Procedure 8. Reviewing and Approving Laboratory Directed Research and Development (LDRD) Programs and Projects

Management System Coordinators

Process Steward:: Roberta Ahlberg
Implementation Lead:: Whitney Begner
Subject Matter Expert:: Alice Wang

Latest MS Specific Document Revision Date 11/14/2021
Latest MS Total Biennial Review Completed 11/14/2021
SCMS Revision 5.1

1.0 Applicability

This procedure applies to Office of Science (SC) employees who review and approve Laboratory Directed Research and Development (LDRD) programs and projects at SC laboratories.

2.0 Required Procedure

This procedure describes the general steps and activities necessary to review and approve LDRD programs and projects at SC laboratories. The steps provide information on the review and approval by the Director, Office of Science (SC-1) of overall LDRD funding levels at the SC laboratories as well as the responsible SC Site Office concurrence on individual LDRD projects.

Overall LDRD funding levels at the SC laboratories are subject to SC-1 review and approval annually. In addition, the responsible SC Site Office must review and concur on each LDRD project before the contractor can begin work. SC-1 has issued a detailed roles and responsibilities document for the LDRD program (see the Memorandum from Stephen J. Binkley, Deputy Director for Science Programs, to Distribution, titled "Laboratory Directed Research and Development," dated 04/18/2019).

For Program Planning, go to Step 1.

For Program Performance, go to Step 4.

For Program Reporting, go to Step 5.

Program Planning
Step 1	By October 1 of each year, SC-1 approves each laboratory’s annual LDRD Program Plan and associated maximum LDRD funding levels based on the laboratory’s request and the responsible SC Site Office recommendation.
Step 2	The responsible SC Site Office Manager (or designee) must review and concur on each LDRD project prior to the laboratory starting any work. Please note this concurrence is required each year for multi-year projects. This review considers whether the project is relevant to a U.S. Department of Energy (DOE) mission and meets the other relevant policy requirements.
Step 3	Upon concurrence by the SC Site Office Manager (or designee), the laboratory starts performing work on the approved LDRD projects.
Program Performance
Step 4	The SC Site Office Manager (or designee) oversees the implementation of the laboratory’s LDRD management system and administration and is responsible to provide oversight, as necessary, to ensure the laboratory’s compliance with DOE O 413.2C, Change 1, Laboratory Directed Research and Development. The laboratory performs the LDRD projects in compliance with all applicable requirements for research work at that laboratory. The laboratory is responsible for monitoring the work and evaluating progress and technical performance of the LDRD projects, oversees the implementation of the laboratory’s LDRD management system and administration and is responsible to provide oversight, as necessary, to ensure the laboratory’s compliance with DOE O 413.2C.
Program Reporting
Step 5	The SC Site Office and the SC HQ Office of Laboratory Policy (SC-42) assures that laboratories participate in the annual LDRD program reviews and submit the required reporting for the LDRD program including annual updates to the standard LDRD performance indicator data. NOTE: These reporting requirements are described in Attachment 2 of the Memorandum from Stephen J. Binkley, Deputy Director for Science Programs, to Distribution, titled "Laboratory Directed Research and Development," dated 04/18/2019 ,and the memorandum dated, April 2019 “Roles, Responsibilities, and Guidelines for Laboratory Directed Research and Development at the Department of Energy/National Nuclear Security Administration Laboratories.” DOE must also report to Congress annually on the LDRD program.
Step 6	As requested, SC-42 assists in the preparation of an annual DOE report to Congress on the LDRD program.

3.0 References

The Atomic Energy Act of 1954, as amended, Title 42 U.S.C. 2051, and 2053, which provides broad authority for research and development activities and their funding.
DOE O 413.2C, Change 1, Laboratory Directed Research and Development, which establishes the requirements for LDRD programs at the DOE and the DOE National Nuclear Security Administration (NNSA) laboratories.
Memorandum from Stephen J. Binkley, Deputy Director for Science Programs, to Distribution, titled "Laboratory Directed Research and Development," dated 04/18/2019 (Exhibit 2)
Public Law 95-39 (Section 303), An Act for Authorizations and Appropriations for the Energy Research and Development Administration for FY1977, specifically authorized any laboratory under contract with the Energy Research and Development Administration, with the Administrator’s approval, to “use a reasonable amount of its operating budget for the funding of employee-suggested research projects.”
Public Law 101-510, The National Defense Authorization Act for Fiscal Year 1991, Section 3132 (ac) specifically states “Of the funds provided by the Department of Energy to such laboratories for national security activities, the Secretary shall provide a specific amount, not to exceed six percent of such funds, to be used by such laboratories for laboratory-directed research and development."