Display Related Directives to this directive.

U.S. Department of Energy ORDER
Washington, D.C. DOE O 481.1
Approved: 9-30-96
Sunset Review: 9-30-98
Expires: 9-30-00

SUBJECT: WORK FOR OTHERS (NON-DEPARTMENT OF ENERGY FUNDED
WORK)

1. OBJECTIVES. Work for Others (WFO) is the performance of work for non-DOE entities
by DOE/contractor personnel and/or the utilization of DOE facilities that is not directly
funded by DOE appropriations. WFO has the following objectives.

a. To provide assistance to other federal agencies and non-federal entities in
accomplishing goals that may otherwise be unattainable and to avoid the possible
duplication of effort at federal facilities.

b. Where private sector facilities are inadequate, to provide access for non-DOE entities to
highly specialized or unique DOE facilities, services, or technical expertise.

c. To increase research and development (R&D) interactions between DOE facilities and
industry to transfer technology originating in DOE facilities to industry for further
development or commercialization.

d. To maintain core competencies and enhance the science and technology base at DOE
facilities.

2. CANCELLATION. This Order cancels DOE 4300.2C, NON-DEPARTMENT OF
ENERGY FUNDED WORK (Work for Others), dated December 28, 1994.

3. APPLICABILITY. The provisions of this Order apply to all Departmental Elements and
contractors performing Work for Others as provided by law or contract and as implemented
by the appropriate DOE contracting officer or authorized designee. This Order does not
apply to the following.

a. Services, products, or materials regularly produced for sale at schedule rates under
Departmental programs (e.g., routine irradiation services, radioisotopes, heavy water,
and Naval Petroleum Reserve oil sales).

b. Work performed by non-DOE contractor personnel at a DOE-approved User Facility
(e.g., the National Synchrotron Light Source) or at a Defense Programs Technology
Deployment Center/User Facility (e.g., the Electronics Quality Reliability Center).

c. DOE-funded work/services performed by one DOE facility contractor for another.

d. Visits or assignments of foreign nationals to DOE facilities.

e. Consulting services by individual employees not representing themselves as DOE
employees or DOE facility contractor employees.

f. Cooperative Research and Development Agreements (CRADAs) performed under the
National Competitiveness Technology Transfer Act of 1989.

g. Work for the Navy/DOE Naval Nuclear Propulsion Program.

h. Intergovernmental Personnel Act (IPA) assignments.

4. REQUIREMENTS. It is Departmental policy that DOE resources be made available to non-
DOE entities; however, the following requirements, and requirements in other DOE Orders
and applicable regulations, must be satisfied prior to performance of work.

a. For all work performed in the field, the following determinations must be made and
certified in writing by the responsible DOE contracting officer or authorized designee.
For all work performed in Headquarters, these determinations must be made and
certified in writing by a Headquarters contracting officer or authorized designee. The
responsible DOE contracting officer may delegate to the contractor the authority to
make and certify in writing these determinations and accept WFO projects for non-
federal sponsors consistent with the requirements of this Order and DOE M 481.1-1.

(1) The proposed work is consistent with or complementary to DOE missions and
the missions of the facility to which the work is to be assigned.

(2) The proposed work will not adversely impact execution of assigned programs of
the facility.

(3) The proposed work will not place the facility in direct competition with the
domestic private sector.

(4) The proposed work will not create a detrimental future burden on DOE
resources.

b. In addition to paragraph 4a above, the following is required from federal agencies other
than the Nuclear Regulatory Commission: a written statement (example below) on or
with the funding document stating that:

(1) the requesting agency has determined that entering into an agreement with DOE
is in compliance with the requirements of the Economy Act of 1932, as amended
(31 U.S.C. 1535) [or other applicable authorizations; for example, Executive
Order 12333];

(2) the requesting agency has determined that entering into an agreement with DOE
is in compliance with the Federal Acquisition Regulation (FAR) 6.002; and

(3) to the best of its knowledge, the work requested will not place DOE and its
contractor in direct competition with the domestic private sector.

Sample Statement from a Federal Agency

This agreement is entered into pursuant to the authority of the
Economy Act of 1932, as amended (31 U.S.C 1535) [or other statutory
authority references], and adheres to Federal Acquisition Regulation
(FAR) 6.002. To the best of our knowledge, the work requested will
not place the DOE and its contractor in direct competition with the
domestic private sector.

c. The requirements of paragraphs 4a and 4b (if applicable) must be met prior to
acceptance of reimbursable agreements and are also required for any modifications that
are "out of scope" with the existing agreement. For previously approved work, with
schedule and/or cost changes but no change in scope, the determinations and
certification process is not required.

d. Responses to Broad Agency Announcements (BAAs) issued by other federal agencies
are permitted when:

(1) work consists of research and development that is part of a national program or
DOE mission and utilizes DOE's unique capability;

(2) the DOE contractor informs the cognizant Operations Office when submitting a
proposal for review that the proposed work is in response to a BAA;

(3) proposals are reviewed and approved by DOE in accordance with DOE O 481.1;
and

(4) Federal sponsors provide a written statement prior to acceptance that the BAA is
the only means used to acquire the work described in the BAA.

e. Pricing of work shall be in accordance with DOE O 2110.1A, PRICING OF
DEPARTMENTAL MATERIALS AND SERVICES.

f. For WFO construction at a DOE site that exceeds the General Plant Project (GPP)
threshold, approval by the Cognizant Secretarial Officer and concurrence of the Office
of the Chief Financial Officer is required prior to initiation of work. In addition, all
construction projects shall adhere to the following.

(1) Construction projects shall be performed as required by DOE O 430.1, LIFE-
CYCLE ASSET MANAGEMENT, dated October 26, 1995.

(2) Title for permanent construction shall pass to DOE upon completion of
construction.

g. Equipment acquired as part of a project shall be accounted for and maintained in the
same manner as DOE property. Disposition of equipment shall be as previously agreed to or as instructed by the sponsor.

h. If subcontracting is necessary, the DOE contractor shall select the subcontractor and
work to be subcontracted. Subcontracted work is to be in direct support of the DOE
contractor.

i. DOE or its facility contractors may not respond to federal agency Requests For
Proposals (RFPs).

j. Intelligence-related activities shall be conducted in accordance with Executive Order
12333, U.S. Laws, other Executive Orders, Presidential Directives, and Director of
Central Intelligence Directives.

k. Work that involves a Special Access Program requires the approval of the DOE Special
Access Program Oversight Committee (SAPOC), which is chaired by the Deputy
Secretary.

5. RESPONSIBILITIES.

a. Deputy Secretary (S-2) presents each proposed Work for Others project that involves a
Special Access Program to the SAPOC for approval and ensures the applicant is
notified if the project is accepted or rejected.

b. Assistant Secretary for Human Resources and Administration (HR-1).

(1) Establishes WFO policies in coordination with the cognizant Secretarial Officers.

(2) Prepares annual summary report of WFO performed by DOE.

(3) Conducts periodic reviews of the implementation of this Order by Secretarial
Officers and Heads of Field Elements.

(4) Approves requests for excluding projects from DOE O 481.1.

(5) Develops, maintains, and updates the standard WFO Agreement for non-federal
sponsors. (Refer to DOE M 481.1-1.)

c. Chief Financial Officer (CFO) (CR-1).

(1) Develops and maintains adequate financial information on WFO and prepares
financial reports as necessary.

(2) Coordinates with responsible Program Secretarial Officers to ensure the
availability of funds for WFO projects accepted and performed at Headquarters.

(3) Concurs on construction projects that exceed the GPP threshold established by
the CFO.

d. Deputy Assistant Secretary for Procurement and Assistance Management (HR-5), for
projects accepted by Headquarters elements, ensures that the Associate Director for
Procurement Operations accepts the project [unless delegated as in Paragraph 5l(2)].

e. Deputy Assistant Secretary for International Affairs (PO-7) reviews and concurs on all
WFO requests directly funded by a foreign sponsor to ensure consistency with
international agreements and foreign policy objectives.

f. General Counsel/Field Counsel.

(1) Provides DOE legal advice and representation on issues related to the WFO
program.

(2) Establishes policy on patent and technical data, advises on patent and technical
data clauses of contracts, and approves waiver of patent rights.

g. Associate Director, Office of Health and Environmental Research (ER-70).

(1) Oversees the established DOE system to ensure all proposed WFO research
involving human and/or animal subjects complies with established regulations.

(2) Reviews and approves proposed WFO projects involving human subjects for
which approval authority has not been previously delegated to the facility
contractor (research institution) through DOE or Department of Health and
Human Services Multiple Project Assurance.

(3) Reviews proposed WFO projects involving human and/or animal subjects that are
of a sensitive nature (e.g., international locations, non-traditional sponsors).

h. Director, Office of Energy Intelligence (NN-30).

(1) Reviews and approves proposed intelligence-related WFO projects.

(2) Coordinates program reviews of all intelligence-related WFO projects with the
participation of appropriate Field Elements.

(3) Is the central point of contact for coordination with sponsors of intelligence-
related WFO projects.

(4) Ensures the Cognizant Secretarial Officer is informed of any problems relating to
field management of intelligence-related WFO.

i. Director, Office of Research and Development (NN-20), reviews all WFO nuclear
nonproliferation detection technology projects.

j. Director, Office of Space and Defense Power Systems (NE-50), reviews and approves
proposals involving space nuclear reactor, non-commercial power reactor, and
radioisotope power source projects, excluding the Nuclear Regulatory Commission
(NRC), fusion, weapons-related activities, naval propulsion reactors, and experimental
reactors to establish an appropriate Nuclear Energy management role.

k. Assistant Secretary for Environment, Safety and Health (EH-1), provides for the
conduct of independent evaluations to assess the effectiveness of environment, safety,
and safeguards and security of activities undertaken through the Work for Others
Program.

l. Program Secretarial Officers.

(1) In cases where work is accepted at Headquarters but performed in the field, the
requirements of paragraphs 4a and 4b must be met by the cognizant Field
Element. Once these requirements are met, the responsible Program Secretarial
Officer can accept the project. If the responsible Program Secretarial Officer has
not been delegated authority to accept reimbursable agreements, the Deputy
Assistant Secretary for Procurement and Assistance Management will accept.
Once accepted, copies of all information must be forwarded to the Field
Element(s) performing the work to instruct contractors to begin work.

(2) For work accepted and performed at Headquarters, the responsible Program
Secretarial Officer will satisfy the requirements of paragraphs 4a and 4b and
obtain concurrence from the Office of the Chief Financial Officer prior to
acceptance of the project. If the responsible Program Secretarial Officer has not
been delegated authority to accept reimbursable agreements, the Deputy Assistant
Secretary for Procurement and Assistance Management will accept.

m. Cognizant Secretarial Officers.

(1) Develop and recommend changes in WFO policies to the Assistant Secretary for
Human Resources and Administration.

(2) Provide notification to other appropriate Secretarial Officers of
significant/sensitive WFO projects pursuant to paragraph 5n(6).

(3) Approve facility construction that exceeds the GPP threshold after obtaining
concurrence from the Office of the Chief Financial Officer.

(4) For each DOE facility under their cognizance:

(a) approve annual WFO levels and requests for increases to those levels in
conjunction with recommendations of the responsible Head of the Field
Element, and

(b) annually review the WFO Program to ensure consistency with WFO
policies and procedures.

n. Heads of Field Elements.

(1) Function as Departmental managers for WFO conducted in DOE facilities under
their purview. In this capacity, Heads of Field Elements are accountable to the
Cognizant Secretarial Officer for this work.

(2) Develop and implement procedures for the review, acceptance, authorization, and
monitoring of WFO that are consistent with DOE policies and procedures and
encourage parallel review and processing by DOE, the sponsor, and the facility
contractor.

(3) Delegate the authority to the contractor to sign and accept bilateral sales
contracts with non-federal entities that are consistent with DOE-approved
standard terms and conditions and satisfy the requirements of this Order and
DOE M 481.1-1.

(4) Conduct periodic reviews of the contractor s policies and procedures for
accepting non-federal WFO projects.

(5) For each facility under their purview:

(a) recommend annual WFO levels for Cognizant Secretarial Officer approval,
and

(b) monitor WFO levels to ensure consistency with the Cognizant Secretarial
Officer-approved levels and request increases from the Cognizant
Secretarial Officer.

(6) Notify the Cognizant Secretarial Officer (using management judgment) of any
WFO projects that involve sensitive subjects.

(7) Ensure DOE and/or contractor review of proposed WFO projects involving
human and/or animal subjects for compliance with the established regulations for
protection of these subjects.

(8) Ensure that WFO projects under their purview are protected in accordance with
applicable DOE security, safeguards, and classification policies including the Site
Security Plan or a supplemental security plan specific to the WFO project.

(9) Ensure DOE and contractors review for compliance with DOE environmental,
safety, and health requirements including NEPA.

(10) Ensure that the appropriate Headquarters element is involved in the WFO review
process.

(11) Establish and implement closeout procedures for WFO projects.

(12) Establish performance goals and measures to assess field performance and
effectiveness of local WFO processes and impacts of subsequent improvements
and/or additional requirements.

(13) Ensure a project summary listing of information on each active WFO project is
maintained. As a minimum, the information should include:

(a) field points of contact,

(b) total estimated costs,

(d) project title/description,

(e) estimated start/completion dates, and

(f) assigned laboratory/contractor.

(14) Ensure project file information documenting policy compliance is maintained by
DOE and/or the performing contractor.

(15) Submit an annual WFO report for facilities under their purview to the Cognizant
Secretarial Officer and the Assistant Secretary for Human Resources and
Administration by December 10.

(16) In coordination with the responsible Cognizant Secretarial Officers, request the
Assistant Secretary for Human Resources and Administration to grant exclusions
from DOE O 481.1 requirements.

6. CONTACT. For information about this Order, contact the Office of Organization and
Management at (202)586-6799.

7. REFERENCES.

a. Atomic Energy Act of 1954, as amended (42 U.S.C 2011 et seq.), Sections 31, 32, and
33, which authorizes the conduct of research and development and certain training
activities for non-DOE entities, provided that private facilities or laboratories are
inadequate for that purpose. It authorizes such charges as may be appropriate for the
conduct of those activities.

b. Department of Energy Accounting Handbook dated October 17, 1995, Chapter XIII,
Reimbursable Work, Revenues, and Other Collections, which establishes DOE-wide
financial policy and procedural guidance for certain interagency reimbursable actions
and reimbursable actions with non-DOE entities.

c. DOE O 522.1, PRICING OF DEPARTMENTAL MATERIALS AND SERVICES,
dated May 18, 1992, which establishes policy for setting prices and charges for
materials or services sold or provided by DOE, either directly or through facility
contractors, to organizations and persons outside DOE.

d. DOE O 471.5, IDENTIFICATION OF CLASSIFIED INFORMATION, dated
December 31, 1991, which specifies responsibilities, authorities, policy, and procedures
for the management of the DOE Classification System.

e. DOE Procedures for Intelligence Activities, which provide supplemental
guidance/requirements for the conduct of Intelligence WFO.

f. Economy Act of 1932, as amended (31 U.S.C 1535), which authorizes an agency to
place orders for goods and services, subject to availability, with another government
agency when the head of the ordering agency determines that it is in the best interest of
the government.

g. Energy Reorganization Act of 1974, Public Law 93-438, Section 205, which requires
federal agencies to furnish to the NRC, on a reimbursable basis, such research services
as NRC deems necessary and requests for the performance of its function.

h. Executive Order 12333, "United States Intelligence Activities," part 1.13, which
establishes responsibilities for DOE to support the U.S. intelligence community by
providing expert technical, analytical, and research capability to others within the
intelligence community and by anticipating how DOE can contribute to the formulation
of intelligence collection and collection analysis requirements.

i. FAR 17.5, Interagency Acquisitions Under the Economy Act, which prescribes policies
and procedures for a federal agency to obtain supplies or services from another federal
agency.

j. FAR 35.017, Federally Funded Research and Development Centers (FFRDCs), which
establishes government-wide policies for review and termination of FFRDCs.

k. Intergovernmental Cooperation Act of 1968, Public Law 90-577, as amended, which
authorizes federal agencies to perform work for state and local governments. Such
work will be performed in accordance with the requirements of OMB Circular A-97.

l. The National Competitiveness Technology Transfer Act of 1989, Public Law 1010,
Sections 3131, 3132, 3133, and 3159, which prescribes technology transfer as a mission
of the DOE and its facilities.

m. Stevenson-Wydler Technology Innovation Act of 1980, Public Law 96-480, as
amended, Section 11, which states as public policy that the Federal Government shall
strive to transfer federally owned or originated technology to state and local
governments and the private sector.

8. DEFINITIONS.

a. Acceptance is the official act of signing a reimbursable agreement (e.g., bilateral sales
contract or interagency agreement) by a DOE contracting officer or an official to whom
such authority has been delegated that commits DOE and/or its contractor to perform
WFO. Authority to sign and execute bilateral sales contracts can be delegated to the
DOE contractor by the Head of a Field Element.

b. Bilateral Sales Contract is a binding agreement (contract) between DOE or a DOE
facility contractor and a non-federal entity that commits DOE to perform WFO
activities.

c. Cognizant Secretarial Officer is the DOE official, at the Assistant Secretary level, who
is responsible for the assignment of work, the institutional overview of a facility, or
both.

d. Facility Contractors are entities that operate and maintain government-owned facilities
under contract with and for the benefit of DOE.

e. Intelligence-Related Work for Others is the following.

(1) Work directly funded by intelligence appropriations or by an organization
specifically identified in Executive Order 12333 as an intelligence organization.

(2) Work funded by either the National Foreign Intelligence Program or the Tactical
Intelligence and Related Activities Program.

(3) Work for which the Cognizant Technical DOE Headquarters Official is the
Director, Office of Energy Intelligence (NN-30).

f. Non-DOE Entities includes other federal agencies; state, regional and local
governments; private or commercial firms, not-for-profit organizations; international
organizations; and foreign governments.

g. Program Secretarial Officer is a senior outlay program official; includes the Assistant
Secretaries for Defense Programs (DP), Energy Efficiency and Renewable Energy (EE),
Environmental Management (EM), Fossil Energy (FE), and the Directors of Energy
Research (ER), Nuclear Energy Science and Technology (NE), and Civilian Radioactive
Waste Management (RW).

h. Responsible DOE Contracting Officer is a DOE official with responsibility for
administering the contract for the operation of a DOE research or production facility.

i. Space Nuclear and Non-Commercial Power Reactor and Radioisotope Power WFO
Projects include only R&D projects associated with nuclear energy that are space
nuclear reactor, non-commercial power reactor, and radioisotope power source projects
but exclude NRC, fusion, weapons-related activities, naval propulsion reactors, and
experimental reactors.

j. Sponsor is an entity that provides funding for the performance of WFO.

k. Work for Others (WFO) is the performance of work for non-DOE entities by
DOE/contractor personnel and/or the utilization of DOE facilities that is not directly
funded by DOE appropriations.

BY ORDER OF THE SECRETARY OF ENERGY:

ARCHER L. DURHAM
Assistant Secretary for
Human Resources and Administration
CONTRACTOR REQUIREMENTS DOCUMENT

1. DOE contractors shall establish and maintain a management system that ensures Work for
Others Program requirements and intent of DOE Order 481.1 and DOE Manual 481.1-1 are
satisfied.

2. DOE contractors shall develop appropriate performance measures for the Work for Others
Program and participate in DOE's Business Management Oversight Process.

3. When requesting delegation of project review and approval authority for work for non-
federal sponsors, DOE contractors will prepare a Management Plan for DOE approval that
details how the contractor will make the determinations listed below and accept non-federal
projects. The determinations are that:

a. the work is consistent with or complementary to DOE missions and the missions of the
facility to which the work is to be assigned;

b. the work will not adversely impact execution of assigned programs of the facility;

c. the work will not place the facility in direct competition with the domestic private
sector; and

d. the work will not create a detrimental future burden on DOE resources.

4. Submit to DOE:

a. any non-federal agreements that include terms and conditions that deviate from the
DOE-approved standard terms and conditions detailed in DOE M 481.1-1 for review
and approval;

b. a signed statement certifying that the project has been executed within the delegated
authority given to the contractor and in accordance with established procedures and
guidelines.

5. Provide notification to appropriate DOE offices when responding to a Broad Agency
Announcement.

6. If subcontracting is necessary, select the subcontractor and work to be subcontracted.
Subcontracted work is to be in direct support of the DOE contractor.

7. Review proposed work involving human and/or animal subjects for compliance with
established regulations for protection of these subjects.

8. Review projects for compliance with DOE environmental, safety and health requirements
including the National Environmental Protection Act.

9. Ensure projects are protected in accordance with applicable security, safeguards, and
classification policies and procedures including the Site Security Plan or supplemental
security plan specific to a project.

10. Request DOE approval for WFO construction at a DOE site when that construction exceeds
the General Plant Project (GPP) threshold; approval by the Cognizant Secretarial Officer and
the Chief Financial Officer is required prior to initiation of work.

11. Monitor WFO levels to ensure consistency with the Cognizant Secretarial Officer-approved
levels.

12. Notify DOE of any WFO projects that involve sensitive subjects.

13. Maintain a project summary listing of information on each active WFO project. As a
minimum, the information should include:

field points of contact,

total estimated costs,

sponsoring agency,

project title/description,

estimated start/completion dates,

assigned laboratory/contractor.

14. Maintain project file information documenting policy compliance.

15. Submit annual WFO report for facility by December 10.