CHAPTER I

1. INTRODUCTION. This Manual presents the process the Department of Energy (Department) will use to interface with the Defense Nuclear Facilities Safety Board (Board) and its staff. The requirements and guidance in this Manual apply to Departmental personnel, including employees of the National Nuclear Security Administration (NNSA), who are to use this Manual to facilitate the quality and responsiveness of the Departmental interactions with the Board and its staff.

Attachment 1, Contractor Requirements Document (CRD), provides requirements that can be applied to contractors and subcontractors responsible for managing and operating Departmental facilities, as adapted to meet site-specific needs. Contractor compliance with the CRD will be required consistent with the conditions set forth in the controlling contract.

a. The Board is an independent executive branch establishment responsible for providing advice and recommendations to the President and the Secretary of Energy (Secretary) regarding public health and safety issues at Departmental defense nuclear facilities.

(1) The Board was established by Congress in 1988 (see subparagraph 2a) to perform the functions summarized below:

(a) review and evaluate the content and implementation of the standards relating to the design, construction, operation, and decommissioning of Departmental defense nuclear facilities (including applicable Departmental Orders, regulations, and requirements);

(b) investigate any event or practice at Departmental defense nuclear facilities that has adversely affected or may adversely affect public health and safety;

(c) analyze design and operational data, including safety analysis reports, from any Departmental defense nuclear facility;

(d) review the design and construction of a new Departmental defense nuclear facility and make recommendations considered necessary to protect public health and safety; and

(e) make such recommendations to the Secretary with respect to Departmental defense nuclear facilities, including operations of such facilities, standards, and research needs, as the Board determines are necessary to ensure adequate protection of public health and safety.

(2) Defense nuclear facilities include production and utilization facilities, facilities involved in assembly, disassembly, and testing of weapons, and certain nuclear waste storage facilities.

(3) Board oversight authority extends throughout the life cycle of jurisdictional facilities, from design, construction, and operation through decommissioning. For the purposes of oversight, the Board defines decommissioning to encompass activities leading up to environmental restoration, including deactivation, decontamination, final process runs, removal of special nuclear material, residues, and wastes, and other activities necessary to ensure adequate protection of public health and safety (see subparagraph 2d).

b. The Board communicates with the Department through a variety of mechanisms including formal recommendations, formal reporting requirements, letters requesting action and information, letters providing suggestions, letters providing information such as staff issue reports and trip reports, Board and Board staff requests for information, public meetings, briefings and discussions, and site visits. The Board's choice of communication vehicle tends to indicate the level of the Board's concern, with the more formal vehicles used for clearly defined safety issues that require prompt attention by Departmental managers.

c. The Department and the Board share the common goal of ensuring adequate protection of public and worker health and safety and the environment at Departmental defense nuclear facilities. To accomplish this goal, the Department's interface policy is to:

(1) fully cooperate with the Board;

(2) provide access to information necessary for the Board to accomplish its responsibilities;

(3) thoroughly consider the recommendations and other safety information provided by the Board;

(4) consistently meet commitments to the Board; and

(5) conduct interactions with the Board in accordance with the highest professional standards.

2. REFERENCES.

a. Atomic Energy Act of 1954, Sections 311-321 (42 U.S.C. § 2286 - 2286i), Defense Nuclear Facilities Safety Board.

b. Defense Nuclear Facilities Safety Board Policy Statement PS-1, "Criteria for Judging the Adequacy of Department Responses and Implementation Plans for Board Recommendations," October 19, 1990.

c. Defense Nuclear Facilities Safety Board Policy Statement PS-2, "Board Policy on Transmittal of Trip Reports and Other Safety Information to the Secretary of Energy," December 31, 1992.

d. Defense Nuclear Facilities Safety Board Policy Statement PS-3, "Policy Statement on Board Oversight of Department of Energy Decommissioning Activities at Defense Nuclear Facilities," August 19, 1996.

e. Privacy Act Overview, 5 U. S. C., Section 552a(b)(3). DOE System of Records, General Personnel Records, 55 Federal Register 3840, February 5, 1990. DOE System of Records, Personnel Radiation Records, 58 Federal Register 59246, November 8, 1993.

3. RESPONSIBILITIES.

a. Secretary of Energy.

(1) Provides full cooperation with the Board, including ready access to Departmental facilities, personnel, and information (see subparagraph 2a).

(2) Responds to Board recommendations in accordance with the Board's enabling statute (see subparagraph 2a).

(3) Provides the Board with implementation plans for each accepted recommendation and approves any subsequent plan changes (see subparagraph 2a).

(4) Provides annual reports to Congress concerning Board-related activities of the Department (see subparagraph 2a).

b. Deputy Secretary of Energy.

(1) Ensures Board issues are properly addressed within the Department.

(2) Resolves disagreements that cannot be otherwise resolved among Departmental elements on relative priorities and approaches for addressing Board-related safety issues.

(3) Resolves any disagreements regarding designation of a cognizant Secretarial Officer who will respond to a Board recommendation, Board correspondence, or other Board issue.

c. Secretarial Officers.

Note: Throughout this Manual, the term Secretarial Officer includes the Administrator and Deputy Administrators of the NNSA.

(1) Consistent with guidance from the Deputy Secretary, implement the Department's policy with respect to the Board.

(2) When designated as the cognizant Secretarial Officer responsible for responding to a Board recommendation, correspondence, or other Board issue, designate and empower a Responsible Manager to manage the associated planning, response, and implementation activities, consistent with guidance provided. The organizational level of a designated Responsible Manager should be the highest Headquarters or field manager with direct responsibility for overseeing resolution of the identified safety issues and implementation of the Department's response (typically either a Deputy Assistant Secretary or Operations/Area Office Manager). In cases of cross-organizational activities, the Responsible Manager should be selected by the participating Secretarial offices and be given the necessary authorities and boundaries to coordinate the Department's response.

(3) Support other Secretarial Officers designated as cognizant for responding to and implementing Board recommendations.

(4) Designate and empower a single point of contact within their organizations to represent their organizations and work with the Departmental Representative and his/her staff in Board-related matters.

d. Operations/Area Office Managers with Responsibility for Defense Nuclear Facilities.

(1) Designate a single point of contact with the authority to represent his/her organization and work with the Departmental Representative and his/her staff in Board-related matters.

(2) Using the appropriate contract vehicle, ensure contractors (management and operating contractors, weapons laboratory contractors, integrating contractors, environmental restoration and management contractors, etc.) acknowledge and implement their interface responsibilities as delineated in this Manual (see Attachment 1, Contractor Requirements Document).

(3) Resolve conflicts between Departmental personnel and Board staff. If difficulty persists, notify the Departmental Representative.

e. Departmental Representative to the Board.

(1) Represents the Secretary in regular and continuing interactions with the Board.

(2) Advises the Secretary, Deputy Secretary, Secretarial Officers, and other Departmental officials on Board priorities, concerns, actions, and plans.

(3) Manages Departmental interface activities and provides direction (except for the NNSA) and advice to line management on Board-related matters.

(4) Coordinates with affected Secretarial Officers and designates (with respect to the NNSA, recommends designation) a cognizant Secretarial Officer to respond to a Board recommendation, Board correspondence, or other Board issue.

(5) Facilitates communication and cooperation between Departmental elements and the Board and its staff.

(6) Reviews written communications to the Board (with the exception of responses to information requests) for consistency and responsiveness, and provides concurrence approval or disapproval (with respect to the NNSA, recommends changes to the Administrator).

(7) Manages the Department's Safety Issues Management System for Board-related issues, commitments, and actions.

(8) Maintains awareness of line implementation of Departmental commitments to the Board and takes appropriate action to focus line management attention on resolving the identified safety and management issues.

(9) Prepares reports on Board-related activities for senior Departmental management, Congress, and the President.

(10) Provides guidance and training on this Manual to Departmental points of contact and support personnel.

(11) Maintains and distributes a listing of key Departmental personnel for Board-related activities.

(12) Maintains the Department's central repository of official Board communications and makes this information available to Departmental personnel, contractor personnel, and the public.

(13) Facilitates Board review of and comment resolution on Departmental directives, rules, and standards. (See also DOE M 251.1-1A, DIRECTIVES SYSTEM MANUAL, and DOE Technical Standard Program Procedure DOE-TSPP-6, Coordination of Technical Standards.)

f. Responsible Managers.

(1) For each Board recommendation or letter requesting action and for each Departmental commitment to the Board, manage the response, planning, implementation, tracking, and closure of the recommendation, action request, and/or associated commitments.

(2) Provide status updates to the Safety Issues Management System.

(3) Prepare, coordinate, and transmit a closure package to the Board upon commitment completion.

(4) Delegate day-to-day activities to a working level manager or technical lead, if desired.

(5) Keep the cognizant Secretarial Officer informed of any issues that need senior management attention.

(6) For cross-organizational issues, coordinate with the appropriate Headquarters and field managers in the other organization to implement the safety issue resolutions, consistent with the boundaries and authorities established by the controlling plan, commitment documents, or organizational memorandums of agreement.

g. Issue Lead.

(1) As a member of the Departmental Representative's staff assigned by the Departmental Representative to a specific Board recommendation, supports the designated Responsible Manager throughout the development and implementation of the Department's plan to resolve that recommendation.

(2) Participates as a member of the response team by identifying related Departmental responses and commitments, providing input on the format and content of the Department's response and implementation plan, and evaluating adequacy and responsiveness to Board criteria.

(3) Facilitates communications between the response team and the Board staff.

(4) Supports the Departmental Representative in meetings with senior Departmental management for the purpose of developing the Department's strategy, resolving disagreements and conflicts, and conducting briefings and presentations.

(5) Advises the Departmental Representative on concurrence with final implementation plans, commitment closure packages, and other written communications.

(6) Supports the Responsible Manager on identification, tracking, and closure of associated commitments in the Safety Issues Management System.

(7) Assists with Board issues defined by or associated with reports and correspondence other than Board recommendations, as assigned by the Departmental Representative.

(8) Ensures that the Secretary's responses to Board recommendations are published in the Federal Register in a timely manner.

h. Points of Contact.

(1) Represent their Secretarial Officers or Operations/Area Office Managers on day-to-day Board-related issues and interactions with the Departmental Representative and his/her staff, other Departmental elements, and the Board staff.

(2) Be cognizant of, and coordinate, day-to-day Board-related activities within their purviews, such as:

(a) assigning responsibilities,

(b) coordinating review and concurrence,

(c) facilitating meetings and site visits,

(d) fulfilling information requests,

(e) identifying commitments made and actions taken during briefings and site visits,

(f) following up on commitments and actions to ensure satisfactory completion,

(g) ensuring adherence to this Manual,

(h) communicating and reporting to their management as requested on the status of significant Board actions, and

(i) maintaining accurate status of assigned items on the Safety Issues Management System.

(3) Support Responsible Managers in their organizations in responding to and implementing Board recommendations and other commitments.

(4) Prepare, coordinate, and conduct Departmental activities to support site visits.

(5) Be sufficiently knowledgeable of Board practices to advise their organizations and assist their management in interfaces with the Board and its staff.

i. Departmental Personnel.

(1) Provide full cooperation with the Board, including:

(a) being courteous;

(b) being open, honest, and responsive;

(c) agreeing to no action items outside the immediate level of authority; and

(d) subsequent to any informal discussions or interactions with the Board or its staff, notifying the appropriate point of contact of the substantive information and actions discussed.

(2) Promptly bring to the attention of local Departmental management any conflict that arises with Board staff personnel.

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