The PDF version 
U.S. Department of Energy ORDER
Washington, D.C. DOE 5300.1C
6-12-92
SUBJECT: TELECOMMUNICATIONS
1. PURPOSE. To establish policies, responsibilities, and guidance for the
planning, acquisition, coordination, management, review, engineering,
and use of telecommunications services, including voice, data,
facsimile, narrative message communications facilities, radio
communications, and electromagnetic spectrum resources under normal and
emergency conditions for the Department of Energy (DOE).
2. CANCELLATION. DOE 5300.1B, TELECOMMUNICATIONS, of 12-2-88.
3. SCOPE. The provisions of this Order apply to all Departmental
Elements, contractors, and subcontractors performing work for the
Department whose telecommunications costs are direct charges to the
Department under cost reimbursement contracts as provided by contract
and as implemented by the appropriate contracting officer.
4. EXCEPTIONS. Telecommunications facilities and equipment not covered by
this Order are operational communications requirements, other than
spectrum-dependent requirements, of the Power Marketing
Administrations.
5. BACKGROUND.
a. This Order recognizes that the telecommunications industry is
changing in its character and that two significant factors are
continuing to affect DOE telecommunications services. These are
the aftermath and repercussions from deregulation and divestiture
of American Telephone and Telegraph and the convergence of
technology. The former has created new opportunities and
acquisition strategies for telecommunications services; the latter
is rapidly obliterating the distinction between voice and data
communications services.
b. This Order also implements the "National Telecommunications and
Information Administration Manual of Regulations and Procedures
for Federal Radio Frequency Management" and applicable Federal
Communications Commission rules and regulations; provides for DOE
representation in those bodies formulating national and
international frequency management policy, plans, and standards;
and provides for Department compliance with such policies, plans,
and standards, as applicable.
c. Finally, this Order acknowledges that:
(1) Telecommunications resources are essential elements to
effective national security emergency preparedness. DOE is
classified as a Category A agency by the "Federal Emergency
Plan" (classified report, title unclassified), Annex C-XI,
Telecommunications. As a result, the Department must have
telecommunications resources that are capable of providing
essential and emergency telecommunications to support
Departmental statutory functions in war, operational, or
energy emergencies.
(2) By Executive Order 12472, the President has established the
framework for planning, developing, and exercising Federal
Government telecommunications assets to satisfy essential
national security emergency preparedness needs, and has
established the National Communications System to ensure that
a national telecommunications infrastructure is developed.
6. REFERENCES. See Attachment 1.
7. POLICY AND OBJECTIVES.
a. Policy. It is the policy of the Department to provide adequate,
efficient, economical, and reliable services that support the
Department's mission under normal and emergency conditions.
b. Objectives.
(1) General.
(a) Promote the acquisition of systems that will satisfy
present and future requirements; complement the planning
for national security emergency preparedness;
accommodate the full-scale integration of
telecommunications disciplines; and provide the required
degree of reliability, capacity, and interoperability.
(b) Procure telecommunications systems and services through
full and open competition except as fully justified
according to applicable acquisition laws and
regulations, and take advantage of opportunities to
control costs through development of acquisition
strategies for a deregulated marketplace.
(c) Develop service requirements for local
telecommunications service with consideration for the
following:
1 Encouraging competitively obtained fixed price
contractual arrangements rather than cost
reimbursable or tariffed services;
2 Performance specifications emphasizing service in
lieu of design specifications;
3 Mature, reliable technologies which can provide an
orderly transition from today's technology to take
advantage of future services such as may be
provided by Federal Telecommunications System (FTS)
2000 and the Integrated Services Digital Network;
and
4 Lease versus purchase strategies.
(d) Provide telecommunications facilities and services which
fulfill communications security (COMSEC) requirements
under normal and emergency conditions.
(e) Strengthen the capabilities of telecommunications
managers throughout the Department so they may have the
skills necessary to function in a deregulated
competitive environment.
(f) Provide interconnectivity and interoperability between
networks where feasible, cost-effective, and consistent
with a high level of services for users.
(g) Use FTS for intercity DOE voice traffic unless it can be
demonstrated that technical, operational, or economic
efficiencies will result from the use of an alternative
carrier. Prior approval must be obtained from DOE
Headquarters for use of an alternative carrier.
(h) Use commercial services where they are most economical
and satisfy mission requirements.
(i) Use General Services Administration (GSA) provided
area-wide contracts for telecommunications services,
such as value-added networks, to the extent practicable.
These services should be considered in the planning
process, and recommended use of such service should be
included in proposals based on availability, quality,
and costs.
(j) Limit, under normal circumstances, acquisition of
telecommunications capabilities to commercially
available circuits, equipment, and services.
(k) Implement restriction techniques when feasible and
cost-effective. At a minimum, all telephone system
managers or the designated representatives are
instructed to obtain a supervisor's authorization on all
new service requests to establish the official need for
FTS access and/or direct access to commercial long
distance services.
(l) Establish procedures and cost guidelines to assure that
installed, but temporarily unused, telecommunications
facilities and services are managed in the most
effective and economical manner in accordance with
Chapter III, paragraph 7f of this Order. Procedures
should include ascertainment from administrative and/or
program officers of an estimate for a duration of
nonusage and appropriate and timely removal, storage,
and reuse procedures. Cost guidelines should be based
on algorithms that reflect all related costs, present
value analysis, and determine the maximum number of
months that all types of terminal equipment and/or all
types of circuits may be kept in service while unused.
(2) Electromagnetic Spectrum.
(a) Utilize prudently the electromagnetic spectrum when
other means (landlines or commercial service) cannot
provide the required support in an efficient, economical
manner with the required level of reliability, or when
other means are not available or feasible. This
includes traditional spectrum use for telecommunications
purposes, as well as advanced energy research,
development, and demonstration projects.
(b) Promote the Federal Government policy of reliance upon
the private sector when feasible and practical for
telecommunications services. This includes design,
engineering, systems management and operations,
maintenance, and logistical support for
spectrum-dependent systems. Spectrum support will be
approved only if private sector commercial services are:
1 Not available to the user during the time needed;
2 Not adequate from either a technical and/or
operational standpoint; or
3 Significantly more costly.
(c) Ensure that all DOE, joint interagency, and Departmental
contractor and subcontractor operations utilizing
spectrum resources within the United States and its
possessions are conducted under Department
authorizations. The licensing authority of another
Government agency or the Federal Communications
Commission is not valid for Department operations,
unless approved by the Office of IRM Policy, Plans, and
Oversight (AD-24). This provision does not apply to
contractors and subcontractors in instances where they
are:
1 Providing radio communications services to the
Department or to its contractors and subcontractors
under established common carrier tariffs; and
2 Using spectrum-dependent equipment procured with
funds provided by other than the Federal
Government.
(d) Ensure that funds are not obligated for research,
development, construction, modification, enhancement,
expansion, lease, or procurement in support of any
Departmental frequency-dependent program, including
devices capable of interfering with, or being disrupted
by, authorized radio services, until certification by
the National Telecommunications and Information
Administration that spectrum support has been obtained.
(e) Only AD-24 may negotiate with the National
Telecommunications and Information Administration,
Federal Communications Commission, Department of State,
or other Government agencies for frequency
authorizations unless specifically authorized by the
Director of AD-24.
(f) Promote and obtain recognition to accommodate DOE
spectrum-dependent systems or programs that are not
provided for in the national or international radio
regulations. These systems and programs include, but
are not limited to:
1 Carrier current systems used principally by
utilities and for which the Federal Communications
Commission and National Telecommunications and
Information Administration have established a
special procedure; and
2 Equipment radiating electromagnetic waves not used
for telecommunications and not in accordance with
the national allocations and provisions for
industrial, scientific, and medical equipment use.
(g) Require adherence to national standards and discourage
waivers. Exceptions requiring waivers will be submitted
to the Director of AD-24 for evaluation and submission
to the Administrator, National Telecommunications and
Information Administration, for approval.
(3) National Security Emergency Preparedness Telecommunications.
(a) Ensure compliance with national security emergency
preparedness telecommunications policy and planning,
since the Nation's domestic and international
telecommunications resources are essential elements of
U.S. national security policy and strategy.
(b) Adhere to the national telecommunications emergency
preparedness concept delineated in Executive orders,
which includes the broad spectrum of crisis management
from natural disasters to international conflicts,
including nuclear warfare as threats to U.S. national
security.
8. DEFINITIONS. Unless specifically stated herein, definitions are those
contained in Federal Standard 1037A and in the "Manual of Regulations
and Procedures for Federal Radio Frequency Management."
a. National Security Emergency Preparedness (Telecommunications
generic definition). Those telecommunications services which are
used to maintain a state of readiness or to respond to and manage
any event or crisis (local national, or international) which
causes or could cause injury or harm to the population, damage to
or loss of property, or degrades or threatens the national
security emergency preparedness posture of the United States.
Two specific categories of telecommunications services that fall
within this definition are emergency national security emergency
preparedness telecommunications services and essential national
security emergency preparedness telecommunications services.
(1) Emergency national security emergency preparedness
telecommunications services are new telecommunications
support rendered during Presidentially declared emergencies
or involving national survival or well being.
(2) Essential national security emergency preparedness
telecommunications services are existing telecommunications
support which warrant assignment of National Communications
System/Federal Communications Commission-approved restoration
priorities or are essential for the safe conduct and support
of exercises.
b. Special Purpose Telecommunications Services are:
(1) Telecommunications services in support of activities
conducted pursuant to the Foreign Intelligence Surveillance
Act;
(2) Telecommunications services in support of the President or
Vice President; and
(3) Telecommunications services in direct support of the conduct
of foreign affairs (e.g., visiting foreign heads of state or
similar dignitaries, permanent diplomatic and consular
missions in the United States, and significant international
conferences, meetings, or events held in the United States)
as certified by the Secretary of State.
9. RESPONSIBILITIES AND AUTHORITIES.
a. The Secretary of Energy, by direction of the President in
Executive Order 12472, shall determine the Department's essential
national security requirements.
b. Director of Administration and Human Resource Management (AD-1)
shall have the overall responsibility for telecommunications
policy and management for the Department, and shall assure
compliance with national and international regulations.
c. Director of Information Resources Management (AD-20) shall,
through the:
(1) Director of IRM Policy, Plans and Oversight (AD-24).
(a) Establish objectives, principles, policies, procedures,
and standards for the planning, development, acquisition
(other than acquisition policies, procedures, and
directives under the authority of the Director of
Procurement, Assistance and Program Management (PR-1))
management, and operation of Department
telecommunications systems, including electromagnetic
spectrum-dependent programs and systems.
(b) Provide policy, management guidance, and approve
Departmentwide telecommunications switching and network
systems.
(c) Plan, develop, coordinate, and manage all
telecommunications facilities and services in support of
the Department national security emergency preparedness
programs and assure that such programs are consistent
with national directives.
(d) Review and provide functional direction for the
application by field elements, contractors, and
subcontractors through the cognizant contracting officer
of established objectives, principles, policies,
procedures, and standards in the area of
telecommunications.
(e) Review and concur on telecommunications proposals and
proposed contract actions pertaining to
telecommunications projects, including national security
emergency preparedness, to evaluate the consistency of
the proposed facility, services, or equipment with
Departmental long-range telecommunications planning and
objectives. Ensure that all current and future
telecommunications assets are compatible with national
security emergency preparedness requirements and advise
the Manager, National Communications System, of those
requirements.
(f) Provide staff advice and assistance to all
organizational elements on application of engineering
standards, design criteria, policies, and procedures
concerning telecommunications facilities and services,
Departmental emergency response programs, and
spectrum-dependent programs.
(g) Coordinate and obtain approvals for telecommunications
proposals from GSA and other agencies, as appropriate.
(h) Coordinate and obtain authorization for the use of radio
frequencies by the Department and its contractors and
subcontractors.
(i) Review adequacy, effectiveness, and efficiency of
telecommunications functions and facilities (including
crypto-facility operations and emergency facilities)
through surveys, onsite audits, tests, and appraisals.
Conduct studies and analyze the economic efficiency and
technical effectiveness of telecommunications policies,
plans, and operations at Headquarters and field
elements.
(j) Provide, on a reimbursable basis, the services of
Government, contractor, or subcontractor
telecommunications specialists to assist in the
acquisition, installation, and management of
telecommunications services.
(k) Designate, as appropriate, accredited individuals to
represent the Department with other Federal and State
agencies and with industry on telecommunications policy
matters and on activities related to the National
Telecommunications and Information Administration,
National Communications System, GSA, and Departmentwide
telecommunications projects and programs and ensure that
approved Departmental policy and requirements are
considered at the national and international levels.
(l) Review and determine the applicability of Federal
regulations, including Federal Information Resources
Management Regulations, procedures (not including
procurement regulations, policies, or procedures
properly within the responsibility of the Procurement
Executive), and Orders pertaining to Federal
telecommunications, and issue supplementary material and
authorize deviations, if warranted.
(m) Represent or advise the Department, its contractors, and
its subcontractors in dealing with foreign governments
or industrial firms pertaining to telecommunications
services outside the United States.
(n) Represent the Department with the telecommunications
industry on policy matters and on related committee and
activities.
(o) Provide Departmentwide direction, administration, and
coordination of the Department COMSEC program essential
to national security emergency preparedness planning.
(p) Provide information on proposed Departmentwide
telecommunications activities to assist the Chief
Financial Officer in developing operating plans and
budgets.
(q) Consolidate Department telecommunications requirements,
including expenditure information that may be required
for intraagency and interagency reporting.
(r) Prepare policies, plans, and procedures to ensure that
telecommunications assets under DOE management or
operational control are capable of satisfying the
Federal Government national security emergency
preparedness needs under crisis or emergency conditions.
(s) Supply information to and consult, as appropriate, with
the Manager, National Communications System, regarding
all Department telecommunications assets.
(t) Provide staff support to the Manager, National
Communications System, and other Federal departments in
the national execution of national security emergency
preparedness functions, furnishing such information,
support, and assistance as may be required by the
President.
(u) Identify and provide policy guidance and direction for
those DOE telecommunications assets which include radio
communications required during national, regional, or
local emergencies and ensure that Departmental emergency
telecommunications systems are operational and
responsive to DOE emergency planning, preparedness, and
response programs, and that they compliment the planning
of the Manager, National Communications System, national
security emergency preparedness programs.
(v) Ensure that procedures are developed with each Lead
Program Secretarial Officer which describe the process
for interface and communicating with their DOE Field
Offices.
(2) Director, Office of Information Technology Services and
Operations (AD-25).
(a) Plan, design, request procurement of, manage, and
operate Headquarters and multiuser nationwide
telecommunications systems.
(b) Certify that goods and services ordered have been
received so that authorization for payment of invoices
can be accomplished.
d. Contracting Officers shall:
(1) Ensure that the requirements of this Order are included in
solicitations and contracts in which the acquisition of
telecommunications supplies and/or services are required and
when those supplies or services will be acquired as a direct
charge to the Department.
(2) Ensure that cost reimbursement contractors acquire
telecommunications services in accordance with the terms and
conditions (including any requirements for competition) of
the governing contract.
e. Director of Administrative Services (AD-60) shall:
(1) Determine requirements for and obtain, install, maintain, and
test radio, electronic, and public address facilities serving
Headquarters.
(2) Determine requirements, budget, request procurement of, and
maintain all Headquarters radio communications, wireways, and
alarm circuitry.
f. Director of Security Affairs (SA-1) shall, in consultation with
AD-24, establish policies, procedures, and standards for personnel
and physical security aspects of telecommunications.
g. Chief Financial Officer (CR-1) shall coordinate with the Director,
AD-24, those portions of the Headquarters and field budgets that
contain funds for reimbursable and national security emergency
preparedness telecommunications.
h. Heads of Headquarters Elements shall:
(1) Ensure compliance with objectives, principles, policies,
procedures, and standards related to the planning,
acquisition (other than acquisition policies, procedures, and
directives under the authority of PR-1), management, and
operation of the Department telecommunications systems.
(2) Determine requirements and provide management oversight for
telecommunications services; develop related plans,
schedules, budgets, and proposals; and provide adequate
facilities and services to meet programmatic and national
security emergency preparedness requirements, to include
operating nationwide systems for which approval has been
obtained from AD-24.
(3) Ensure that telecommunications proposals, plans, schedules,
and budgets are submitted to AD-24, as required, for
Headquarters concurrence and action. The Energy Information
Administration shall submit its data communications plan and
telecommunications budget to AD-24 as part of its annual
information technology resources long-range site plan.
(4) Assure that all DOE spectrum-dependent programs requiring
radio support or otherwise impacting the electromagnetic
spectrum are referred to AD-24, who will obtain national
operational authority or certification of spectrum
availability, as appropriate. Spectrum authority or
certification will be requested concurrently with program
budget submission, and will be required prior to expenditure
of funds for electromagnetic equipment.
(5) Coordinate with AD-24 programs requiring telecommunications
in support of the DOE emergency planning and preparedness.
(6) Submit reports to AD-24 as required.
(7) Initiate requests for specific deviations from codes and
standards, and submit recommendations for supplementing or
modifying such codes and standards to AD-24.
(8) Request exemptions from specific provisions of Federal
regulations and orders from AD-24 where such action appears
necessary to the conduct of Department programs.
(9) Designate key personnel who should be provided essential
special telecommunications service during emergencies.
(10) Designate administrative representatives who will be
responsible for requesting, coordinating, and verifying
telephone services.
(11) Ensure that complete long-range plans are compiled and
submitted annually in response to the information technology
resources long-range site plan call issued by AD-24. Major
changes or additions to these plans are to be submitted to
AD-24 throughout the year.
(12) Ensure that cost reimbursement type contractors plan,
develop, and manage telecommunications services acquired
under their contracts in accordance with the policies and
procedures set forth in this Order, including initiating and
submitting proposals, plans, schedules, budgets, and
requirements determinations to AD-24 for review and approval.
i. Program Secretarial Officers and Heads of DOE Field Offices shall:
(1) Ensure that telecommunications proposals are submitted to the
Office of IRM Policy, Plans, and Oversight (AD-24) as
required.
(2) Ensure that acquisitions are conducted in accordance with
applicable requirements and that procedures are established
for reviewing contractor acquisitions under the $1 million
threshold.
j. Heads of Field Elements shall:
(1) Ensure compliance with objectives, principles, policies,
procedures, and standards related to the planning,
acquisition (other than acquisition policies, procedures, and
directives under the authority of PR-1), management, and
operation of the Department telecommunications systems.
(2) Ensure that existing and proposed systems conform to and
operate in compliance with applicable directives and national
and international regulations.
(3) Determine requirements and provide management oversight for
telecommunications services; develop related plans,
schedules, budgets, and proposals; and provide adequate
facilities an services to meet programmatic and national
security emergency preparedness requirements, to include
operating nationwide systems for which approval has been
obtained from AD-24.
(4) Ensure efficient and effective management of
telecommunications facilities, services, and assigned
spectrum resources.
(5) Assure that complete coordination and planning are
accomplished prior to the submission of proposals or
spectrum-dependent requirements to AD-24 for appropriate
action at the Headquarters, national, or international
levels.
(6) Ensure that telecommunications proposals, plans, schedules,
and budgets are submitted to AD-24, as required, for
Headquarters concurrence and action.
(7) Assure that modification to, or purchase of, new
telecommunications systems considers requirements for
national security emergency preparedness operations in
support of local and national emergencies.
(8) Approve local telecommunications falling below the thresholds
contained in Chapter II, provided:
(a) The validity of the requirement has been documented and
justified;
(b) The communications design or services meets the
requirement in the most efficient and cost-effective
manner compatible with existing services; and
(c) The proposed telecommunications systems satisfy national
security emergency preparedness requirements.
(9) Ensure that all cost-reimbursement type contractors plan,
develop, and manage telecommunications services acquired
under their contracts in accordance with the policies and
procedures set forth in this Order, including initiating and
submitting proposals, plans, schedules, budgets, and
requirements determinations to AD-24 for review and approval.
(10) Submit reports to AD-24, as required, regarding
telecommunications facilities and services.
(11) Ensure that complete long-range plans are compiled and
submitted annually in response to the AD-24 information
technology resources long-range site plan call. Major
changes or additions to these plans are to be submitted to
AD-24 throughout the year.
(12) Initiate requests for specific deviations from codes and
standards, and submit recommendations for supplementing or
modifying such codes and standards to AD-24.
(13) Request exemptions from specific provisions of Federal
regulations and orders from AD-24 where such action appears
necessary.
(14) Conduct telecommunications field appraisals of subordinate
elements, contractors, and subcontractors.
(15) Designate a responsible manager, a representative of the
telecommunications staff at each field element, who shall be
responsible for the following:
(a) Forecasting requirements, including those with national
security emergency preparedness requirements;
(b) Developing programs for services to meet
telecommunications requirements;
(c) Advising and assisting in the control and distribution
of costs;
(d) Managing telecommunications services, as appropriate,
and monitoring contractor and subcontractor performance;
and
(e) Providing management services, which include:
1 Providing employees of each location with local
procedures on the availability and use of
telecommunications services;
2 Maintaining records of equipment, services, and
information listings, including narrative
descriptions and block diagrams of all existing and
planned telecommunications systems;
3 Coordinating preventive maintenance and requests
for repair of telecommunications facilities,
including national security emergency preparedness
telecommunications facilities.
4 Processing and coordinating requests for
facilities, services, and equipment;
5 Preparing data for telephone directories; and
6 Certifying bills for telecommunications facilities
and equipment.
10. ENGINEERING, SECURITY, AND TECHNICAL STANDARDS.
a. General Guidelines. Facilities, services, and equipment will be
engineered to perform their required functions with efficiency and
economy. Where new capability is to be added to an existing
service or system, it must be capable of interfacing with the
equipment, circuits, and procedures in effect to ensure
interoperability, as well as security and national security
emergency preparedness considerations. Exceptions to this
guidance must be fully justified and documented in a proposal
submitted to AD-24 in accordance with Chapter III of this Order.
Acquisition of these services or systems shall be in accordance
with applicable procurement regulations. Standards and procedures
for unclassified operations will be in accordance with existing
Orders dealing with unclassified computer systems and networks.
b. Facilities, Services, and Equipment.
(1) Classified Operations. Standards and procedures for
classified operations will be in accordance with existing
Orders dealing with communications security.
(2) Unclassified Operations. Unclassified data communications
facilities and those facilities processing sensitive
unclassified information will be engineered in accordance
with Orders dealing with communications security and shall
meet at least the following additional criteria:
(a) Physical size should be sufficient to accommodate
current and projected needs for expansion over the next
5-year period.
(b) Equipment to be initially installed should be capable of
handling projected traffic loads over a 5-year period.
(c) Power, heating, air conditioning, lighting, and wiring
should be of sufficient capacity to provide for
necessary expansion and additions over the next 5 years.
(d) Facilities design should meet current Departmental and
GSA standards for construction.
c. Technical Standards. Federal automatic data processing and
telecommunications standards shall be used for the acquisition of
telecommunications equipment and services as prescribed by Federal
Information Resources Management Regulation 201-8.
Telecommunications equipment and services acquisitions by
management and operating contractors and subcontractors should be
acquired using the "Federal Norm."
d. Emission Security (TEMPEST) Standards. Any communications
equipment engaged in the processing of classified information in
clear text must meet current TEMPEST standards, as described in
DOE 5300.2D.
e. Special Requirements. Any special requirement which, by virtue of
its unique characteristics, requires deviation from current
standards should be justified and documented in a proposal
submitted to AD-24.
f. Maintenance. Maintenance, repair, and replacement of
communications facilities, services, and equipment are
accomplished through Department, contractor, and subcontractor
technicians, GSA technicians, and carrier, manufacturer, or vendor
services, depending on availability of personnel and the status of
the service involved, whether owned, furnished, or leased by the
Government.
g. Spectrum-Dependent Telecommunications Systems. All
spectrum-dependent telecommunications systems shall comply with
engineering security standards stated in Chapter 5 of the "NTIA
Manual of Regulations and Procedures for Federal Radio Frequency
Management." Spectrum-dependent telecommunications systems
handling information requiring protection shall comply with
engineering security standards stated in DOE 5300.3C.
11. PROCEDURES.
a. Procedures for the planning, engineering, acquisition, management,
and operation of voice/data communications systems are contained
in Chapter II.
b. Implementing instructions for spectrum-dependent planning,
acquisition of equipment, coordination and operation, and the
reporting requirements are contained in the "DOE Radio Services
Procedural Guide."
12. USAGE.
a. All voice/data telecommunications systems shall conform to the
policies and procedures outlined in Chapter III in this Order.
b. All spectrum-dependent telecommunications systems shall conform to
the policies, rules and regulations, and procedures for the use of
electromagnetic spectrum resources stated in the "NTIA Manual of
Regulations and Procedures for Federal Radio Frequency Management"
and the "DOE Radio Services Procedural Guide.
BY ORDER OF THE SECRETARY OF ENERGY:
DONALD W. PEARMAN, JR.
Acting Director
Administration and Human
Resource Management
REFERENCES
1. GENERAL.
a. DOE 1000.3B, INTERNAL CONTROL SYSTEMS, of 7-5-88, which prescribes
policies and standards for internal control systems in the DOE and
assigns responsibility and accountability to managers for
establishing, evaluating, improving, and reporting on internal
controls for their respective programs and administrative
functions.
b. DOE 1360.2B, UNCLASSIFIED COMPUTER SECURITY PROGRAM, of 5-18-92,
which establishes requirements, policies, responsibilities, and
procedures for developing, implementing, and sustaining a
Department of Energy unclassified computer security program.
c. DOE 4300.1C, REAL PROPERTY MANAGEMENT, of 6-28-92, which
establishes Departmentwide policies and procedures, and assigns
responsibilities for site development and facility utilization
planning.
d. DOE 5300.2D, TELECOMMUNICATIONS: EMISSION SECURITY (TEMPEST) of
5-18-92, which establishes the Departmental program for emission
security and implements the provisions of the national policy that
are applicable to emission security.
e. DOE 5300.3C, TELECOMMUNICATIONS: COMMUNICATIONS SECURITY, of
5-18-92, which establishes policy, responsibilities, and guidance
concerning the aspects of telecommunications services, and
implements national policy on telecommunications and automated
information systems security.
f. DOE 5636.1A, PROHIBITIONS ON ILLICIT WIRETAPPING AND
EAVESDROPPING, of 6-12-92, which specifies the Department policy
of prohibiting the procurement of devices designed specifically
for wiretapping or eavesdropping and the installation and use of
such equipment.
g. Federal Information Resources Management Regulations, Part 201,
which provides policies and procedures governing the utilization
by executive agencies of telecommunications services, and is
published by the General Services Administration (GSA).
h. Federal Standard 1037B, "Glossary of Telecommunications Terms,"
which provides definitions of terms used in telecommunications and
directly related fields, and is published by the GSA.
i. The Communications Act of 1934 (as amended) which provides for the
regulation of interstate and foreign communication by wire or
radio and for other purposes; and, in particular, section 305(a),
which establishes Presidential statutory authority to authorize
operations of radio stations belonging to, or operated by, the
U.S. Government; and section 606, which establishes the war
emergency telecommunications powers of the President.
j. Public Law 89-306, The Brooks Act, of 10-30-65 (as amended by
Continuing Appropriations Act, 99-500) which provides for the
economic and efficient purchase, lease, maintenance, operation,
and utilization of automatic data processing equipment by Federal
departments and agencies.
k. Office of Management and Budget Circular A-76 (revised)
"Performance of Commercial Activities," of 8-4-83, which
establishes policies for acquiring commercial or Industrial
products and services needed by the Government.
l. Office of Management and Budget Circular A-11, "Preparation and
Submission of Budget Estimates," issued annually, which provides
guidance regarding the preparation and submission of budget
estimates, including that portion which prohibits the obligation
of Government funds without a certification of availability of
spectrum support.
m. National Communications System Manual 3-1-1, of 7-9-90, which
provides procedures to implement the Telecommunications Service
Priority (TSP) System for National Security and Emergency
Preparedness (NS/EP) as prescribed in NCSD 3-1. It provides
direction to all Federal Agencies participating in the TSP System.
It also provides direction to those organizations outside the
Federal Government that wish to participate in the TSP System as
TSP Service Users.
n. "The Guidelines for Determining Telecommunications System and User
Requirements," of 10-85, which provides guidance to
telecommunications project managers in gathering the required
information for the preparation of a technical specification and a
statement of work, available from the Office of Information
Technology Services and Operations (AD-25).
o. "Model Specification for an Information Exchange," of 6-84, and
"Developing the Technical Content of a Telecommunications
Solicitation for Local Switching Systems," of 11-84, which provide
guidance regarding the development of solicitations, available
from the Office of Information Technology Services and Operations
(AD-25).
p. "Implementation and Cutover Planning Guide," of 1-86, which
provides guidance on evaluating vendor plans associated with the
implementation of an Information Exchange (IX) system and
coordinating and monitoring the actual installation and cutover of
the system, available from the Office of Information Technology
Services and Operations (AD-25).
q. "The Department of Energy RED\BLACK Design/Implementation
Procedural Guide," of 4-1-91; published by AD-24, and periodically
revised, which implements procedures in support of national and
Departmental TEMPEST policy requirements as directed by DOE
5300.2D, TELECOMMUNICATIONS: EMISSION SECURITY (TEMPEST).
r. "The Department of Energy (DOE) Communications Security (COMSEC)
Procedural Guide," which Implements procedures in support of
national and Departmental COMSEC policy requirements as directed
by DOE 5300.3C, TELECOMMUNICATIONS: COMMUNICATIONS SECURITY.
2. SPECTRUM MANAGEMENT.
a. Executive Order 12046, "Relating to the Transfer of
Telecommunications Functions," of 3-27-78, which delegates the
Presidential responsibilities for management of the
electro-magnetic spectrum to the Secretary of Commerce, and
provides for the continuation of the Interdepartmental Radio
Advisory Committee to assist the Secretary in the exercising of
the delegated Presidential authority, Federal Register, 43, No.
61, 3-29-78.
b. "National Telecommunications and Information Administration Manual
of Regulations and Procedures for Federal Radio Frequency
Management, of 1-1-91, which prescribes Government policies and
procedures pertaining to the utilization by executive agencies of
spectrum-dependent systems or of programs, available from the U.S.
Government Printing Office, Washington, DC.
c. Department of Commerce Organization Order 10-10, of 5-9-78, which
establishes the National Telecommunications and Information
Administration, redelegates the Presidential responsibilities for
the management of the electromagnetic spectrum to its
Administrator, and establishes the Administrator's authority and
responsibility for all radio communications operated by the
Federal Government, available from the Administrator, National
Telecommunications and Information Administration, Department of
Commerce, Herbert C. Hoover Building, 14th and Constitution
Avenue, NW., Washington, DC 20230.
d. Department of Energy Radio Services Procedural Guide," published
by the Office of Information Resources Management (AD-240), and
periodically revised, which implements national policy and
spectrum-dependent services within the Department. Distribution
of this document is controlled by AD-20, since certain information
contained within this guide is Unclassified Sensitive Nuclear
Information, available from AD-20.
3. NATIONAL SECURITY EMERGENCY PREPAREDNESS.
a. "Federal Emergency Plan" (classified report, title unclassified),
Annex C-XI, Telecommunications, sets forth national-level doctrine
and concepts for management of Government-owned and
Government-leased telecommunications resources during war
emergencies, operational emergencies, or energy emergencies,
available from the Manager, National Communications System,
Washington, DC 20305-2010.
b. Executive Order 12656, of 11-18-88 (as amended), Assignment of
Emergency Preparedness Responsibilities. The purpose of this
Order is to assign national security emergency preparedness
responsibilities to Federal departments and agencies. These
assignments are based, whenever possible, on extensions of the
regular missions of the departments and agencies.
c. Executive Order 12472, of 4-3-84, Assignment of National Security
and Emergency Preparedness Telecommunications Functions, provides
for the essential national security emergency preparedness
telecommunications needs of the Federal Government and provides
guidance to State, local government, and private organizations
for all conditions of crisis or emergency, Federal Register, 49,
No. 67, 4-5-84.
d. National Security Decision Directive Number 47, of 7-22-82,
"Emergency Mobilization Preparedness," directs emergency
communications planning and establishes the requirement for
programs that ensure transition from normal to emergency
operations, available from the National Security Council,
Washington, DC 20508.
e. National Security Decision Directive Number 97 (unclassified
version), of 8-3-83, "National Security Telecommunications
Policy," establishes the policy for integrating all of the
Nation's telecommunications resources essential to national
survival, and directs compliance by all Federal Government
agencies when modifying current telecommunications assets or
planning new ones, available from the National Security Council,
Washington, DC 20508.
f. National Security Directive Number 42 of 7-5-90, which establishes
a National Committee Structure to protect classified information
during electronic processing.
g. White House NS/EP Funding Policy Memorandum, dated April 30, 1991.
Established the policy for funding of telecommunications and
requires the Manager, National Communications System, to submit
annually, by 6-1, the national security emergency preparedness
telecommunications program and required funding levels based upon
each organization's share of national security emergency
preparedness telecommunications requirements.
h. National Communications System Directive 3-1, Telecommunications
Service Priority (TSP) System for National Security Emergency
Preparedness (NS/EP) of 7-5-90. This directive implements policy,
explains legal and regulatory basis, assigns responsibilities, and
prescribes procedures for the Telecommunications Service Priority
(TSP) System for National Security Emergency Preparedness (NS/EP).
i. National Telecommunications and Information Administration
"Emergency Readiness Plan for the Use of the Radio Spectrum"
(classified), of 10-85, Identifies spectrum resources for military
operations and civil functions that are essential during national
emergencies, available from the Administrator, National
Telecommunications and Information Administration, Department of
Commerce, Herbert C. Hoover Building, 14th and Constitution
Avenue, NH., Washington, DC 20230.
TABLE OF CONTENTS
CHAPTER I - TELECOMMUNICATIONS LONG-RANGE PLANNING PROCESS
1. Background..................................................... I-1
2. Long-Range Planning - Annual Cycle............................. I-2
a. Call for Information Resources Management Site Plans...... I-2
b. Telecommunications Long-Range Plan Requirements........... I-2
c. Long-Range Site Plan Submissions.......................... I-3
CHAPTER II - ACQUISITION OF VOICE/DATA TELECOMMUNICATIONS SERVICES AND
EQUIPMENT
1. General........................................................ II-1
2. Determining New Requirements................................... II-1
a. Voice or Integrated Voice/Data Communications Systems..... II-1
b. Data Communications....................................... II-1
3. Procedures..................................................... II-2
CHAPTER III - FIELD APPRAISALS AND REPORTS
1. General........................................................ III-1
2. Field Appraisals............................................... III-1
a. Appraisals................................................ III-1
b. Procedures................................................ III-1
c. Internal Controls......................................... III-3
d. Reports................................................... III-3
3. Surveys........................................................ III-3
a. Annual Surveys............................................ III-3
b. Facility Surveys.......................................... III-4
4. Reports........................................................ III-4
a. FTS Access................................................ III-4
b. Yearly Costs.............................................. III-4
5. Circuit Restoration Report..................................... III-5
6. List of Intercity Toll-Free Telephone Numbers................. III-5
7. Usage.......................................................... III-5
a. Control and Use of FTS.................................... III-5
b. Call Detail Recording..................................... III-5
c. Wiretapping and Eavesdropping............................. III-6
d. Preventive Maintenance.................................... III-6
e. Reporting Damage or Loss.................................. III-6
f. Implementation of DOE-Wide Policy on Termination of
Unused Telecommunications Services...................... III-7
CHAPTER I
TELECOMMUNICATIONS LONG-RANGE PLANNING PROCESS
1. BACKGROUND. The Department has instituted an annual information
technology resources long-range planning process of which
telecommunications is a part. This process was established to set
priorities for anticipated technology initiatives, to analyze
automation opportunities, to determine the information needs of
Departmental components, and to provide a vehicle to collect data to
meet the requirements of Office of Management and Budget Circular A-11.
For telecommunications planning, the basic objectives of the process
are as follows:
a. Promote better comprehension of the field telecommunications
capabilities, requirements, environment, plans, issues,
strategies, and cost of operations.
b. Minimize the need to solicit data from Departmental and field
elements in support of various routine and ad hoc reporting
requirements.
c. Provide information for improved decisionmaking.
d. Develop a strategic plan to accompany budget submissions to the
Office of Management and Budget.
e. Provide quantitative projections of telecommunications
requirements along mission/program lines.
f. Provide early identification of requirements for integrated,
common-use telecommunications systems or services and proposed
major procurements for telecommunications equipment.
g. Identify costs associated with telecommunications systems
operation in DOE and the impact of planned acquisitions and
developments using cost profiles.
h. Ensure that the COMSEC planning within the Department is adequate,
complies with all applicable national directives and Executive
orders, and has the necessary cost and budget justifications.
i. Ensure that national security emergency preparedness planning
within the Department is current; complies with applicable Public
Laws, national directives, and Executive orders; and that the
Department is accomplishing its national security emergency
preparedness telecommunications responsibilities as a
cabinet-level organization.
2. LONG-RANGE PLANNING - ANNUAL CYCLE.
a. Call for Information Resources Management Site Plans. The primary
vehicle for obtaining information to be used in all areas of the
budget and planning process is the annual "Call for Information
Resources Management Long-Range Site Plans," which is issued
annually by the Director of Administration and Human Resource
Management (AD-1). This call identifies those sites required to
submit information system plans and automatic data processing
plans and telecommunications plans to the Office of IRM Policy,
Plans, and Oversight (AD-24). It contains instructions on format,
content, and reporting requirements. The process culminates each
year with the publication of the "DOE Information Resources
Management Long-Range Plan." The planning process is designed to
be not only forward looking, but also used as a means to track
continuing efforts; therefore, it is necessary to deal with
existing and continuing systems, as well as new initiatives.
b. Telecommunications Long-Range Plan Requirements.
(1) "The Telecommunications Long-Range Plan Call" requires
submissions in narrative form, block diagrams, tabular
resource reports, and discussion of major accomplishments in
the specific functional areas reported. As reporting
requirements may change, specific instructions for submission
of plans are constantly being reevaluated. Instructions for
completing each year's required telecommunications plans are
included with the annual call. Generally, field elements are
required to submit telecommunications plans by functional
areas as follows:
(a) Voice communications;
(b) Data communications;
(c) Frequency spectrum-dependent communications;
(d) Teleconferencing;
(e) Safety, surveillance, and energy conservation;
(f) Communications security; and
(g) National security emergency preparedness.
(2) In order to provide a long-range perspective of programmatic
requirements and planned resources of a site, the planning
data spans an 8-year period beginning with actual data for
the past fiscal year and budget estimates for the current
through the next 6 fiscal years. This approach provides for
identification and review of site requirements for additional
major resources during the following planning cycles before
an acquisition needs to be included in the budget. Normally
there is time, during the subsequent planning cycles, to
reconfirm the validity of the requirement and to investigate
and evaluate all of the alternative methods of acquiring the
needed resources before actual budgetary decisions are
required. Resource planning at the site level involves:
(a) Determining the telecommunications support required for
each program at the facility;
(b) Comparing these requirements to the capacity and/or
capabilities available to the site; and
(c) Developing plans and strategies to provide additional
sources, if needed, to meet these requirements.
(3) Critical to the success of this process is adequate rationale
supporting proposed major acquisitions of telecommunications
resources. Proper consideration and support of these
requirements can be made by management, along with other
competing program priorities, during the internal/external
budget formulation process. Also required is a
reconciliation to the previous year plan and a narrative
statement of major accomplishments for the current year.
c. Long-Range Site Plan Submissions. The site plans are used by
program organizations during program planning and internal review
budgeting cycles. They have an impact on program decisions
regarding the profile for budget year and out-year funding tables.
They are a valuable reference document when adjudicating
programmatic issues and also become the basis for the submission
of several budget exhibits required by the Office of Management
and Budget. Site planning data is used in the preparation of
tables as backup to the Presidential Budget, which is submitted to
Congress early in the calendar year, and to prepare for
authorization and appropriations committee hearings normally held
in the March to May timeframe by the Senate and House of
Representatives' committees and their staffs. In addition, site
plans are used to respond to ad hoc inquires and briefing requests
from Congress, the Office of Management and Budget, and other
cabinet-level organizations, as well as senior management
officials within DOE. The telecommunications site plans deal with
strategies, methods, and resources (services, facilities,
personnel) required to provide interconnection, interoperability,
networking, and access in support of the gathering, storage, and
transfer of information, and encompasses the full range of support
in all functional areas of telecommunications technology.
Tangible and intangible resources are connected with the planning
process. Voice systems require instruments, circuits, and
switching facilities necessary to complete telephone calls; data
communications involves interconnection of computers and hard copy
devices to provide record copy; and the frequency-spectrum and
national security emergency preparedness areas necessitate
interaction with regulatory and directive entities to assure that
required frequency allocation and necessary survivable functions
are identified and available.
CHAPTER II
ACQUISITION OF VOICE/DATA TELECOMMUNICATIONS SERVICES AND EQUIPMENT
1. GENERAL. This chapter describes the methods of analyzing and
determining requirements and procedures to obtain approval from the
Office of IRM Policy, Plans and Oversight (AD-24) for the acquisition
of voice/data telecommunications services and equipment.
2. DETERMINING NEW REQUIREMENTS.
a. Voice or Integrated Voice/Data Communications Systems. The
responsible manager or designated representative will determine
requirements for the site or organization by following the
procedures outlined in "The Guidelines for Determining
Telecommunications System and User Requirements."
b. Data Communications.
(1) The responsible manager or designated representative will
determine the basic parameters of the requirements and
evaluate the alternative methods of satisfying these
requirements.
(2) Issues to be addressed in determining requirements include:
(a) When data communications are required;
(b) Type of facility, service, or equipment (data,
facsimile, or narrative);
(c) Volume of traffic on a daily and peak-hour basis and
type of traffic (interactive, file transfer);
(d) Hours of operation;
(e) Projected growth (1-, 2-, and 5-year increments);
(f) Security, privacy, and protection considerations; and
(g) National security emergency preparedness considerations.
(3) Following quantification, the requirement should be assessed
against existing capabilities to determine the
interoperability and ability to accommodate greater traffic
volumes, the level of expansion that may be accomplished to
satisfy the requirements, or the definition of a new level of
capability to be established.
(4) If the evaluation of a new requirement indicates that
classified traffic will be sent or received, the facility
must be provided with physical and electronic protection in
accordance with DOE 5300.3C.
(5) New requirements that involve unclassified information must
be coordinated and approved by the Computer Protection
Program Manager in accordance with DOE 1360.2B.
3. PROCEDURES.
a. A telecommunications proposal must be submitted to the Office of
IRM Policy, Plans, and Oversight (AD-24) for Federal acquisitions
under the following circumstances:
(1) Acquisitions of local voice, integrated voice/data
telecommunications or data communications equipment,
facilities and services, with a life cycle cost of $1,000,000
or greater.
(2) Planned new intercity data or video teleconferencing networks
and interconnections to networks operated by other agencies.
An intercity network is defined as a group of locations which
are connected by intercity circuits. Networks previously
approved in response to a telecommunications proposal, for
example Energy Sciences Network (ESNET), Department of Energy
Nationwide Telecommunications Services (DOENTS), and the
Secure Automatic Network (SACNET), do not need to resubmit a
proposal for minor enhancements. However, significant
deviations from originally approved proposals shall be
reviewed and approved by AD-24 prior to implementation to
ensure that both internal policies and externally imposed
requirements are met.
(3) Exceptions to the mandatory use of Federal telecommunications
System (FTS) 2000 voice, data, and video services in
satisfying intercity procurement requirements or to the
mandatory use of General Services Administration (GSA)
consolidated local telecommunications service. The
requirements of FIRMR Bulletin C-18 should be addressed in
preparing the submission.
(4) Deviations from DOE adopted standards (e.g., H.261 for video
teleconferencing). If a waiver from Federal Information
Processing Standards (FIPS) Publications is required, then
the waiver process must be followed instead of submitting a
telecommunications proposal.
(5) Any exceptions to the use of Departmentwide
telecommunications network (e.g., DOENTS Satellite Backbone,
SACNET) where use of these networks has previously been
required.
(6) Major experimental research and development efforts.
(7) In addition to any requirements for a DOE telecommunications
proposal, if the life cycle of a competitive
telecommunications acquisition exceeds $2.5 million or
$250,000 for a sole source/specific make and model, an Agency
Procurement Request (APR) must also be prepared in accordance
with the format outlined in FIRMR Bulletin C-5.
b. A telecommunications proposal must be submitted to AD-24 for
contractor acquisitions under the following circumstances:
(1) Acquisitions of local voice, integrated voice/data
telecommunications or data communications equipment,
facilities and services, with a life cycle of $1,000,000 or
greater.
(2) Proposed new intercity data or video teleconferencing
networks and interconnections to networks operated by other
agencies. An intercity network is defined as a group of
locations which are connected by intercity circuits.
Networks previously approved in response to a
telecommunications proposal, for example, ESNET, DOENTS, and
SACNET, do not need to resubmit a proposal for minor
enhancements. However, significant deviations from
originally approved proposals shall be reviewed and approved
by AD-24 prior to implementation to ensure that both internal
policies and externally imposed requirements are met.
(3) Exceptions to the use of FTS 2000 voice, data, and video
services or to the use of GSA consolidated local
telecommunications service. Although the use of FTS 2000 is
not mandatory by law for contractors, DOE requires
contractors to use FTS 2000, unless it has been justified in
a proposal that FTS 2000 cannot satisfy the requirement or
alternative service is significantly less expensive.
Departmental Elements should satisfy the requirements of
FIRMR Bulletin C-18 when preparing their submissions.
(4) Deviations from DOE adopted standards (e.g., H.261 for video
teleconferencing). If a waiver from FIPS Publications is
required, then the waiver process must be followed instead of
submitting a telecommunications proposal.
(5) Any exceptions to the use of Departmentwide
telecommunications networks (DOENTS Satellite Backbone,
SACNET) where use of these networks have previously been
required.
(6) Major experimental research and development efforts.
c. Telecommunications proposals are not required for either
contractor or Federal acquisitions of the services outlined below.
However, when services ordered are extensions or enhancements to a
network approved by AD-24 in response to a telecommunications
proposals, an updated diagram of the network configuration must be
submitted to AD-24 and the Office of Information Technology
Services and Operations.
(1) FTS 2000 switched voice service.
(2) FTS 2000 switched digital integrated service.
(3) FTS 2000 integrated services digital network.
(4) FTS 2000 point-to-point dedicated or switched data services.
(5) FTS 2000 video teleconferencing services.
(6) Local service; i.e, within a 25-mile radius, intra-LATA, or
within a metropolitan area.
d. In preparing telecommunications proposals, the responsible manager
or the designated representative will include information in the
following format:
(1) General Description. Include the size and scope of the
change or installation.
(2) Justification of Basic Need. Explain the need for the
service change or installation. Include an analysis of
benefits and costs for the proposed acquisition. Provide a
lease versus purchase analysis for equipment, including a
complete analysis form.
(3) Preliminary Plans. Use block diagrams, as necessary, to
illustrate preliminary plans for the change or installation.
(4) Specifications. Outline major factors influencing type,
size, and principal features of the changes service or the
new installation. An item to be included within the
specifications is national security emergency preparedness
requirements.
(5) Operating and Maintenance Procedures. Provide information
about the organization, staffing, administrative controls,
and hours of operation.
(6) Estimated Costs. Provide estimated costs for major service
and facility components.
(7) Implementation Schedules. Propose target dates and schedules
for implementing the change or new installation.
(8) Points of Contact. Provide name, title, organization,
mailing address, and commercial and FtS telephone numbers of
individuals to whom questions should be directed.
(9) System Reliability Objectives. Specify and justify the
appropriate circuit restoration priority objectives for
system components and circuits.
(10) Method of Procurement. A telecommunications proposal
contemplating the use of other than full and open competition
shall set forth a brief summary of the reasons for the use of
other than full and open competition. This summary and the
rationale contained therein shall not be construed as the
justification for other than full and open competition
required in accordance with FIRMR Chapter 201, because the
rationale in and of itself may not satisfy the requirements
for the use of other than full and open competition.
Proposals submitted to AD-24 that advocate sole source
procurement shall contain a copy of the signed statement of
findings and determination. This signed statement shall
document the requirement for sole source procurement and
address the specific area defined in FIRMR Chapter 201.
Although the FIRMR does not apply to management and operating
(M&O) contractors, these definitions are appropriate to be
followed in the "Federal Norm" acquisitions by M&O
contractors and subcontractors of telecommunications
facilities, equipment, and services.
(11) Competitive Acquisition. The following milestones must be
established in developing a competitive acquisition package:
(a) Requirements definition.
(b) Acquisition strategy.
(c) Functional specifications.
(d) Implementation plan.
(e) System management plan.
e. If a proposal concerns the replacement or installation of a
complete system, the responsible manager or the designated
representative must discuss all (leased and Government-owned)
onsite systems. This is to assure consideration of consolidation
of systems when technically feasible and cost-effective.
f. Proposals will be evaluated based on the following criteria:
(1) Cost-effectiveness.
(2) Capability to interface with existing equipment, circuits,
and procedures in effect.
(3) Rationale for use of incompatible interfaces to existing
equipment and circuits.
(4) Rationale for deviation from normal operating or engineering
practices or standards.
(5) Rationale for nonexperimental systems involving data
communications, which are developmental, rather than off the
shelf.
g. AD-24 will respond to proposals within 20 working days of receipt,
unless the acquisition requires submission of an APR to GSA. If
an APR is required, GSA procedures require that action be taken
within 20 working days of receipt of the APR.
h. AD-24 personnel are cleared to handle classified proposals. Those
offices with classified requirements should consult with AD-24 in
advance regarding the level of classification to ensure that the
proposal can be handled in accordance with DOE directives.
CHAPTER III
FIELD APPRAISALS AND REPORTS
1. GENERAL. This chapter outlines the procedures which are used by the
Office of IRM Policy, Plans, and Oversight (AD-24) for conducting field
appraisals of the telecommunications programs at the DOE. The purpose
of such appraisals is to ensure that adequate internal controls are in
place, improve the overall performance, achieve cost savings, and
promote measures for the avoidance of waste, fraud, and abuse. This
chapter also describes requirements regarding the conduct of surveys
and submission of reports as well as other procedures which promote
effective management of telecommunications systems.
2. FIELD APPRAISALS.
a. Appraisals. These will be conducted every 3 years for each
telecommunications program area. Program/site selection schedules
will be developed each year prior to the beginning of the fiscal
year based on perceived priorities and deficiencies. These
programs/site selection schedules will be provided to the field
elements at the beginning of each fiscal year.
b. Procedures. AD-24 will coordinate with the telecommunications
manager and the assistant manager for administration at the field
element site to set the exact date and to determine the scope of
the review.
(1) An official notification will be prepared for AD-24 signature
and sent to the site manager. This memorandum will set the
dates for the review, outline the purpose and the functional
areas to be covered, specify the documents to be reviewed,
and indicate who will be conducting the review.
(2) A general work plan for each review will be developed which
outlines:
(a) Scope;
(b) Objectives and rationale;
(c) Review schedule; and
(d) Criteria or standards against which performance will be
measured.
(3) AD-24 will coordinate with the field element representative
to establish the actual agenda for the review. Backup
materials will be assembled, and additional information will
be requested from the field element in advance, as necessary.
(4) At the beginning of the review, AD-24 will meet the assistant
manager for administration and the telecommunications
manager.
(5) The actual review will consist of inspections and
observations, interviews, review of documents, and gathering
or developing data for analytical computations and
comparisons. Generic topics which will be covered will
include the following:
(a) Assessment of compliance with Headquarters policies;
(b) Assessment of compliance with DOE or other applicable
directives, as well as compliance with Federal
regulations and policies;
(c) Assessment of the field elements oversight of
subordinate offices and Government contractor's and
subcontractor's telecommunications programs. This may
require contractor or subcontractor participation;
(d) Evaluation of long-range planning and budgeting;
(e) Evaluation or program operations by functional area:
voice, data, radio, and national security emergency
preparedness telecommunications; and
(f) Organization and staffing.
(6) Findings and recommendations will be developed and discussed
with the telecommunications manager.
(7) An exit interview will be conducted with the assistant
manager for administration and the telecommunications
manager.
(8) After the review has been conducted, findings will be
prepared which outline the conditions that exist, the
criteria against which performance was measured, the effect
of the condition, its probable cause, and recommendations for
resolving the problem.
(9) These findings will be incorporated into a draft report which
will be circulated to the assistant manager for
administration and the telecommunications manager with
comments due in 30 days, and will include the following:
(a) Scope of the review;
(b) Objectives;
(c) Findings;
(d) Summary of strengths and weaknesses;
(e) Recommendations and proposed remedial actions;
(f) Statements of pertinent officials; and
(g) Issues requiring further study or consideration.
(10) The final report will be completed within 90 days and will be
submitted to the assistant manager for administration and
AD-24.
c. Internal Controls. AD-24 will establish a central internal system
to track recommendations and specific followup actions taken to
correct deficiencies.
d. Reports. Reports generated through this appraisal program will be
maintained centrally by AD-24. An annual consolidated report will
be prepared and submitted to AD-24 which summarizes appraisals
conducted each year, major program strengths and weaknesses, and
documents actions taken to correct deficiencies.
3. SURVEYS.
a. Annual Surveys. Headquarters and field elements will maintain a
program to conduct equipment effectiveness surveys and will submit
the reports listed below.
(1) For Headquarters and field elements where service is provided
by the Department (from non-General Services Administration
(GSA) operated switchboards) and the cost of Federal
Telecommunications System (FTS) access line termination
equipment is billed to the Department, the responsible
manager or the designated representative will survey and
inventory FTS line termination equipment on a yearly basis.
(2) For Headquarters and field elements where telephone service
is being provided by a GSA-operated facility, the responsible
manager or the designated representative will receive a
listing of telephone services as posted in GSA records as of
3-31 of each year. The responsible manager or the designated
representative will be responsible for validating this
listing and returning it to GSA by 6-30 of each year.
(3) The responsible telecommunications manager or the designated
representative at Headquarters and field elements, where
service is provided by Department-operated systems, will
conduct a survey of all equipment and services on a triennial
basis.
(4) For the above surveys and inventories, the responsible
manager or the designated representative will:
(a) Use the results to control and assure that only station
equipment and features necessary to carry out assigned
missions are installed; and
(b) Use the results to assure corrections of any
deficiencies.
b. Facility Surveys. A physical survey of all data communications
equipment, facilities, and services at each field element should
be conducted at least every 3 years by the responsible
telecommunications manager, unless new requirements necessitate
more frequent surveys. This is necessary to reconcile reports,
determine continuing need, and evaluate suitability of services.
the results of the surveys from the basis for responding to
long-range plans and programs, as well as generation of service
requests, terminations, and proposals for expanded or enhanced
services. A survey report shall be written at the conclusion of
each survey, and copies shall be retained by the responsible
manager and the surveyed location.
4. REPORTS. The following information shall be included in a summary
report to AD-24 as of 9-30 of each year and should be received no later
than 10-20. For Headquarters and field element organizations where
service is provided from Department-operated switchboards and the cost
of the FTS access line terminal equipment is billed to the Department,
the responsible manager or the designated representative will include
the information listed below:
a. FTS Access. Terminal equipment by type and quantity, its
installations or removal dates, as well as the dates when rate
changes will occur, if any.
b. Yearly Costs. The total yearly costs of FTS terminal equipment,
including recurring, service connection, or change costs, as well
as moves and modifications. AD-24 will submit the consolidated
annual billing to the GSA for reimbursement to AD-24 or the field
element directly, as appropriate.
5. CIRCUIT RESTORATION REPORT. Under National Communications System
Instruction 55-4, a record of all circuits included in the circuit
restoration report will be provided to the field by Headquarters. An
updated field report will be submitted to AD-24, either quarterly or
as required.
6. LIST OF INTERCITY TOLL-FREE TELEPHONE NUMBERS. For Headquarters and
field elements having incoming intercity toll-free telephone services,
the responsible manager or the designated representative will be
responsible for providing a list of all telephone numbers to the Voice
Networks Engineering and Circuit Management Branch on an annual basis,
in accordance with Federal Information Resources Management
Regulations, 201-38.008.1.
7. USAGE. The responsible manager or the designated representative will
provide the following instructions, principles, and procedures to all
personnel involved in the use and operation of the voice
communications services.
a. Control and Use of FTS. Each employee and supervisor is
personally responsible for control of commercial and FTS long
distance usage and reduction in costs as follows.
(1) Place official outgoing long distance telephone calls through
the FTS, unless the site has obtained approval from DOE
Headquarters for use of an alternative carrier for intercity
calls. Use commercial long distance telephone service only
when the call cannot be completed through FTS or other leased
lines.
(2) Use voice teleconferencing in lieu of travel to the extent
feasible.
(3) Authorize and accept incoming collect calls when required for
official business purposes.
(4) Maintain records of authorized toll calls, subparagraphs (2)
and (3) above, and be prepared to verify the bills for such
services as official and essential.
(5) Limit the use of credit card or third number billing
procedures for placing calls through commercial long distance
toll facilities to essential officials. Telephone credit
cards are now very expensive; therefore, their use must be
controlled.
b. Call Detail Recording.
(1) Any call detail recording system will have a capacity for
collecting information on usage, thus providing data to
measure the efficiency and cost of a system. This management
tool will pinpoint areas for achieving economies, help
maintain a quality communications system, assist in the
certification of tool charges, and provide data to help
satisfy reporting requirements of DOE and other Government
agencies.
(2) The system provided will have digital traffic recording
capability, i.e., origin and destination, to determine
traffic flow and volume to maintain an adequate level of
service and to determine usage for management evaluation. It
will not record conversations, nor will it have that
capability. The information provided by the system will
consist of the calling station number, the month and day, the
time the call originated, the duration of the call, and the
called number. Similar information will be provided on
incoming calls except instead of the calling number, the
incoming trunk group and trunk number will be recorded.
(3) The information collected will be placed on magnetic tape for
further processing and generation of reports. The reports
that will be utilized primarily are the station summary
report and the trunk report. With the use of these reports,
it will be possible to determine if the number of trunks are
adequate for system efficiency and to identify those stations
or line groups that will require some administrative
instruction/guidance or engineering changes to obtain the
most cost-efficient operation on the DOE systems.
c. Wiretapping and Eavesdropping. In accordance with DOE 5636.1A,
the procurement, installation, and use of wiretapping or
eavesdropping devices is specifically prohibited on
Government-owned or Government-leased property or in conjunction
with Government-owned or Government-leased systems. Deviations
from this requirement are to be processed in accordance with DOE
5636.1A.
d. Preventive Maintenance. The responsible manager or the designated
representative will assure that the following measures are taken:
(1) Avoid or correct conditions that are hazardous to services;
(2) Schedule inspections and preventive maintenance of
Government-owned pole lines, duct and conduit systems, switch
and equipment areas, and other supporting facilities; and
(3) Maintain records of intercity leased private lines that have
been certified for priority resumption of service in
emergencies.
**** DATABASE NOTE:
SUBPARAGRAPH 7.E. IS MISSING FROM HARDCOPY (PAGE III-7).
f. Implementation of DOE-Wide Policy on Termination of Unused
Telecommunications Services. The following addresses procedures
for both terminal equipment (telephones, modems, voice/data
terminals, facsimile machines) and circuits (data and voice).
(1) A procedure should be established to ascertain from
administrative or program officers that expected duration of
nonuse of telecommunications services. In the absence of
any such information, past records should be researched to
determine an average duration of temporary nonuse for that
location or organization.
(2) Locations of services should be classified according to the
threat of service abuse or equipment theft. In "high danger"
areas, equipment and/or circuits should be removed and
terminated immediately. In "nondangerous" areas, terminals
and circuits should be left in place or disconnected based on
cost guidelines.
(3) It is advisable to retain a small number of circuits for
quick reassignment in situations where some service requests
require very quick action. The number of retained circuits
should be based on past requirements at a given location.
(a) Circuit Connect/Disconnect Algorithm.
1 This algorithm should compare all the costs of
disconnecting and reconnecting a circuit (including
order costs; software costs; and, for Centrex
lines, possible higher future access charges) to
the monthly cost of the circuit. For a tariffed
line, the monthly cost is the monthly service
charge. For a non-tariffed line, the monthly cost
might be a monthly maintenance cost per circuit.
However, it is possible that there are no avoidable
monthly costs for a nontariffed circuit. In that
case, there is not reason to disconnect the
circuit, other than to prevent some abuse.
2 Comparing these two costs should indicate the
maximum number of months that the circuit should be
left in service while unused. Up to this point, it
will be less expensive to keep the circuit in
service; but after that point, disconnecting and
later reconnecting the circuit will be less
expensive than the accumulated monthly cost of
keeping it in service. Ideally, all costs should
be reduced to present value.
(b) Terminal Connect/Disconnect Algorithm.
1 This algorithm is essentially the same as the
circuit connect/disconnect algorithm. It should
determine that maximum number of months that
terminal equipment should be left unused in place,
instead of returning it to inventory for reuse by
others.
2 The algorithm should sum all the costs of removing
and reinstalling this type of equipment. This
figure should be compared to the monthly cost of
the equipment. Up to a certain number of months,
it will be more expensive to remove the equipment.
But, at some point, it will become cheaper to
remove the equipment and reinstall similar
equipment later.
3 Monthly cost can be the purchase price of the
equipment divided by the average useful life. For
most digital equipment, 48 months is considered an
average useful life. Longer than that, the
equipment is obsolete. Ideally, all costs should
be reduced to present value.
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