National Nuclear Security Administration

Approved as of May 3, 2001

About...

Associate Administrator for
Management and Administration

Mission

Provide timely, cost-effective, and efficient administrative and financial support for NNSA headquarters staff.

Functions

M&A customers include executives, managers, and employees across all units of the NNSA complex. Its core functions are the following:

Design and administer the corporate planning, programming, budgeting, and evaluation (PPBE) system
Provide NNSA corporate systems and policies to manage NNSA's human resources
Develop and implement NNSA corporate information policy and requirements to ensure that NNSA staff have the necessary tools and practices to manage information in a cost-effective, efficient, and secure manner
Provide general administrative services and logistical support for NNSA headquarters operations
Develop and implement NNSA-wide procurement policies and procedures, provide advisory assistance to components on contracting matters, and monitor NNSA compliance with those policies and procedures

Internal and External Relationships - M&A will work closely with all NNSA components to ensure that they get the support they need to adopt consistent business practices. M&A will be the primary link to the DOE-CFO organization and OMB. M&A will encourage participation by the components in the development of new business practices to ensure that the new practices meet components' needs.

Changes in Structure and Staffing - Management and Administration will comprise the following six offices: (1) Office of Human Resources; (2) Office of the Chief Information Officer; (3) Office of Procurement and Assistance Management; (4) Office of Administrative Services; (5) Office of Planning, Programming, Budgeting, and Evaluation; and (6) Diversity Programs. M&A will consolidate administrative functions performed by both DP and NN, as well as manage several additional functions (such as personnel and procurement) required to maintain a semiautonomous agency. There are five offices and one smaller unit in Management and Administration. M&A will have a staff of approximately 110 federal and rotational assignment employees. NNSA employees who now perform M&A functions in the program components will move into M&A. Chart 3 shows the Planned Organization of the Associate Administrator for Management and Administration:

a. Office of Human Resources (HR)

Mission - Work as strategic partners with the program and support component managers to ensure that NNSA's human resources management policies and practices facilitate the effective management of the entire NNSA workforce.

Functions - HR policy and executive resources decision making become centralized within this office. HR is a source of consistent NNSA-wide policy and advice on HR-related matters. HR will be the single point of contact with DOE-HR. Its customers include managers and employees across all units of the NNSA complex.

HR's core functions include the following:

Develop and implement consistent HR-related policies for all of NNSA
Analyze workforce data on an ongoing basis and in response to specific requests
Offer guidance to NNSA managers on employee relations matters
Provide key HR services to all NNSA HQ managers and employees, including employment services, training and development support, and benefits administration services
Provide advisory assistance to field offices and facilitate the processing of personnel actions requiring HQ approval
Support the operation of the NNSA Executive Resources Board

The NNSA Office of HR will be organized into the following three divisions:

Policy and Analysis - develops HR-related policy for NNSA in coordination with the NNSA line organizations.
Employee Services - provides systems and services to support recruiting, staffing, and benefits administration.
Training and Development - supports the education and skills development of the NNSA workforce, including intern programs and professional and managerial development.

Internal and External Relationships - HR will work closely with the NNSA program, support, and field organizations to ensure that the office meets the needs of its customers and to ensure consistent application of HR policies and procedures. HR will develop NNSA-specific training programs, but will not duplicate existing programs within DOE headquarters and NNSA field elements. In the area of Field Operations Support (FOS), there must be an interface between HR and FOS regarding the utilization of federal staff at headquarters and in the field. The HR analysts will provide field operations with staffing analysis and skills development programs to support the continued development of effective workforce management in the field offices and sites.

NNSA intends to continue partnering with DOE-HR and external contractors through Memorandums of Agreement (MOAs) and other agreements to ensure that NNSA's HR needs are being effectively met at the individual, department/unit, and organization level. Ultimately, however, NNSA intends to assume responsibility for these activities.

Changes in Structure and Staffing - The NNSA Office of HR is a new office in the M&A component. Most HR professionals who now reside in the NN and DP offices will move to the HR Office. A small group of HR professionals will remain in NN and DP to serve as liaison staff and to assist program office managers with HR transactions. HR coordinates with NNSA field HR managers and provides support for field HR requests that require headquarters review and/or approval.

In the near term, NNSA will rely on DOE-HR for a variety of HR service functions. We are considering alternatives that will provide for increased self-sufficiency. One of these options is using HR professionals located in the field offices to provide HR services to headquarters. We plan to conduct an assessment of HR capabilities in the field to determine the feasibility of this approach. Depending on the outcome of this assessment, we may consider providing HR services to managers and employees across the NNSA complex through local Centers of Excellence (COEs.) However, for fiscal years 2002 and 2003, NNSA will rely on the DOE-HR organization, through an MOA, to provide specified HR functions. This will ensure that NNSA employees do not experience any deterioration of essential HR services.

The HR organization structure and staffing levels provide for full implementation of sections 3212 and 3241 of the NNSA Act and reflect NNSA's unique excepted service authority in support of its human capital management approach. This responsibility demands that the NNSA HR function move to a complexwide management approach and that new skills and expertise be developed to support the Administrator's executive appointment and workforce management authorities.

The HR organization will require new positions beyond those HR professionals who now reside in the HQ NN and DP offices. Some of the new positions may be filled by current federal staff in the NNSA's field elements. A small group of HR professionals will remain in NN and DP to serve as liaison staff and to assist program office managers with HR transactions.

b. Office of the Chief Information Officer (CIO)

Mission - Develop policies and procedures for effective management of information within the NNSA, and oversee implementation throughout the enterprise.

Functions - The CIO will define the information and information technology architecture and related needs of all offices within NNSA headquarters, field elements, and Management and Operating (M&O) contractors. Customers include the Administrator, senior managers, field offices, and program and support components.

Core functions include the following:

Chief Information Officer - Provides central oversight and, where appropriate, management of information resources activities within the NNSA headquarters, field offices, and M&O contractors
Business Applications - Ensures that the Administration's recorded information is managed in an economical, effective, and efficient manner throughout its life cycle in support of mission accomplishment and accountability
Operations, Engineering, and Customer Service - Provides advice and technical support to the Office of Administrative Services to ensure delivery of vital information management and information technology services in support of NNSA enterprise requirements
Federal Site Enterprise Integration - Provides policy, guidance, and technical advice and other assistance to headquarters and field office personnel to ensure that information technology and resources are planned for, acquired, and managed in a manner that implements the policies and procedures of legislation, including the Paperwork Reduction Act, the Information Technology Management Reform Act (ITMRA), and NNSA priorities

Internal and External Relationships - The CIO will act as principal information management and information technology advisor to the NNSA Administrator and other senior managers. The CIO will work with DOE-CIO to ensure that NNSA has developed procedures for implementing DOE policy. The CIO will coordinate with the NNSA cyber security experts in NSSP in the development of a shared vision and corporate policies for NNSA's federal and M&O contractor information activities and champion NNSA's policies to allow the effective management of information and to provide for corporate systems that add value to the businesses of the NNSA.

The CIO will assist, as needed, the Office of Administrative Services in its coordination with the DOE-CIO Offices of Operations, Engineering, and Customer Service to provide network and telecommunications engineering and management services for NNSA programs, initiatives, and activities. The CIO will maintain liaison with, and coordinate and prepare NNSA positions and status reports for, the federal Chief Information Officer Council, OMB, GAO, Congress, and other organizations.

The CIO will serve on the DOE-wide CIO Executive Council and will work in concert with DOE-CIO, consistent with the goals of the Clinger?Cohen Act, toward providing a common departmental infrastructure and the implementation of modernized corporate systems, based on DOE's Corporate Systems Information Architecture. CIO will also work closely with the NSSP Cyber Security division and DNS on cyber security issues.

Changes in Structure and Staffing - The majority of CIO functions will require new positions to be created to meet the semiautonomous requirements for NNSA. Several positions will be filled from the consolidation of NNSA employees who now perform CIO functions in the program components.

c. Office of Procurement and Assistance Management (PAM)

Mission - Develop and oversee implementation of DOE and NNSA-specific policies, procedures, programs, and management systems pertaining to procurement and financial assistance, real and personal property management, and related activities.

Functions - PAM will focus on setting NNSA procurement policy, identifying opportunities for improvement and innovation, and monitoring transactions to identify and resolve system and process problems. The office oversees NNSA headquarters and field procurement staff (heads of contracting activity) and the major facility contractors' purchasing systems. PAM will rely on DOE-PAM for execution of NNSA headquarters transactions and for NNSA-unique policy deployment. Its customers include managers, directors, and staff across all units of the NNSA complex.

PAM's core functions include the following:

Serve as the principal procurement advisor to the NNSA Administrator and assist the heads of all NNSA elements regarding procurement and acquisition management
Serve as NNSA's Competition Advocate and ensure full and open competition in the procurement of goods and services in accordance with Public Law 98-369, the Competition in Contracting Act
Serve as the Head of Contracting Activity for NNSA headquarters elements
Participate in development, review for NNSA application, and approve NNSA implementation of DOE-wide initiatives related to acquisition planning, procurement workload distribution, and procurement and property training for technical staff
Review, approve for NNSA application, and ensure participation in DOE programs of on-site assistance, assessment, evaluation, and analysis of NNSA field element and contractor management systems in the procurement, property, cost control and accountability, and general business areas; where appropriate, develop independent NNSA-focused review and assessment programs; ensure development and implementation of related NNSA-unique program considerations and elements

PAM will be divided into two divisions: (1) Contracts Assessment and Systems and (2) Procurement and Financial Assistance Policy. The Contracts Assessment and Systems division provides complete acquisition program planning and federal and contractor contracting system assessment and oversight analysis for NNSA programs and commercial contract activities nationwide. The Procurement and Financial Assistance Policy division provides NNSA complexwide formulation, analysis, interpretation, and best-practices implementation of federal procurement policy and procedures related to application and support of NNSA procurement and financial assistance policy, management, information technology systems, etc.

Internal and External Relationships - PAM will oversee field operations procurement staff (heads of contracting activity) and the contractors' purchasing system. PAM will also work with DOE-PAM in setting policy on contractor human resources.

PAM will have a close relationship with DOE's Office of Procurement and Assistance Management, based on the current MOA. NNSA will continue to retain authority, direction, and control over NNSA actions, while continuing to leverage existing DOE corporate management and operational support systems and activities for a full range of acquisition, financial assistance, property, and contractor human resources management services under the existing MOA, as amended.

PAM will work closely with DOE-M&A with respect to DOE-wide management policies and procedures and will rely on DOE-M&A for basic services not unique to the effective functioning of NNSA.

PAM will support and coordinate with F&O offices to ensure that performance fees, award fees, and all other aspects of contractor performance are consistent across NNSA.

PAM will also have a close relationship with NNSA's Office of Field Operations Support and Office of Project Management and Engineering Support to ensure that procurement policy is reasonably consistent with the operational needs of the field sites. Oversight and monitoring will be accomplished by using DOE-PAM performance-based and on-site techniques used agencywide (which may be necessarily tailored for NNSA's unique needs).

Changes in Structure and Staffing - New positions will be created to meet the semiautonomous requirements for NNSA, some of which may be filled through consolidation of current NNSA and DOE resources. New staff recruitment will be focused on expanding expertise in large-scale acquisition as it relates to the PPBE-style budget environment and advancing innovative practices in federal procurement management, particularly performance-based incentive contracting.

d. Office of Administrative Services (ADMIN)

Mission - Oversee and coordinate general administrative services and logistical support for NNSA headquarters, and ensure that such services are provided to the Administrator and to the NNSA program and staff offices.

Functions - The reorganization plan assumes that NNSA will utilize many of the existing services already provided by the DOE's Office of Administrative Management and Support. These functions comprise primarily central mail receipt and distribution, transportation and domestic travel, engineering and facilities services, and other services as required by NNSA. In addition, it is assumed that the administrative support capabilities currently in DP and NN are needed there and will therefore remain in those organizations. However, for those offices that do not have in-house support capabilities, the Administrative Support Staff will ensure that such services are provided. This will ensure that NNSA employees do not experience any deterioration of services.

The primary role of Administrative Services is coordination and facilitation. Its customers are NNSA headquarters organizations. Its core functions are the following:

Serve as the primary interface and liaison between NNSA and the DOE headquarters offices that provide administrative services to NNSA and its program and staff offices
Perform day-to-day support for headquarters IT and procurement activities
Ensure that NNSA headquarters mail operations and delivery services are provided
Serve as the domestic and foreign travel coordinator for NNSA, providing guidance and direction to ensure that travel is conducted in accordance with DOE and federal travel regulations; coordinate the Foreign Travel Management System (FTMS); serve as the NNSA system manager for the automated travel management system
Coordinate NNSA space management activities, including space planning, acquisition, assignment, alterations, and utilization
Coordinate and oversee NNSA property management activities and serve as the Accountable Property Officer for NNSA headquarters; conduct inventories of capital equipment and furniture for NNSA
Administer the Working Capital Fund for NNSA

Internal and External Relationships - To ensure that services are provided effectively and efficiently to NNSA organizations, frequent interaction will be required between members of the Administrative Services staff and the DOE offices that provide the services to NNSA.

Administrative Services will comprise the Administrative Services staff and the Executive Secretariat, a management arm of the NNSA that will directly support the immediate Office of the Administrator as its primary customer. The Director of the Executive Secretariat will have a dotted line reporting authority to the Administrator's Office. To keep the size of the immediate Office of the Administrator small, organizationally the Executive Secretariat will reside in Administrative Services. The Executive Secretariat assures the orderly, timely, and coordinated functioning of the processes that form the basis for effective formulation and implementation of policy and program decisions.

The Executive Secretariat will work directly with all NNSA program, support, and field elements. It will receive daily work assignments from the Chief of Staff.

Changes in Structure and Staffing - The staffing needs of this organization will, in large measure, be filled by the consolidation of NNSA employees who now perform administrative, office automation, and records management functions in the program components. Several administrative functions will require new positions to be created to meet the semiautonomous requirements for NNSA. Special emphasis will be given to the staffing of an Executive Secretariat, which will require new positions.

e. Office of Planning, Programming, Budgeting, and Evaluation (PPBE)

Mission - To provide direction, advice, and maintenance regarding processes and systems that facilitate NNSA's planning and budget activities.
Functions - The PPBE Office comprises the Program Analysis and Evaluation (PA&E) Division and the Budget Division. Customers of this office include the Administrator, Deputy and Associate Administrators, NNSA program managers, and the Management Council.

Core functions of PPBE include the following:

Develop and implement the Planning, Programming, Budgeting, and Evaluation System (PPBES) for the NNSA
Serve as principal advisor to the Administrator and other NNSA officials on NNSA financial issues
Provide direction and oversight for budget formulation, presentation, and funds administration processes
Provide direction and oversight for the PPBES implementation
Maintain all systems and databases necessary to support the Future Years Nuclear Security Plan (FYNSP)
Provide independent financial analysis in support of NNSA resource allocation decisions

The Budget Division ensures (1) maximum consistency, quality, and effectiveness of funds management within the Administration and (2) that budget policies and decisions support the overall goals of NNSA. It coordinates NNSA's budget formulation and management process and addresses those needs unique from DOE. For example, NNSA program offices must be able to support the budget execution process, review project/program status, and contribute to the formulation of budget requirements. In addition, when the PPBES is fully implemented, there will be additional financial analysis expectations placed on the program offices. There are also functions that cross all NNSA programs that require consistent application of financial tools and policies. Thus there will be a need for integration among all of the individual program offices.

To address the above factors, NNSA will adopt a central budget division concept. The key feature in this concept will be the assignment of colocated budget staff to directly support the individual program offices. This structure will enable the Budget Division to carry out its responsibilities, serve its customers, and support the goals of NNSA and the Administrator most effectively and efficiently. Another key feature of the new structure is that while all direction on budget preparation will occur from the central Budget Division, NNSA will continue to buy financial services, including accounting, from DOE (through MOAs) and will also work with field and contractor organizations to successfully perform key budget-related functions.

The Budget Division's customers include the NNSA Administrator, his immediate staff, and program and support office managers across the NNSA organization. The overall role of the Budget Division is to provide central administration of NNSA's budget formulation process, including issuing formulation guidance; performing independent budget analysis; consolidating budget materials to support the DOE, OMB, and congressional budget processes; and preparing Future Years budget submissions.

Specifically, core functions of the Budget Division include the following:

Provide advice and data analysis to NNSA leaders and organizational units
Ensure coordination and integration with other critical processes and organizations both within and outside NNSA (e.g., the DOE, OMB, and congressional budget processes, etc.)

The Program Analysis and Evaluation (PA&E) Division provides independent, analytic advice in support of the planning, programming, budgeting, and execution process to support NNSA objectives. PA&E supports the NNSA as an independent organization under the Director of PPBE. PA&E's primary responsibility is to provide its customers-NNSA program managers, Deputy and Associate Administrators, and the Administrator and his Management Council-with expert independent, analytic advice regarding the following:

Development and evaluation of program alternatives and the cost-effectiveness of nuclear defense systems, nonproliferation projects, and the infrastructure necessary to support national defense objectives
Optimization of resources through complexwide integration and risk mitigation strategies
Major systems-acquisition analysis and support recommendations
Development and evaluation of NNSA program, system, and infrastructure alternatives

Consistent with its advisory role, PA&E has no decision authority or line responsibility and has no vested interest in any sector of NNSA's budget.

PA&E includes the areas of systems alternatives and program analysis. Key activities include providing cost and operational effectiveness analyses, and conducting long-range and mid-range planning exercises. PA&E will provide the focal point for integration of cost and schedule data with technical performance assessments in support of the program managers and the project management functions. In this way, the program managers are assured consistent interpretation of the information, and NNSA leadership has access to timely performance reporting without burden to the program managers.

Internal and External Relationships - Given the unique nature of the two divisions that form this office, each division's relationships are described separately.

Budget Division - The Budget Division's mission, customers, and organizational structure require that this division work in close partnership with the field, program offices, and the Administrator and his staff on an ongoing basis. Also, as indicated above, NNSA's Budget Division will continue to work closely with DOE-CFO to support the OMB and congressional budget processes. NNSA will also use MOAs to obtain financial services (such as accounting) from DOE and enlist the services of external contractors when necessary.

The relationship between the NNSA Budget Division and DOE-CFO is a critical one. These organizations will work closely together on an ongoing basis as follows:

Accounting Operations: NNSA will continue to use the departmental processes for accounting operations. These include payroll, travel, and accounts payable. Accordingly, NNSA will use DOE's accounting system and any replacement system (i.e., the Phoenix Initiative). DOE will manage and operate these systems, and NNSA will be responsible for the quality of data and ensure the compliance of the NNSA operating units with the accounting policies of DOE. The primary DOE interfaces with NNSA for these activities will be the Capital Accounting Center and the Office of Financial Control and Reporting. NNSA operations will be included in the annual financial statements of DOE.

Budget Operations: It is assumed that OMB and the Congress expect a consolidated budget from DOE, including NNSA. Accordingly, NNSA will participate in the OMB and congressional budget processes by interfacing with the Office of Budget in the CFO organization. NNSA will use the DOE's funds distribution system to allot the funds to NNSA operating units.

Inspector General (IG) and GAO Audits, Review, and Investigations: NNSA will continue to rely on DOE to be the interface with IG and GAO on any review activity. NNSA will be the lead on NNSA-specific reviews in preparing the draft management response, with coordination responsibilities outside of NNSA residing with the CFO.

PA&E Division - PA&E will provide impartial analysis and advice to the Management Council, as requested. Analyses should be structured to strengthen relationships, reevaluate and clarify goals and missions, and reduce organization conflict.

In addition, PA&E will assist the Office of Policy Planning, Assessment, and Analysis by developing specialized forecasting and analysis tools to support Policy Planning staff's long-term strategic planning, modeling and simulation studies, program and project planning, etc. PA&E will provide Policy Planning with rough order-of-magnitude analysis and forecasting in preparation and option assessment of long-range planning and midrange option evaluations.

PA&E will provide the Budget Division with modeling and simulation capabilities to facilitate the development of both the 15- and 5-year window and respective budget guidance supporting NNSA's PPBS. PA&E will provide specific support to PPBE in the areas of planning, programming, budgeting, and execution and evaluation.

PA&E will also provide active support to the Office of Procurement and Assistance Management (PAM). The assistance provided is focused in two areas: Acquisition Management and Performance-Based Contracting. PA&E will provide PAM with the same independent analysis prepared for the Deputy Administrator and his staff. PAM and PA&E will use this analysis to reveal and/or forecast potential problem areas that are neither obvious nor well defined by traditional planning methods.

Changes in Structure and Staffing - NNSA will adopt a central budget division concept in which budget staff will be assigned to directly support the individual program offices. Most of the staffing for the PPBE will come from the consolidation of NNSA employees who now perform PPBE functions in the program components. However, new staff will be required, particularly in the PA&E function.

Budget analysts in the Budget Division will be assigned to DP, NN, Facility Operations, ES&H, Nuclear Security Programs, DNCI, Emergency Management, Headquarters Program Direction, and Field Program Direction. These matrix assignments will be supplemented by staff responsible for corporate and cross-cutting budget functions.

For the Defense Programs and Nonproliferation Offices, the centralized concept of budget support will be slightly modified. The budget staff for these offices will report to the Deputy Administrators for these offices, but will be matrixed to the Director of the Budget Division, and will take direction from the Budget Director in the areas of budget policies, procedures, and systems.

In addition, there will be one full exception to the central budget concept: Naval Reactors will maintain a separate budget office. The rationale for this is that Naval Reactors supports not only the NNSA process but also the Department of the Navy and therefore is required to support multiple systems for two departments. There will be an interface between the Budget Division and Naval Reactors budget organization.

PA&E will comprise a small, interdisciplinary, permanent staff. This staff shall be supplemented, on a continuous basis, with specialty engineering and science support from the field in order to prevent a headquarters-centric organization. Rotating staff will be selected based on their skills and expertise in the subject areas under review. PA&E will seek to populate the division with staff who offer a mix of technical skills. Fundamentally, PA&E staff should have an analytic background with intuitive skills, be quantitatively oriented but also able to work with and appreciate qualitative data, and hail from a range of backgrounds to foster diversity of thought and problem-solving approaches.

f. Diversity Programs

Mission - Advise NNSA officials about the effects of NNSA policies, regulations, and other actions on NNSA's minority employees, and develop ways to increase participation of small and disadvantaged businesses in the Administration's programs and procurement opportunities.

Functions - This unit provides diversity policy development, implementation and oversight, and program administration and advocacy for small, disadvantaged, and/or minority contractors. Its customers include the Administrator, NNSA program managers, and all other NNSA employees at headquarters and within the complex.

Internal and External Relationships - Diversity Programs will work with NNSA's Office of Procurement and Assistance Management and the DOE's Office of Economic Impact and Diversity to ensure that an equitable portion of the total contracts and subcontracts for NNSA's services and supplies are procured with small business/disadvantaged/ minority enterprises.

Diversity Programs will also interface with the NNSA and DOE HR offices and staff from field site diversity offices regarding NNSA contractor and employee diversity policies and procedures.

Changes in Structure and Staffing - Diversity Programs will comprise a small headquarters staff. The unit will rely on expertise and specialty services resident in NNSA field offices and the DOE headquarters community for functional support. Specialty services could include legal services, dispute resolution support, security clearance counseling, and financial counseling.

Approved as of May 3, 2001