of a project must be accounted for and maintained in the same manner as DOE/NNSA
p.000005: property. Disposition of equipment must be as previously agreed or as instructed by the sponsor. Equipment shipping
p.000005: costs are the responsibility of the sponsor.
p.000005:
p.000005: i. The DOE/NNSA contractor must select the subcontractor and the work to be subcontracted. Subcontracted work
p.000005: must be in direct support of the DOE/NNSA contractor.
p.000005:
p.000005: j. Intelligence and Intelligence-related projects (defined in paragraph 8.i) must be conducted in accordance
p.000005: with—
p.000005:
p.000005: (1) Executive Order 12333, as amended
p.000005:
p.000005: (2) Other Executive Orders and Presidential Directives,
p.000005:
p.000005: (3) U.S. laws,
p.000005:
p.000005: (4) Intelligence Community Directives,
p.000005:
p.000005: (5) Remaining Director, Central Intelligence, Directives, and
p.000005:
p.000005: (6) DOE’s “Procedures for Intelligence Activities.”1
p.000005: (7) (7) Department of Energy Delegation Order No. 00-020.00A to the Director of Intelligence and
p.000005: Counterintelligence, dated March 19, 2013, and subsequent revisions.
p.000005:
p.000005: 1 DOE’s “Procedures for Intelligence Activities” are approved by the Office of the Attorney General.
p.000005:
p.000006: 6
p.000006: DOE O 481.1D
p.000006: 12-5-2016
p.000006: k. Special Access Program (SAP) work requires the approval of the DOE SAP Oversight Committee. Intelligence
p.000006: SAPs will be reviewed and approved by the Director, Office of Intelligence and Counterintelligence 5.f(1).
p.000006:
p.000006: l. Work directly funded by a foreign sponsor and performed at a DOE (non-NNSA facility) requires the review
p.000006: and concurrence of the Office of International Affairs 5.c, the CSO 5.j(4)(c) and the cognizant PSO or designee 5.i(2).
...
Social / Soldier
Searching for indicator military:
(return to top)
p.000020:
p.000020: e. Facility/Site Management Contractors. Operate and maintain Government-owned facilities under contract with
p.000020: and for the benefit of DOE/NNSA.
p.000020:
p.000020: f. Field Intelligence Element (FIE). An intelligence component of the DOE-IN Field Intelligence Enterprise,
p.000020: which includes Management and
p.000020: Operating contractors and subcontractor employees located at DOE/NNSA facilities that provide products and services to
p.000020: DOE, the Intelligence Community (IC), and non-IC Federal agencies. FIE Directors are approved by the Director of DOE-IN
p.000020: and have responsibility for compliance and oversight of all intelligence and intelligence-related SPP at the DOE/NNSA
p.000020: facility in coordination with the field office manager.
p.000020:
p.000020: g. Heads of Field Elements/Field Office Managers. Officials who direct activities of DOE/NNSA field or site
p.000020: offices and field organizations reporting directly to Headquarters. NNSA FOMs serve as line management, site-level
p.000020: mission integrators, and as the authorizing officials for activities at the site on behalf of the Administrator
p.000020:
p.000020: h. Human Subjects. Living individuals about whom a researcher obtains data through intervention or interaction
p.000020: with the individual or through identifiable information.
p.000020:
p.000020: DOE O 481.1D
p.000021: 21
p.000021: 12-5-2016
p.000021: i. Intelligence and Intelligence-Related SPP.
p.000021:
p.000021: (1) Intelligence projects are sponsored by an organization identified in Executive Order 12333 as an element of
p.000021: the Intelligence Committee and funded by either the National Intelligence Program or the Military Intelligence Program
p.000021: and within the authorities of that organization in accordance with Executive Order 12333, applicable U.S. laws, other
p.000021: Executive Orders, Presidential Directives, Intelligence Community Directives, and DOE Procedures for Intelligence
p.000021: Activities;
p.000021:
p.000021: (2) Intelligence-related projects are sponsored by non-Intelligence Community Federal agencies, regardless of
p.000021: appropriation type, utilizing DOE’s authorities under Executive Order 12333 applicable U.S. laws, other Executive
p.000021: Orders, Presidential Directives, Intelligence Community Directives, and DOE Procedures for Intelligence Activities; and
p.000021:
p.000021: (3) Activity for which the cognizant technical DOE Headquarters official is the Director, Office of Intelligence
p.000021: and Counterintelligence.
p.000021:
p.000021: j. Interagency Agreement. Provides the statement of work, terms and conditions, funding, billing, and payment
p.000021: data in support of a reimbursable agreement. The format of the requesting Agency is acceptable as long as it contains
p.000021: the appropriate elements as outlined in this Order.
p.000021:
p.000021: k. Non-DOE/non NNSA Entities. Federal agencies; State, regional, and local governments; private or commercial
p.000021: firms; not-for-profit organizations; international organizations; and foreign governments.
p.000021:
p.000021: l. Program Secretarial Officers and Deputy NNSA Administrators. Headquarters Assistant Secretaries, Deputy
p.000021: Administrators, and Directors who have management responsibility for program planning, budgeting, and execution, of
p.000021: DOE/NNSA mission program activities. In this capacity, these individuals have funded program related technology
...
Social / Threat of Stigma
Searching for indicator threat:
(return to top)
p.000017: consistent with DOE-/NNSA-approved standard terms and conditions and in compliance with the requirements of this Order
p.000017: and DOE M 481.1-1A.
p.000017:
p.000017: 7. REFERENCES.
p.000017:
p.000017: a. DOE O 522.1, Pricing of Departmental Materials and Services, dated 11-03-04, which establishes requirements
p.000017: and assigns responsibilities for setting and conducting biennial reviews of the prices and charges for materials or
p.000017: services sold or provided by DOE, either directly or through site/facility management contractors, to organizations and
p.000017: persons outside DOE/NNSA.
p.000017:
p.000017: b. DOE O 241.1B, Scientific and Technical Information Management, dated 12-13- 10, which establishes
p.000017: requirements and assigns responsibilities to ensure that scientific and technical information emanating from DOE
p.000017: research is appropriately identified, processed, disseminated, and preserved.
p.000017:
p.000017: c. DOE O 443.1B Change 1 Protection of Human Research Subjects, dated 4-21-16, which establishes the procedures
p.000017: and responsibilities for implementing the policy and requirements established in 45 CFR Part 46 10 CFR Part 745 and in
p.000017: DOE P 443.1.
p.000017:
p.000017: d. DOE N 443.1 Protection of Human subjects in Classified Research, dated 1-21- 16, supplements DOE O 443.1B
p.000017: for research that is classified in whole or in part.
p.000017:
p.000017: e. DOE Order 457, 1A, Nuclear Counter Terrorism, dated 8-26-23, support for DOE activities for health, safety,
p.000017: and common defense by reducing the threat of inadvertent or unauthorized disclosure of sensitive improvised nuclear
p.000017: device (IND) information.
p.000017:
p.000017: f. DOE O 471.1B, Identification and Protection of Unclassified Controlled Nuclear Information, dated March 1,
p.000017: 2010, which provides requirements and responsibilities for identifying Unclassified Controlled Nuclear Information and
p.000017: protecting it from unauthorized dissemination.
p.000017:
p.000017: g. DOE O 471.3, Identifying and Protecting Official Use Only Information, Admin Change 1, dated January 13,
p.000017: 2011, which establishes a program within DOE and NNSA to identify certain unclassified controlled information as
p.000017: Official Use Only (OUO) and to identify, mark, and protect documents containing such information.
p.000017:
p.000018: 18
p.000018: DOE O 481.1D
p.000018: 12-5-2016
p.000018:
p.000018: h. DOE O 471.5, Special Access Program Policies, Responsibilities, and Procedures, dated 03-29-11, which
p.000018: delineates policies, responsibilities, and procedures for SAP projects.
p.000018:
p.000018: i. DOE O 475.2B, Identifying Classified Information, dated 10-03-14, which specifies responsibilities,
p.000018: authorities, policies, and procedures for management of the DOE Classification System.
p.000018:
p.000018: j. DOE M 481.1-1A Chg. 1, Reimbursable Work for Non-Federal Sponsors Process Manual, dated 1-03-01, which
p.000018: defines requirements for performance of work for non-DOE/non-NNSA entities by DOE/NNSA and contractor personnel and for
p.000018: use of DOE/NNSA facilities for work that is not directly funded by DOE/NNSA appropriations
p.000018:
...
Social / employees
Searching for indicator employees:
(return to top)
p.000002: provided by law or contract and as implemented by the appropriate DOE/NNSA contracting officer or authorized designee.
p.000002:
p.000002: b. DOE Contractors. This Order does not apply to contractors.
p.000002:
p.000002: c. Exclusions. This Order does not apply to the following:
p.000002:
p.000002: (1) Services, products, or materials regularly produced for sale at scheduled rates under Departmental programs
p.000002: (e.g., routine irradiation services, isotopes, heavy water, transmission of electricity, uranium enrichment services,
p.000002: Naval Petroleum Reserve oil sales).
p.000002:
p.000002:
p.000002: AVAILABLE ONLINE AT:
p.000002: INITIATED BY:
p.000002: www.directives.doe.gov
p.000002: Office of Management
p.000002:
p.000002: 2
p.000002: DOE O 481.1D
p.000002: 12-5-2016
p.000002: (2) Work performed by non-DOE/non-NNSA contractor personnel at a DOE-approved user facility (e.g., the National
p.000002: Synchrotron Light Source 2).
p.000002:
p.000002: (3) Activities funded under the Contributed Funds Act of 1921 [Title 43 United States Code (U.S.C.) 395] or
p.000002: emergencies involving the protection of life, Federal lands, buildings, or equipment or law enforcement, disaster
p.000002: assistance, or production and maintenance of the power distribution system.
p.000002:
p.000002: (4) DOE/NNSA-funded work or services performed by one DOE/NNSA site/facility management contractor for another.
p.000002:
p.000002: (5) Visits or assignments of foreign nationals to DOE/NNSA facilities.
p.000002:
p.000002: (6) Consulting services by employees not identifying themselves as DOE/NNSA or DOE/NNSA site/facility management
p.000002: contractor representatives.
p.000002:
p.000002: (7) Cooperative Research and Development Agreements (CRADAs) performed under the National Competitiveness
p.000002: Technology Transfer Act of 1989.
p.000002:
p.000002: (8) Work for the NNSA Naval Nuclear Propulsion Program.
p.000002:
p.000002: (9) Assignments under the Intergovernmental Personnel Act of 1970 (5 U.S.C. §§ 3371-3375).
p.000002:
p.000002: (10) Work directly funded by the Department of Homeland Security as defined in DOE O 484.1, Reimbursable Work
p.000002: Performed for the Department of Homeland Security, dated 8-17-06.
p.000002:
p.000002: (11) Agreements for Commercializing Technology (ACT).
p.000002:
p.000002: (12) Consistent with Secretarial Delegation Order Number 00-033.00A to the Administrator and Chief Executive
p.000002: Officer, Bonneville Power Administration, this Directive does not apply to Strategic Partnership Projects performed at
p.000002: Bonneville Power Administration.
p.000002:
p.000002: 4. REQUIREMENTS. It is Departmental policy that DOE/NNSA resources are made available to non-DOE/non-NNSA
p.000002: entities when private facilities are inadequate. Requirements of DOE/NNSA directives, applicable regulations, and the
p.000002: following requirements must be satisfied before work is performed.
p.000002:
p.000002: a. In operating DOE/NNSA Federally Funded Research and Development centers (FFRDCs) or other facilities, a
p.000002: contractor may not respond to Requests For Proposals (RFPs) or other procurement solicitations from another Federal
p.000002: agency
p.000002:
p.000002: DOE O 481.1D
p.000003: 3
p.000003: 12-5-2016
...
p.000020:
p.000020: a. Acceptance. The official signing of a reimbursable agreement (e.g., bilateral sales contract or interagency
p.000020: agreement) by a cognizant DOE/NNSA contracting officer or a federal official with delegated authority to commit
p.000020: DOE/NNSA and/or their contractors to perform strategic partnership projects.
p.000020:
p.000020: b. Bilateral Sales Contract. A binding agreement that commits DOE, NNSA or a DOE/NNSA site/facility management
p.000020: contractor to perform work for a
p.000020: non-Federal entity. Agreements with non-federal customers require bilateral sales contracts.
p.000020:
p.000020: c. Cognizant Secretarial Officers/NNSA Principal Deputy Administrator. Headquarters Assistant Secretaries,
p.000020: Deputy Administrator and Directors responsible for oversight or institutional management of DOE/NNSA facilities.
p.000020:
p.000020: d. DOE Institutional Official for the Protection of Human Subjects in Research. Senior official delegated by
p.000020: the Secretary (DOE O 443.1B, Chg. 1) to oversee the DOE/NNSA’s Protection of Human Subjects in Research.
p.000020:
p.000020: e. Facility/Site Management Contractors. Operate and maintain Government-owned facilities under contract with
p.000020: and for the benefit of DOE/NNSA.
p.000020:
p.000020: f. Field Intelligence Element (FIE). An intelligence component of the DOE-IN Field Intelligence Enterprise,
p.000020: which includes Management and
p.000020: Operating contractors and subcontractor employees located at DOE/NNSA facilities that provide products and services to
p.000020: DOE, the Intelligence Community (IC), and non-IC Federal agencies. FIE Directors are approved by the Director of DOE-IN
p.000020: and have responsibility for compliance and oversight of all intelligence and intelligence-related SPP at the DOE/NNSA
p.000020: facility in coordination with the field office manager.
p.000020:
p.000020: g. Heads of Field Elements/Field Office Managers. Officials who direct activities of DOE/NNSA field or site
p.000020: offices and field organizations reporting directly to Headquarters. NNSA FOMs serve as line management, site-level
p.000020: mission integrators, and as the authorizing officials for activities at the site on behalf of the Administrator
p.000020:
p.000020: h. Human Subjects. Living individuals about whom a researcher obtains data through intervention or interaction
p.000020: with the individual or through identifiable information.
p.000020:
p.000020: DOE O 481.1D
p.000021: 21
p.000021: 12-5-2016
p.000021: i. Intelligence and Intelligence-Related SPP.
p.000021:
p.000021: (1) Intelligence projects are sponsored by an organization identified in Executive Order 12333 as an element of
p.000021: the Intelligence Committee and funded by either the National Intelligence Program or the Military Intelligence Program
p.000021: and within the authorities of that organization in accordance with Executive Order 12333, applicable U.S. laws, other
p.000021: Executive Orders, Presidential Directives, Intelligence Community Directives, and DOE Procedures for Intelligence
p.000021: Activities;
p.000021:
p.000021: (2) Intelligence-related projects are sponsored by non-Intelligence Community Federal agencies, regardless of
...
General/Other / Public Emergency
Searching for indicator emergency:
(return to top)
p.000006: Strategic Partnership Programs 6.g and will be coordinated with the Director, Office of Space and Defense Power Systems
p.000006: and notification provided to the Office of Space and Defense Power Systems when accepted.
p.000006:
p.000006: p. Cost estimates for federally sponsored SPP must specifically identify the amount of laboratory directed
p.000006: research and development (LDRD) funds to be collected as part of the project costs. The following language must be
p.000006: included in each SPP reimbursable agreement unless a formal agreement regarding LDRD funding has been reached between
p.000006: DOE/NNSA and the sponsoring Federal agency.
p.000006:
p.000006: “Consistent with the Department of Energy’s (DOE’s) full cost recovery policy, DOE collects, as part of its standard
p.000006: indirect cost rate, a laboratory directed research and development (LDRD) cost. Based on the amount of funds accepted
p.000006:
p.000006: DOE O 481.1D
p.000007: 7
p.000007: 12-5-2016
p.000007: for this project, $ represents an estimated amount that will be used for LDRD.”
p.000007:
p.000007: 5. RESPONSIBILITIES—NON-NNSA ENTITIES WITHIN DOE. In keeping with Title 50 U.S.C. § 2401, SPP responsibilities
p.000007: have been separated into DOE organizational responsibilities, below, and NNSA organizational responsibilities in
p.000007: paragraph 6,
p.000007:
p.000007: a. Office of Management.
p.000007:
p.000007: (1) Establishes, in conjunction with Cognizant Secretarial Officers (CSO) and NNSA officials2, DOE SPP policies.
p.000007: (2) Approves requests for excluding non-NNSA SPP agreements from requirements of this Order including in cases of
p.000007: national emergency [for NNSA exclusions, see paragraph 6.b(5)].
p.000007:
p.000007: (3) Develops, maintains, and updates the standard SPP agreement for non-Federal sponsors. (Refer to DOE M
p.000007: 481.1-1A, Reimbursable Work for Non-Federal Sponsors Process Manual, dated 9-28-01.)
p.000007:
p.000007: b. Chief Financial Officer.
p.000007:
p.000007: (1) Establishes and maintains DOE SPP financial policies and procedures.
p.000007:
p.000007: (2) Develops and maintains financial information on SPP and prepares financial reports as necessary.
p.000007:
p.000007: (3) Coordinates with responsible Cognizant Secretarial Officers to ensure the availability of funds for SPP
p.000007: accepted and performed at Headquarters.
p.000007:
p.000007: (4) Concurs on construction projects funded by a SPP agreement that exceed
p.000007: $10 million.
p.000007:
p.000007: (5) Establishes and assigns required SPP values in the DOE accounting system and coordinates with the Field CFOs
p.000007: on these matters.
p.000007:
p.000007: c. Office of International Affairs. Reviews and concurs on all SPP agreement requests to be directly funded by
p.000007: foreign sponsors to ensure consistency with international agreements and foreign policy objectives.
p.000007:
p.000007: d. DOE General Counsel/Field Counsel.
p.000007:
p.000007: (1) Provides legal advice and representation on SPP agreement issues.
p.000007:
p.000007:
p.000007: 2NNSA officials whose responsibilities parallel those of DOE Secretarial Officers are Deputy Administrators and
p.000007: Assistant Deputy Administrators.
p.000007:
p.000008: 8
p.000008: DOE O 481.1D
p.000008: 12-5-2016
p.000008:
p.000008: (2) Establishes policy on patent and technical data.
p.000008:
p.000008: (3) Advises on patent and technical data contract clauses.
...
p.000012:
p.000012: (16) Assess and approve delegation of authority to contractors for executing agreements with non-Federal entities
p.000012: consistent with DOE-approved standard terms and conditions and satisfy the requirements of this Order and DOE M
p.000012: 481.1-1A.
p.000012:
p.000012: 6. RESPONSIBILITIES—NNSA ORGANIZATIONS.
p.000012:
p.000012: a. Associate Administrator for Management and Budget.
p.000012:
p.000012: (1) Working in coordination with the DOE Office of Management, and other Program Secretarial Officers,
p.000012: establishes DOE SPP agreement policies.
p.000012:
p.000012: (2) Develops and implements SPP agreement procedural guidance for NNSA organizations.
p.000012:
p.000012: (3) After notifying the Office of Field Financial Management, approves facility construction that exceeds $10
p.000012: million.
p.000012:
p.000012: b. NNSA Director, Office of Field Financial Management.
p.000012:
p.000012: (1) Conducts periodic reviews of the implementation of this Order by NNSA headquarters and heads of field
p.000012: elements
p.000012:
p.000012: (2) Develops and maintains financial information on SPP agreements and prepares financial reports as necessary.
p.000012:
p.000012: (3) Coordinates with responsible Deputy Administrators (DAs) to ensure the availability of funds for SPP
p.000012: agreements accepted and performed at Headquarters.
p.000012:
p.000012: (4) Provides notification to the Cognizant Deputy Administrator on construction projects that exceed $10 million.
p.000012:
p.000012: (5) Approves requests for excluding SPP agreements from requirements of this Order including in cases of national
p.000012: emergency for NNSA sites in coordination with the DOE Director, Office of Management.
p.000012:
p.000012: (6) Provides concurrence in the development and updating of the standard SPP agreement for non-Federal sponsors
p.000012: (DOE M 481.1-1A).
p.000012:
p.000012: c. NNSA Office of the General Counsel or NNSA Field Counsel.
p.000012:
p.000012: (1) Provides legal advice and representation on issues related to SPP agreements.
p.000012:
p.000012: DOE O 481.1D
p.000013: 13
p.000013: 12-5-2016
p.000013: (2) Establishes policy on patent and technical data in coordination with the DOE Assistant General Counsel for
p.000013: Technology Transfer.
p.000013:
p.000013: (3) Advises on patent and technical data clauses of contracts in coordination with the DOE Assistant General
p.000013: Counsel for Technology Transfer.
p.000013:
p.000013: (4) Coordinates the approval of waiver of patent rights with the DOE Assistant General Counsel for Technology
p.000013: Transfer.
p.000013:
p.000013: d. Director, Office of Intelligence and Counterintelligence (DOE-IN).
p.000013:
p.000013: (1) Manages, reviews, and approves proposed intelligence and intelligence- related SPP including intelligence
p.000013: SAPs pursuant to 4.j in coordination with the appropriate field office manager or designee.
p.000013:
p.000013: (2) Coordinates program review of intelligence and intelligence-related SPP with the participation of appropriate
p.000013: Field Intelligence Elements 8.f and field office manager or designee.
p.000013:
p.000013: (3) Reviews intelligence and intelligence-related SPP for duplication of effort if duplication is not requested
p.000013: by the sponsor.
p.000013:
p.000013: (4) Serves as central point of contact for coordination with sponsors of intelligence and intelligence-related
p.000013: SPP.
p.000013:
...
p.000014:
p.000014: (3) Review and concur in foreign-sponsored SPP that use NNSA program developed technologies and sites.
p.000014:
p.000014: (4) Ensure work performed at Headquarters involving human or animal subjects complies with established Federal
p.000014: regulations and NNSA directives/requirements for the protection of these subjects.
p.000014:
p.000014: (5) Notify appropriate Secretarial Officers of significant or sensitive SPP agreements.
p.000014:
p.000014: (6) After obtaining notification from the Director, Office of Field Financial Management, approve facility
p.000014: construction that exceeds $10 Million.
p.000014:
p.000014: (7) For NNSA facilities:—
p.000014:
p.000014: (a) Approve or designate the head of the Field element to approve annual SPP levels and requests for increases
p.000014: to approved levels
p.000014:
p.000014: (b) Conduct periodic reviews of site office SPP agreement review and approval systems using a risk based
p.000014: management approach. The approach shall ensure that: 1) a DA approved risk-based schedule is established that ensures
p.000014: sites are reviewed no less than every five years; 2) sites with higher levels of identified risk will be reviewed more
p.000014: frequently; and 3) reviews include assessment of review and approval procedures to ensure compliance with DOE- wide SPP
p.000014: policies and procedures.
p.000014:
p.000014: (c) Approves requests for excluding non-NNSA SPP agreements from requirements of this Order including in cases
p.000014: of national emergency for NNSA sites.
p.000014:
p.000014: g. NNSA Office of Strategic Partnership Programs.
p.000014:
p.000014: (1) Establishes with the Office of Management and Cognizant Secretarial Officers DOE SPP policies.
p.000014:
p.000014: (2) Reviews and concurs in foreign sponsored SPP agreements to ensure that work is appropriate for performance at
p.000014: NNSA sites and to ensure the use of program developed technologies is acceptable for the purpose of the SPP agreement.
p.000014:
p.000014: (3) Ensures that SPP work performed involving human subjects, including their identified data and bio-specimens,
p.000014: is compliant with established Federal regulations and DOE directives/requirements for protection of
p.000014:
p.000014: DOE O 481.1D
p.000015: 15
p.000015: 12-5-2016
p.000015: these subjects, working closely with NNSA’s Human Subjects Research Program Manager and the DOE Institutional Official
p.000015: for the Protection of Human Subjects in Research.
p.000015:
p.000015: (4) Provide copies of approved annual SPP levels to other program organizations as requested.
p.000015:
p.000015: (5) Concurs on work that involves research, development or production of radioisotope or fission systems or their
p.000015: components as described in 4.o when performed at an NNSA facility in coordination with the Director, Office of Space
p.000015: and Defense Power Systems, and provides notification to the Office of Space and Defense Power Systems of any accepted
p.000015: work described above.
p.000015:
p.000015: h. Field Office Managers.
p.000015:
p.000015: (1) Responsible for oversight and management of all SPP activities conducted at their sites.
p.000015:
...
General/Other / Relationship to Authority
Searching for indicator authority:
(return to top)
p.000003:
p.000003: For work performed under a DOE or NNSA contract the cognizant Contracting Officer (CO) must ensure the determinations
p.000003: are made and provide the written certification. For work performed at Headquarters, the DOE/NNSA Program Secretarial
p.000003: Officer (PSO), or designee to whom written delegation has been provided pursuant to 5.i(4) must ensure the
p.000003: determinations are made and provide
p.000003:
p.000004: 4
p.000004: DOE O 481.1D
p.000004: 12-5-2016
p.000004: the written certification. In all cases the determination and certification process is an inherently governmental
p.000004: function and may not be delegated to a contractor.
p.000004:
p.000004: d. In addition to paragraph 4.c, above, all Federal agency sponsors must provide on or with the funding
p.000004: document a written statement [example below] confirming that—
p.000004:
p.000004: (1) the requesting Agency has determined that entering into an SPP agreement with DOE/NNSA complies with the
p.000004: requirements of the Economy Act of 1932, as amended (31 U.S.C. 1535), or other applicable authorizations [e.g.,
p.000004: Executive Order (E.O.) 12333];
p.000004:
p.000004: (2) the requesting Agency has determined that entering into an SPP agreement with DOE/NNSA complies with
p.000004: competition requirements in Federal Acquisition Regulation (FAR) Part 6, section 6.002, Limitations; and
p.000004:
p.000004: (3) to the best of the requesting Agency’s knowledge, the work will not place DOE/NNSA and their contractor in
p.000004: direct competition with the domestic private sector.
p.000004:
p.000004: Sample Statement from a Federal Agency
p.000004:
p.000004: This agreement is entered into pursuant to the authority of the Economy Act of 1932, as amended (31 U.S.C. 1535,) or
p.000004: other statutory authority and adheres to Federal Acquisition Regulation (FAR) 6.002. To the best of our knowledge, the
p.000004: work requested will not place DOE/NNSA and its contractor in direct competition with the domestic private sector.
p.000004:
p.000004: e. The requirements of paragraphs 4.a–4.d must be met before a SPP agreement can be accepted or before
p.000004: modifications outside the scope of an existing SPP agreement can be approved.
p.000004:
p.000004: NOTE: For previously approved work with schedule and/or cost changes but no change in scope, reapplying the
p.000004: determinations and certification process is not required.
p.000004:
p.000004: f. Pricing of work and biennial reviews of prices and charges of materials and services must be in accordance
p.000004: with DOE O 522.1, Pricing of Departmental Materials and Services, dated 11-03-04.
p.000004:
p.000004: g. Before SPP construction that exceeds $10 million at a DOE site can begin, approval must be granted by the
p.000004: cognizant DOE Cognizant Secretarial Officer (CSO) 5.j(3)and the DOE Chief Financial Officer 5.b(4). The CFO must be
p.000004: notified seven days in advance of approval of a construction project funded through an SPP agreement that exceeds $1
p.000004: million but is less than $10 million.
p.000004:
p.000004: DOE O 481.1D
p.000005: 5
p.000005: 12-5-2016
p.000005: For a NNSA site, approval for SPP construction that exceeds $10 million must be granted by the Associate Administrator
p.000005: for Acquisition and Project Management 6.f(6) and Associate Administrator for Management and Budget 6.a(3) and
p.000005: notification provided to the NNSA Director, Office of Field Financial Management 6.b(4) before work can begin. Projects
p.000005: must meet the following requirements:
p.000005:
...
p.000006: and concurrence of the Office of International Affairs 5.c, the CSO 5.j(4)(c) and the cognizant PSO or designee 5.i(2).
p.000006: Notification of the work must be provided to the appropriate Headquarters or Field component of the Office of
p.000006: Intelligence and Counterintelligence.
p.000006:
p.000006: m. Work directly funded by a foreign sponsor and performed at an NNSA facility requires review and concurrence
p.000006: by the DOE Office of International Affairs 5c. The field office will notify the NNSA Principal Deputy Administrator or
p.000006: designee (NNSA Office of Strategic Partnership Programs) 6.f(6) and Office of Intelligence and Counterintelligence
p.000006: (DOE-IN).
p.000006:
p.000006: n. SPP agreements involving human, including their identified data and bio- specimens, or animal subjects,
p.000006: whether performed domestically or in an international environment, regardless of the classification level, must comply
p.000006: with Federal regulations and DOE/NNSA directives/requirements for human or animal subject protection. For intelligence
p.000006: and intelligence-related projects involving human subjects, these projects are reviewed by the Central DOE
p.000006: Institutional Review Board – Classified (IRB-C). See DOE O 443.1B, Chg. 1 and DOE N 443.1, for the applicable
p.000006: requirements when conducting human subject research.
p.000006:
p.000006: o. Work that involves research, development or production of radioisotope or fission systems or their
p.000006: components, when the potential ultimate application is to produce power or propulsion in space or to produce
p.000006: terrestrial power for national security or defense applications under the Atomic Energy Act authority (i.e. not NRC-
p.000006: licensed), at non-NNSA facilities requires the concurrence of the Director, Office of Space and Defense Power Systems
p.000006: (see paragraph 5.h.) Such work, when performed at an NNSA facility, requires concurrence of the NNSA Office of
p.000006: Strategic Partnership Programs 6.g and will be coordinated with the Director, Office of Space and Defense Power Systems
p.000006: and notification provided to the Office of Space and Defense Power Systems when accepted.
p.000006:
p.000006: p. Cost estimates for federally sponsored SPP must specifically identify the amount of laboratory directed
p.000006: research and development (LDRD) funds to be collected as part of the project costs. The following language must be
p.000006: included in each SPP reimbursable agreement unless a formal agreement regarding LDRD funding has been reached between
p.000006: DOE/NNSA and the sponsoring Federal agency.
p.000006:
p.000006: “Consistent with the Department of Energy’s (DOE’s) full cost recovery policy, DOE collects, as part of its standard
p.000006: indirect cost rate, a laboratory directed research and development (LDRD) cost. Based on the amount of funds accepted
p.000006:
p.000006: DOE O 481.1D
p.000007: 7
p.000007: 12-5-2016
p.000007: for this project, $ represents an estimated amount that will be used for LDRD.”
p.000007:
p.000007: 5. RESPONSIBILITIES—NON-NNSA ENTITIES WITHIN DOE. In keeping with Title 50 U.S.C. § 2401, SPP responsibilities
p.000007: have been separated into DOE organizational responsibilities, below, and NNSA organizational responsibilities in
p.000007: paragraph 6,
p.000007:
p.000007: a. Office of Management.
p.000007:
p.000007: (1) Establishes, in conjunction with Cognizant Secretarial Officers (CSO) and NNSA officials2, DOE SPP policies.
...
p.000008:
p.000008: (1) Manages, reviews, and approves proposed intelligence and intelligence- related SPP including intelligence
p.000008: SAPs pursuant to 4.j in coordination with the appropriate field office manager or designee.
p.000008:
p.000008: (2) Coordinates program review of intelligence and intelligence-related SPP with the participation of appropriate
p.000008: Field Intelligence Elements (defined in paragraph 8.f) and field office manager or designee.
p.000008:
p.000008: (3) Reviews intelligence and intelligence-related SPP for duplication of effort if duplication is not requested
p.000008: by the sponsor.
p.000008:
p.000008: (4) Serves as central point of contact for coordination with sponsors of intelligence and intelligence-related
p.000008: SPP.
p.000008:
p.000008: (5) Informs, if applicable, the Cognizant Secretarial Officer, e.g. the Director of Science of problems with
p.000008: intelligence and intelligence-related SPP.
p.000008:
p.000008: (6) Conducts counterintelligence review of SPP agreements funded by a foreign sponsor.
p.000008:
p.000008: g. NNSA Assistant Deputy Administrator, Office of Nonproliferation Research and Engineering. Reviews and
p.000008: concurs on SPP nuclear nonproliferation detection technology projects.
p.000008:
p.000008: DOE O 481.1D
p.000009: 9
p.000009: 12-5-2016
p.000009: h. Director, Office of Space and Defense Power Systems. Concurs on proposals involving radioisotope or fission
p.000009: systems or their components, when the potential ultimate application is to produce electric power or propulsion in
p.000009: space or to produce terrestrial power for defense or national security applications under DOE Atomic Energy Act
p.000009: authority (i.e. not NRC-licensed) at non-NNSA facilities; coordinates with NNSA on such work at NNSA facilities. This
p.000009: excludes fusion, weapons-related activities and naval propulsion reactors.
p.000009:
p.000009: i. Program Secretarial Officers.
p.000009:
p.000009: (1) Accepts Headquarters accepted SPP agreements in accordance with the requirements of paragraph 4.c. Once
p.000009: accepted, forwards copies of all information to the cognizant CO to approve placement of work and funding onto the
p.000009: contract where the work will be performed. For work accepted and performed at Headquarters copies of all information
p.000009: and decision documentation should be maintained and available by the accepting office.
p.000009:
p.000009: (2) Reviews and concurs on foreign-sponsored SPP agreements to ensure the use of program developed technologies
p.000009: is acceptable for the purpose of the SPP agreement.
p.000009:
p.000009: (3) Ensures SPP work performed at Headquarters involving human and/or animal subjects is compliant with
p.000009: established Federal regulations and DOE directives/requirements for protection of these subjects.
p.000009:
p.000009: (4) Approves written delegations of authority for completing the determinations and certification process for
p.000009: Headquarters accepted SPP agreements consistent with 4.c.
p.000009:
p.000009: j. Cognizant Secretarial Officers.
p.000009:
p.000009: (1) Develop and recommend changes in SPP policies to the Director, Office of Management or Office of the Chief
p.000009: Financial Officer.
p.000009:
p.000009: (2) Notify other Secretarial Officers of significant or sensitive SPP agreements.
p.000009:
p.000009: (3) After obtaining concurrence from the Office of the Chief Financial Officer, approve facility construction
p.000009: that exceeds $10 million.
p.000009:
p.000009: (4) For DOE facilities under their cognizance--
p.000009:
p.000009: (a) Approve or designate the Head of the Field Element to approve annual SPP levels and requests for increases.
p.000009:
p.000010: 10
p.000010: DOE O 481.1D
p.000010: 12-5-2016
p.000010: (b) Conduct periodic reviews of field office SPP agreement review and approval systems using a risk based
p.000010: management approach. The approach shall ensure that: 1) a CSO approved risk based schedule is established that ensures
p.000010: sites are reviewed no less than every five years; 2) sites with higher levels of identified risk will be reviewed more
p.000010: frequently; and 3) reviews include assessment of review and approval procedures to ensure compliance with DOE- wide SPP
p.000010: policies and procedures.
p.000010:
p.000010: (c) Review and concur in foreign sponsored SPP agreements.
p.000010:
p.000010: (d) Provide copies of approved annual SPP levels to other program organizations as requested.
p.000010:
p.000010: k. Heads of DOE Field Elements.
p.000010:
p.000010: (1) Manage site-specific SPP agreement review, approval and oversight functions to ensure SPP actions at
p.000010: facilities under their purview are consistent with DOE SPP policies and procedures.
p.000010:
p.000010: NOTE: In this capacity, Heads of Field Elements are accountable to the Cognizant Secretarial Officers.
p.000010:
p.000010: (2) Develop and implement procedures for review, acceptance, authorization, and monitoring of SPP agreements
p.000010: consistent with DOE policies and procedures and encourage parallel review and processing by DOE, the sponsor, and the
p.000010: site/facility management contractor.
p.000010:
p.000010: (3) For facilities under their purview—
p.000010:
p.000010: (a) Recommends annual SPP funding levels for the CSOs approval, or if delegated, notify the CSO of the approved
p.000010: funding level.
p.000010:
p.000010: (b) Monitors SPP funding levels to ensure consistency with approved funding levels and
p.000010:
p.000010: (c) Submits requests for funding level increases to the CSOs for approval or if delegated this authority by the
p.000010: CSO notify the CSO of the approved increase.
p.000010:
p.000010: (4) Notify the CSO of SPP agreements that involve sensitive subjects.
p.000010:
p.000010: (5) Ensure that DOE and/or contractor representatives review proposed SPP agreements that involve human and/or
p.000010: animal subjects for compliance with established Federal regulations and DOE directives/requirements for protecting
p.000010: these subjects.
p.000010:
p.000010: DOE O 481.1D
p.000011: 11
p.000011: 12-5-2016
p.000011: (6) Ensure that information generated pursuant to SPP under their purview is protected in accordance with
p.000011: applicable DOE security, safeguards, and classification and controlled unclassified information policies; site security
p.000011: plans; and supplemental security plans specific to the projects.
p.000011:
p.000011: (7) Ensure that DOE and contractors review projects for compliance with the National Environmental Policy Act of
p.000011: 1969 and other environment, safety, and health requirements.
p.000011:
p.000011: (8) Ensure that the appropriate Headquarters element per the order is involved in the SPP agreement review
p.000011: process.
p.000011:
p.000011: (9) Establish and implement closeout procedures for SPP agreements.
p.000011:
p.000011: (10) Ensure that resulting scientific and technical information is disseminated consistent with existing DOE Orders
p.000011: and regulations.
p.000011:
p.000011: (11) Establish performance measures to assess the effectiveness of the procedures for review, acceptance
p.000011: authorization, and monitoring of SPP agreements.
p.000011:
p.000011: (12) Ensure that a summary of each active SPP agreement is maintained. At minimum, the information should include—
p.000011:
p.000011: (a) project title and description,
p.000011:
p.000011: (b) sponsoring Entity,
p.000011:
p.000011: (c) assigned laboratory or contractor,
p.000011:
p.000011: (d) field points of contact,
p.000011:
p.000011: (e) total estimated cost, and
p.000011:
p.000011: (f) estimated start and completion dates.
p.000011:
p.000011: (13) Ensure that project information documenting policy compliance is maintained by DOE and/or the performing
p.000011: contractor.
p.000011:
p.000011: (14) In coordination with CSO, submit to the Director, Office of Management requests to grant exclusions from the
p.000011: requirements of this Order for non- NNSA projects.
p.000011:
p.000011: (15) Ensure that projects directly funded by foreign sponsors and performed at non-NNSA sites are reviewed, have
p.000011: the concurrence of the Office of International Affairs, appropriate Program Secretarial Office, CSO and are
p.000011:
p.000012: 12
p.000012: DOE O 481.1D
p.000012: 12-5-2016
p.000012: coordinated with the appropriate Headquarters or field component of the Office of Intelligence and Counterintelligence
p.000012:
p.000012: (16) Assess and approve delegation of authority to contractors for executing agreements with non-Federal entities
p.000012: consistent with DOE-approved standard terms and conditions and satisfy the requirements of this Order and DOE M
p.000012: 481.1-1A.
p.000012:
p.000012: 6. RESPONSIBILITIES—NNSA ORGANIZATIONS.
p.000012:
p.000012: a. Associate Administrator for Management and Budget.
p.000012:
p.000012: (1) Working in coordination with the DOE Office of Management, and other Program Secretarial Officers,
p.000012: establishes DOE SPP agreement policies.
p.000012:
p.000012: (2) Develops and implements SPP agreement procedural guidance for NNSA organizations.
p.000012:
p.000012: (3) After notifying the Office of Field Financial Management, approves facility construction that exceeds $10
p.000012: million.
p.000012:
p.000012: b. NNSA Director, Office of Field Financial Management.
p.000012:
p.000012: (1) Conducts periodic reviews of the implementation of this Order by NNSA headquarters and heads of field
p.000012: elements
p.000012:
p.000012: (2) Develops and maintains financial information on SPP agreements and prepares financial reports as necessary.
p.000012:
p.000012: (3) Coordinates with responsible Deputy Administrators (DAs) to ensure the availability of funds for SPP
p.000012: agreements accepted and performed at Headquarters.
p.000012:
p.000012: (4) Provides notification to the Cognizant Deputy Administrator on construction projects that exceed $10 million.
p.000012:
p.000012: (5) Approves requests for excluding SPP agreements from requirements of this Order including in cases of national
p.000012: emergency for NNSA sites in coordination with the DOE Director, Office of Management.
p.000012:
...
p.000016:
p.000016: (11) Establish performance measures to assess the effectiveness of the procedures for SPP review, acceptance,
p.000016: authorization and monitoring consistent with NNSA policies and procedures.
p.000016:
p.000016: (12) Ensure that a summary of each active SPP agreement is maintained. At minimum, the information should include—
p.000016:
p.000016: (a) project title and description,
p.000016:
p.000016: (b) sponsoring Entity,
p.000016:
p.000016: (c) assigned laboratory or contractor,
p.000016:
p.000016: (d) field points of contact,
p.000016:
p.000016: (e) total estimated costs, and
p.000016:
p.000016: (f) estimated start and completion dates.
p.000016:
p.000016: (13) Ensure that project file information documenting policy compliance is maintained by NNSA and/or the performing
p.000016: contractor.
p.000016:
p.000016: (14) Submit to the Principal Deputy Administrator requests for exclusion from requirements of this Order.
p.000016:
p.000016: (15) Ensure that projects directly funded by foreign sponsors and performed at NNSA sites are reviewed and have
p.000016: concurrence from the DOE Office of International Affairs 5.c. The field office will notify the NNSA Principal Deputy
p.000016: Administrator 6.f(6) or designee (NNSA Office of Strategic
p.000016:
p.000016: DOE O 481.1D
p.000017: 17
p.000017: 12-5-2016
p.000017: Partnership Programs) and the Office of Intelligence and Counterintelligence (DOE-IN) of foreign-sponsored work.
p.000017:
p.000017: (16) Provide notification of SPP agreements involving nuclear nonproliferation detection technology projects to the
p.000017: NNSA Assistant Deputy Administrator, Office of Nonproliferation Research and Engineering.
p.000017:
p.000017: (17) Assess and approve delegation of authority to the contractor for executing contracts with non-Federal entities
p.000017: consistent with DOE-/NNSA-approved standard terms and conditions and in compliance with the requirements of this Order
p.000017: and DOE M 481.1-1A.
p.000017:
p.000017: 7. REFERENCES.
p.000017:
p.000017: a. DOE O 522.1, Pricing of Departmental Materials and Services, dated 11-03-04, which establishes requirements
p.000017: and assigns responsibilities for setting and conducting biennial reviews of the prices and charges for materials or
p.000017: services sold or provided by DOE, either directly or through site/facility management contractors, to organizations and
p.000017: persons outside DOE/NNSA.
p.000017:
p.000017: b. DOE O 241.1B, Scientific and Technical Information Management, dated 12-13- 10, which establishes
p.000017: requirements and assigns responsibilities to ensure that scientific and technical information emanating from DOE
p.000017: research is appropriately identified, processed, disseminated, and preserved.
p.000017:
p.000017: c. DOE O 443.1B Change 1 Protection of Human Research Subjects, dated 4-21-16, which establishes the procedures
p.000017: and responsibilities for implementing the policy and requirements established in 45 CFR Part 46 10 CFR Part 745 and in
p.000017: DOE P 443.1.
p.000017:
p.000017: d. DOE N 443.1 Protection of Human subjects in Classified Research, dated 1-21- 16, supplements DOE O 443.1B
p.000017: for research that is classified in whole or in part.
p.000017:
p.000017: e. DOE Order 457, 1A, Nuclear Counter Terrorism, dated 8-26-23, support for DOE activities for health, safety,
...
p.000019: agencies on behalf of the Department of Defense.
p.000019:
p.000019: y. FAR 35.017, “Federally Funded Research and Development Center” (FFRDCs), which establishes Government-wide
p.000019: policies for review and termination of FFRDCs.
p.000019:
p.000019: z. OMB Circular A-97, which defines rules and regulations permitting Federal agencies to provide specialized or
p.000019: technical services to State and local units of government under Title III of the Intergovernmental Cooperation Act of
p.000019: 1968.
p.000019:
p.000019: aa. Title 45 of Code of Federal Regulations (CFR) part 46, "Federal Policy for the Protection of Human Subjects,"
p.000019: which sets forth Federal regulations for protection of human subjects involved in research activities.
p.000019:
p.000019: bb. Title 10 Code of Federal Regulations (CFR) Part 745, “Protection of Human Subjects,” which sets forth DOE's
p.000019: directives/regulations for protecting human subjects involved in research activities.
p.000019:
p.000020: 20
p.000020: DOE O 481.1D
p.000020: 12-5-2016
p.000020: cc. Department of Energy Delegation Order No. 00-020.00A to the Director of Intelligence and Counterintelligence,
p.000020: dated March 19, 2013, and subsequent revisions.
p.000020:
p.000020: 8. DEFINITIONS. The following terms apply to SPP conducted through DOE/NNSA and their contractors.
p.000020:
p.000020: a. Acceptance. The official signing of a reimbursable agreement (e.g., bilateral sales contract or interagency
p.000020: agreement) by a cognizant DOE/NNSA contracting officer or a federal official with delegated authority to commit
p.000020: DOE/NNSA and/or their contractors to perform strategic partnership projects.
p.000020:
p.000020: b. Bilateral Sales Contract. A binding agreement that commits DOE, NNSA or a DOE/NNSA site/facility management
p.000020: contractor to perform work for a
p.000020: non-Federal entity. Agreements with non-federal customers require bilateral sales contracts.
p.000020:
p.000020: c. Cognizant Secretarial Officers/NNSA Principal Deputy Administrator. Headquarters Assistant Secretaries,
p.000020: Deputy Administrator and Directors responsible for oversight or institutional management of DOE/NNSA facilities.
p.000020:
p.000020: d. DOE Institutional Official for the Protection of Human Subjects in Research. Senior official delegated by
p.000020: the Secretary (DOE O 443.1B, Chg. 1) to oversee the DOE/NNSA’s Protection of Human Subjects in Research.
p.000020:
p.000020: e. Facility/Site Management Contractors. Operate and maintain Government-owned facilities under contract with
p.000020: and for the benefit of DOE/NNSA.
p.000020:
p.000020: f. Field Intelligence Element (FIE). An intelligence component of the DOE-IN Field Intelligence Enterprise,
p.000020: which includes Management and
p.000020: Operating contractors and subcontractor employees located at DOE/NNSA facilities that provide products and services to
p.000020: DOE, the Intelligence Community (IC), and non-IC Federal agencies. FIE Directors are approved by the Director of DOE-IN
p.000020: and have responsibility for compliance and oversight of all intelligence and intelligence-related SPP at the DOE/NNSA
p.000020: facility in coordination with the field office manager.
p.000020:
...
Orphaned Trigger Words
p.000015: for the Protection of Human Subjects in Research.
p.000015:
p.000015: (4) Provide copies of approved annual SPP levels to other program organizations as requested.
p.000015:
p.000015: (5) Concurs on work that involves research, development or production of radioisotope or fission systems or their
p.000015: components as described in 4.o when performed at an NNSA facility in coordination with the Director, Office of Space
p.000015: and Defense Power Systems, and provides notification to the Office of Space and Defense Power Systems of any accepted
p.000015: work described above.
p.000015:
p.000015: h. Field Office Managers.
p.000015:
p.000015: (1) Responsible for oversight and management of all SPP activities conducted at their sites.
p.000015:
p.000015: (2) Develop and implement procedures for SPP review, acceptance, authorization, monitoring, and closeout,
p.000015: consistent with NNSA policies and procedures.
p.000015:
p.000015: (3) Encourage parallel review and processing by NNSA, the sponsor, and the site/facility management contractor.
p.000015:
p.000015: (4) For facilities under their purview—
p.000015:
p.000015: (a) Recommend annual SPP funding levels for the NNSA Principal Deputy Administrator’s (PDA) approval, or if
p.000015: delegated, notify the PDA of the approved funding level,
p.000015:
p.000015: (b) Monitor SPP funding levels to ensure consistency with approved funding levels, and
p.000015:
p.000015: (c) Submit requests for level increases for the PDA’s approval or if delegated notify the PDA of the approved
p.000015: funding level.
p.000015:
p.000015: (5) Notify the NNSA Principal Deputy Administrator of SPP agreements that involve sensitive subjects.
p.000015:
p.000015: (6) Ensure that NNSA and/or contractors review proposed SPP agreements involving human, including their
p.000015: identified data and bio-specimens, or animal subjects for compliance with established Federal regulations and NNSA
p.000015: directives/requirements for protecting these subjects.
p.000015:
p.000016: 16
p.000016: DOE O 481.1D
p.000016: 12-5-2016
p.000016: (7) Ensure that SPP under their purview are protected in accordance
p.000016: with applicable NNSA security, safeguards, classification, and controlled unclassified information policies; site
p.000016: security plans; and supplemental security plans specific to the project.
p.000016:
p.000016: (8) Ensure that NNSA and contractors review SPP for compliance with the National Environmental Policy Act of 1969
p.000016: and other NNSA environment, safety, and health requirements.
p.000016:
p.000016: (9) Coordinate with the NNSA Office of Strategic Partnership Programs to ensure that appropriate Headquarters
p.000016: elements are involved in the review process.
p.000016:
p.000016: (10) Establish and implement closeout procedures for SPP. Ensure that resulting scientific and technical
p.000016: information is disseminated consistent with existing DOE/NNSA Orders and regulations.
p.000016:
p.000016: (11) Establish performance measures to assess the effectiveness of the procedures for SPP review, acceptance,
p.000016: authorization and monitoring consistent with NNSA policies and procedures.
p.000016:
p.000016: (12) Ensure that a summary of each active SPP agreement is maintained. At minimum, the information should include—
p.000016:
p.000016: (a) project title and description,
p.000016:
p.000016: (b) sponsoring Entity,
p.000016:
p.000016: (c) assigned laboratory or contractor,
p.000016:
p.000016: (d) field points of contact,
p.000016:
...
Appendix
Indicator List
| Indicator | Vulnerability |
|---|
| access | Access to Social Goods |
| authority | Relationship to Authority |
| emergencies | patients in emergency situations |
| emergency | Public Emergency |
| employees | employees |
| language | Linguistic Proficiency |
| military | Soldier |
| officer | Police Officer |
| property | Property Ownership |
| threat | Threat of Stigma |
Indicator Peers (Indicators in Same Vulnerability)
Trigger Words
capacity
protect
protection
risk
sensitive
Applicable Type / Vulnerability / Indicator Overlay for this Input