ATTACHMENT I SAN GENERAL INSPECTION FOOTNOTES TO THE EXAMPLE OF TYPICAL EVENTS IN AN INTEGRATED FY 1993 PLANNING, PROGRAMMING, BUDGETING AND EXECUTION SYSTEM (PPBES) Purpose. The chart is an example of the typical events, timelines, and roles of DOE organizational elements, which could be conducted in an upcoming FY 93 PPBES cycle to encompass a fully integrated and balanced DOE program. The cycle, which involves all DOE elements and lasts approximately 18 months, is intended to integrate DOE strategic decisions, objectives and programs into documents which identify the need for resources (people and dollars) required to accomplish Departmental objectives in the near-term (FY 93 budget), mid-term (the FY 93-97 program) and long-term (FY 98 - FY 2007 extended planning). Resources are allocated to objectives and programs based on people and dollar estimates that are reasonably attainable within known constraints. The primary product at the end of the 18-month PPBES process is a fully integrated and executable FY 93 budget with follow-on FY 94-97 and FY 98 FY 2007 resource estimates that recognize the likely consequences of the objectives and programs funded in DOE's FY 93 budget. The following footnotes (1/ through 15/) explain typical events in the FY 93 PPBES cycle. 1/ 2/ 3/ 4/ The President provides DOE with policy guidance on his Senior DOE leadership develop a fully integrated Draft Energy Plan for 5-years into the future (FY 93-97) and 10 years beyond (FY 98 - FY 2007 extended planning). The draft plan includes strategic energy requirements and related national energy objectives that span and integrate all energy disciplines. Preliminary program guidance for FY's 93-97 is provided to 5/ 6/ 8/ 2/ objectives and programs, and detailed instructions on how to program FY 93-97 resources in a way which will ensure accurate consolidation with input solicited from other field activities and which permits PE and Departmental staff analysis. The FY 93 Program and Budget Guidance (PBG) is prepared The Energy Plan (FY 93-97 program and FY 98-2007 extended Operations Offices involve their labs, facilities and other activities on how the FY 93-97 program should be developed. The Operations Offices also solicit ideas and resource implications on the near/mid/long-term initiatives that the labs feel will help meet the Department's strategic decisions, objectives and programs. PE prepares program instruction for the Departmental Staff activities to ensure accurate consolidation from Assistant Secretaries, Directors and other Departmental staff offices. The FY 93-97 energy program is developed based on the results from the staff/field programming process. The program is tempered by the results of the just complete FY 91 Congressional budget process and the status of the FY 92 budget the President recently sent to the Congress. 10/ An updated PBG is provided to field showing the FY 93-97 program with instructions on how to "fine tune" the FY 93 program into a budget submission. 11/ Operations Offices control the FY 93 budget with active participation of subordinate labs, facilities and activities. 12/ FY 93 budget is formulated using the existing Departmental 13/ OMB "passes back" to DOE the President's budget decisions. 14/ FY 94 PPBES process is started with the PBG being provided to the staff and field for preparation of FY 94-98 programs and FY 99-2008 extended planning. 15/ Throughout the FY 93-97 PPBES cycle, execution of appropriations realized is reviewed by DOE's Departmental staff and the Operations Offices on a quarterly basis to assure that programs are being executed according to approved plans and that obligation, costs and disbursements are under proper fiscal control. Because programs often transcend Operations Office boundaries, program review is normally accomplished by Departmental functional staffs. Fiscal control, however, is the direct responsibility of the Operations Offices. The results of program and fiscal reviews are fed back into the FY 93-97 program process and, where programs are not executing according to approved plans, appropriate adjustments should be made to the FY 93-97 program and FY 98 FY 2007 extended planning assumptions. 4 + 970.5203-1 Management and Operating Contracts Analysis of Clauses Description ATTACHMENT J LINL LEL ELEC SLAC Covenant Against Contingent fees... + 970.5203-2 Examination of Records by Comptroller. General... + 970.5203-3 Buy American Act. + 970.5204-1 Security........ + 970.5204-2 Safety and Health. + 970.5204-3 Buy American Act- Construction Materials. 970.5204-5 Disclosure of Information.. 970.5204-6 Nuclear Hazards Indemnity... 970.5204-7 Nuclear Hazards Indemnity... 970.5204-8 Indemnity Assurance A/E or Supplier... + 970.5204-9 Accounts, Records and Inspection... 970.5204-10 Foreign Ownership, Control or Influence Over Contractors.... + 970.5204-24 Subcontractor Cost or Pricing Data.. 970.5204-25 Workmanship and Materials... + 970.5204-26 Nuclear Facility Safety.... 970.5204-27 Consultant or Other Comparable Employment services of Contractor Employees.. 970.5204-28 Assignment... 970.5204-29 Permits or Licenses.. 970.5204-30 Notice of Labor Disputes.. 970.5204-31 Litigation and Claims.................. 970.5204-32 Required Bonds and Insurance-exclusive of Government Property... ..... ....... 970.5204-33 Priorities, Allocations, and Allotments. 970.5204-34 Sensitive Foreign Nations Control..... 970.5204-35 Controls in the National Interest... + 970.5204-36 Organizational Conflicts of Interest. 970.5204-37 Statement of Work...... 970.5204-38 Special Clause for Procurement of Construction.. .... 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