Office of Enterprise Assessments (2020 Presidential transition)
| Book 3 - Organization Overview
|
|---|
| Entire 2020 DOE Transition book As of October 2020 |
The Office of Enterprise Assessments (EA) supports the Department’s mission priorities for the secure, safe, and efficient operation of the nuclear weapons complex, science and energy research, and environmental cleanup by
- conducting independent assessments of security, cybersecurity, and safety performance throughout the Department,
- holding contractors accountable for violations of security and safety regulations, and
- providing training programs that further technical competence and institutionalize enterprise security and safety lessons learned.
EA, reporting directly to the Secretary of Energy, is organizationally independent of the DOE entities that develop and implement safety and security policies and programs so it can provide objective and timely information to DOE senior leadership on whether national security material and information assets are appropriately protected and whether Departmental operations provide for the safety of employees and the public. EA activities serve as an important check-and-balance that assists the Department in meeting its obligations as a self- regulating entity.
Mission Statement
The Office of Enterprise Assessments supports the Secretary of Energy and other stakeholders by enhancing DOE’s safety, security, and cybersecurity programs. We do this through independently evaluating the effectiveness of requirements, performance, and risk management; conducting objective and effective enforcement activities; and providing high-quality training.
Budget
| Fiscal Year | Budget |
|---|---|
| FY 2019 enacted | $76,770,000 |
| FY 2020 enacted | $78,779,000 |
| FY 2021 request | $81,584,000 |
Human Resources
FY 2020 authorized full-time equivalents (FTEs): 94
History
EA was established in 2014 to provide separation for its independent functions from a much larger organization that also included DOE’s safety and security policy functions. The core missions of independent oversight, enforcement and training have existed within other organizations for more than three decades
Functions
EA’s primary functions include:
- Implementing the Congressionally-authorized DOE enforcement program to promote overall improvement in the Department’s nuclear safety, worker safety and health, and classified information security programs.
- Managing the Independent Oversight Program, providing the Office of the Secretary, DOE and contractor managers, Congress, and other stakeholders with an independent enterprise evaluation of the adequacy of DOE policy and the effectiveness of line management performance in safeguards and security; cybersecurity; nuclear safety, emergency management; environment, safety, and health; and other critical functions.
- Operating the National Training Center, the Department’s designated Center of Excellence for Security and Safety Training and Professional Development, which establishes and provides training and education for Departmental leadership and federal and contractor staff nationwide in the areas of health, safety, security, and professional development, thereby strengthening the expertise available to meet the current and future mission needs of the Department.
Recent Organization Accomplishments
- Conducted a DOE-wide Pandemic Lessons Learned Review in 2020. EA partnered with several DOE line management program offices to conduct interviews and review documents across laboratory and field organizations, both Federal and contractor, as well as DOE Headquarters. The team collected more than 3,000 specific comments, resulting in more than 80 lessons learned, in addition to identifying best practices that may be utilized to enhance Departmental responses to similar crises in the future. A final report will be issued before the end of calendar year 2020.
- Performed approximately 15 announced and unannounced cybersecurity assessments during FY 2020 of DOE classified and unclassified information management systems to identify potential cyber security weaknesses that could lead to compromise of sensitive DOE information. Developed new remote technical vulnerability and penetration testing capabilities that proved especially useful for continuing cybersecurity assessments during the COVID-19 pandemic.
- Conducted approximately 15 safeguards and security assessments during FY 2020, including force-on-force exercises and limited-notice safeguards and security performance tests, at DOE/NNSA sites with strategic levels of national security assets, Special Access Programs and Sensitive Compartmented Information Facilities to provide assurances that national security assets entrusted to the Department are being protected from theft, sabotage, diversion, or loss.
- Conducted approximately 40 nuclear, worker safety and health, and emergency management assessments during FY 2020 to identify weaknesses in DOE operations that could harm workers or the public. These activities included:
- A DOE-wide assessment of radioactive waste packaging and shipping practices undertaken at the request of the Deputy Secretary of Energy. The assessment included 16 site evaluations that culminated in a crosscutting analytical report identifying best practices and recommendations intended to promote organizational learning and improved performance in radioactive waste management throughout DOE;
- Continued emphasis on assessing major nuclear facility design, construction, and modification projects to include evaluations of safety design basis documents for the Tank Side Cesium Removal Project, Waste Treatment and Immobilization Plant Low-Activity Waste Facility, and Waste Encapsulation and Storage Facility at the Hanford Site; the Material Storage Facility at the Pantex Plant; the Tritium Facility at the Savannah River Site; and the Versatile Test Reactor at the Idaho National Laboratory; and
- A crosscutting assessment of safety culture sustainment processes at eight sites across the DOE enterprise. The assessment evaluated the maturity of these processes and provided insights for fostering and supporting continuous improvement in this area, which has been the subject of Government Accountability Office and Defense Nuclear Facilities Safety Board scrutiny.
- Initiated five enforcement cases, completed four fact-finding visits and one regulatory program assistance review, and evaluated nearly 200 noncompliance reports during FY 2020. In addition, instituted a strategy to enhance the effectiveness of DOE’s nuclear safety, worker safety and health, and information security enforcement programs through expanded use of civil penalty and remedy authorities, accelerated initiation of enforcement investigations, and renewed risk-based regulatory reviews to improve contractor adherence to DOE safety and information security requirements.
- Through the National Training Center:
- In collaboration with the National Nuclear Security Administration and Office of the Chief Human Capital Officer, developed and implemented a new DOE enterprise-wide learning management system to provide a consolidated common platform for federal and contractor employee development, expansive course catalog access, and career development modules;
- Issued more than 14,000 completion certificates representing more than 130,000 student hours of training attendance during FY 2020; and
- Instituted transformational changes in the DOE Federal Technical Capabilities Program by revising corporate program requirements, developing new program-specific technical qualification standards, and establishing systems to support an enterprise approach to continuing training. This program is integral to DOE’s commitment to recruiting, deploying, developing, and retaining a technically competent workforce that will accomplish DOE missions in a safe and efficient manner.
Leadership Challenges
None.
Critical Events and Action Items
Departmental action on the findings of the Pandemic Lessons Learned Review. EA will share best practices and lessons learned and encourage DOE line management to benefit from the findings in ongoing pandemic responses and in preparing for similar situations in the future.
