5. Developing and Executing the SC Laboratory Performance Appraisal Process

Management System: Management and Operating (M&O) Contracting

Subject Area: Management and Operating (M&O) Contract Management and Administration

Procedure 5. Developing and Executing the SC Laboratory Performance Appraisal Process

Subject Matter Expert: JOHN LABARGE
Management System Owner: JOHN LABARGE
Secondary Management System Owner: DENNIS WILSON

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Issue Date:  09/17/2012
SCMS Revision:  2.11

1.0  Applicability

This procedure applies to the Office of Science (SC) Integrated Support Center (ISC), SC Site Offices, SC Headquarters (HQ) Program and Staff Offices, and other SC staff involved in the development and execution of the SC Laboratory Performance Appraisal Process.

2.0  Required Procedure

The appraisal process provides a common structure and scoring system across all 10 SC laboratories. The performance-based approach focuses the evaluation of the laboratory contractor’s performance against eight (8) Performance Goals. The SC laboratory contracts require DOE to annually assess the performance of the Management and Operating (M&O) contractor and determine the amount of performance-based fee earned. This procedure describes the general steps and activities necessary to evaluate the performance of the SC laboratory contractors on an annual basis and determine any associated incentives earned. Detailed guidance for the development, review, and approval of Performance Evaluation and Measurement Plans (PEMPs); execution of performance assessments; development, review, and approval of Performance Evaluation Reports; and determination of any incentives earned is updated and issued annually through the SC Guidance: SC Laboratory Performance Appraisal Process document.

Step 1

Annual PEMPs are developed and approved by October 1 of each year as follows:

  1. The SC HQ Office of Laboratory Policy and Evaluation (SC-32) provides updated guidance for the Office of Science Laboratory appraisal process that includes a schedule for submittals.

  2. SC Site Offices, working in conjunction with the SC ISC, SC HQ Program and Staff Offices, and other customers develop the PEMP for their laboratory contractor and submit it to SC-32 for review by the the SC Laboratory PEMP Review Board.

  3. The SC Laboratory PEMP Review Board reviews the submitted PEMPs against the criteria in the SC PEMP guidance document and, as necessary, provides comments to SC Site Offices in accordance with the schedule provided by SC-32.

  4. The SC Site Office Manager ensures that comments received from the SC Laboratory PEMP Review Board are adequately addressed.

  5. The SC Laboratory PEMP Review Board provides a recommendation for laboratory PEMPs to the Director of the Office of Science (SC-1).

  6. SC-1 approves the annual PEMPs for each laboratory contractor and issues approval memorandum to SC Site Office Managers. SC Site Office formally incorporates approved PEMP into the site M&O contract.

Step 2

SC Site Offices, working in conjunction with the SC ISC, SC HQ Program and Staff Offices, and other customers, monitor contractor performance throughout the year in accordance with oversight and performance feedback expectations of SCMS Management Systems, including the SC Quality Assurance and Oversight Management System.

Step 3
  1. SC Site Offices coordinate and provide formal midyear evaluation feedback to the contractor.

  2. As requested, the SC Associate Directors provide midyear performance input to SC Site Office Managers for performance against PEMP Science and Technology  Goals 1 to 3.
Step 4

Following the end of the fiscal year, annual Contractor Performance Evaluation Reports are developed, to include contractor scores and grades provided and any associated incentives earned, as follows:

  1. Annually, SC Site Offices, in conjunction with the SC ISC, SC HQ Program and Staff Offices, and other customers, develop the Contractor Performance Evaluation Report for their laboratory in accordance with the requirements of the annual SC PEMP guidance document. This includes assigning of appropriate scores for each performance Goal and Objective and determination of any incentives earned.

  2. The SC Site Office Manager develops the Site Office Performance Evaluation Presentation for SC-1 in the format prescribed by the SC PEMP guidance document and submits in accordance with the schedule to the SC Office of Laboratory Policy and Evaluation.

  3. The SC Site Office Manager, with support from appropriate SC HQ Program Offices, and other customers, briefs SC-1 on laboratory contractor performance and corresponding grades and incentives earned.

  4. Based on the results of the briefings, the responsible SC Site Office Manager makes adjustments to the report and scores as needed.

  5. SC-1 approves the final appraisal package prepared and submitted by the Site Office Manager.

  6. SC Site Office Managers issue the approved Contractor Performance Evaluation Report to the laboratory contractor, which includes notification of any incentives earned by the laboratory contractor.

Step 5

SC-32 in conjunction with the Office of SC Communications and Public Affairs posts each laboratory contractor's Report Card on the SC Office of Laboratory Policy and Evaluation (SC-32) Web site.

3.0  References


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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