attachment j‐2 appendix b fy 2013 performance … · fy 2013 performance ... 1.1 provide science...

Contract No. DE-AC02-05CH11231 Modification No. 814 Section J. Appendix B

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ATTACHMENTJ‐2

APPENDIXB

FY2013PERFORMANCEEVALUATIONANDMEASUREMENTPLAN

ApplicabletotheOperationofERNESTORLANDOLAWRENCEBERKELEYNATIONAL

LABORATORY

CONTRACTNO.DE‐AC02‐05CH11231


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TABLE OF CONTENTS

INTRODUCTION ........................................................................................................................................................4 I. DETERMINING THE CONTRACTOR'S PERFORMANCE RATING, PERFORMANCE-BASED FEE AND AWARD TERM ELIGIBILITY (AS APPLICABLE) ....................................................................................5

PERFORMANCE EVALUATION METHODOLOGY: ..........................................................................................................5 CALCULATING INDIVIDUAL GOAL SCORES AND LETTER GRADES: .............................................................................7 DETERMINING THE AMOUNT OF PERFORMANCE-BASED FEE EARNED: ......................................................................8 ADJUSTMENT TO THE LETTER GRADE AND/OR PERFORMANCE-BASED FEE DETERMINATION: ................................11 DETERMINING AWARD TERM ELIGIBILITY: ..............................................................................................................11

II. PERFORMANCE GOALS, OBJECTIVES & NOTABLE OUTCOMES .....................................................12 GOAL 1.0 PROVIDE FOR EFFICIENT AND EFFECTIVE MISSION ACCOMPLISHMENT ...........13

OBJECTIVES .............................................................................................................................................................14 1.1 PROVIDE SCIENCE AND TECHNOLOGY RESULTS WITH MEANINGFUL IMPACT ON THE FIELD .................14 1.2 PROVIDE QUALITY LEADERSHIP IN SCIENCE AND TECHNOLOGY THAT ADVANCES COMMUNITY GOALS AND DOE MISSION GOALS. ........................................................................................................................16 NOTABLE OUTCOMES .............................................................................................................................................18

GOAL 2.0 PROVIDE FOR EFFICIENT AND EFFECTIVE DESIGN, FABRICATION, CONSTRUCTION AND OPERATIONS OF RESEARCH FACILITIES ...........................................................22

2.1 PROVIDE EFFECTIVE FACILITY DESIGN(S) AS REQUIRED TO SUPPORT LABORATORY PROGRAMS (I.E., ACTIVITIES LEADING UP TO CD-2) .................................................................................................................22 2.2 PROVIDE FOR THE EFFECTIVE AND EFFICIENT CONSTRUCTION OF FACILITIES AND/OR FABRICATION OF COMPONENTS (EXECUTION PHASE, POST CD-2 TO CD-4) .......................................................24 2.3 PROVIDE EFFICIENT AND EFFECTIVE OPERATION OF FACILITIES .............................................................26 2.4 UTILIZATION OF FACILITY(IES) TO PROVIDE IMPACTFUL S&T RESULTS AND BENEFITS TO EXTERNAL USER COMMUNITIES ............................................................................................................................27 NOTABLE OUTCOMES .............................................................................................................................................28

GOAL 3.0 PROVIDE EFFECTIVE AND EFFICIENT SCIENCE AND TECHNOLOGY PROGRAM MANAGEMENT ........................................................................................................................................................33

3.1 PROVIDE EFFECTIVE AND EFFICIENT STRATEGIC PLANNING AND STEWARDSHIP OF SCIENTIFIC CAPABILITIES AND PROGRAM VISION ....................................................................................................................34 3.2 PROVIDE EFFECTIVE AND EFFICIENT SCIENCE AND TECHNOLOGY PROJECT/PROGRAM/FACILITIES MANAGEMENT .........................................................................................................................................................35 3.3 PROVIDE EFFICIENT AND EFFECTIVE COMMUNICATIONS AND RESPONSIVENESS TO HEADQUARTERS NEEDS ..........................................................................................................................................37 NOTABLE OUTCOMES .............................................................................................................................................39

GOAL 4.0 PROVIDE SOUND AND COMPETENT LEADERSHIP AND STEWARDSHIP OF THE LABORATORY ................................................................................................................................................41

4.1 LEADERSHIP AND STEWARDSHIP OF THE LABORATORY .............................................................................41 4.2 MANAGEMENT AND OPERATION OF THE LABORATORY ..............................................................................42 4.3 CONTRACTOR VALUE-ADDED .......................................................................................................................44 NOTABLE OUTCOMES .............................................................................................................................................44

GOAL 5.0 SUSTAIN EXCELLENCE AND ENHANCE EFFECTIVENESS OF INTEGRATED SAFETY, HEALTH, AND ENVIRONMENTAL PROTECTION ........................................................................45

5.1 PROVIDE AN EFFICIENT AND EFFECTIVE WORKER HEALTH AND SAFETY PROGRAM .....................................45


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5.2 PROVIDE EFFICIENT AND EFFECTIVE ENVIRONMENTAL MANAGEMENT SYSTEM ...........................................45 NOTABLE OUTCOMES .............................................................................................................................................45

GOAL 6.0 DELIVER EFFICIENT, EFFECTIVE, AND RESPONSIVE BUSINESS SYSTEMS AND RESOURCES THAT ENABLE THE SUCCESSFUL ACHIEVEMENT OF THE LABORATORY MISSION(S) 47

6.1 PROVIDE AN EFFICIENT, EFFECTIVE, AND RESPONSIVE FINANCIAL MANAGEMENT SYSTEM .........................47 6.2 PROVIDE AN EFFICIENT, EFFECTIVE, AND RESPONSIVE ACQUISITION MANAGEMENT SYSTEM AND PROPERTY MANAGEMENT SYSTEM ............................................................................................................................................47 6.3 PROVIDE AN EFFICIENT, EFFECTIVE, AND RESPONSIVE HUMAN RESOURCES MANAGEMENT SYSTEM AND DIVERSITY PROGRAM ...............................................................................................................................................47 6.4 PROVIDE EFFICIENT, EFFECTIVE, AND RESPONSIVE CONTRACTOR ASSURANCE SYSTEMS, INCLUDING INTERNAL AUDIT AND QUALITY ...............................................................................................................................47 6.5 DEMONSTRATE EFFECTIVE TRANSFER OF TECHNOLOGY AND COMMERCIALIZATION OF INTELLECTUAL ASSETS ......................................................................................................................................................................47 NOTABLE OUTCOMES .............................................................................................................................................47

GOAL 7.0 SUSTAIN EXCELLENCE IN OPERATING, MAINTAINING, AND RENEWING THE FACILITY AND INFRASTRUCTURE PORTFOLIO TO MEET LABORATORY NEEDS ..........................49

7.1 MANAGE FACILITIES AND INFRASTRUCTURE IN AN EFFICIENT AND EFFECTIVE MANNER THAT OPTIMIZES USAGE, MINIMIZES LIFE CYCLE COSTS, AND ENSURES SITE CAPABILITY TO MEET MISSION NEEDS ......................49 7.2 PROVIDE PLANNING FOR AND ACQUIRE THE FACILITIES AND INFRASTRUCTURE REQUIRED TO SUPPORT THE CONTINUATION AND GROWTH OF LABORATORY MISSIONS AND PROGRAMS ....................................................49 NOTABLE OUTCOMES .............................................................................................................................................49

GOAL 8.0 SUSTAIN AND ENHANCE THE EFFECTIVENESS OF INTEGRATED SAFEGUARDS AND SECURITY MANAGEMENT (ISSM) AND EMERGENCY MANAGEMENT SYSTEMS ...................51

8.1 PROVIDE AN EFFICIENT AND EFFECTIVE EMERGENCY MANAGEMENT SYSTEM .............................................51 8.2 PROVIDE AN EFFICIENT AND EFFECTIVE CYBER SECURITY SYSTEM FOR THE PROTECTION OF CLASSIFIED AND UNCLASSIFIED INFORMATION ...........................................................................................................................51 8.3 PROVIDE AN EFFICIENT AND EFFECTIVE PHYSICAL SECURITY PROGRAM FOR THE PROTECTION OF SPECIAL NUCLEAR MATERIALS, CLASSIFIED MATTER, CLASSIFIED INFORMATION, SENSITIVE INFORMATION, AND PROPERTY .................................................................................................................................................................51 NOTABLE OUTCOMES .............................................................................................................................................51


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INTRODUCTIONThisdocument, thePerformanceEvaluationandMeasurementPlan (PEMP),primarilyservesasDOE’sQuality Assurance/Surveillance Plan (QASP) for the evaluation of The Regents of the University ofCalifornia (hereafter referred to as “the Contractor”) performance regarding the management andoperationsoftheLawrenceBerkeleyNationalLaboratory(hereafterreferredtoas“theLaboratory”)fortheevaluationperiodfromOctober1,2012,throughSeptember30,2013.TheperformanceevaluationprovidesastandardbywhichtodeterminewhethertheContractorismanageriallyandoperationallyincontrol of the Laboratory and is meeting the mission requirement and performanceexpectations/objectivesoftheDepartmentasstipulatedwithinthiscontract.

This document also describes the distribution of the total available performance‐based fee and themethodology for determining the amount of fee earned by the Contractor as stipulated within theclausesentitled,“DeterminingTotalAvailablePerformanceFeeandFeeEarned,”“ConditionalPaymentofFee,Profit,orIncentives,”and“TotalAvailableFee:BaseFeeAmountandPerformanceFeeAmount.”In partnership with the Contractor and other key customers, the Department of Energy (DOE)Headquarters (HQ) and the Site Office have defined the measurement basis that serves as theContractor’sperformance‐basedevaluationandfeedetermination.

ThePerformanceGoals(hereafterreferredtoasGoals),PerformanceObjectives(hereafterreferredtoas Objectives) and set of notable outcomes discussed herein were developed in accordance withcontractexpectationssetforthwithinthecontract. ThenotableoutcomesformeetingtheObjectivessetforthwithinthisplanhavebeendevelopedincoordinationwithHQprogramofficesasappropriate.Except as otherwise provided for within the contract, the evaluation and fee determinationwill restsolelyon theContractor’s performancewithin thePerformanceGoals andObjectives set forthwithinthisplan.

TheoverallperformanceagainsteachObjectiveof thisperformanceplan, to includetheevaluationofnotableoutcomes,shallbeevaluatedjointlybytheappropriateHQoffice,majorcustomerand/ortheSiteOfficeasappropriate.ThiscooperativereviewmethodologywillensurethattheoverallevaluationoftheContractorresults inaconsolidatedDOEpositiontakingintoaccountspecificnotableoutcomesaswellasalladditionalinformationavailabletotheevaluatingoffice.TheSiteOfficeshallworkcloselywith each HQ program office or major customer throughout the year in evaluating the Contractor’sperformance and will provide observations regarding programs and projects as well as othermanagementandoperationactivitiesconductedbytheContractorthroughouttheyear.

SectionIprovidesinformationonhowtheperformancerating(grade)fortheContractor,aswellashowtheperformance‐based incentivesfeeearned(ifany)willbedetermined. Asapplicable,alsoprovidesinformationontheawardtermeligibilityrequirements.

SectionIIprovidesthedetailed informationconcerningeachGoal,theircorrespondingObjectives,andnotableoutcomesidentified,alongwiththeweightingsassignedtoeachGoalandObjectiveandatableforcalculatingthefinalgradeforeachGoal.


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I.DETERMININGTHECONTRACTOR'SPERFORMANCERATING,PERFORMANCE‐BASEDFEEANDAWARDTERMELIGIBILITY(asapplicable)TheFY2013Contractorperformancegrades foreachGoalwillbedeterminedbasedon theweightedsum of the individual scores earned for each of the Objectives described within this document forScienceandTechnology(S&T)andforManagementandOperations(M&O).EachGoaliscomposedoftwo or more weighted Objectives. Additionally, a set of notable outcomes has been identified tohighlight key aspects/areas of performance deserving special attention by the Contractor for theupcoming fiscalyear. Eachnotableoutcome is linked tooneormoreObjectives,and failure tomeetexpectationsagainstanynotableoutcomewillresultinagradelessthanB+forthatObjective(s)(i.e.,ifthecontractorfailstomeetexpectationsagainstanotableoutcometiedtoanObjectiveunderGoal1.0,2.0,or3.0,theSCprogramofficethatassignedthenotableoutcomeshallawardagradelessthan“B+”for the Objective(s) to which the notable outcome is linked; and if the contractor fails to meetexpectationsagainstanotableoutcometiedtoanObjectiveunderGoal4.0,5.0,6.0,7.0or8.0,SCshallawardagradelessthan“B+”fortheObjective(s)towhichthenotableoutcomeislinked).Performanceabove expectations against a notable outcome will be considered in the context of the Contractor’sentire performance with respect to the relevant Objective. The following section describes SC’smethodologyfordeterminingtheContractor’sgradesattheObjectivelevel.

PerformanceEvaluationMethodology:ThepurposeofthissectionistoestablishamethodologytodevelopgradesattheObjectivelevel.EachevaluatingofficeshallprovideaproposedgradeandcorrespondingnumericalscoreforeachObjective(seeFigure1forSC’sscale).EachevaluationwillmeasurethedegreeofeffectivenessandperformanceoftheContractorinmeetingthecorrespondingObjectives.

Figure1.FY2013ContractorLetterGradeScale

ForthethreeS&TGoals(1.0–3.0)theContractorshallbeevaluatedagainstthedefinedlevelsofperformanceprovidedforeachObjectiveundertheS&TGoals.TheContractorperformanceunderGoal4.0willalsobeevaluatedusingthedefinedlevelsofperformancedescribedforthethreeObjectivesunderGoal4.0.ThedescriptionsforthesedefinedlevelsofperformanceareincludedinSectionII.ItistheDOE’sexpectationthattheContractorprovidesforandmaintainsmanagementandoperational(M&O)systemsthatefficientlyandeffectivelysupportthecurrentmission(s)oftheLaboratoryandassuretheLaboratory’sabilitytodeliveragainstDOE’sfutureneeds.InevaluatingtheContractor’sperformanceDOEshallassessthedegreeofeffectivenessandperformanceinmeetingeachoftheObjectivesprovidedundereachoftheGoals.ForthefourM&OGoals(5.0–8.0)DOEwillrelyonacombinationoftheinformationthroughtheContractor’sownassurancesystems,theabilityoftheContractortodemonstratethevalidityofthisinformation,andDOE’sownindependentassessmentoftheContractor’sperformanceacrossthespectrumofitsresponsibilities.Thelattermightinclude,butisnotlimitedtooperationalawareness(dailyoversight)activities;formalassessmentsconducted;“ForCause”reviews(ifany);andotheroutsideagencyreviews(OIG,GAO,DCAA,etc.).

FinalGrade A+ A A‐ B+ B B‐ C+ C C‐ D F

TotalScore

4.3‐4.1

4.0‐3.8

3.7‐3.5

3.4‐3.1

3.0‐2.8

2.7‐2.5

2.4‐2.1

2.0‐1.8

1.7‐1.1 1.0-0.8 0.7-0


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ThemissionoftheLaboratoryistodeliverthescienceandtechnologyneededtosupportDepartmentalmissionsandothersponsor’sneeds.OperationalperformanceattheLaboratorymeetsDOE’sexpectations(definedasthegradeofB+)foreachObjectiveiftheContractorisperformingatalevelthatfullysupportstheLaboratory’scurrentandfuturescienceandtechnologymission(s).Performancethathas,orhasthepotentialto,1)adverselyimpactthedeliveryofthecurrentand/orfutureDOE/Laboratorymission(s),2)adverselyimpacttheDOEandortheLaboratory’sreputation,or3)doesnotprovidethecompetentpeople,necessaryfacilitiesandrobustsystemsnecessarytoensuresustainableperformance,shallbegradedbelowexpectationsasdefinedinFigure3,below.TheDepartmentsetsourexpectationshigh,andexpectsperformanceatthatleveltooptimizetheefficientandeffectiveoperationoftheLaboratory.Thus,theDepartmentdoesnotexpectroutineContractorperformanceaboveexpectationsagainsttheM&OGoals(5.0–8.0).PerformancethatmightmeritgradesaboveB+wouldneedtoreflectaContractor’ssignificantcontributionstothemanagementandoperationsatthesystemofLaboratories,orrecognitionbyexternal,independententitiesasexemplaryperformance.DefinitionsforthegradingscalefortheGoal5.0–8.0ObjectivesareprovidedinFigureI‐1,below:LetterGrade

NumericalGrade Definition

A+ 4.3‐4.1

SignificantlyexceedsexpectationsofperformanceagainstallaspectsoftheObjectiveinquestion.TheContractor’ssystemsfunctionatalevelthatfullysupportstheLaboratory’scurrentandfuturescienceandtechnologymission(s).PerformanceisnotableforitssignificantcontributionstothemanagementandoperationsacrosstheSCsystemoflaboratories,and/orhasbeenrecognizedbyexternal,independententitiesasexemplary.

A 4.0‐3.8

NotablyexceedsexpectationsofperformanceagainstallaspectsoftheObjectiveinquestion.TheContractor’ssystemsfunctionatalevelthatfullysupportstheLaboratory’scurrentandfuturescienceandtechnologymission(s).PerformanceisnotableforitscontributionstothemanagementandoperationsacrosstheSCsystemoflaboratories,and/orasbeenrecognizedbyexternal,independententitiesasexemplary.

A‐ 3.7‐3.5ExceedsexpectationsofperformanceagainstallaspectsoftheObjectiveinquestion.TheContractor’ssystemsfunctionatalevelthatfullysupportstheLaboratory’scurrentandfuturescienceandtechnologymission(s).

B+ 3.4‐3.1

MeetsexpectationsofperformanceagainstallaspectsoftheObjectiveinquestion.TheContractor’ssystemsfunctionatalevelthatfullysupportstheLaboratory’scurrentandfuturescienceandtechnologymission(s).Noperformancehas,orhasthepotentialto,adverselyimpact1)thedeliveryofthecurrentand/orfutureDOE/Laboratorymission(s),2)theDOEand/ortheLaboratory’sreputation,ordoesnot3)provideasustainableperformanceplatform.

B 3.0‐2.8

JustmissesmeetingexpectationsofperformanceagainstafewaspectsoftheObjectiveinquestion.Inafewminorinstances,theContractor’ssystemsfunctionatalevelthatdoesnotfullysupporttheLaboratory’scurrentandfuturescienceandtechnologymission,orprovideasustainableperformanceplatform.


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LetterGrade

NumericalGrade Definition

B‐ 2.7‐2.5

MissesmeetingexpectationsofperformanceagainstseveralaspectsoftheObjectiveinquestion.Inseveralareas,theContractor’ssystemsfunctionatalevelthatdoesnotfullysupporttheLaboratory’scurrentandfuturescienceandtechnologymission,orprovideasustainableperformanceplatform.

C+ 2.4‐2.1

MissesmeetingexpectationsofperformanceagainstmanyaspectsoftheObjectiveinquestion.Inseveralnotableareas,theContractor’ssystemsfunctionatalevelthatdoesnotfullysupporttheLaboratory’scurrentandfuturescienceandtechnologymissionorprovideasustainableperformanceplatform,and/orhaveaffectedthereputationoftheLaboratoryorDOE.

C 2.0‐1.8

SignificantlymissesmeetingexpectationsofperformanceagainstmanyaspectsoftheObjectiveinquestion.Inmanynotableareas,theContractor’ssystemsdonotsupporttheLaboratory’scurrentandfuturescienceandtechnologymission,norprovideasustainableperformanceplatformandmayaffectthereputationoftheLaboratoryorDOE.

C‐ 1.7‐1.1

SignificantlymissesmeetingexpectationsofperformanceagainstmostaspectsoftheObjectiveinquestion.Inmanynotableareas,theContractor’ssystemsdemonstrablyhindertheLaboratory’sabilitytodeliveroncurrentandfuturescienceandtechnologymission,andhaveharmedthereputationoftheLaboratoryorDOE.

D 1.0‐0.8

MostorallexpectationsofperformanceagainsttheObjectiveinquestionaremissed.PerformancefailuresinthisareahaveaffectedallpartsoftheLaboratory;DOEleadershipengagementisrequiredtodealwiththesituationandhelptheContractor.

F 0.7‐0 AllexpectationsofperformanceagainsttheObjectiveinquestionaremissed.PerformancefailuresinthisareaarenotrecoverablebytheContractororDOE.

Figure I-1. Letter Grade and Numerical Grade Definitions

CalculatingIndividualGoalScoresandLetterGrades:EachObjective is assigned the earnednumerical score by the evaluating office as stated above. TheGoalratingisthencomputedbymultiplyingthenumericalscorebytheweightofeachObjectivewithinaGoal.ThesevaluesarethenaddedtogethertodevelopanoverallnumericalscoreforeachGoal.ForthepurposeofdeterminingthefinalGoalgrade,therawnumericalscoreforeachGoalwillberoundedto the nearest tenth of a point using the standard rounding convention discussed below and thencomparedtoFigure2. Asetoftables isprovidedattheendofeachPerformanceGoalsectionofthisdocumenttoassistinthecalculationofObjectivenumericalscorestotheGoalgrade.Nooverallrollupgradeshallbeprovided.

Asstatedabovetherawnumericalscorefromeachcalculationshallbecarriedthroughtothenextstageofthecalculationprocess. TherawnumericalscoreforS&TandM&Owillberoundedtothenearesttenth of a point for purposes of determining fee. A standard rounding convention of x.44 and lessroundsdown to thenearest tenth (here, x.4),while x.45 and greater roundsup to thenearest tenth(here,x.5).

TheeightPerformanceGoalgradesshallbeusedtocreateareportcardforthelaboratory(seeFigure2,below).


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PerformanceGoal Grade1.0MissionAccomplishment 2.0Design,Fabrication,ConstructionandOperationsofResearchFacilities 3.0ScienceandTechnologyProgramManagement 4.0SoundandCompetentLeadershipandStewardshipoftheLaboratory 5.0IntegratedSafety,Health,andEnvironmentalProtection 6.0BusinessSystems 7.0Operating,Maintaining,andRenewingFacilityandInfrastructurePortfolio 8.0IntegratedSafeguardsandSecurityManagementandEmergencyManagementSystems

Figure 2. Laboratory Report Card

DeterminingtheAmountofPerformance‐BasedFeeEarned:SCusesthefollowingprocesstodeterminetheamountofperformance‐basedfeeearnedbythecontractor.TheS&TscorefromeachevaluatorshallbeusedtodetermineaninitialnumericalscoreforS&T(seeTableA,below),andtherollupofthescoresforeachM&OPerformanceGoalshallbeusedtodetermineaninitialnumericalM&Oscore(seeTableB,below).

Program NumericalScore Weight1 Weighted

ScoreTotalScore

ASCR BES BER FES HEP NP WDTS NNSA DHS EM EERE FE IN

InitialS&TScore

Table A. Fiscal Year Contractor Evaluation Initial S&T Score Calculation 1Weight=Programcostdividedbytotalcost

M&OPerformanceGoal NumericalScore Weight Weighted

Score

5.0 IntegratedSafety,Health,andEnvironmentalProtection

6.0 BusinessSystems

7.0 Operating,Maintaining,andRenewingFacilityandInfrastructurePortfolio


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Table B. Fiscal Year Contractor Evaluation Initial M&O Score Calculation

TheseinitialscoreswillthenbeadjustedbasedonthenumericalscoreforGoal4.0(seeTableC,below).

NumericalScore Weight

InitialS&TScore 0.75

Goal4.0 0.25

FinalS&TScore

InitialM&OScore 0.75

Goal4.0 0.25

FinalM&OScore

Table C. FY Fiscal Year Final S&T and M&O Score Calculation

Thepercentageoftheavailableperformance‐basedfeethatmaybeearnedbytheContractorshallbedeterminedbasedonthefinalscoreforS&T(seeTableC)andthencomparedtoFigure3,below.ThefinalscoreforM&OfromTableCshallthenbeutilizedtodeterminethefinalfeemultiplier(seeFigure3),whichshallbeutilizedtodeterminetheoverallamountofperformance‐basedfeeearnedforFY2013ascalculatedwithinTableD.

OverallFinalScoreforeitherS&TorM&Ofrom

TableB.

PercentS&TFeeEarned

M&OFeeMultiplier

4.3100% 100%4.2

4.14.0

97% 100%3.93.83.7

94% 100%3.63.53.4 91% 100%

8.0 IntegratedSafeguardsandSecurityManagementandEmergencyManagementSystems

InitialM&OScore


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OverallFinalScoreforeitherS&TorM&Ofrom

TableB.

PercentS&TFeeEarned

M&OFeeMultiplier

3.33.23.13.0

88% 95%2.92.82.7

85% 90%2.62.52.4

75% 85%2.32.22.12.0

50% 75%1.91.81.7

0% 60%

1.61.51.41.31.21.1

1.0to0.8 0% 0%0.7to0.0 0% 0%

Figure 3. Performance-Based Fee Earned Scale

OverallFeeDetermination

PercentS&TFeeEarned

M&OFeeMultiplier x

OverallEarnedPerformance‐BasedFee

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

TheFederalAcquisitionRegulations(FAR)requirementsforusingandadministeringcost‐plus‐award‐feecontractswererecentlymodifiedtoprovideforafive‐leveladjectivalgradingsystemwithassociatedlevelsofavailablefee.1SChasaddressedthenewFAR16languagebymappingitsstandardnumericalscoresandassociatedfeedeterminationstotheFARAdjectivalRatingSystem,asnotedinTable4onthenextpage.

1SeePolicyFlash2010‐05,FederalAcquisitionCircular2005‐37.


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RangeofOverallFinalScoreforS&Tfrom

TableB.

FARAdjectivalRating

MaximumPerformance‐Fee

PoolAvailabletobeEarned

3.1to4.3 Excellent 100%2.5to3.0 VeryGood 88%2.1to2.4 Good 75%1.8to2.0 Satisfactory 50%0.0to1.7 Unsatisfactory 0%

Figure 1. Crosswalk of SC Numerical Scores and the FAR 16 Adjectival Rating System

AdjustmenttotheLetterGradeand/orPerformance‐BasedFeeDetermination:The lack of performance objectives and notable outcomes in this plan do not diminish the need tocomply with minimum contractual requirements. Although the performance‐based Goals and theircorresponding Objectives shall be the primary means utilized in determining the Contractor’sperformance grade and/or amount of performance‐based fee earned, the Contracting Officer mayunilaterally adjust the rating and/or reduce the otherwise earned fee based on the Contractor’sperformanceagainstallcontractrequirementsassetforthinthePrimeContract.Whilereductionsmaybebasedonperformanceagainstanycontractrequirement,specificnoteshouldbemadetocontractclauseswhichaddressreductionoffeeincluding,StandardsofContractorPerformanceEvaluation,DEAR970.5215‐1 – Total Available Fee: Base Fee Amount and Performance Fee Amount, and ConditionalPaymentofFee,Profit,andOtherIncentives–FacilityManagementContracts. Datatosupportratingand/or feeadjustmentsmaybederivedfromothersourcesto include,butnot limitedto,operationalawareness (daily oversight) activities; “For Cause” reviews (if any); and other outside agency reviews(OIG,GAO,DCAA,etc.),asneeded.

Theadjustmentofagradeand/orreductionofotherwiseearnedfeewillbedeterminedbytheseverityof the performance failure and consideration of mitigating factors. DEAR 970.5215‐3 ConditionalPaymentofFee,Profit,andOtherIncentives–FacilityManagementContractsisthemechanismusedforreductionof feeas it relates toperformance failures related to safeguardingof classified informationand to adequate protection of environment, health and safety. Its guidance can also serve as anexampleforreductionoffeeinotherareas.

The final Contractor performance‐based grades for each Goal and fee earned determination will becontained within a year‐end report, documenting the results from the DOE review. The report willidentifyareaswhereperformanceimprovementisnecessaryand,ifrequired,providethebasisforanyperformance‐basedratingand/orfeeadjustmentsmadefromtheotherwiseearnedrating/feebasedonPerformanceGoalachievements.

DeterminingAwardTermEligibility:

Pursuanttotheclauseentitled“AwardTermIncentive”thecontractormayalsoearnadditionaltermbyexceedingperformanceexpectations.ThecontractoriseligibleforawardterminaccordancewiththeclausewhenperformancefortheS&TandM&OcomponentsresultsinscoreswithintheshadedareasofTableC,whichwouldbescoresof3.5orhigherforS&Tand3.1orhigherfortheM&Ocomponent.Notwithstandingtheoverallscoresearned,ifthecontractorscoreslessthana3.1inanyS&Tgoalorlessthana2.5inanyM&Ogoalthecontractorwillnotbeeligibleforawardterm.


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II.PERFORMANCEGOALS,OBJECTIVES&NOTABLEOUTCOMESBackgroundThecurrentperformance‐basedmanagementapproachtooversightwithinDOEhasestablishedanewculturewithintheDepartmentwithemphasisonthecustomer‐supplierpartnershipbetweenDOEandthe laboratory contractors. It has alsoplaced a greater focusonmissionperformance, best businesspractices, costmanagement, and improved contractor accountability. Under the performance‐basedmanagement system the DOE provides clear direction to the laboratories and develops annualperformanceplans(suchasthisone)toassessthecontractorsperformanceinmeetingthatdirectioninaccordance with contract requirements. The DOE policy for implementing performance‐basedmanagementincludesthefollowingguidingprinciples:

• Performance objectives are established in partnership with affected organizations and aredirectlyalignedtotheDOEstrategicgoals;

• Resourcedecisionsandbudgetrequestsaretiedtoresults;and• Resultsareusedformanagementinformation,establishingaccountability,anddrivinglong‐term

improvements.

Theperformance‐basedapproachfocusestheevaluationoftheContractor’sperformanceagainstthesePerformanceGoals. Progressagainst theseGoals ismeasured through theuseofa setofObjectives.ThesuccessofeachObjectivewillbemeasuredbasedondemonstratedperformancebythelaboratory,andon a set of notableoutcomes that focus laboratory leadershipon the specific items that are themost important initiativesandhighest risk issues the laboratorymustaddressduring theyear. Thesenotable outcomes should be objective, measurable, and results‐oriented to allow for a definitivedeterminationofwhetherornotthespecificoutcomewasachievedattheendoftheyear.

PerformanceGoals,Objectives,andNotableOutcomesThe following sections describe the Performance Goals, their supporting Objectives, and associatednotableoutcomesforFY2013.


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GOAL 1.0 Provide for Efficient and Effective Mission Accomplishment ThescienceandtechnologyprogramsattheLaboratoryproducehigh‐quality,original,andcreativeresultsthatadvancescienceandtechnology;demonstratesustainedscientificprogressandimpact;receiveappropriateexternalrecognitionofaccomplishments;andcontributetooverallresearchanddevelopmentgoalsoftheDepartmentanditscustomers.TheweightofthisGoalis37.9%.TheProvideforEfficientandEffectiveMissionAccomplishmentGoalmeasurestheoveralleffectivenessandperformanceoftheContractorindeliveringscienceandtechnologyresultswhichcontributetoandenhancetheDOE’smissionofprotectingournationalandeconomicsecuritybyprovidingworld‐classscientificresearchcapacityandadvancingscientificknowledgebysupportingworld‐class,peer‐reviewedscientificresults,whicharerecognizedbyothers.EachObjectivewithinthisGoalistobeassignedtheappropriatenumericalscorebytheOfficeofScience,othercognizantHQProgramOffices,andothercustomersasidentifiedbelow.TheoverallGoalscorefromeachHQProgramOfficeand/orcustomeriscomputedbymultiplyingnumericalscoresearnedbytheweightofeachObjective,andsummingthem(seeTable1.1).WeightingsforeachCustomerlistedbelowarepreliminary,baseduponFY2012costfigures,andareprovidedhereforinformationalpurposesonly.ThefinalweightstobeutilizedfordeterminingweightedscoreswillbedeterminedfollowingtheendoftheperformanceperiodandwillbebasedonactualcostforFY2013.

• OfficeofAdvancedScientificComputingResearch(ASCR)(19.6%)• OfficeofBasicEnergySciences(BES)(22.4%)• OfficeofBiologicalandEnvironmentalResearch(BER)(14.8%)• OfficeofFusionEnergySciences(FES)(0.8%)• OfficeofHighEnergyPhysics(HEP)(16.4%)• OfficeofNuclearPhysics(NP)(5.3%)• OfficeofElectricityDeliveryandEnergyReliability(OE)(2.3%)• OfficeofEnergyEfficiencyandRenewableEnergy(EERE)(16.0%)• OfficeofFossilEnergy(FE)(1.7%)• DepartmentofHomelandSecurity(DHS)(0.7%)

TheoverallperformancescoreandgradeforthisGoalwillbedeterminedbymultiplyingtheoverallscoreassignedbyeachoftheofficesidentifiedabovebytheweightingsidentifiedforeachandthensummingthem(seeTable1.2,below).TheoverallscoreearnedisthencomparedtoTable1.3todeterminetheoveralllettergradeforthisGoal.TheContractor’ssuccessinmeetingeachObjectiveshallbedeterminedbasedontheContractor’sperformanceasviewedbytheOfficeofScience,othercognizantHQProgramOffices,andothercustomersforwhichtheLaboratoryconductswork.ShouldoneormoreoftheHQProgramOfficeschoosenottoprovideanevaluationforthisGoalanditscorrespondingObjectivestheweightingfortheremainingHQProgramOfficesshallberecalculatedbasedontheirpercentageofcostforFY2013ascomparedtothetotalcostforthoseremainingHQProgramOffices.


J‐B‐14

Objectives1.1 ProvideScienceandTechnologyResultswithMeaningfulImpactontheFieldInassessingtheperformanceoftheLaboratoryagainstthisObjective,thefollowingassessmentelementsshouldbeconsidered:

• PerformanceoftheLaboratorywithrespecttoproposedresearchplans;• PerformanceoftheLaboratorywithrespecttocommunityimpactandpeerreview;and• PerformanceoftheLaboratorywithrespecttoimpacttoDOEmissionneeds.

ThefollowingisasamplingoffactorstobeconsideredindeterminingthelevelofperformancefortheLaboratoryagainstthisObjective.Theevaluator(s)mayconsiderthefollowingasmeasuredthroughprogressreports,peerreviews,FieldWorkProposals(FWPs),ProgramOfficereviews/oversight,etc.

• Impactofpublicationsonthefield,asmeasuredprimarilybypeerreview;• ImpactofS&Tresultsonthefield,asmeasuredprimarilybypeerreview;• ImpactofS&Tresultsoutsidethefieldindicatingbroaderinterest;• ImpactofS&TresultsonDOEorothercustomermission(s);• Successfulstewardshipofmission‐relevantresearchareas;• DeliveryonproposedS&Tplans;• Significantawards(NobelPrizes,R&D100,FLC,etc.);• Invitedtalks,citations,makinghigh‐qualitydataavailabletothescientificcommunity;and• Development of tools and techniques that become standards or widely‐used in the scientific

community.LetterGrade Definition

A+

InadditiontosatisfyingtheconditionsforB+• TherearesignificantresearchareasforwhichtheLaboratoryhasexceededtheexpectationsofthe

proposed research plans in significant ways through creative, new, or unconventionalmethodsthatallowgreaterscientificreachthanexpected.

• S&TconductedattheLaboratoryhasresolvedoneofthemostcriticalquestionsinthefield,orhaschangedthewaytheresearchcommunitythinksaboutaparticularfieldthroughparadigmshiftingdiscoveriesthatwouldbeconsideredthemostinfluentialdiscoveryofthedecadeforthatfield.

• S&T conducted at the Laboratoryprovidedmajor advances that significantly accelerate DOE orothercustomermission(s).

A

InadditiontosatisfyingtheconditionsforB+• Thereare importantexampleswheretheLaboratoryexceededtheexpectationsoftheproposed

researchplans in significantways through creative, new,or unconventionalmethods that allowgreaterscientificreachthanexpected.

• AllareasofS&TconductedattheLaboratoryareofexceptionaloroutstandingmeritandquality.• S&T conducted at the Laboratory has significant positive impact to DOE or other customer

missions.


J‐B‐15

LetterGrade Definition

A‐

InadditiontosatisfyingtheconditionsforB+• Thereare importantexampleswheretheLaboratoryexceededtheexpectationsoftheproposed

researchplans.• SignificantareasofS&TconductedattheLaboratoryareofexceptionaloroutstandingmeritand

quality.• S&TconductedattheLaboratorysignificantlyimpactDOEorothercustomermissions.

B+

TheLaboratoryhasachievedeachofthefollowingobjectives:• TheLaboratoryhassuccessfullyexecutedproposedresearchplans.• S&TconductedattheLaboratoryareofhighscientificmeritandquality• S&TconductedattheLaboratoryadvanceDOEorothercustomermissions.

B

• TheLaboratoryhassuccessfullyexecutedproposedresearchplans.• S&TconductedattheLaboratoryadvanceDOEorothercustomermissions.

BUTtheLaboratoryfailstomeettheconditionsforB+foratleastoneofthefollowingreasons:• S&Tconductedat the Laboratoryarenotuniformlyofhighmerit andqualityOR someareasof

research,previouslysupported,havebecomeuncompetitiveORtheLaboratorydoesnotproducesufficiently competitive proposals to receive program support at a level commensurate with itsuniquecapabilities.

B‐

TheLaboratoryfailstomeettheconditionsforB+foratleastoneofthefollowingreasons:• TheLaboratoryhasfailedtosuccessfullyexecuteproposedresearchplansbutcontingencieswere

inplacesuchthatnofundingwasorwillbeterminated.ORS&TconductedattheLaboratorydoeslittletoadvanceDOEorothercustomermissions.

• SignificantareasofS&TconductedattheLaboratoryarenotofhighmeritandqualityORsomeareas of research, previously supported, have become uncompetitiveOR the Laboratory do notproduce sufficiently competitive proposals to receive program support at a level commensuratewithitsuniquecapabilities.

C

TheLaboratoryfailstomeettheconditionsforB+foratleastoneofthefollowingreasons:• In several significant aspects, the Laboratory failed to deliver on proposed researchplansusing

available resources such that some fundingwasorwillbe terminatedORS&Tconductedat theLaboratoryfailedtocontributetoDOEorothercustomermissions

• SignificantareasofS&TconductedattheLaboratoryareofpoormeritandqualityORsomeareasof research, previously supported, have become uncompetitive AND the Laboratory does notproduce sufficiently competitive proposals to receive program support at a level commensuratewithitsuniquecapabilities.

D

TheLaboratoryfailstomeettheconditionsforB+foratleastoneofthefollowingreasons:• Multipleprogramelementsat theLaboratory failed todeliveronproposedresearchplansusing

availableresourcessuchthatsignificantfundingwasorwillbeterminated.• Multiple significantareasofS&Tconductedat the Laboratoryareofpoormerit andqualityOR

some areas of research, previously supported, have become uncompetitiveAND the Laboratorydoes not produce sufficiently competitive proposals to receive program support at a levelcommensuratewithitsuniquecapabilities.

• S&TconductedattheLaboratoryfailedtocontributetoDOEorothercustomermissions.


J‐B‐16


F

TheLaboratoryfailstomeettheconditionsforB+foratleastoneofthefollowingreasons:• Multipleprogramelementsat theLaboratory failed todeliveronproposedresearchplansusing

availableresourcesresultingintotalterminationoffunding.• Multiple significantareasofS&T conductedat the Laboratory areofpoormerit andqualityOR

some areas of research, previously supported, have become uncompetitiveAND the Laboratorydoes not produce sufficiently competitive proposals to receive program support at a levelcommensuratewithitsuniquecapabilitiesORtheLaboratoryhasbeenfoundtohaveengagedingrossscientificincompetenceand/orscientificfraud.

• S&TconductedattheLaboratoryfailedtocontributetoDOEorothercustomermissions.1.2ProvideQualityLeadershipinScienceandTechnologythatAdvancesCommunityGoalsandDOE

MissionGoals.InassessingtheperformanceoftheLaboratoryagainstthisObjective,thefollowingassessmentelementsshouldbeconsidered:

• Innovativeness/NoveltyofresearchideasputforwardbytheLaboratory;• ExtenttowhichLaboratorystaffmemberstakeonsubstantiveorformalleadershiprolesintheir

community;• Extent to which Laboratory staff members take on formal leadership roles in DOE and SC

activities;and• ExtenttowhichLaboratorystaffmemberscontributethoughtfulandthoroughpeerreviewsand

otherresearchassessmentsasrequestedbyDOEandSC.ThefollowingisasamplingoffactorstobeconsideredindeterminingthelevelofperformancefortheLaboratoryagainstthisObjective.Theevaluator(s)mayconsiderthefollowingasmeasuredthroughprogressreports,peerreviews,FieldWorkProposals(FWPs),ProgramOfficereviews/oversight,etc.:

• Willingness to pursue novel approaches and/or demonstration of innovative solutions toproblems;

• Willingness to take on high‐risk/high payoff/long‐term research problems, evidence thatpreviousriskydecisionsbythePI/researchstaffhaveprovedtobecorrectandarepayingoff;

• The uniqueness and challenge of science pursued, recognition for doing the bestwork in thefield;

• Extentandqualityofcollaborativeefforts;• Staffmembersvisibleinleadershippositionsinthescientificcommunity;• Involvementinprofessionalorganizations,NationalAcademiespanelsandworkshops,• Effectiveness indriving thedirectionandsetting theprioritiesof thecommunity ina research

field;and• Successincompetitionforresources.



J‐B‐17


A+

InadditiontosatisfyingtheconditionsforB+,thefollowingconditionsholdforALLLaboratorystaff:• LaboratorystaffmembershaveleadershippositionsinprofessionalorganizationsANDinNational

Academyorequivalentpanelstodiscussanddeterminefurtherresearchdirections;• Laboratory staffmembers have leadership positions inDOE sponsoredworkshops and strategic

planning activities, for example, Laboratory staff members chair or co‐chair DOE‐sponsoredworkshopsandstrategicplanningactivities.

• TheLaboratoryprogramconsistentlyproducesandsubmitscompetitiveproposalsthatchallengeconvention andopen significant new fields for research that arewell alignedwithDOEmissionneedsandtheLaboratoryhasastrongrecognizedroleinsettingprioritiesanddrivingthedirectioninkeyresearchareasandareinternationallyrecognizedleadersinthefield.

• Laboratorystaffholdleadershippositionsinmulti‐institutionalresearchcollaborations.

A

InadditiontosatisfyingtheconditionsforB+• Laboratory staffmembers have leadership positions in professional organizationsAND staff has

contributingroleinNationalAcademyorequivalentpanelstodiscussfurtherresearchdirections;• Laboratory staffmembers have leadership positions inDOE sponsoredworkshops and strategic

planningactivities.• TheLaboratoryprogramconsistentlyproducesandsubmitscompetitiveproposalsthatchallenge

convention andopen significant new fields for research that arewell alignedwithDOEmissionneedsandtheLaboratoryhasastrongrecognizedroleinsettingprioritiesanddrivingthedirectioninkeyresearchareas.

• Laboratorystaffholdleadershippositionsinmulti‐institutionalresearchcollaborations.

A‐

InadditiontosatisfyingtheconditionsforB+• Laboratory staff members have leadership positions in professional organizations OR staff has

contributingroleinNationalAcademyorequivalentpanelstodiscussfurtherresearchdirections;• Laboratory staffmembers have leadership positions inDOE sponsoredworkshops and strategic

planningactivities.• The Laboratory program consistently submits competitive proposals that challenge convention

andopensignificantnewavenuesforresearchthatarewellalignedwithDOEmissionneeds.• Laboratorystaffholdleadershippositionsinmulti‐institutionalresearchcollaborations.

B+

TheLaboratoryhasachievedeachofthefollowingobjectives:• Laboratory staffmembersareactiveparticipants inprofessionalorganizations, committees,and

activities,andtakeonleadershipresponsibilitiescommensuratewithexperienceandexpertise.• Laboratory staff members are active participants in DOE sponsored workshops and strategic

planningactivities.• Laboratory staffmembers contribute thoughtful and thoroughpeer review in a timelymanner,

whenrequestedbyDOE.• The Laboratory program consistently provides competitive proposals that challenge convention

andopennewavenuesforresearchthatarewellalignedwithDOEmissionneeds.• Laboratorystaffareactiveparticipantsinmulti‐institutionalresearchcollaborations


J‐B‐18


B

• Laboratory staffmembers contribute thoughtful and thoroughpeer review in a timelymanner,whenrequestedbyDOE.

• The Laboratory program consistently provides competitive proposals that challenge conventionandopennewavenuesforresearchthatarewellalignedwithDOEmissionneeds.

BUTtheLaboratoryfailstomeettheconditionsforB+foratleastoneofthefollowingreasons:• Althoughregularparticipantsinprofessionalorganizations,committees,andactivities,theextent

towhich staff takeon leadership roles falls shortofwhatwouldbeexpected,given the level ofexperienceandexpertiseofthestaff.

• Although regularparticipants inDOEsponsoredworkshopsandstrategicplanningactivities, theextenttowhichstafftakeonleadershiprolesfallsshortofwhatwouldbeexpected,giventhelevelofexperienceandexpertiseofthestaff.

• Althoughactivemembersofmulti‐institutionalresearchcollaborations,theextenttowhichstafftakeon leadershiprolesfallsshortofwhatwouldbeexpected,giventhe levelofexperienceandexpertiseofthestaff.

B‐

• Laboratory staffmembers contribute thoughtful and thoroughpeer review in a timelymanner,whenrequestedbyDOE.

BUTtheLaboratoryfailstomeettheconditionsforB+foratleastoneofthefollowingreasons:• TheLaboratoryprogramsubmitscompetitiveproposalsbuttheseeitherlackinnovationorarenot

wellalignedwithDOEmissionneeds.• Laboratory staff are infrequent participants in professional organizations, committees, and

activities, and the extent to which staff take on leadership roles falls short of what would beexpected,giventhelevelofexperienceandexpertiseofthestaff.

• Laboratory staffare infrequentparticipants inDOEsponsoredworkshopsandstrategicplanningactivities, and the extent to which staff take on leadership roles falls short of what would beexpected,giventhelevelofexperienceandexpertiseofthestaff.

• Althoughactivemembersofmulti‐institutionalresearchcollaborations,theextenttowhichstafftakeon leadershiprolesfallsshortofwhatwouldbeexpected,giventhe levelofexperienceandexpertiseofthestaff.

C

TheLaboratoryfailstomeettheconditionsforB+foratleastoneofthefollowingreasons:• Laboratory staffmembersdo not reliably contribute thoughtful and thorough peer review in a

timelymanner,whenrequestedbyDOE.• Someareasofresearch,previouslysupported,arenolongercompetitive.• Laboratory staffmembersare infrequentparticipants inprofessionalorganizations, committees,

andactivities,ANDtheextenttowhichstafftakeonleadershiprolesfallsshortofwhatwouldbeexpected,giventhelevelofexperienceandexpertiseofthestaff.

• Laboratorystaffmembersare infrequentparticipants inDOEsponsoredworkshopsandstrategicplanningactivities,andtheextenttowhichstafftakeonleadershiprolesfallsshortofwhatwouldbeexpected,giventhelevelofexperienceandexpertiseofthestaff.

• Although Laboratory staff members are active members of multi‐institutional researchcollaborations, the extent to which staff take on leadership roles falls short of what would beexpected,giventhelevelofexperienceandexpertiseofthestaff.

D TheLaboratoryfailstomeettheconditionsforB+becausetheLaboratorystaffareworkingonproblemsthatarenolongerattheforefrontofscienceandareconsideredmundane.

F ReviewhasfoundtheLaboratorystafftobeguiltyofgrossscientificincompetenceand/orscientificfraud.

NotableOutcomes


J‐B‐19

• ASCR:ByAugust2013,ESnetmustdeliveraplantoASCRonthefutureoftheANItestbed.(Objective1.1)

• BES:DeliverimpactfulsciencefortheEnergyFrontierResearchCenter:“CenterforNanoscaleControlofGeologicCO2,”asmeasuredbytheFY2013annualreports,highlights,andparticipationinmonthlyconferencecalls.(Objective1.1)

• BES:DeliverimpactfulscienceandengineeringtoadvancethemissionoftheFuelsfromSunlightEnergyInnovationHub—theJointCenterforArtificialPhotosynthesis—asmeasuredbytheFY2013Review.(Objective1.1)

• BER:Deliverthebetareleaseversion1.0oftheSystemsBiologyKnowledgebaseonschedule(Feb2013)andprovidescientificdemonstrationsofitscapabilitiesasaresearchtoolformicrobial,microbialcommunityandplantscience.(Objective1.1)

ProgramOffice[1] LetterGrade Numerical

Score Weight OverallScore

OfficeofAdvancedScientificResearch 1.1Impact 50.00% 1.2Leadership 50.00%

OverallASCRTotal OfficeofBasicEnergySciences 1.1Impact 50.00% 1.2Leadership 50.00%

OverallBESTotal OfficeofBiologicalandEnvironmentalResearch

1.1Impact 60.00% 1.2Leadership 40.00%

OverallBERTotal OfficeofFusionEnergySciences 1.1Impact 50.00% 1.2Leadership 50.00%

OverallFESTotal OfficeofHighEnergyPhysics 1.1Impact 50.00% 1.2Leadership 50.00%

OverallHEPTotal OfficeofNuclearPhysics 1.1Impact 50.00% 1.2Leadership 50.00%

OverallNPTotal OfficeofWorkforceDevelopmentforTeachersandScientists

1.1Impact 0% 1.2Leadership 0%

OverallWDTSTotal OfficeofDefenseNuclearNonproliferation 1.1Impact 61.00% 1.2Leadership 39.00%

OverallDNNTotal OfficeofElectricityDeliveryandEnergyReliability


J‐B‐20


OverallOETotal OfficeofEnergyEfficiencyandRenewableEnergy


OverallEERETotal OfficeofEnvironmentalManagement 1.1Impact 0% 1.2Leadership 0%

OverallEMTotal OfficeofFossilEnergy 1.1Impact 50.00% 1.2Leadership 50.00%

OverallFETotal OfficeofIntelligence 1.1Impact 0% 1.2Leadership 0%

OverallINTotal OfficeofNuclearEnergy 1.1Impact 0% 1.2Leadership 0%

OverallNETotal DepartmentofHomelandSecurity 1.1Impact 50.00% 1.2Leadership 50.00%

OverallDHSTotal

Table1.1–ProgramPerformanceGoal1.0ScoreDevelopment

ProgramOffice LetterGrade NumericalScore

FundingWeight OverallWeightedScore(cost)

OfficeofAdvancedScientificResearch 20% OfficeofBasicEnergySciences 22% OfficeofBiologicalandEnvironmentalResearch 15%

OfficeofFusionEnergySciences 1% OfficeofHighEnergyPhysics 16% OfficeofNuclearPhysics 5% OfficeofWorkforceDevelopmentforTeachersandScientists 0%

OfficeofDefenseNuclearNonproliferation 0% OfficeofElectricityDeliveryandEnergyReliability 2%

OfficeofEnergyEfficiencyandRenewableEnergy 16%


J‐B‐21

OfficeofEnvironmentalManagement 0% OfficeofFossilEnergy 2% OfficeofIntelligence 0% OfficeofNuclearEnergy 0% DepartmentofHomelandSecurity 1%

PerformanceGoal1.0Total Table1.2–OverallPerformanceGoal1.0ScoreDevelopment2

Table1.3–Goal1.0FinalLetterGrade

2WeightingsforeachCustomerlistedwithinTable1.2arepreliminary,baseduponFY2012costfigures,andareprovidedforinformationalpurposesonly.ThefinalweightstobeutilizedfordeterminingweightedscoreswillbedeterminedfollowingtheendoftheperformanceperiodandwillbebasedonactualcostforFY2013.

TotalScore

4.3‐4.1

4.0‐3.8

3.7‐3.5

3.4‐3.1

3.0‐2.8

2.7‐2.5

2.4‐2.1

2.0‐1.8

1.7‐1.1

1.0‐0.8 0.7‐0



J‐B‐22

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

TheLaboratoryprovideseffectiveandefficientstrategicplanning;fabrication,constructionand/oroperationsofLaboratoryresearchfacilities;andareresponsivetotheusercommunity.TheweightofthisGoalis34%.TheProvideforEfficientandEffectiveDesign,Fabrication,ConstructionandOperationsofResearchFacilitiesGoalshallmeasuretheoveralleffectivenessandperformanceoftheContractorinplanningforanddeliveringleading‐edgespecialtyresearchand/oruserfacilitiestoensuretherequiredcapabilitiesarepresenttomeettoday’sandtomorrow’scomplexchallenges.ItalsomeasurestheContractor’sinnovativeoperationalandprogrammaticmeansforimplementationofsystemsthatensurestheavailability,reliability,andefficiencyofthesefacilities;andtheappropriatebalancebetweenR&Dandusersupport.EachObjectivewithinthisGoalistobeassignedtheappropriatenumericalscorebytheOfficeofScienceProgramOfficeasidentifiedbelow.TheoverallGoalscorefromeachProgramOfficeiscomputedbymultiplyingnumericalscoresearnedbytheweightofeachObjective,andsummingthem(seeTable2.1).Weightingsforeachofficelistedbelowarepreliminary,baseduponFY2012costfigures,andareprovidedhereforinformationalpurposesonly.FinalweightstobeutilizedfordeterminingweightedscoreswillbedeterminedfollowingtheendoftheperformanceperiodandwillbebasedonactualcostforFY2013.

• OfficeofAdvancedScientificComputingResearch(ASCR)(21.8%)• OfficeofBasicEnergySciences(BES)(33.3%)• OfficeofBiologicalandEnvironmentalResearch(BER)(33.1%)• OfficeofFusionEnergySciences(FES)(1.1%)• OfficeofHighEnergyPhysics(HEP)(3.0%)• OfficeofNuclearPhysics(NP)(4.4%)• OfficeofEnergyEfficiencyandRenewableEnergy(EERE)(3.2%)TheoverallperformancescoreandgradeforthisGoalwillbedeterminedbymultiplyingtheoverallscoreassignedbyeachoftheofficesidentifiedabovebytheweightingsidentifiedforeachandthensummingthem(seeTable2.2below).TheoverallscoreearnedisthencomparedtoTable2.3todeterminetheoveralllettergradeforthisGoal.IndividualProgramOfficeweightingsforeachoftheObjectivesidentifiedbelowareprovidedwithinTable2.1.TheContractor’ssuccessinmeetingeachObjectiveshallbedeterminedbasedontheContractor’sperformanceasviewedbyDOEHQOfficeofScience’s(SC)ProgramOfficesforwhichtheLaboratoryconductswork.ShouldoneormoreoftheHQProgramOfficeschoosenottoprovideanevaluationforthisGoalanditscorrespondingObjectivestheweightingfortheremainingHQProgramOfficesshallberecalculatedbasedontheirpercentageofcostforFY2013ascomparedtothetotalcostforthoseremainingHQProgramOffices.Objectives2.1 ProvideEffectiveFacilityDesign(s)asRequiredtoSupportLaboratoryPrograms(i.e.,activities

leadinguptoCD‐2)


J‐B‐23

InassessingtheperformanceoftheLaboratoryagainstthisObjective,thefollowingassessmentelementsshouldbeconsidered:

• TheLaboratory’sdeliveryofaccurateand timely information required to carryout thecriticaldecisionandbudgetformulationprocess;

• The Laboratory’s ability to meet the intent of DOE Order 413.3, Program and ProjectManagementfortheAcquisitionofCapitalAssets;

• TheextenttowhichtheLaboratoryappropriatelyassessesrisksandcontingencyneeds;and• TheextenttowhichtheLaboratoryiseffectiveinitsuniquemanagementroleandpartnership

withHQ.ThefollowingisasamplingoffactorstobeconsideredindeterminingthelevelofperformancefortheLaboratoryagainstthisObjective.Theevaluator(s)mayconsiderthefollowingasmeasuredthroughprogressreports,peerreviews,FieldWorkProposals(FWPs),ProgramOfficereviews/oversight,etc.

• The quality of the scientific justification for proposed facilities resulting from preconceptualR&D;

• Thetechnicalqualityofconceptualandpreliminarydesignsandthecredibilityoftheassociatedcostestimates

• Thecredibilityofplansforthefulllifecycleofproposedfacilitiesincludingfinancingoptions;• TheleveragingofexistingfacilitiesandcapabilitiesoftheDOELaboratorycomplexinplansfor

proposedfacilities;and• Thenoveltyandpotentialimpactofnewtechnologiesembodiedinproposedfacilities.


A+

InadditiontosatisfyingallconditionsforB+;theLaboratoryexceedsexpectationsinallofthesecategories:• The Laboratory is recognized by the research community as the leader formaking the science

casefortheacquisition;• The Laboratory takes the initiative to demonstrate and thoroughly document the potential for

transformationalscientificadvancement.• Approaches proposed by the Laboratory are widely regarded as innovative, novel,

comprehensive,andpotentiallycost‐effective.• Reviews repeatedly confirm strong potential for scientific discovery in areas that support the

Department’smission,andpotentialtochangeadisciplineorresearcharea’sdirection.• The Laboratory identifies, analyzes and champions novel approaches for acquiring the new

capability, includingleveragingorextendingthecapabilityofexistingfacilitiesandfinancingandthese efforts result in significant cost estimate and/or risk reductionswithout loss or, orwhileenhancingcapability.

A

InadditiontosatisfyingallconditionsforB+,allofthefollowingconditionsarealsomet:• TheLaboratoryisrecognizedbytheresearchcommunityasaleaderformakingthesciencecase

fortheacquisition;• The Laboratory takes the initiative to demonstrate the potential for revolutionary scientific

advancementworkinginpartnershipwithHQ• TheLaboratory identifies,analyzes,andchampions, toHQandSiteoffice,novelapproaches for

acquiringthenewcapability, includingleveragingorextendingthecapabilityofexistingfacilitiesandfinancing.


J‐B‐24


A‐

InadditiontosatisfyingallconditionsforB+,allofthefollowingconditionsarealsomet:• The approaches proposed by the Laboratory are widely regarded as innovative, novel,

comprehensive,andpotentiallycost‐effective• Reviews repeatedly confirm potential for scientific discovery in areas that support the

Department’smission,andpotentialtochangeadisciplineorresearcharea’sdirection.

B+

TheLaboratoryhasachievedeachofthefollowingobjectives:• The Laboratory displays leadership and commitment in the development of quality analyses,

preliminarydesigns,andrelateddocumentationtosupporttheapprovalofthemissionneed(CD‐0),thealternativeselectionandcostrange(CD‐1)andtheperformancebaseline(CD‐2).

• Documentationrequestedbytheprogramsisprovidedinatimelyandthoroughmanner.• The Laboratory keeps DOE appraised of the status, near‐term plans and the resolution of

problemsona regularbasis; anticipatesemerging issues that could impactplansand takes theinitiativetoinformDOEofpossibleconsequences.

• TheLaboratorysolvesproblemsandaddressesissuestoavoidadverseimpactstotheproject.B TheLaboratoryfailstomeetexpectationsinoneoftheareaslistedunderB+.B‐ TheLaboratoryfailstomeetexpectationsinseveraloftheareaslistedunderB+

CTheLaboratoryfailstomeettheexpectationsinseveraloftheareaslistedunderB+ANDtherequiredanalysesanddocumentationdevelopedbytheLaboratoryareEITHERnotinnovative,ORreflectalackofcommitmentandleadership.

D TheLaboratoryfailstomeettheexpectationsinseveraloftheareaslistedunderB+ANDtheLaboratoryfailstoprovideacompellingjustificationfortheacquisition.

FTheLaboratoryfailstomeettheexpectationsinseveraloftheareaslistedunderB+ANDtheapproachesproposedbytheLaboratoryarebasedonfraudulentassumptions;thesciencecaseisweaktonon‐existent,andthebusinesscaseisseriouslyflawed.

2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

(executionphase,postCD‐2toCD‐4)InassessingtheperformanceoftheLaboratoryagainstthisObjective,thefollowingassessmentelementsshouldbeconsidered:

• The Laboratory’s adherence to DOE Order 413.3 Project Management for the Acquisition ofCapitalAssets;

• SuccessfulfabricationoffacilitycomponentsbytheLaboratory;• TheLaboratory’seffectivenessinmeetingconstructionscheduleandbudget;• ThequalityofkeyLaboratorystaffoverseeingtheproject(s);and• TheextenttowhichtheLaboratorymaintainsopen,effective,andtimelycommunicationwith

HQregardingissuesandrisks.


A+

InadditiontosatisfyingallconditionsforA,• There is high confidence throughout the execution phase that the project will be completed

significantlyunderbudgetand/oraheadofschedulewhilemeetingorexceedingallperformancebaselines;


J‐B‐25


A

InadditiontosatisfyingallconditionsforB+,• TheLaboratoryhasidentifiedandimplementedpracticesthatwouldallowtheprojectscopeto

besignificantlyexpandedifsuchweredesirable,withoutimpactonbaselinecostorschedule;• TheLaboratoryalwaysprovidesexemplaryprojectstatusreportsontimetoDOEandtakesthe

initiativetocommunicateemergingproblemsorissues.• Reviewsidentifyenvironment,safetyandhealthpracticestobeexemplary.• There is high confidence throughout the execution phase that the project will meet its

cost/scheduleperformancebaseline;

A‐

InadditiontosatisfyingallconditionsforB+,• TheLaboratoryhasidentifiedpracticesthatwouldallowfortheprojectscopetobeexpandedif

suchweredesirable,withoutimpactonbaselinecostorschedule;• Problems are identified and corrected by the Laboratory promptly, with no impact on scope,

costorschedule• TheLaboratoryprovidesparticularlyusefulprojectstatusreportsontimetoDOEandregularly

takestheinitiativetocommunicateemergingproblemsorissues.• Reviewsidentifyenvironment,safetyandhealthpracticestoexceedexpectations.• There is high confidence throughout the execution phase that the project will meet its

cost/scheduleperformancebaseline;

B+

TheLaboratoryhasachievedeachofthefollowingobjectives• TheprojectmeetsCD‐2performancemeasures;• The Laboratory provides sustained leadership and commitment to environment, safety and

health;• Reviews regularly recognize the Laboratory for being proactive in the management of the

executionphaseoftheproject;• To a large extent, problems are identified and corrected by the Laboratory with little, or no

impactonscope,costorschedule;• DOE is kept informedofproject statusona regularbasis; reviews regularly indicateproject is

expectedtomeetitscost/scheduleperformancebaseline.

BTheLaboratoryprovidessustainedleadershipandcommitmenttoenvironment,safetyandhealthBUT• TheprojectfailstomeetexpectationsinoneoftheremainingareaslistedunderB+.

B‐TheLaboratoryprovidessustainedleadershipandcommitmenttoenvironment,safetyandhealthBUT• TheprojectfailstomeetexpectationsinseveraloftheareaslistedunderB+

C

TheLaboratoryprovidessustainedleadershipandcommitmenttoenvironment,safetyandhealthBUTTheprojectfailstomeetexpectationsinseveraloftheareaslistedunderB+AND• Reviewsindicateprojectremainsatriskofbreachingitscost/scheduleperformancebaseline;• ReportstoDOEcanvaryindegreeofcompleteness

D

TheprojectfailstomeetconditionsforB+inatleastoneofthefollowingareas:• Reviewsindicateprojectislikelytobreachitscost/scheduleperformancebaseline;• Laboratorycommitmenttoenvironment,safetyandhealthissuesisinadequate;• ReportstoDOEarelargelyincomplete;Laboratorycommitmenttotheprojecthassubsided.


J‐B‐26


F

TheprojectfailstomeetconditionsforB+inatleastoneofthefollowingareas:• Laboratoryfalsifiesdataduringprojectexecutionphase;• Shows disdain for executing the project withinminimal standards for environment, safety or

health,• FailstokeepDOEinformedofprojectstatus;• Recent reviews indicate that the project is expected to breach its cost/schedule performance

baseline.2.3 ProvideEfficientandEffectiveOperationofFacilitiesInassessingtheperformanceoftheLaboratoryagainstthisObjective,thefollowingassessmentelementsshouldbeconsidered:

• Theavailability,reliability,performance,andefficiencyofLaboratoryfacility(ies);• Thedegreetowhichthefacilityisoptimallyarrangedtosupporttheusercommunity;• The extent to which Laboratory R&D is conducted to develop/expand the capabilities of the

facility(ies);• The Laboratory’s effectiveness in balancing resources between facility R&D and user support;

and• Thequalityoftheprocessusedtoallocatefacilitytimetousers.


A+

InadditiontosatisfyingallconditionsforB+;allofthefollowingconditionsarealsomet• Performanceof the facilityexceedsexpectationsasdefinedbefore thestartof theyear inallof

thesecategories:costofoperations,usersserved,availability,andcapability;• The schedule and the costs associated with the ramp‐up to steady state operations are

significantlylessthanplannedandareacknowledgedtobe‘leadershipcaliber’byreviews;• Data on environment, safety, and health continues to be exemplary and widely regarded as

amongthe‘bestinclass’• TheLaboratorytookextraordinarymeanstodeliveranextraordinaryresultfortheusersandthe

programintheperformance/reviewperiod.

A

InadditiontosatisfyingallconditionsforB+;allofthefollowingconditionsarealsomet• Performanceofthefacilityexceedsexpectationsasdefinedbeforethestartoftheyearinmostof

thesecategories:costofoperations,usersserved,availability,andcapability;• Thescheduleandthecostsassociatedwiththeramp‐uptosteadystateoperationsare lessthan

plannedandareacknowledgedtobe‘leadershipcaliber’byreviews;• Data on environment, safety, and health continues to be exemplary and widely regarded as

amongthe‘bestinclass.’

A‐

InadditiontosatisfyingallconditionsforB+,oneofthefollowingconditionsismet:• Performanceofthefacilityexceedsexpectationsasdefinedbeforethestartoftheyearinanyof

thesecategories:costofoperations,usersserved,availability,andcapability;• Thescheduleandthecostsassociatedwiththeramp‐uptosteadystateoperationsare lessthan

plannedandareacknowledgedtobeamongthebestbyreviews;


J‐B‐27


B+

TheLaboratoryhasachievedeachofthefollowingobjectives:• Performance of the facilitymeets expectations as defined before the start of the year in all of

these categories: cost of operations, users served, availability, capability (for example, beamdelivery,luminosity,peakperformance,etc.),

• The schedule and the costs associated with the ramp‐up to steady state operations occur asplanned;

• Data on environment, safety, and health continues to be very good as compared with otherprojectsintheDOE.

• User surveys meet program expectations and reflect that the Laboratory is responsive to userneeds.

B TheprojectfailstomeetexpectationsinoneoftheareaslistedunderB+.B‐ TheprojectfailstomeetexpectationsinmorethanoneoftheareaslistedunderB+.

C

PerformanceofthefacilityfailstomeetexpectationsinmanyoftheareaslistedunderB+;forexample,• Thecostofoperationsisunexpectedlyhighandavailabilityofthefacilityisunexpectedlylow,the

numberofusersisunexpectedlylow,capabilityiswellbelowexpectations.• Thefacilityoperatesatsteadystate,oncostandonschedule,butthereliabilityofperformanceis

somewhat below planned values, or the facility operates at steady state, but the associatedscheduleandcostsexceedplannedvalues.

• Commitmenttoenvironment,safety,andhealthissatisfactory.

D

PerformanceofthefacilityfailstomeetexpectationsinmanyoftheareaslistedunderB+;forexample,• The cost of operations is unexpectedly high and availability of the facility is unexpectedly low;

capabilityiswellbelowexpectations.• Thefacilityoperatessomewhatbelowsteadystate,oncostandonschedule,andthereliabilityof

performanceissomewhatbelowplannedvalues,or thefacilityoperatesatsteadystate,buttheassociatedscheduleandcostsexceedplannedvalues.

• Commitmenttoenvironment,safety,andhealthisinadequate.

F• Thefacilityfailstooperate;thefacilityoperateswellbelowsteadystateand/orthereliabilityof

theperformanceiswellbelowplannedvalues.• Laboratorycommitmenttoenvironment,safety,andhealthissuesisinadequate.

2.4UtilizationofFacility(ies)toProvideImpactfulS&TResultsandBenefitstoExternalUser

CommunitiesInassessingtheperformanceoftheLaboratoryagainstthisObjective,thefollowingassessmentelementsshouldbeconsidered:

• Theextenttowhichthefacilityisbeingusedtoperforminfluentialscience;• TheLaboratory’seffortstotakefulladvantageofthefacilitytogenerateimpactfulS&Tresults;• Theextent towhich the facility is strengthenedbya resident Laboratory researchcommunity

thatpushestheenvelopeofwhatthefacilitycandoand/orareamongthescientificleadersofthecommunity;

• The Laboratory’s ability to appropriately balance access by internal and external usercommunities;and

• Theextenttowhichthereisahealthyprogramofoutreachtothescientificcommunity.LetterGrade Definition


J‐B‐28


A+InadditiontomeetingallmeasuresunderA,• The Laboratory took extraordinary means to deliver an extraordinary result for a new user

community.

A

InadditiontosatisfyingallconditionsforB+;allofthefollowingconditionsaremet• An aggressive outreach programs is in place and has been documented as attracting new

communitiestothefacility;• Reviewsconsistentlyfindthatthefacilitycapabilityorscopeofresearchpotentialsignificantly

exceeds expectations for example, due to newly discovered capabilities or exposure to newresearchcommunities;OR Reviewsfindthatmultipledisciplinesareusingthe facility innewandnovelwaysthatthefacilityisbeingusedtopursueinfluentialscience.

A‐

InadditiontosatisfyingallconditionsforB+,allofthefollowingconditionsaremet• Astrongoutreachprogramisinplace;• Reviewsfindthatthefacilitycapabilityorscopeofresearchpotentialexceedsexpectationsfor

example,duetonewlydiscoveredcapabilitiesorexposuretonewresearchcommunities;ORReviewsdocumenthowmultipledisciplinesareusingthefacilityinnewandnovelwaysand/orthatthefacilityisbeingusedtopursueimportantscience.

B+

TheLaboratoryhasachievedeachofthefollowingobjectives:• Reviewsfind/validatethatthefacilityisbeingusedforinfluentialscience;• Thescopeoffacilitycapabilitiesischallengedandbroadenedbyresidentusers;• TheLaboratoryeffectivelymanagesuserallocations;• The Laboratory effectively maintains the facility to required performance standards (for

example,runtime,luminosity,etc.)• Ahealthyoutreachprogramisinplace.

B TheLaboratoryfailstomeetexpectationsinoneoftheareaslistedunderB+B‐ TheLaboratoryfailstomeetexpectationsinseveraloftheareaslistedunderB+C TheLaboratoryfailstomeetexpectationsinmanyoftheareaslistedunderB+

D Reviewsfindthattherearefewfacilityusers,fewofwhomareusingthefacilityinnovelwaystoproduceimpactfulscience;researchbaseisverythin.

F Laboratorystaffdoesnotpossesscapabilitiestooperateand/orusethefacilityadequately.NotableOutcomes• ASCR:EnsuremaintenanceofcostandschedulebaselinesforNERSC‐7.(Objective2.2)

ProgramOffice[1]

LetterGrade

NumericalScore Weight OverallScore

OfficeofAdvancedScientificResearch 2.1ProvideEffectiveFacilityDesign(s) 10.00% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

10.00%

2.3ProvideEfficientandEffectiveOperationofFacilities 70.00%

2.4UtilizationofFacility(ies)toProvideImpactfulS&TResultsandBenefitstoExternalUserCommunities

10.00%

OverallASCRTotal OfficeofBasicEnergySciences


J‐B‐29

2.1ProvideEffectiveFacilityDesign(s) 30.00% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

0.00%



10.00%

OverallBESTotal OfficeofBiologicalandEnvironmentalResearch 2.1ProvideEffectiveFacilityDesign(s) 0.00% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

0.00%



10.00%

OverallBERTotal OfficeofFusionEnergySciences 2.1ProvideEffectiveFacilityDesign(s) 0.00% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

0.00%



40.00%

OverallFESTotal OfficeofHighEnergyPhysics 2.1ProvideEffectiveFacilityDesign(s) 80.00% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

20.00%



0.00%

OverallHEPTotal OfficeofNuclearPhysics 2.1ProvideEffectiveFacilityDesign(s) 0.00% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

0.00%


2.4UtilizationofFacility(ies)toProvideImpactful 15.00%


J‐B‐30

S&TResultsandBenefitstoExternalUserCommunities

OverallNPTotal OfficeofWorkforceDevelopmentforTeachersandScientists 2.1ProvideEffectiveFacilityDesign(s) 0% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

0%

2.3ProvideEfficientandEffectiveOperationofFacilities 0%


0%

OverallWDTSTotal OfficeofDefenseNuclearNonproliferation 2.1ProvideEffectiveFacilityDesign(s) 0.00% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

0.00%



0.00%


2.1ProvideEffectiveFacilityDesign(s) 0.00% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

0.00%



0.00%

OverallOETotal OfficeofEnergyEfficiencyandRenewableEnergy 2.1ProvideEffectiveFacilityDesign(s) 0.00% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

100.00%



0.00%

OverallEERETotal OfficeofEnvironmentalManagement 2.1ProvideEffectiveFacilityDesign(s) 0% 2.2ProvidefortheEffectiveandEfficient 0%


J‐B‐31

ConstructionofFacilitiesand/orFabricationofComponents2.3ProvideEfficientandEffectiveOperationofFacilities 0%


0%

OverallEMTotal OfficeofFossilEnergy 2.1ProvideEffectiveFacilityDesign(s) 0.00% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

0.00%



0.00%

OverallFETotal OfficeofIntelligence 2.1ProvideEffectiveFacilityDesign(s) 0% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

0%



0%

OverallINTotal OfficeofNuclearEnergy 2.1ProvideEffectiveFacilityDesign(s) 0% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

0%



0%

OverallNETotal DepartmentofHomelandSecurity 2.1ProvideEffectiveFacilityDesign(s) 0.00% 2.2ProvidefortheEffectiveandEfficientConstructionofFacilitiesand/orFabricationofComponents

0.00%



0.00%


J‐B‐32

OverallDHSTotal

Table 2.1 – Program Performance Goal 2.0 Score Development

ProgramOffice LetterGrade NumericalScore

FundingWeight

OverallWeightedScore(cost)

OfficeofAdvancedScientificResearch 22% OfficeofBasicEnergySciences 33% OfficeofBiologicalandEnvironmentalResearch 33% OfficeofFusionEnergySciences 1% OfficeofHighEnergyPhysics 3% OfficeofNuclearPhysics 4% OfficeofWorkforceDevelopmentforTeachersandScientists 0%


OfficeofEnergyEfficiencyandRenewableEnergy 3% OfficeofEnvironmentalManagement 0% OfficeofFossilEnergy 0% OfficeofIntelligence 0% OfficeofNuclearEnergy 0% DepartmentofHomelandSecurity 0%

PerformanceGoal2.0Total

Table 2.2 – Overall Performance Goal 2.0 Score Development3


3WeightingsforeachCustomerlistedwithinTable2.2arepreliminary,baseduponFY2012costfigures,andareprovidedforinformationalpurposesonly.ThefinalweightstobeutilizedfordeterminingweightedscoreswillbedeterminedfollowingtheendoftheperformanceperiodandwillbebasedonactualcostforFY2013

TotalScore

4.3‐4.1

4.0‐3.8

3.7‐3.5

3.4‐3.1

3.0‐2.8

2.7‐2.5

2.4‐2.1

2.0‐1.8

1.7‐1.1

1.0‐0.8

0.7‐0



J‐B‐33

GOAL 3.0 Provide Effective and Efficient Science and Technology Program Management The Laboratory provides effective program vision and leadership; strategic planning and development of initiatives; recruits and retains a quality scientific workforce; and provides outstanding research processes, which improve research productivity.

TheweightofthisGoalis28%. The Provide Effective and Efficient Science and Technology Program Management Goal shall measure the Contractor’s overall management in executing S&T programs. Dimensions of program management covered include: 1) providing key competencies to support research programs to include key staffing requirements; 2) providing quality research plans that take into account technical risks, identify actions to mitigate risks; and 3) maintaining effective communications with customers to include providing quality responses to customer needs. Each Objective within this Goal is to be assigned the appropriate numerical score by the Office of Science, other cognizant HQ Program Offices, and other customers as identified below. The overall Goal score from each HQ Program Office and/or customer is computed by multiplying numerical scores earned by the weight of each Objective, and summing them (see Table 3.1). Weightings for each Customer listed below are preliminary, based upon FY 2012 cost figures, and are provided here for informational purposes only. The final weights to be utilized for determining weighted scores will be determined following the end of the performance period and will be based on actual cost for FY 2013 provided by the Program Offices listed below.

• OfficeofAdvancedScientificComputingResearch(ASCR)(13.3%)• OfficeofBasicEnergySciences(BES)(30.3%)• OfficeofBiologicalandEnvironmentalResearch(BER)(20.1%)• OfficeofFusionEnergySciences(FES)(1.0%)• OfficeofHighEnergyPhysics(HEP)(11.1%)• OfficeofNuclearPhysics(NP)(5.4%)• OfficeofElectricityDeliveryandEnergyReliability(OE)(2.1%)• OfficeofEnergyEfficiencyandRenewableEnergy(EERE)(13.8%)• OfficeofFossilEnergy(FE)(2.3%)• DepartmentofHomelandSecurity(DHS)(0.6%)

TheoverallperformancescoreandgradeforthisGoalwillbedeterminedbymultiplyingtheoverallscoreassignedbyeachoftheofficesidentifiedabovebytheweightingsidentifiedforeachandthensummingthem(seeTable3.2below).TheoverallscoreearnedisthencomparedtoTable3.3todeterminetheoveralllettergradeforthisGoal.TheContractor’ssuccessinmeetingeachObjectiveshallbedeterminedbasedontheContractor’sperformanceasviewedbytheOfficeofScience,othercognizantHQProgramOffices,andothercustomersforwhichtheLaboratoryconductswork.ShouldoneormoreoftheHQProgramOfficeschoosenottoprovideanevaluationforthisGoalanditscorrespondingObjectivestheweightingfortheremainingHQProgramOfficesshallberecalculatedbasedontheirpercentageofcostforFY2013ascomparedtothetotalcostforthoseremainingHQProgramOffices.

Objectives


J‐B‐34

3.1 ProvideEffectiveandEfficientStrategicPlanningandStewardshipofScientificCapabilitiesandProgramVision


• ThequalityoftheLaboratory’sstrategicplan;• TheextenttowhichtheLaboratoryshowsstrategicvisionforresearch• TheextenttowhichprogramsofresearchtakeadvantageofLaboratorycapabilities—research

programsaremorethanthesumoftheirindividualprojectparts;• TheextenttowhichtheLaboratoryundertakesresearchforwhichitisuniquelyqualified;• TheextenttowhichlabplansarealignedwithDOEmissiongoals;• TheextenttowhichtheLaboratoryprogramsarebalancedbetweenhigh‐/low‐riskresearchfor

asustainableprogram;and• TheextenttowhichtheLaboratoryisabletoretainandrecruitstaffforasustainableprogram


• Articulationofscientificvision;• Developmentandmaintenanceofcorecompetencies,• Abilitytoattractandretainhighlyqualifiedstaff;• Efficiencyandeffectivenessofjointplanning(e.g.,workshops)withoutsidecommunity;• Creativityandrobustnessofideasfornewfacilitiesandresearchprograms;and• Willingness to take on high‐risk/high payoff/long‐term research problems, evidence that the

Laboratory“guessedright”inthatpreviousriskydecisionsprovedtobecorrectandarepayingoff.

• ThedepthandbreadthofLaboratoryresearchportfolioanditspotentialforgrowth.LetterGrade Definition

A+

InadditiontosatisfyingtheconditionsforB+,theexecutionoftheLaboratory’sstrategicplanhasenabledtheLaboratorytoachieveeachofthefollowing:• MostoftheLaboratory’scorecompetenciesarerecognizedasworldleading;• TheLaboratoryhasattractedandretainedworld‐leadingscientistsinmostprograms;• There isevidence thatpreviousdecisions topursuehigh‐risk/high‐payoff researchproved tobe

correctandarepayingoff;• The Laboratory has succeeded in developing new core competencies of outstanding quality in

areasbothexploratory,high‐riskresearchandresearchthatisvitaltotheDOE/SCmissions;

A

InadditiontosatisfyingtheconditionsforB+,theexecutionoftheLaboratory’sstrategicplanhasenabledtheLaboratorytoachievethefollowing:• SeveraloftheLaboratory’scorecompetenciesarerecognizedasworldleading;• TheLaboratoryhasattractedandretainedworld‐leadingscientistsinseveralprograms;• There isevidence thatpreviousdecisions topursuehigh‐risk/high‐payoff researchproved tobe

correctandarepayingoff• TheLaboratoryhassucceededindevelopingnewcorecompetenciesofhighqualityinareasboth

exploratory,high‐riskresearchandresearchthatisvitaltotheDOE/SCmissions


J‐B‐35


A‐

InadditiontosatisfyingtheconditionsforB+,theexecutionoftheLaboratory’sstrategicplanhasenabledtheLaboratorytoachieveatleastoneofthefollowing:• AtleastoneoftheLaboratory’scorecompetenciesisrecognizedasworld‐leading;• TheLaboratoryhasattractedandretainedworld‐leadingscientistsinoneormoreprograms;• TheLaboratoryhasacoherentplanforaddressingfutureworkforcechallenges.

B+

TheexecutionoftheLaboratory’sstrategicplanhasenabledtheLaboratorytoachieveeachofthefollowingobjectives:• TheLaboratoryhasarticulatedacoherentandcompellingstrategicplanthathasbeendeveloped

with input from external research communities and headquarters guidance, which, whereappropriate, includes a coherent plan for building smaller research programs into new corecompetencies;andreallocatesresourcesawayfromlesseffectiveprograms.

• The Laboratoryhasdemonstrated theability toattract and retainprofessional scientific staff insupportofitsstrategicvision.

• TheportfolioofLaboratoryresearchbalancestheneedsforbothhigh‐risk/high‐payoffresearchandstewardshipofmission‐criticalresearch.

• TheLaboratory’sresearchportfoliotakesadvantageofuniquecapabilitiesattheLaboratory.• The Laboratory’s research portfolio includes activities for which the Laboratory is uniquely

capable.

B

TheLaboratoryfailstosatisfyoneoftheconditionsforB+;forexample• TheLaboratory’sstrategicplan isonlypartiallycoherentand isnotentirelywell‐connectedwith

externalcommunities;• The portfolio of Laboratory research does not appropriately balance high‐risk/ high‐payoff

researchandstewardshipofmission‐criticalresearch;• TheLaboratoryhasdevelopedandmaintainedsome,butnotall,ofitscorecompetencies.• Theplantoattractandretainprofessionalscientificstaffislackingstrategicvision.

B‐

TheLaboratoryfailstosatisfyseveraloftheconditionsforB+,includingatleastoneofthefollowing:• Weakprogrammaticvisioninsufficientlyconnectedwithexternalcommunities;• Developmentandmaintenanceofonlyafewcorecompetencies• littleattentiontomaintainingthecorrectbalancebetweenhigh‐riskandmission‐criticalresearch;• inabilitytoattractandretaintalentedscientistsinsomeprograms.

C

TheLaboratoryfailstosatisfyseveraloftheconditionsforB+,includingatleastoneofthefollowingreasons:• The Laboratory’s strategic plan lacks strategic vision and lacks appropriate coordination with

appropriatestakeholdersincludingexternalresearchgroups.• TheLaboratory’sstrategicplandoesnotprovideforsufficientmaintenanceofcorecompetencies• Plantoattractandretainprofessionalscientificstaffisunlikelytobesuccessfulordoesnotfocus

onstrategiccapabilities.

D

TheLaboratoryfailstosatisfyseveraloftheconditionsforB+,andspecifically• TheLaboratoryhasdemonstratedlittleeffortindevelopingastrategicplan.• TheLaboratoryhasdonelittletodevelopandmaintaincorecompetencies• TheLaboratoryhashadminimalsuccessinattractingandretainingprofessionalscientificstaff.

F

TheLaboratoryhas:• Madelimitedorineffectiveattemptstodevelopastrategicplan;• Notdemonstratedtheabilitytodevelopandmaintaincorecompetencies,hasfailedtopropose

high‐risk/high‐rewardresearchandhasfailedtostewardmission‐criticalareas;• Failedtoattractevenreasonablycompetentscientistsandtechnicalstaff.

3.2 ProvideEffectiveandEfficientScienceandTechnologyProject/Program/FacilitiesManagement


J‐B‐36


• TheLaboratory’smanagementofR&Dprogramsandfacilitiesaccordingtoproposedplans;• TheextenttowhichtheLaboratory’smanagementofprojects/programs/facilitiessupportsthe

Laboratorystrategicplan;• AdequacyoftheLaboratory’sconsiderationoftechnicalrisks;• TheextenttowhichtheLaboratoryissuccessfulinidentifying/avoidingtechnicalproblems;• Effectiveness in leveragingacrossmultipleareasofresearchandbetweenresearchandfacility

capabilities;• TheextenttowhichtheLaboratorydemonstratesawillingnesstomaketoughdecisions(i.e.,cut

programswith sub‐criticalmass of expertise, divert resources tomore promising areas, etc.);and

• The use of LDRD and other Laboratory investments and overhead funds to improve thecompetitivenessoftheLaboratory.


• Laboratory plans that are reviewed by experts outside of lab management and/or includebroadly‐basedinputfromwithintheLaboratory.


A+

InadditiontomeetingtheallexpectationsunderA,• The Laboratory has taken extraordinary measures to deliver an extraordinary result of critical

importancetoDOEmissions,whichcouldincludethedeliveryofacriticaltechnologyorinsightinresponsetoaNationalemergency

A

InadditiontosatisfyingtheconditionsforB+,• The Laboratory’s implementation of project/program/facility plans has led directly to effective

R&D programs/facility operations that exceed program expectations in several programmaticareas.ExamplesarelistedunderA‐.


J‐B‐37


A‐

InadditiontosatisfyingtheconditionsforB+,• The Laboratory’s implementation of project/program/facility plans has led directly to effective

R&D programs/facility operations that exceed program expectations in more than oneprogrammaticarea.Examplesofperformancethatexceedsexpectationsinclude:

• TheLaboratory’s implementationofproject/program/facilityplanshas leddirectly to significantcostsavingsand/orsignificantlyhigherproductivitythanexpected;

• Project/program/facilityplansprovetoberobustagainstchangingscientificandfiscalconditionsthroughcontingencyplanning;

• The Laboratory has demonstrated creativity and forceful leadership in development and/orproactivemanagementofitsproject/program/facilityplanstoreduceoreliminaterisk;

• TheLaboratory’sproposalsfornewinitiativesarefundedthroughreallocationofresourcesfromlesseffectiveprograms.

• Researchplansandmanagementactionsareproactive,notreactive,asevidencedbymakingharddecisionsandtakingstrongactions;and

• Management is prepared for budget fluctuations and changes in DOE program priorities –multiplecontingenciesareplannedfor;and

• LDRDinvestments,overheadfunds,andotherLaboratoryfundsareusedtostrengthenlabplansand fill critical gaps in the Laboratory portfolio enabling it to respond to future DOE initiativesand/ornationalemergencies;

B+

TheLaboratoryhasachievedeachofthefollowingobjectives:• Project/program/facilityplansexistforallmajorprojects/programs/facilities.• Project/program/facility plans are consistent with known budgets, are based on reasonable

assessmentsoftechnicalrisk,arewell‐alignedwithDOEinterests,providesufficient flexibilitytorespond to unforeseen directives and opportunities, and effectively leverage other Laboratoryresourcesandexpertise.

• TheLaboratoryhasimplementedtheproject/program/facilityplansandhaseffectivemethodsoftrackingprogress.

• The Laboratory demonstrateswillingness tomake tough decisions (i.e., cut programswith sub‐criticalmassofexpertise,divertresourcestomorepromisingareas,etc.).

• The Laboratory’s implementation of project/program/facility plans has led directly to effectiveR&Dprograms/facilityoperations.

• LDRDinvestmentsandotheroverheadfundsaremanagedappropriately.

B• Project/program/facilityplansexistforallmajorprojects/programs/facilities.• TheLaboratoryhasimplementedtheproject/program/facilityplans.

BUTtheLaboratoryfailstomeetatleastoneoftheconditionsforB+.

B‐• Project/program/facilityplansexistforallmajorprojects/programs/facilities.• TheLaboratoryhasimplementedtheproject/program/facilityplans.

BUTtheLaboratoryfailstomeetseveraloftheconditionsforB+.

C• Project/program/facilityplansexistformostmajorprojects/programs/facilities.

BUTtheLaboratoryhasfailedtoimplementtheproject/program/facilityplansANDtheLaboratoryfailstomeetseveraloftheconditionsforB+.

D

• Project/program/facility plans do not exist for a significant fraction of the Laboratory’s majorprojects/programs/facilities;OR

• SignificantworkattheLaboratoryisnotinalignmentwiththeproject/program/facilityplansF TheLaboratoryhasfailedtoconductproject/program/facilityplanningactivities.3.3ProvideEfficientandEffectiveCommunicationsandResponsivenesstoHeadquartersNeeds


J‐B‐38


• The quality, accuracy and timeliness of the Laboratory’s response to customer requests forinformation;

• TheextenttowhichtheLaboratoryprovidespoint‐of‐contactresourcesandmaintainseffectiveinternal communications hierarchies to facilitate efficient determination of the appropriatepoint‐of‐contactforagivenissueorprogramelement;

• The effectiveness of the Laboratory’s communications and depth of responsiveness underextraordinaryorcriticalcircumstances;and

• TheeffectivenessofLaboratorymanagementinaccentuatingtheimportanceofcommunicationandresponsiveness.


A+

InadditiontomeetingtheallexpectationsunderA,• The Laboratory’s effective communication and extraordinary responsiveness in the face of

extremesituationsoranationalemergencyhadamateriallypositive impactontheoutcomeoftheeventand/orDOEmissionobjectives

A

InadditiontosatisfyingtheconditionsforB+,theLaboratoryalsomeetsallofthefollowing:• Laboratory management has instilled a culture throughout the lab that emphasizes good

communicationpractices;• Communicationchannelsarewell‐definedandinformationiseffectivelyconveyed;• Responses to HQ requests for information from all Laboratory representatives are prompt,

thorough,correctandsuccinct;importantorcriticalinformationisdeliveredinreal‐time;• Laboratory representatives always initiate a communication with HQ on emerging Laboratory

issues; headquarters is never surprised to learn of emerging Laboratory issues through outsidechannels.

A‐

InadditiontosatisfyingtheconditionsforB+,• Laboratory management has instilled a culture throughout the lab that emphasizes good

communicationpractices;and• Responsestorequestsforinformationareprompt,thorough,andeconomical/succinctatalllevels

ofinteraction;• LaboratoryrepresentativesofteninitiatecommunicationwithHQonemergingLaboratoryissues;• undercriticalcircumstances,essentialinformationisdeliveredinreal‐time

B+

TheLaboratoryhasachievedeachofthefollowingobjectives:• StaffthroughouttheLaboratoryorganizationengageingoodcommunicationpractices;• Responsestorequestsforinformationarepromptandthorough;• Theaccuracyandintegrityoftheinformationprovidedisneverindoubt;• Up‐to‐datepoint‐of‐contactinformationiswidelyavailableforallprogrammaticareas;• Headquarters is always and promptly informed of both positive and negative events at the

LaboratoryB TheLaboratoryfailedtomeettheconditionsforB+inafewinstances

B‐

TheLaboratoryfailstomeettheconditionsforB+foroneofthefollowingreasons:• Responses to requests for information do not provide theminimum requirements tomeet HQ

needs;Whiletheintegrityoftheinformationprovidedisneverindoubt,itsaccuracysometimesis;

• LaboratoryrepresentativesdonottaketheinitiativetoalertHQtoemergingLaboratoryissues.


J‐B‐39


C

TheLaboratoryfailstomeettheconditionsforB+foroneormoreofthefollowingreasons:• Responses to requests for information frequently fail to provide theminimum requirements to

meetHQneeds• TheLaboratoryusedoutsidechannelsorcircumventedHQinconveyingcriticalinformation;• Theintegrityand/oraccuracyofinformationprovidedissometimesindoubt;• Laboratory management fails to demonstrate that its employees are held accountable for

ensuringeffectivecommunicationandresponsiveness;• LaboratoryrepresentativesfailedtoalertHQtoemergingLaboratoryissues.

D

TheLaboratoryfailstomeettheconditionsforB+foroneofthefollowingreasons:• Laboratory staff are generally well‐intentioned in communication but consistently ineffective

and/orincompetent;• TheLaboratorymanagement fails toemphasize the importanceofeffectivecommunicationand

responsiveness

F

TheLaboratoryfailstomeettheconditionsforB+foroneofthefollowingreasons• Laboratory staff are openly hostile and/or non‐responsive to requests for information – emails

andphonecallsareconsistentlyignored;• Responses to requests for information are consistently incorrect, inaccurate or fraudulent –

informationisnotorganized,isincomplete,orisfabricated.NotableOutcomes• BES:SuccessfullyexecutetheLaboratory’splantoidentifynewleadershipfortheMaterials

SciencesDivision.(Objective3.2)• BES:WorkinginconjunctionwiththedirectoroftheJointCenterforArtificialPhotosynthesis

(JCAP),successfullyexecuteaplantoidentifynew,committedleadershipforJCAPNorth.(Objective3.2)

• HEP:Developaplantooptimizethelab’sHEPresearchprogramthatisconsistentwithHEP’sfundingplanforresearchinFY14&15andpresentitattheHEPannualbudgetbriefingsinearly2013.TheprimaryconsiderationsshouldbepreservingthestrengthoftheprogramandsupportingHEP’snewinitiatives.(Objective3.2)

ProgramOffice[1]

LetterGrade

NumericalScore Weight OverallScore

OfficeofAdvancedScientificResearch 3.1EffectiveandEfficientStrategicPlanningandStewardship 30.00%

3.2Project/Program/FacilitiesManagement 40.00% 3.3CommunicationsandResponsiveness 30.00%

OverallASCRTotal OfficeofBasicEnergySciences 3.1EffectiveandEfficientStrategicPlanningandStewardship 40.00%



J‐B‐40

OverallBESTotal OfficeofBiologicalandEnvironmentalResearch 3.1EffectiveandEfficientStrategicPlanningandStewardship 20.00%


OverallBERTotal OfficeofFusionEnergySciences 3.1EffectiveandEfficientStrategicPlanningandStewardship 40.00%


OverallFESTotal OfficeofHighEnergyPhysics 3.1EffectiveandEfficientStrategicPlanningandStewardship 40.00%


OverallHEPTotal OfficeofNuclearPhysics 3.1EffectiveandEfficientStrategicPlanningandStewardship 40.00%


OverallNPTotal OfficeofWorkforceDevelopmentforTeachersandScientists

3.1EffectiveandEfficientStrategicPlanningandStewardship 0%

3.2Project/Program/FacilitiesManagement 0% 3.3CommunicationsandResponsiveness 0%

OverallWDTSTotal OfficeofDefenseNuclearNonproliferation 3.1EffectiveandEfficientStrategicPlanningandStewardship 56.00%



3.1EffectiveandEfficientStrategicPlanningandStewardship 15.00%


OverallOETotal OfficeofEnergyEfficiencyandRenewableEnergy

3.1EffectiveandEfficientStrategicPlanningandStewardship 35.00%

3.2Project/Program/FacilitiesManagement 25.00%


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3.3CommunicationsandResponsiveness 40.00% OverallEERETotal

OfficeofEnvironmentalManagement 3.1EffectiveandEfficientStrategicPlanningandStewardship 0%


OverallEMTotal OfficeofFossilEnergy 3.1EffectiveandEfficientStrategicPlanningandStewardship 40.00%


OverallFETotal OfficeofIntelligence 3.1EffectiveandEfficientStrategicPlanningandStewardship 0%


OverallINTotal OfficeofNuclearEnergy 3.1EffectiveandEfficientStrategicPlanningandStewardship 0%


OverallNETotal DepartmentofHomelandSecurity 3.1EffectiveandEfficientStrategicPlanningandStewardship 40.00%


OverallDHSTotal

Table3.1–ProgramPerformanceGoal3.0ScoreDevelopment

HQProgramOffice LetterGrade

NumericalScore

FundingWeight

OverallWeightedScore(cost)

OfficeofAdvancedScientificResearch 13% OfficeofBasicEnergySciences 30% OfficeofBiologicalandEnvironmentalResearch 20% OfficeofFusionEnergySciences 1% OfficeofHighEnergyPhysics 11% OfficeofNuclearPhysics 5% Office ofWorkforce Development for TeachersandScientists 0%


OfficeofEnergyEfficiencyandRenewable 14%


J‐B‐42

EnergyOfficeofEnvironmentalManagement 0% OfficeofFossilEnergy 2% OfficeofIntelligence 0% OfficeofNuclearEnergy 0% DepartmentofHomelandSecurity 1%


Table3.2–OverallPerformanceGoal3.0ScoreDevelopment4


4WeightingsforeachCustomerlistedwithinTable3.2arepreliminary,baseduponFY2012costfigures,andareprovidedforinformationalpurposesonly.ThefinalweightstobeutilizedfordeterminingweightedscoreswillbedeterminedfollowingtheendoftheperformanceperiodandwillbebasedonactualcostforFY2013.

TotalScore

4.3‐4.1

4.0‐3.8

3.7‐3.5

3.4‐3.1

3.0‐2.8

2.7‐2.5

2.4‐2.1

2.0‐1.8

1.7‐1.1

1.0‐0.8 0.7‐0



J‐B‐41

GOAL 4.0 Provide Sound and Competent Leadership and Stewardship of the Laboratory ThisGoalevaluatestheContractor’sLeadershipcapabilitiesinleadingthedirectionoftheoverallLaboratory,theresponsivenessoftheContractortoissuesandopportunitiesforcontinuousimprovement,andcorporateofficeinvolvement/commitmenttotheoverallsuccessoftheLaboratory.InmeasuringtheperformanceoftheaboveObjectives,theDOEevaluator(s)shallconsiderperformancetrendsandoutcomesinoverallContractorLeadership’splanningfor,integrationof,responsivenesstoandsupportfortheoverallsuccessoftheLaboratory.Thismayinclude,butisnotlimitedto,thequalityofLaboratoryVision/MissionstrategicplanningdocumentationandprogressinrealizingtheLaboratoryvision/mission;theabilitytoestablishandmaintainlong‐termpartnerships/relationshipswiththescientificandlocalcommunitiesaswellasprivateindustrythatadvance,expand,andbenefittheongoingLaboratorymission(s)and/orprovidenewopportunities/capabilities;implementationofarobustassurancesystem;LaboratoryandCorporateOfficeLeadership’sabilitytoinstillresponsibilityandaccountabilitydownandthroughtheentireorganization;overalleffectivenessofcommunicationswithDOE;understanding,managementandallocationofthecostsofdoingbusinessattheLaboratorycommensuratewithassociatedrisksandbenefits;utilizationofcorporateresourcestoestablishjointappointmentsorotherprograms/projects/activitiestostrengthentheLaboratory;andadvancingexcellenceinstakeholderrelationstoincludegoodcorporatecitizenshipwithinthelocalcommunity.Objectives:4.1 LeadershipandStewardshipoftheLaboratory Bywhichwemean:Theperformanceofthelaboratory’sseniormanagementteamasdemonstratedbytheirabilitytodosuchthingsas:

• Defineanexcitingyetrealisticscientificvisionforthefutureofthelaboratory,• Makeprogressinrealizingthevisionforthelaboratory,• Establishandmaintainlong‐termpartnerships/relationshipsthatmaintainappropriaterelations

withthescientificandlocalcommunities,and• Developandleverageappropriaterelationswithprivateindustrytothebenefitofthelaboratory

andtheU.S.taxpayer.


A+

The Senior Leadership of the laboratory hasmade outstanding progress (on an order ofmagnitudescale)over thepreviousyear in realizing theirvision for the laboratory,andhashadademonstrableimpact on the Department and the Nation. Strategic plans are of outstanding quality, have beenexternally recognizedandreferenced for theirexcellence,andhavean impacton thevision/plansofothernationallaboratories.TheSeniorleadershipofthelaboratorymayhavebeenfacedverydifficultchallengesandplotted,successfully, itsowncoursethroughthedifficulty,withminimalhand‐holdingbytheDepartment.Partnersinthescientificandlocalcommunitiesapplaudthelaboratoryinnationalfora,andtheDepartmentisstrengthenedbythis.


J‐B‐42


A

The Senior Leadership of the laboratory has made significant progress over the previous year inrealizingtheirvisionforthelaboratory,andhasthroughthishashadademonstrablepositive impactontheOfficeofScienceandtheDepartment.Strategicplansareofoutstandingquality,andrecognizeandreflectthevision/plansofothernationallaboratories.Facedwithdifficultchallenges,actionsweretakenbytheSeniorleadershipofthelaboratorytoredirectlaboratoryactivitiestoenhancethelong‐termfutureofthelaboratory.Partnersinthescientificandlocalcommunitiesapplaudthelaboratoryinnationalfora,andtheDepartmentisstrengthenedbythis.

A‐ Thelaboratoryseniormanagementperformsbetterthanexpected(B+grade)intheseareas.

B+

The Senior Leadership of the laboratory has made significant progress over the previous year inrealizingtheirvisionforthelaboratory.Strategicplanspresentlongrangegoalsthatarebothexcitingandrealistic. Decisionsandactions takenby the lab leadershipalignwork, facilities,equipmentandtechnicalcapabilitieswiththelaboratoryvisionandplan.TheSeniorleadershipofthelaboratoryfaceddifficult challengesandsuccessfullyplotted itsowncourse through thedifficulty,withhelp fromtheDepartment.Partnersinthescientificandlocalcommunitiesaresupportiveofthelaboratory.

B

TheSeniorLeadershipofthelaboratoryhasmadelittleprogressoverthepreviousyearinrealizingtheirvisionforthelaboratory.Strategicplanspresentlongrangegoalsthatareexcitingandrealistic;howeverDOEisnotfullyconfidentthatthelaboratoryistakingtheactionsnecessaryforthegoalstobeachieved.TheLaboratoryisnotfullyengagedwithitspartners/relationshipsinthescientificandlocalcommunitiestomaximizethepotentialbenefitstheserelationshaveforthelaboratory.

C

TheSeniorLeadershipofthelaboratoryhasmadenoprogressoverthepreviousyearinrealizingtheirvisionforthelaboratoryoraligningwork,facilities,equipmentandtechnicalcapabilitieswiththelaboratoryvisionandplan.Strategicplanspresentlongrangegoalsthatareeitherunexcitingorunrealistic.Businessplansexist,buttheyarenotlinkedtothestrategicplananddonotinspireDOE’sconfidencethatthestrategicgoalswillbeachieved.Partnershipswiththescientificandlocalcommunitieswithpotentialtoadvancethelaboratoryexist,buttheymaynotalwaysbeconsistentwiththemissionoforvisionforthelaboratory.Affectedcommunitiesandstakeholdersaremostlysupportiveofthelaboratoryandalignedwiththemanagement’svisionforthelaboratory.

D

TheSeniorLeadershipofthelaboratoryhasmadenoprogressorhasback‐slidoverthepreviousyearinrealizingtheirvisionforthelaboratoryorinaligningwork,facilities,equipmentandtechnicalcapabilitieswiththelaboratoryvisionandplan.Strategicplanspresentlongrangegoalsthatareneitherexcitingnorrealistic.PartnershipsthatmayadvancetheLaboratorytowardsstrategicgoalsareinappropriate,unidentified,orunlikely.Affectedcommunitiesandstakeholdersarenotadequatelyengagedwiththelaboratoryandindicatenon‐alignmentwithDOEpriorities.

F

TheSeniorLeadershipofthelaboratoryhasmadenoprogressorhasback‐slidoverthepreviousyearinrealizingtheirvisionforthelaboratoryorinoraligningwork,facilities,equipmentandtechnicalcapabilitieswiththelaboratoryvisionandplan.StrategicplanspresentlongrangegoalsthatarenotalignedwithDOEprioritiesorthemissionofthelaboratory.PartnershipsthatmayadvancetheLaboratorytowardsstrategicgoalsareinappropriate,unidentified,andunlikely,and/ortheseniormanagementteamdoesnotdemonstrateaconcertedefforttodevelop,leverage,andmaintainrelationswiththescientificandlocalcommunitiestoassistthelaboratoryinachievingasuccessfulfuture.Affectedcommunitiesandstakeholdersareopenlynon‐supportiveofthelaboratoryandDOEpriorities.

4.2ManagementandOperationoftheLaboratoryBywhichwemean:Theperformanceofthelaboratory’sseniormanagementteamasdemonstratedbytheirabilitytodosuchthingsas:

• Implementarobustcontractorassurancesystem,


J‐B‐43

• Understand the costs of doing business at the laboratory andprioritize themanagement andallocationofthesecostscommensuratewiththeirassociatedrisksandbenefits,

• Instillacultureofaccountabilityandresponsibilitydownandthroughtheentireorganization;• Ensuregoodand timelycommunicationbetween the laboratoryandSCheadquartersand the

SiteOfficesothatDOEcandealeffectivelywithbothinternalandexternalconstituencies.LetterGrade Definition

A+

Thelaboratoryhasanationallyorinternationallyrecognizedcontractorassurancesysteminplacethatintegrates internal and external (corporate) evaluation processes to evaluate risk, and isworking tohelp others internal and external to the Department establish similarly outstanding practices. Thelaboratoryunderstandsthedriversofcostat their lab,andareprioritizingandmanagingthesecostscommensuratewiththeassociatedrisksandbenefitstothelaboratoryandtheSClaboratorysystem.

Laboratory management and processes reflect a sense of accountability and responsibility with isevident down and through the entire organization. Communication between the laboratory and SCheadquarters and the SiteOffice is such that all the national laboratories and the Department as awholebenefits.

A

Thelaboratoryhasimproveddramaticallyinthelastyearinallofthefollowing:buildingarobustandtransparentcontractorassurancesystemthatintegratesinternalandexternal(corporate)evaluationprocessestoevaluaterisk;demonstratingtheuseofthissysteminmakingdecisionsthatarealignedwiththelaboratory’svisionandstrategicplan;understandingthedriversofcostattheirlab,andprioritizingandmanagingthesecostsconsistentwiththeirassociatedrisksandbenefitstothelaboratoryandtheSClaboratorysystem;demonstratinglaboratorymanagementandprocessesreflectasenseofaccountabilityandresponsibilitywithisevidentdownandthroughtheentireorganization;assuringcommunicationbetweenthelaboratoryandSCheadquartersthatisbeneficialtoboththelabandSC.


B+

Thelaboratoryhasarobustandtransparentcontractorassurancesysteminplacethatintegratesinternalandexternal(corporate)evaluationprocessestoevaluaterisk.Thelaboratorycandemonstrateuseofthissysteminmakingdecisionsthatarealignedwiththelaboratory’svisionandstrategicplan.Thelaboratoryunderstandsthedriversofcostattheirlab,andareprioritizingandmanagingthesecostscommensuratewiththeassociatedrisksandbenefitstothelaboratoryandtheSClaboratorysystem.Laboratorymanagementandprocessesreflectasenseofaccountabilityandresponsibilitywithisevidentdownandthroughtheentireorganization.CommunicationbetweenthelaboratoryandSCheadquartersandtheSiteOfficeissuchthattherearenosurprisesorembarrassments.

B

Thelaboratoryhasacontractorassurancesysteminplacebutfurtherimprovementsarenecessary,orthelinkbetweentheCASandthelaboratory’sdecision‐makingprocessesarenotevident.Thelaboratoryunderstandsthedriversofcostattheirlab,buttheyarenotprioritizingandmanagingthesecostsaswellastheyshouldtobecommensuratewiththeassociatedrisksandbenefitstothelaboratoryandtheSClaboratorysystem.Laboratorymanagementandprocessesreflectasenseofaccountabilityandresponsibilitywithismostlyevidentdownandthroughtheentireorganization.CommunicationbetweenthelaboratoryandSCheadquartersandtheSiteOfficeissuchthattherearenosignificantsurprisesorembarrassments.

C

Thelaboratorylacksarobustandtransparentcontractorassurancesysteminplacethatintegratesinternalandexternal(corporate)evaluationprocessestoevaluaterisk.Thelaboratorycannotdemonstrateuseofthissysteminmakingdecisionsthatarealignedwiththelaboratory’svisionandstrategicplan.Thelaboratorydoesnotfullyunderstandthedriversofcostattheirlab,andthusarenotprioritizingandmanagingthesecostsaswellastheyshouldtobecommensuratewiththeassociatedrisksandbenefitstothelaboratoryandtheSClaboratorysystem.Communicationbetween


J‐B‐44

thelaboratoryandSCheadquartersandtheSiteOfficeissuchthattherehasbeenatleastonesignificantsurpriseorembarrassment.

D

Thelaboratorylacksacontractorassurancesystem,doesn’tunderstandthedriversofcostattheirlab,andisnotprioritizingandmanagingcosts.SCHQmustintercedeinmanagementdecisions.PoorcommunicationbetweenthelaboratoryandSCheadquartersandtheSiteOfficehasresultedinmorethanonesignificantsurpriseorembarrassment.

F Lackofmanagementbythelaboratory’sseniormanagementhasputthefutureofthelaboratoryatrisk,orhassignificantlyhurtthereputationoftheOfficeofScience.

4.3 ContractorValue‐addedBywhichwemean:theadditionalbenefitsthataccruetothelaboratoryandtheDepartmentofEnergybyvirtueofhavingthisparticularM&Ocontractorinplace.Includedhere,typically,arethingsoverwhichthelaboratoryleadershipdoesnothaveimmediateauthority,suchas:

• Corporateinvolvement/contributionstodealwithchallengesatthelaboratory;• Usingcorporateresourcestoestablishjointappointmentsorotherprograms/projects/activities

thatstrengthenthelab,and• Providingother contributions to the laboratory that that enable the lab todo things that are

goodforthelaboratoryanditscommunityandthatDOEcannotsupply.LetterGrade Definition

A+The laboratory has been transformed as a result of the many, substantial, additional benefits thataccruetothelabasaresultofthiscontractor’soperationofthelaboratory.

AOverthepastyear,thelaboratoryhasbecomedemonstrablystronger,betterandmoreattractiveasaplaceofemploymentasaresultofthemany,substantial,additionalbenefitsthataccruetothelabasaresultofthiscontractor’soperationofthelaboratory.


B+ Thelaboratoryenjoysadditionalbenefitsaboveandbeyondthoseassociatedwithmanagingthelaboratory’sactivitiesthataccrueasaresultofthiscontractor’soperationofthelaboratory.

B Thelaboratoryenjoysfewadditionalbenefitsthataccrueasaresultofthiscontractor’soperationofthelaboratory;helpbythecontractorisneededtostrengthenthelaboratory.

C Thelaboratoryenjoysfewadditionalbenefitsthataccrueasaresultofthiscontractor’soperationofthelaboratory;thecontractorseemsunabletohelpthelaboratory.

DThelaboratoryenjoysfewadditionalbenefitsthataccrueasaresultofthiscontractor’soperationofthelaboratory;thecontractor’seffortsareinconsistentwiththeinterestsofthelaboratoryandtheDepartment.

F Thelaboratoryenjoysnoadditionalbenefitsthataccrueasaresultofthiscontractor’soperationofthelaboratory;thecontractor’seffortsarecounter‐productivetotheinterestsoftheDepartment.

NotableOutcomes• UniversityofCaliforniaandLBNLwillinitiateandcompletealongrangedevelopmentplanand

initiateanenvironmentalreviewunderNEPAandCEQAforaLBNLsecondcampus.(Objectives4.1and4.3)

ELEMENTLetterGrade

NumericalScore

ObjectiveWeight

OverallScore


J‐B‐45

ELEMENTLetterGrade

NumericalScore

ObjectiveWeight

OverallScore

Goal 4.0 – Provide Sound and Competent LeadershipandStewardshipoftheLaboratory

4.1LeadershipandStewardshipoftheLaboratory 33.0%

4.2ManagementandOperationoftheLaboratory 33.0%

4.3ContractorValue‐Added 34.0%


Table4.1–PerformanceGoal4.0ScoreDevelopment


GOAL5.0 SustainExcellenceandEnhanceEffectivenessofIntegratedSafety,Health,and

EnvironmentalProtectionTheweightofthisGoalis30%.ThisGoalevaluatestheContractor’soverallsuccessindeploying,implementing,andimprovingintegratedES&Hsystemsthatefficientlyandeffectivelysupportthemission(s)oftheLaboratory.5.1 ProvideanEfficientandEffectiveWorkerHealthandSafetyProgram5.2 ProvideEfficientandEffectiveEnvironmentalManagementSystem

InmeasuringtheperformanceoftheaboveObjectives,theDOEevaluator(s)shallconsiderperformancetrendsandoutcomesinprotectingworkers,thepublic,andtheenvironment.Thismayinclude,butisnotlimitedto,minimizingtheoccurrenceofenvironment,safetyandhealth(ESH)incidents;effectivenessoftheIntegratedSafetyManagement(ISM)system;effectivenessofworkplanning,feedback,andimprovementprocesses;thestrengthofthesafetyculturethroughouttheLaboratory;theeffectivedevelopment,implementationandmaintenanceofanefficientandeffectiveEnvironmentalManagementsystem;andtheeffectivenessofresponsestoidentifiedhazardsand/orincidents.NotableOutcomes• LBNLwillimprovepedestrianandtrafficsafetybyincludingpedestrianandtrafficimpactsintothe

constructiondesignreviewprocess,continuingprogressonplannedpedestriansafetyinfrastructureimprovementsandraisingawareness.(Objective5.1)

• LBNLwillimprovetheFireProtectionProgrambydevelopingandimplementingcorrectiveactionstoaddressdeficienciesidentifiedintheFY12LBNL/BSOFireProtectionProgramassessmentreport.

TotalScore

4.3‐4.1

4.0‐3.8

3.7‐3.5

3.4‐3.1

3.0‐2.8

2.7‐2.5

2.4‐2.1

2.0‐1.8

1.7‐1.1

1.0‐0.8 0.7‐0



J‐B‐46

CorrectiveactionswilldemonstrateimprovementsforInspection,Testing&MaintenanceofFireSafetySystems,FireAlarmSystemsMaintenance&Repair,andFireSprinkler/SuppressionMaintenance&Repair.(Objective5.1)

ELEMENT LetterGrade

NumericalScore

ObjectiveWeight

OverallScore

Goal5.0‐SustainExcellenceandEnhanceEffectivenessofIntegratedSafety,Health,andEnvironmentalProtection.

5.1ProvideanEfficientandEffectiveWorkerHealthandSafetyProgram 75%

5.2ProvideanEfficientandEffectiveEnvironmentalManagementSystem 25%




TotalScore

4.3‐4.1

4.0‐3.8

3.7‐3.5

3.4‐3.1

3.0‐2.8

2.7‐2.5

2.4‐2.1

2.0‐1.8

1.7‐1.1

1.0‐0.8 0.7‐0



J‐B‐47

GOAL6.0 DeliverEfficient,Effective,andResponsiveBusinessSystemsandResourcesthatEnabletheSuccessfulAchievementoftheLaboratoryMission(s)

TheweightofthisGoalis28%.ThisGoalevaluatestheContractor’soverallsuccessindeploying,implementing,andimprovingintegratedbusinesssystemsthatefficientlyandeffectivelysupportthemission(s)oftheLaboratory.6.1 ProvideanEfficient,Effective,andResponsiveFinancialManagementSystem6.2 ProvideanEfficient,Effective,andResponsiveAcquisitionManagementSystemandProperty

ManagementSystem6.3 ProvideanEfficient,Effective,andResponsiveHumanResourcesManagementSystemand

DiversityProgram6.4 ProvideEfficient,Effective,andResponsiveContractorAssuranceSystems,includingInternal

AuditandQuality6.5 DemonstrateEffectiveTransferofTechnologyandCommercializationofIntellectualAssets

InmeasuringtheperformanceoftheaboveObjectives,theDOEevaluator(s)shallconsiderperformancetrendsandoutcomes in thedevelopment,deploymentand integrationof foundationalprogram (e.g.,Contractor Assurance, Quality, Financial Management, Acquisition Management, PropertyManagement,andHumanResourceManagement)systemsacrosstheLaboratory.Thismayinclude,butis not limited to,minimizing the occurrence ofmanagement systems support issues; quality of workproducts; continual improvement driven by the results of audits, reviews, and other performanceinformation; the integrationofsystemperformancemetricsandtrends; thedegreeofknowledgeandappropriate utilization of established system processes/procedures by Contractor management andstaff; benchmarking and performance trending analysis. The DOE evaluator(s) shall also consider thestewardshipofthepipelineofinnovationsandresultingintellectualassetsattheLaboratoryalongwithimpacts and returns created/generated as a result of technology transfer, work for others andintellectualassetdeploymentactivities.NotableOutcomes• NoFY2013notableoutcomesproposedfor6.0.

ELEMENT LetterGrade

NumericalScore

ObjectiveWeight

OverallScore

Goal6.0‐DeliverEfficient,Effective,andResponsiveBusinessSystemsandResourcesthatEnabletheSuccessfulAchievementoftheLaboratoryMission(s)

6.1 ProvideanEfficient,Effective,andResponsiveFinancialManagementSystem(s) 30%

6.2 ProvideanEfficient,Effective,andResponsiveAcquisitionManagementSystemandPropertyManagementSystem

35%

6.3 ProvideanEfficient,Effective,andResponsiveHumanResourcesManagementSystemandDiversityProgram

15%


J‐B‐48

ELEMENT LetterGrade

NumericalScore

ObjectiveWeight

OverallScore

6.4 ProvideEfficient,Effective,andResponsiveContractorAssuranceSystems,includingInternalAuditandQuality

10%

6.5 DemonstrateEffectiveTransferofTechnologyandCommercializationofIntellectualAssets 10%




TotalScore

4.3‐4.1

4.0‐3.8

3.7‐3.5

3.4‐3.1

3.0‐2.8

2.7‐2.5

2.4‐2.1

2.0‐1.8

1.7‐1.1

1.0‐0.8 0.7‐0



J‐B‐49

GOAL7.0 SustainExcellenceinOperating,Maintaining,andRenewingtheFacilityandInfrastructurePortfoliotoMeetLaboratoryNeeds

TheweightofthisGoalis28%.ThisGoalevaluatestheoveralleffectivenessandperformanceoftheContractorinplanningfor,delivering,andoperationsofLaboratoryfacilitiesandequipmentneededtoensurerequiredcapabilitiesarepresenttomeettoday’sandtomorrow’smission(s)andcomplexchallenges.7.1 ManageFacilitiesandInfrastructureinanEfficientandEffectiveMannerthatOptimizesUsage,

MinimizesLifeCycleCosts,andEnsuresSiteCapabilitytoMeetMissionNeeds7.2 ProvidePlanningforandAcquiretheFacilitiesandInfrastructureRequiredtoSupportthe

ContinuationandGrowthofLaboratoryMissionsandProgramsInmeasuringtheperformanceoftheaboveObjectives,theDOEevaluator(s)shallconsiderperformancetrendsandoutcomesinfacilityandinfrastructureprograms.Thismayinclude,butisnotlimitedto,themanagementofrealpropertyassetstomaintaineffectiveoperationalsafety,workerhealth,environmentalprotectionandcompliance,propertypreservation,andcosteffectiveness;effectivefacilityutilization,maintenanceandbudgetexecution;day‐to‐daymanagementandutilizationofspaceintheactiveportfolio;maintenanceandrenewalofbuildingsystems,structuresandcomponentsassociatedwiththeLaboratory’sfacilityandlandassets;managementofenergyuse,conservation,andsustainabilitypractices;theintegrationandalignmentoftheLaboratory’scomprehensivestrategicplanwithcapabilities;facilityplanning,forecasting,andacquisition;thedeliveryofaccurateandtimelyinformationrequiredtocarryoutthecriticaldecisionandbudgetformulationprocess;qualityofsiteandfacilityplanningdocuments;andCostandSchedulePerformanceIndexperformanceforfacilityandinfrastructureprojects.NotableOutcomes• LBNLwillexpandtheTotalProductivemaintenance(TPM)programto15additionalMissionCritical

buildingsnotpreviouslyincluded.TPMwillidentifycriticalbuildingsystems,analyzepreventativeandcorrectivemaintenanceprogramstoidentifyandcorrectrootcausesforhighfrequencyrepairs.(Objective7.1)

ELEMENT LetterGrade

NumericalScore

ObjectiveWeight

OverallScore

Goal7.0‐SustainExcellenceinOperating,Maintaining,andRenewingtheFacilityandInfrastructurePortfoliotoMeetLaboratoryNeeds.

7.1 ManageFacilitiesandInfrastructureinanEfficientandEffectiveMannerthatOptimizesUsage,MinimizesLifeCycleCosts,andEnsuresSiteCapabilitytoMeetMissionNeeds

50%

7.2 ProvidePlanningforandAcquiretheFacilitiesandInfrastructureRequiredtosupporttheContinuationandGrowthofLaboratoryMissionsandPrograms

50%




J‐B‐50


TotalScore

4.3‐4.1

4.0‐3.8

3.7‐3.5

3.4‐3.1

3.0‐2.8

2.7‐2.5

2.4‐2.1

2.0‐1.8

1.7‐1.1

1.0‐0.8 0.7‐0



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GOAL8.0 SustainandEnhancetheEffectivenessofIntegratedSafeguardsandSecurityManagement(ISSM)andEmergencyManagementSystems

TheweightofthisGoalis14%.ThisGoalevaluatestheContractor’soverallsuccessinsafeguardingandsecuringLaboratoryassetsthatsupportsthemission(s)oftheLaboratoryinanefficientandeffectivemannerandprovidesaneffectiveemergencymanagementprogram.8.1 ProvideanEfficientandEffectiveEmergencyManagementSystem8.2 ProvideanEfficientandEffectiveCyberSecuritySystemfortheProtectionofClassifiedand

UnclassifiedInformation8.3 ProvideanEfficientandEffectivePhysicalSecurityProgramfortheProtectionofSpecialNuclear

Materials,ClassifiedMatter,ClassifiedInformation,SensitiveInformation,andPropertyInmeasuringtheperformanceoftheaboveObjectives,theDOEevaluator(s)shallconsiderperformancetrendsandoutcomesinthesafeguardsandsecurity,cybersecurityandemergencymanagementprogramsystems.Thismayinclude,butisnotlimitedto,thecommitmentofleadershiptostrongsafeguardsandsecurity,cybersecurityandemergencymanagementsystems;theintegrationofthesesystemsintothecultureoftheLaboratory;thedegreeofknowledgeandappropriateutilizationofestablishedsystemprocesses/proceduresbyContractormanagementandstaff;maintenanceandtheappropriateutilizationofSafeguards,Security,andCyberriskidentification,prevention,andcontrolprocesses/activities;andthepreventionandmanagementcontrolsandpromptreportingandmitigationofeventsasnecessary.NotableOutcomes• Toenhanceourexistinginternaldetectionandresponse,LBNLwillexpandourintrusion

detectionsystem,Bro,tomonitorkeyinternalnetworks.Thiswillincreasethetypesandamountofinformationavailabletousaboutinternalnetworkactivityallowingustorefineourresponsestopotentiallymaliciousbehavioronourinternalnetwork.(Objective8.2)

• LBNLwillcompleteacomprehensivesecurityimprovementsmasterplananddevelopanimplementationplantomodernizethesecuritytechnologyinfrastructureandimprovesecurityalarms,closedcircuittelevision,accesscontrolsandsystemmanagement.Fullimplementationoftheplanwillbeaccomplishedovermultipleperformanceperiods.(Objective8.3)

ELEMENT LetterGrade

NumericalScore

ObjectiveWeight

OverallScore

Goal8.0‐SustainandEnhancetheEffectivenessofIntegratedSafeguardsandSecuritymanagement(ISSM)andEmergencyManagementSystems.

8.1 ProvideanEfficientandEffectiveEmergencyManagementSystem 30%

8.2 ProvideanEfficientandEffectiveCyberSecuritySystemfortheProtectionofClassifiedandUnclassifiedInformation

40%


J‐B‐52

ELEMENT LetterGrade

NumericalScore

ObjectiveWeight

OverallScore

8.3 ProvideanEfficientandEffectivePhysicalSecurityProgramfortheProtectionofSpecialNuclearMaterials,ClassifiedMatter,ClassifiedInformation,SensitiveInformation,andProperty

30%




TotalScore

4.3‐4.1

4.0‐3.8

3.7‐3.5

3.4‐3.1

3.0‐2.8

2.7‐2.5

2.4‐2.1

2.0‐1.8

1.7‐1.1

1.0‐0.8 0.7‐0



J‐B‐53

AttachmentIProgramOfficeGoal&ObjectiveWeightingsOfficeofScience

ASCR BER BES FES HEP NP WDTS

Weight Weight Weight Weight Weight Weight WeightGoal1.0MissionAccomplishment GoalWeight 1.1Impact 1.2Leadership Goal2.0Design,Fabrication,ConstructionandOperationofFacilities

GoalWeight 2.1DesignofFacility(theinitiationphaseandthedefinitionphase,i.e.activitiesleadinguptoCD‐2)

2.2ConstructionofFacility/FabricationofComponents(executionphase,PostCD‐2toCD‐4)

2.3OperationofFacility 2.4UtilizationofFacilitytoGrowandSupportLab'sResearchBaseandExternalUserCommunity

Goal3.0ProgramManagement

GoalWeight

3.1EffectiveandEfficientStrategicPlanningandStewardship 3.2Project/Program/FacilitiesManagement 3.3CommunicationsandResponsiveness


J‐B‐54

AttachmentIProgramOfficeGoal&ObjectiveWeightingsAllOtherCustomers5

DNN DHS EERE IN FE NE EM OE Weight Weight Weight Weight Weight Weight Weight WeightGoal1.0MissionAccomplishment

GoalWeight

1.1Impact

1.2Leadership Goal2.0Design,Fabrication,ConstructionandOperationofFacilities

GoalWeight

2.1DesignofFacility(theinitiationphaseandthedefinitionphase,i.e.activitiesleadinguptoCD‐2)

2.2ConstructionofFacility/FabricationofComponents(executionphase,PostCD‐2toCD‐4)

2.3OperationofFacility

2.4UtilizationofFacilitytoGrowandSupportLab'sResearchBaseandExternalUserCommunity

Goal3.0ProgramManagement GoalWeight 3.1EffectiveandEfficientStrategicPlanningandStewardship

3.2Project/Program/FacilitiesManagement 3.3CommunicationsandResponsiveness

5GoalandObjectiveweightingsindicatedfornon‐sciencecustomersarereflectiveofFY2012weightingsandwillbeupdatedasthosecustomersprovidetheirweightings.FinalGoalandObjectiveweightingswillbeincorporated,asappropriate,oncetheyaredeterminedbyeachHQProgramOfficeandprovidedtotheSiteOffice.ShouldaHQProgramOfficefailtoprovidefinalGoalandObjectiveweightingsbeforetheendofthefirstquarterFY2013thepreliminaryweightingsprovidedshallbecomefinal.

attachment j‐2 appendix b fy 2013 performance … · fy 2013 performance ... 1.1 provide science...

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