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Aligning the Governance Structure of the NNSA Laboratories to Meet 21st Century National Security Challenges (2015)

Chapter: Appendix H: Conceptual Model for Facilitating the WFO Approval Process

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Suggested Citation:"Appendix H: Conceptual Model for Facilitating the WFO Approval Process." National Research Council. 2015. Aligning the Governance Structure of the NNSA Laboratories to Meet 21st Century National Security Challenges. Washington, DC: The National Academies Press. doi: 10.17226/19326.
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H

Conceptual Model for Facilitating the WFO Approval Process
1

The conceptual model proposed here under a system of Work Scope Agreements/Work Boundary Agreements (WSA/WBA) mentioned in Recommendation 4.1 would allow work to come into the NNSA laboratories with a significantly reduced amount of approval overhead. The responsibility for the safe, secure, and environmentally responsible execution of the work would be placed on the laboratories and their management and operating (M&O) contractor. A demonstrable, robust system of review and management would have to be in place at each laboratory for the system to be approved.

The notional Work Scope Agreement (WSA) in Box H.1 is a very limited example of the type of agreement that would allow maximum flexibility and efficiency in processing Interagency Orders (IOs, or Work for Others [WFO] contracts) while assuring that appropriate controls are in place to assure that legal and regulatory requirements are met. It outlines an agreement between one NNSA laboratory (LLNL) and one strategic partner agency (the Department of Defense [DOD]).

Note that these technical areas could be derived from descriptions of existing work from the determinations and findings (D&Fs) required in each WFO contract. A careful review of all current D&Fs would allow a comprehensive list of work that has already been attested by both

______________

1 This appendix is based on material supplied by Dori Ellis, Associate Director at Large for Interagency Mission Enhancement, Lawrence Livermore National Laboratory, on September 17, 2014.

Suggested Citation:"Appendix H: Conceptual Model for Facilitating the WFO Approval Process." National Research Council. 2015. Aligning the Governance Structure of the NNSA Laboratories to Meet 21st Century National Security Challenges. Washington, DC: The National Academies Press. doi: 10.17226/19326.
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BOX H.1
Notional Work Scope Agreement

Work Scope Agreement between the Department of Energy and the Department of Defense for FYxx through FYxy Interagency Orders To Be Performed at Lawrence Livermore National Laboratory

The Department of Defense proposes to issue multiple IOs to be performed at the Department of Energy Federally Funded Research and Development Center at Lawrence Livermore National Laboratory in the areas of research and development identified below, in a combined amount not to exceed $XXXXM. The period of performance of this agreement is from October 1, 201x through September 30, 201y.

IOs shall be issued pursuant to the authority of the [appropriate legal authority]. As required by Federal Acquisition Regulation 17.503, DOD has confirmed with DOE that these projects are permitted under the terms of DOE’s sponsoring agreement and verified that this work cannot be obtained conveniently or economically through other sources, and does not place the Laboratory in direct competition with private industry.

Categories of work to be performed under this agreement include:

  1. General technical area 1.
  2. General technical area 2.
  3. Etc.

The Department of Energy concurs that work executed under this Work Scope Agreement is consistent with the missions of DOE and within the capabilities and capacity of Lawrence Livermore National Laboratory. This work will be performed under the auspices of the U.S. Department of Energy by Lawrence Livermore National Laboratory under contract DEAC5207NA27344 with Lawrence Livermore National Security, LLC, and subject to the terms and conditions of that agreement.

______________________
Signature: DOE representative

______________________
Signature: DOD representative

the Department of Energy (DOE) and DOD as meeting the federally funded research and development center criteria. This agreement could be reached annually, or over some longer period, as the types of work that the laboratories execute for DOD are consistent and based on the core capabilities and experience of the laboratory in question. It would be expected that there would be one WSA for each partnership between a laboratory and a strategic partner agency. Because more than 80 percent

Suggested Citation:"Appendix H: Conceptual Model for Facilitating the WFO Approval Process." National Research Council. 2015. Aligning the Governance Structure of the NNSA Laboratories to Meet 21st Century National Security Challenges. Washington, DC: The National Academies Press. doi: 10.17226/19326.
×

of the WFO portfolio at LLNL is executed on behalf of three agencies, the number of individual transactions would be reduced dramatically.

WORK BOUNDARY AGREEMENT

The other half of the conceptual model between the NNSA laboratories, DOE, and other agencies is the WBA. This agreement would be between the DOE/NNSA and its laboratories. It covers those areas of operations requirements that must be met for the IOs to receive automatic approval (with an appropriate audit trail) from DOE. The WBAs would cover environment, safety, and health (ES&H), security, facility, project, and financial management, and any other appropriate operations requirements. All of these requirements are already documented in the individual contracts between the management and operating (M&O) contractors and DOE. If the Contract Assurance Systems are working properly, establishing the working envelope should be straightforward, although perhaps tedious the first time through.

Automatic approval of IOs would only be allowed if the laboratory attests that appropriate review has taken place and the project is in compliance with all requirements. For example, in ES&H a project review might include the following:

  1. Review for compliance with DOE environmental, safety, and health requirements.
  2. Assurance that the laboratory/facility contains all necessary ES&H approvals (laser interlocks, Operational Security Plan, Facility Safety Procedure, etc.) required for this type of work. The work will be performed in accordance with [the laboratory’s] Integrated Safety Management program.
  3. Assurance that the development effort is within the existing safety basis of the facility in which it will be executed.
  4. Pre-start reviews and standard laboratory ES&H protocols, as required.
  5. Review for compliance to all applicable ES&H standards.
  6. If needed, an Integrated Work Sheet as required by Integrated Safety Management System standards.

The requirements for the WBA could be obtained from the existing ES&H and other requirements that are levied on all recent projects. These agreements could be approved on the same schedule as the WSAs, with periodic renewals.

Suggested Citation:"Appendix H: Conceptual Model for Facilitating the WFO Approval Process." National Research Council. 2015. Aligning the Governance Structure of the NNSA Laboratories to Meet 21st Century National Security Challenges. Washington, DC: The National Academies Press. doi: 10.17226/19326.
×

WORK STATEMENT

The work statement defines the effort and enables execution by the laboratory. It is typically refined by an iterative process between the sponsoring agency, the NNSA field office, and the laboratory. This process, which can be time consuming, would not change. However, in this model the work statement is only provided to DOE for information (i.e., not requiring approval) to ensure DOE cognizance that the work is within the boundary agreement.

EXCEPTIONS

Neither the WSA nor the WBA would allow the laboratories to do work that is not already routinely approved under the current review and approval system. Work outside of the norm—for example, work that requires expanding the safety basis of a facility, introducing Category I or Category II radioactive material onto the site, having explosives over a certain limit, requiring facility modification over a some limit, or other “off-normal” conditions, could be exempted from the pre-approval process and require additional review by the field office.

Suggested Citation:"Appendix H: Conceptual Model for Facilitating the WFO Approval Process." National Research Council. 2015. Aligning the Governance Structure of the NNSA Laboratories to Meet 21st Century National Security Challenges. Washington, DC: The National Academies Press. doi: 10.17226/19326.
×
Page 76
Suggested Citation:"Appendix H: Conceptual Model for Facilitating the WFO Approval Process." National Research Council. 2015. Aligning the Governance Structure of the NNSA Laboratories to Meet 21st Century National Security Challenges. Washington, DC: The National Academies Press. doi: 10.17226/19326.
×
Page 77
Suggested Citation:"Appendix H: Conceptual Model for Facilitating the WFO Approval Process." National Research Council. 2015. Aligning the Governance Structure of the NNSA Laboratories to Meet 21st Century National Security Challenges. Washington, DC: The National Academies Press. doi: 10.17226/19326.
×
Page 78
Suggested Citation:"Appendix H: Conceptual Model for Facilitating the WFO Approval Process." National Research Council. 2015. Aligning the Governance Structure of the NNSA Laboratories to Meet 21st Century National Security Challenges. Washington, DC: The National Academies Press. doi: 10.17226/19326.
×
Page 79
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Aligning the Governance Structure of the NNSA Laboratories to Meet 21st Century National Security Challenges is an independent assessment regarding the transition of the National Nuclear Security Administration (NNSA) laboratories - Los Alamos National Laboratory, Lawrence Livermore National Laboratory, and Sandia National Laboratories - to multiagency, federally funded research and development centers with direct sustainment and sponsorship by multiple national security agencies. This report makes recommendations for the governance of NNSA laboratories to better align with the evolving national security landscape and the laboratories' increasing engagement with the other national security agencies, while simultaneously encouraging the best technical solutions to national problems from the entire range of national security establishments. According to this report, the Department of Energy should remain the sole sponsor of the NNSA laboratories as federally funded research and development centers. The NNSA laboratories will remain a critically important resource to meet U.S. national security needs for many decades to come. The recommendations of Aligning the Governance Structure of the NNSA Laboratories to Meet 21st Century National Security Challenges will improve the governance of the laboratories and strengthen their strategic relationship with the non-DOE national security agencies.

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