PART Qs _ Section Scoring by tyndale


									                                                 OMB Program Assessment Rating Tool (PART)
                                                              Service Acquisition Program

Name of Program: Safeguards and Security
Section I: Program Purpose & Design (Yes, No, N/A)
            Questions                    Ans.                   Explanation                                     Evidence/Data                   Weighting      Score
1 Is the program purpose clear?          Yes    The purpose is to protect the nuclear             Report to Congress on the Organization          10%             0.1
                                                weapons, nuclear material, people,                and Operations of the NNSA (Feb 02);
                                                information, and infrastructure that is under the NNSA Strategic Plan (Feb 02);
                                                management of the National Nuclear Security

2 Does the program address a             Yes    The program ensures security is provided to          Report to Congress on the Organization       20%             0.2
  specific interest, problem or need?           protect the sensitive material and information       and Operations of the NNSA (Feb 02);
                                                handled by the NNSA in support of the nuclear        NNSA Strategic Plan (Feb 02);DOE
                                                mission.                                             Safeguards and Security Orders (series
                                                                                                     470); Site Safeguards and Security Plans
                                                                                                     (SSSP), Independent Reviews (I.e.
                                                                                                     Science and Security in the Service of
                                                                                                     the Nation (Sept 2000))

3 Is the program designed to have a      Yes    The NNSA Security program, based on                  Public Law 106-65, dated 10/5/99,            20%             0.2
  significant impact in addressing the          government-wide requirements, is site specific       Section 3232 and NNSA budget
  interest, problem or need?                    and tailorable to varying threat conditions. It is   submission. Congress's General
                                                designed to have a significant impact --             Accounting Office review 02-358 (Mar
                                                anything less could be catastrophic.                 02), Site Safeguards and Security Plans,
                                                                                                     DOE Orders (Series 470 series)

4 Is the program designed to make a      Yes    The program is federally mandated to address Atomic Energy Act, Report to Congress                30%             0.3
  unique contribution in addressing             the unique requirements of protecting nuclear on the Organization and Operations of
  the interest, problem or need (i.e.,          weapons materials and information.            the NNSA (Feb 02); NNSA Strategic Plan
  not needlessly redundant of any                                                             (Feb 02); DOE Safeguards and Security
  other Federal, state, local or                                                              Orders (series 470)
  private efforts)?

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5 Is the program optimally designed      No     The optimal design of the program is still          Although the program has                    20%             0.0
  to address the interest, problem or           evolving. The current approach is predicated       documentation to support requirements,
  need?                                         on a threat analysis developed prior to the        it remains to be seen whether those
                                                terrorist attacks on September 11, 2001.           documents support the need for
                                                Changes to that approach might enable the          additional funding. Rather, they are
                                                program office to achieve the desired results in   general in nature and do not provide a
                                                a more cost effective manner.                      clear picture of the marginal utility of
                                                                                                   additional dollars.

Total Section Score                                                                                                                             100%           80%

Section II: Strategic Planning (Yes, No, N/A)
            Questions                   Ans.                    Explanation                                   Evidence/Data                   Weighting      Score
1 Does the program have a limited        No     Long-term performance goals offered by             Stated performance goals: 1) Provide a       20%             0.0
  number of specific, ambitious long-           the program office do not appear to                cost-effective security program that
  term performance goals that focus             include specific quantifiable outcomes.            meets the requirements in the Atomic
  on outcomes and meaningfully                                                                     Energy Act, Code of Federal
                                                Rather, they re-state the mission and
  reflect the purpose of the program?                                                              Regulationsregulations (10CFR710) and
                                                purpose of the program.
                                                                                                   the DOE Orders (470 series). 2)
                                                                                                   Demonstrate protection against the DOE
                                                                                                   issued Design Basis Threat and prevent
                                                                                                   the loss of critically sensitive nuclear
                                                                                                   weapons program information. 3)
                                                                                                   Develop and use the technology from a
                                                                                                   safeguards and security Research and
                                                                                                   Development program.

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2 Does the program have a limited        No    Annual performance goals offered by the                                                       20%         0.0
  number of annual performance                 program office do not appear to include
  goals that demonstrate progress              specific quantifiable outcomes that would
  toward achieving the long-term               eventually lead to long term success.

3 Do all partners (grantees, sub-        Yes   Partners in this program consist of contractors   Each of the eight NNSA sites have a         10%         0.1
  grantees, contractors, etc.) support         that operate the government laboratories and      classified Site Safeguards and Security
  program planning efforts by                  production facilities. The contractors support    Plans that is developed by the Contractor
  committing to the annual and/or              the overall mission by creating Site              to be meet the overall security goals,
  long-term goals of the program?              Safeguards and Security Plans (SSSP), which       reviewed and formally agreed to by
                                               they base on Vulnerability Assessments            federal personnel and then is reviewed
                                               provided by the government, which are then        annually. Program planning and budget
                                               submitted to the federal oversight office for     submissions reflect the effort needed to
                                               approval.                                         meet the requirements placed on the
                                                                                                 contractor. Contractor budget
                                                                                                 submissions are reviewed and approved
                                                                                                 by federal officials.

                                                                                                                                                   FY 2004 Budget
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4 Does the program collaborate and      Yes   The program participates in the DOE               NNSA Strategic Plan, February 2002,         15%         0.2
  coordinate effectively with related         safeguards and security working groups,           Goal 4. Numerous meetings with Nuclear
  programs that share similar goals           Department of Defense working groups and          Regulatory Commission (NRC).
  and objectives?                             select security conferences. The program is       Participation in End-to-end review (2001-
                                              part of the interagency Nuclear Security          2001). Participation in on-going DOE
                                              Steering Group in which it shares knowledge       working groups. Conducted NNSA/DOE
                                              and lessons learned gained from reviews and       security directors conferences
                                              analysis. Furthermore, the program
                                              participates in comparability reviews with the
                                              Nuclear Regulatory Commission and the
                                              Department of Defense and encourages
                                              sharing knowledge among NNSA sites within
                                              security limits.

5 Are independent and quality           Yes   The program office requires annual site self-   Annual self-assessments and federal on-       10%         0.1
  evaluations of sufficient scope             inspections, and formal federal on-site reviews site reviews are conducted at major sites.
  conducted on a regular basis or as          are required annually. The DOE Office of        DOE Office of Independent Oversight
  needed to fill gaps in performance          Independent Oversight and Performance           and Performance Inspection Reports on
  information to support program              Assurance Program provides a bi-annual          a bi-annual basis. Congress's General
  improvements and evaluate                   independent evaluation. Finally, numerous       accounting Office review of March 2002.
  effectiveness?                              independent inspections and reviews have        Independent analysis include: "Science
                                              been conducted.                                 and Security in the 21st Century" (June
6 Is the program budget aligned with    No    The alignment of the budget with the goals is Requests for additional funding are not         10%         0.0
  the program goals in such a way             unclear. The impact of a marginal dollar is not accompanied by conclusive supporting
  that the impact of funding, policy,         apparent.                                       documentation.
  and legislative changes on
  performance is readily known?

                                                                                                                                                  FY 2004 Budget
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7 Has the program taken meaningful     Yes    The program was created in response to             Report to Congress on the Organization       15%             0.2
  steps to address its strategic              Congressional interest over past management        and Operations of the NNSA (Feb 02);
  planning deficiencies?                      of safeguards and security. The NNSA               NNSA Strategic Plan (Feb 02), Science
                                              organization has clarified the roles and           and Security in the 21st Century,
                                              responsibilities to reinforce managers'            Hagengruber report on security
                                              accountability and reduce direction from           architecture, NNSA planning and budget
                                              entities outside line management. The direct-      submission process, results of annual
                                              funded safeguards and security budget is a         surveys, Independent reviews of security
                                              major change that facilitates strategic planning   issues
                                              for safegaurds and security. Overall strategic
                                              plans have been developed for the NNSA and
                                              the Facilities and Operations. These plans are
                                              reviewed and modified as needed.
                                              Independent reviews have been conducted to
                                              look at safeguards and security strategy and
                                              operations. These reviews are used to modify
                                              future strategic plans.

Total Section Score                                                                                                                           100%           50%

Section III: Program Management (Yes, No, N/A)
           Questions                   Ans.                   Explanation                                   Evidence/Data                   Weighting      Score
1 Does the agency regularly collect    Yes    The program conducts and oversees annual                                                        14%             0.1
  timely and credible performance             safeguards and security inspections at each
  information, including information          site, supplemented by reviews on select areas
  from key program partners, and              during the year based on current issues. The
  use it to manage the program and            link between the results and program
  improve performance?                        management is improving.

                                                                                                                                                        FY 2004 Budget
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2 Are Federal managers and               Yes   Federal personnel at each site, including                                                       14%         0.1
  program partners (grantees,                  security specialists, security managers and the
  subgrantees, contractors, etc.) held         federal site manager, are assigned
  accountable for cost, schedule and           responsibility for security oversight.
  performance results?                         Headquarters personnel also have an
                                               oversight role, but the program implementation
                                               is the responsibility of the on-site contractor.
                                               In theory, contractors are held accountable
                                               through federal contract awards process as
                                               well as assigned responsibilities through the
                                               Site Safeguards and Security Plans process,
                                               but it is not clear if the contract awards
                                               process is used as leverage to improve

3 Are all funds (Federal and             Yes   Formal government process monitors                 NNSA Work Authorization system               14%         0.1
  partners’) obligated in a timely             expenditure of funds based on budgetary            documents distribution of funds.
  manner and spent for the intended            allocations as approved through                    Financial Information System monitors
  purpose?                                     Congressional funding                              expenditures.

4 Does the program have incentives       Yes   NNSA competes the overall laboratory               Safeguards and Security is a subset of       14%         0.1
  and procedures (e.g., competitive            operations contract which includes the             the overall contractor award fee. NNSA
  sourcing/cost comparisons, IT                Safeguards and Security program.                   should make every effort to separate the
  improvements) to measure and                                                                    Safeguards and Security work from the
  achieve efficiencies and cost                                                                   rest of the contract to maximize leverage.
  effectiveness in program

5 Does the agency estimate and           No    The NNSA programs are consistent with DOE DOE Accountability Report for FY 2001                 14%         0.0
  budget for the full annual costs of          practice in estimating and budgeting for the full
  operating the program (including all         cost of executing direct programs within the
  administrative costs and allocated           program budgets. However, consistent with
  overhead) so that program                    Congressional requirements, DOE budgets
  performance changes are identified           separately for its Federal administrative
  with changes in funding levels?              oversight and allocable costs in a Program
                                               Direction account.

                                                                                                                                                     FY 2004 Budget
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6 Does the program use strong        Yes    NNSA adheres to financial management              Evidence: NNSA Future-Years Nuclear               14%             0.1
  financial management practices?           practices through the implementation of its       Security Program, March 20, 2002.
                                            Planning, Programming, Budgeting and
                                            Evaluation system. This goal of the system is
                                            to formalize resource management, link
                                            program guidance with fiscal guidance, apply
                                            uniform and consistent budget practices
                                            across NNSA, and incorporate financial
                                            analysis into programmatic decisions. Finally,
                                            NNSA is re-engineering its Headquarters and
                                            field structures to improve accountability at the
                                            lowest levels. Part of this re-engineering will
                                            involve the financial management processes
                                            of the field elements, and the interface of
                                            those field processes with DOE headquarters.

7 Has the program taken meaningful   Yes    The program has established organizations           NNSA legislation established the Chief of       14%             0.1
  steps to address its management           and revised roles and responsibilities to clarify   Defense Nuclear Security with
  deficiencies?                             authority and decision making responsibilities.     responsibility for safeguards and security.
                                            Management deficiencies identified by on-site       The NNSA has clarified the roles and
                                            reviews, DOE Office of Independent Oversight        responsibilities for management. Specific
                                            and Performance Assurance inspections, DOE          corrective action plans are created for
                                            Inspector General inspections and                   issues raised during independent
                                            independent reviews are resolved through            reviews. Independent reviews such as
                                            corrective action plans. NNSA is in the             Science and Security in the 21st Century
                                            process of re-engineering the overall               are tracked as DOE-wide issues and
                                            management structure which will include             resolutions briefed at senior levels.
                                            safeguards and security and place                   NNSA re-engineering will address issues
                                            management decisions closer the actual              of placing federal management
                                            operations.                                         responsibility close to operations.

Total Section Score                                                                                                                             100%           86%

Section IV: Program Results (Yes, Large Extent, Small Extent, No)
           Questions                 Ans.                   Explanation                                    Evidence/Data                      Weighting      Score

                                                                                                                                                          FY 2004 Budget
                                                                               7                                                                              Fall Review
1 Has the program demonstrated            Small Extent    The program has progressed in its efforts to     Recent, continued requests for additional         25%                  0.1
  adequate progress in achieving its                      meet security requirements. However, its         funding and media-reported deficiencies
  long-term outcome goal(s)?                              ability to meet its long-term goals is           call to question the degree to which the
                                                          questionable given the nature of the goals.      program is meeting its primary goal.

                     Long-Term Goal I: Provide a cost-effective security program that meets the requirements in the Atomic Energy Act, Code of Federal Regulations (10CFR710) and
                                       the DOE Orders (470 series).
                                Target: Continue to ensure operations meet DOE requirements in a cost effective manner
       Actual Progress achieved toward All sites have approved site specific security plans, procedures and operations that have been evaluated against the DOE requirements. All sites
                                  goal: are making progress toward satisfactory level of protection at their sites in the changing threat environment. Federal reviews have confirmed the
                                       progress toward satisfactory level of performance.
                    Long-Term Goal II: Demonstrate protection against the DOE issued Design Basis Threat and prevent the loss of critically sensitive nuclear weapons program information.
                                Target: Ensure that the NNSA sites conduct performance exercises that demonstrate protection against the Design Basis Threat
       Actual Progress achieved toward All sites have been evaluated and demonstrated protection against the current Design Basis Threat.
                    Long-Term Goal III: Develop and use the technology from a safeguards and security Research and Development program.

                                Target: Establish a research and development program that focuses on both short and long term solutions to specific NNSA safeguards and security
                                       needs. Use technology improvements at NNSA sites to provide cost-effective solutions to security issues

       Actual Progress achieved toward Limited effort begun in FY02. Additional funding being applied in FY03. Initial effort to develop a base for security evaluation is progressing.
                                  goal: Specific effort on a small number of projects (communications, Aircraft detection, Aircraft deterrence) is progressing.

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2 Does the program (including program     Small Extent    NNSA sites are evaluated annually by the         Site reviews, Independent                          25%               0.1
   partners) achieve its annual                           cognizant federal officials and identified       Assessment reviews, Congress's
   performance goals?
                                                          security deficiencies are corrected based        General Accounting Office report of
                                                          on funding. Independent Assessment is            March 2002, annual budget reviews
                                                          conducted of NNSA sites. NNSA sites
                                                          are rated Satisfactory or are progressing
                                                          to that level of protection. However, the
                                                          solid goals and their link to long-term
                                                          performance remain vague.
                              Key Goal I: Ensure day-to-day operations at NNSA facilities meet DOE security requirements in a cost-effective manner to support the NNSA
                    Performance Target: Satisfactory protection of facility in all safeguards and security areas based on contractor and federal reviews of performance. All
                                        identified deficiencies are resolved in a rapid manner with plan of action for all major issues
                    Actual Performance: Completed reviews of facilities operations show sites have reached or are progressing toward satisfactory performance. All
                                        specifically identified issues had corrective action plans and resolution in a rapid manner based on available funding.
                             Key Goal II: Protect NNSA personnel, facilities, nuclear weapons and other material from terrorist and other threats.

                    Performance Target: Implement appropriate graded protection philosophy/strategy at all sites including hiring additional pro force personnel, upgrade
                                        cyber security implementation directives to reflect changes in threat
                    Actual Performance: Developed and implemented anti-and counter terrorism procedures in compliance with requirements & in support of national
                                        security goals.
                             Key Goal III: Identify technology solutions to upgrade safeguards and security protection and provide cost savings through research and
                                        development program
                    Performance Target: Identify commercial off the shelf as well as research and development of technology applications to provide cost-effective protection

                    Actual Performance: Task Force on Technology Solutions Interim Report issued in 02, specific Research and Development projects underway
                                        Footnote: Performance targets should reference the performance baseline and years, e.g. achieve a 5% increase over base of X in 2000.

3 Does the program demonstrate                 No                                                          No evidence of improved efficiencies               25%               0.0
  improved efficiencies and cost                                                                           and cost effectiveness.
  effectiveness in achieving program
  goals each year?

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4 Does the performance of this            N/A
  program compare favorably to
  other programs with similar
  purpose and goals?
5 Do independent and quality              Yes   The DOE Office of Independent Oversight and     DOE Office of Independent Oversight      25%          0.3
   evaluations of this program indicate         Performance Assurance inspection reporting      and Performance Assurance inspection
   that the program is effective and            is an independent authority used to assess      Reports, Congress's General Accounting
   achieving results?                           and improve safuards and security protection.   Office report of March 2002
                                                Recent General Accounting Office reports
                                                indicate significant progress toward goals.

Total Section Score                                                                                                                      100%        42%

                                                                                                                                                FY 2004 Budget
                                                                               10                                                                   Fall Review

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