Office of Science (SC) Performance Planning and Evaluation

Management System: Quality Assurance and Oversight

Subject Area: Office of Science (SC) Performance Planning and Evaluation

Point of Contact: GEORGETTE LANE
Management System Owner: JOHN ADACHI
Secondary Management System Owner:     DAVID ALLEN
SCMS Home Page | Revision History | Management System Definitions

Issue Date: 04/30/2010
SCMS Revision: 2.0

1.0 Introduction

This subject area provides the procedures for the evaluation of the performance of U.S. Department of Energy (DOE) Office of Science (SC) Headquarters (HQ) Offices and SC Field Offices.

Annually, each SC HQ and Field Office Manager prepares an Annual Performance Plan (APP), which establishes the performance expectations, organizational goals, objectives, measures, and commitments for that office for the upcoming year. Annually, the SC Deputy Director for Field Operations (SC‑3) may choose to issue direction regarding the need to link and align the goals of SC HQ and Field Offices with recent SC, DOE, and/or Federal Government-Wide initiatives. Other SC HQ management may participate in the development of such direction. Application of SC‑3's direction is tailored to the specific SC HQ Office or SC Field Office and linked to Senior Executive Service (SES) and employee performance plans. The APP also addresses SC HQ and Field Offices’ anticipated requests for changes to the approved organizational staffing ceiling and other staffing-related issues.

Annually, each SC HQ and Field Office Manager prepares an Annual Assessment Report (AAR), which documents that organization’s management assessment of its performance against the goals, objectives, and commitments delineated in that year’s APP. In addition to reporting performance in relation to the APP, the AAR identifies noteworthy accomplishments, challenges, and/or major concerns that arose during the year. The annual assessment results should support the end-of-year performance evaluations of the SC HQ and Field Offices' employees. Over time, feedback from SC's management review of APPs and evaluation of AARs will facilitate consistency and drive continuous improvement of SC performance. The SC‑3 evaluates SC oversight performance based on a review and analysis of the APPs, AARs, SC HQ-directed reviews, and applicable external reviews. Key elements of the evaluation are based on the annual guidance and include site-specific and an SC‑crosscutting analysis to determine if the plans meet the objectives of the APP with a focus on the performance goals and objectives.

The SC Integrated Support Center (ISC) is the pilot for implementation of ISO 9001:2008 standards for quality assurance. In accordance with the ISO 9001:2008 standard, to effectively plan and evaluate performance, the SC ISC must ensure that customer requirements are determined and met with the goal of continually enhancing customer satisfaction. Requirements specified by the customer, as well as requirements not stated by the customer but necessary for the specified use and/or to satisfy statutory and regulatory requirements, must be determined and incorporated into annual performance plans. Information relating to customer perception as to whether the SC ISC has met customer requirements must be identified, collected, evaluated and reported in annual assessment reports. Since ISO 9001:2008 implementation is limited to the SC ISC pilot project, these requirements do not apply to the remainder of SC.

2.0 Contents

Procedures

Procedure Content
1. Preparing and Reviewing the SC Annual Performance Plan (APP)
  • Determine the need for supplemental APP guidance.
  • Establish performance expectations.
  • Ensure assessment(s) are entered into the SC Integrated Assessment Schedule.
  • Develop and submit an APP.
  • Perform a corporate review of APPs and provide feedback.
  • As needed, direct assessments based on corporate review results.
2. Preparing and Reviewing the SC Annual Assessment Report (AAR)
  • Perform management assessment against APP commitments.
  • Document and submit an AAR.
  • Perform a corporate review of the AARs and provide feedback.
  • As needed, direct assessments based on corporate review results.
3. Focusing on Customers to Enhance Customer Satisfaction (Applicable to SC ISC Only)
  • Identify products/deliverables provided to SC ISC customers.
  • Determine requirements specified by SC ISC customers, as well as requirements not stated by customers but necessary for the specified use and/or to satisfy statutory and regulatory requirements.
  • Determine measures and methods for obtaining information regarding customer perception as to whether the SC ISC met customer requirements.
  • Evaluate SC ISC customer satisfaction information (reference SC Performance Trending Subject Area).
  • Develop and implement SC ISC improvement actions, as necessary (reference SC Issues Management Subject Area).

3.0 Exhibits/Forms

4.0 Related Information

5.0 Requirements

Document Title Requirement Decision Record
DOE O 226.1B

Implementation Of Department Of Energy Oversight Policy

Completed

DOE P 226.1B

Department Of Energy Oversight Policy

Completed

DOE O 414.1D

Quality Assurance

Completed

6.0 Definitions

Definitions.

This is the online OFFICIAL SCMS COPY of this file. Before using a printed copy, verify that it is the most current version by checking the Last Major Revision and Last Minor Revision dates (at the bottom of each document) on the SCMS Web site.

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Filename: /OrbitSearch/SubjArea/EFOP/EFOP_SA.cfm
Last Major SCMS Revision: 04/30/2010