1. BOARD REQUESTS FOR INFORMATION. The Board and its staff frequently request
information necessary to fulfill the Board's statutory responsibilities. Requested
information may be contained in existing documents or may need to be developed.
Requests for information are normally made using a Board Information Request
(Attachment 5). If not, Departmental personnel should request completion of a Board
Information Request. These requests may be transmitted in either hard copy or electronic
format. Departmental personnel should fully cooperate with the Board and its staff in
providing the requested information. When the Board or its staff requests classified
information, Departmental personnel should request the Board or its staff to have the
Board Information Request approved by the Board Chairman. The Board has agreed to
have its staff provide the Department with advance notification of classified information
requests several days prior to their issuance. The cognizant Secretarial Officer or
Operations/Area Office Manager should determine the appropriate response to Board
requests where significant funds or resources are necessary to prepare new analyses,
reports, or documents.
a. Responses to Information Requests.
(1) The appropriate point of contact should coordinate and transmit one copy
of the requested information and/or status of requests. The point of
contact should ensure that documents are reviewed for accuracy,
classification, and completeness prior to transmittal. Various points of
contact have found it helpful to develop and distribute protocols or
procedures to ensure that Board information requests are fulfilled in a
consistent, accurate, and timely manner.
(2) The point of contact should normally provide readily accessible
information requested by the Board staff within 15 working days for
unclassified requests and within 20 working days for classified requests,
using Attachment 6 or other similar cover letter. The point of contact
should provide the Board staff with an estimated schedule for documents
that cannot be readily provided. To ensure that responses are consistent
with the expectations of the Board staff, the point of contact is encouraged
to communicate directly with the requesting Board staff member as
necessary for clarification and confirmation.
(3) The Secretary may deny access to information for only two reasons:
(a) the person requesting the information has not been granted an
appropriate security clearance or access authorization by the
(b) the person requesting the information does not need such access in
connection with his/her duties (see Chapter I, subparagraph 2a).
b. On-site Requests for Information by the Board.
(4) The Department and the Office of Personnel Management have established
routine uses under the Privacy Act to permit disclosure of personnel and
radiation exposure documents maintained in certain systems of records to
the Board. Thus, the Department may transmit these records to the Board
in accordance with the Privacy Act when the Board deems that the records
are necessary to satisfy the Board's statutory obligations (see Chapter I,
(5) The point of contact must ensure that classified and sensitive unclassified
documents are clearly marked in accordance with security procedures (See
DOE O 471.2A, INFORMATION SECURITY PROGRAM, and DOE
CG-SS-4, Safeguards and Security Classification Guide). The "Official
Use Only" (OUO) marking should be used where appropriate to protect
proprietary information, source selection information, personal privacy
information, and other sensitive information not for public release. The
appropriate category of OUO information should be identified in
accordance with CG-SS-4 from the following options: Circumvention of
Statute, Statutory Exemption, Commercial/Proprietary, Deliberative
Process, Personal Privacy, and Law Enforcement. The front marking of an
OUO document must contain the following statement, using one of the
above categories, at the bottom of the document: "OFFICIAL USE
ONLY, Contains_______________ Information. Department of Energy
approval required prior to public release." Each page must be marked top
and bottom with the statement "Official Use Only."
(6) The point of contact should maintain a record of information provided to
the Board or Board staff for 3 years or until no longer needed. The point
of contact should also maintain either copies of the transmitted
information or the location of that information. The point of contact
should establish appropriate record retention schedules consistent with this
Manual and the controlling direction from the Department and the
National Archives and Records Administration (NARA).
(1) The Operations/Area Office Point of Contact must ensure that Board
representatives (including the Board or its staff) have unencumbered
access to view information or documents during the course of on-site
assessments, inspections, or tours.
c. Requests for In-process or Draft Documentation.
(2) If information is requested by the Board or its staff for off-site use or
retention, the Operations/Area Office Point of Contact must ensure the
documents are properly and expeditiously processed as described above.
A completed Board Information Request (Attachment 5) may be used to
serve both as a record of closure that information was provided while on
site, and for historical tracking of information that the site has provided to
the Board and its staff.
(3) When practical, the Operations/Area Office Point of Contact should
arrange for the materials to be processed prior to the departure of Board
representatives from the site. Presentation materials and handouts that
have been reviewed for classification and provided to Board
representatives as part of a formal briefing do not require a formal request.
(1) The Board and its staff have the right to access any Departmental or
contractor information that the Board deems necessary to allow them to
perform their defined oversight responsibilities (see Chapter I,
subparagraph 2a). However, the cognizant point of contact should handle
requests for in-process or draft documentation with special care and on a
case-by-case basis. In some cases, drafts are highly conceptual, immature,
and have not been reviewed or endorsed by Departmental management. In
other cases, drafts may be highly detailed, very mature, and represent the
best current Departmental documentation of the salient issues and analysis.
In the former cases, providing these documents without a full
characterization of their maturity may result in confusion and unnecessary
interaction between the Department and the Board to address topics that
have not yet evolved to a final Departmental position. In the latter cases,
providing these documents to the Board staff is productive and useful
because access to these documents is needed for the Board staff to perform
their duties and the documentation is representative of the Department's
d. Formal Reporting Requirements.
(2) Understanding the Department's responsibilities for "ready access," the
cognizant manager should clearly characterize the status of in-process or
draft documentation whenever it is requested or provided. If the cognizant
manager has clearly characterized the status of the requested
documentation and the Board requestor still maintains that the
documentation is necessary to facilitate performance of his/her duties, the
point of contact should provide the requested documentation along with
the characterization of its status. In this manner, the Board requestor can
obtain a clear understanding of the quality of the requested documentation
and can use it appropriately. In practice, forming good working
relationships with Board staff members based on trust and openness has
proven both possible and beneficial.
(1) The Board may establish reporting requirements for the Secretary which
must be binding upon the Secretary pursuant to 42 U.S.C. 2286b(d).
Board reporting requirements are usually made in written correspondence;
these requests do not require a Board Information Request (Attachment 5).
(2) The information the Board requires the Secretary to report may include
any information designated as classified information, or any information
designated as safeguards information and protected from disclosure (see
Chapter I, subparagraph 2a).
(3) The Board typically specifies a due date for the required reports.
Departmental elements that receive these reporting requirements must
comply with the requested schedule. In extraordinary cases, when the
Department requires more time than allotted by the Board, the Responsible
Manager should prepare and transmit a letter acknowledging receipt of the
initiating letter, and providing the Department's plans and schedule for
response. If the Board does not provide a requested reporting date, the
Responsible Manager should prepare and transmit a letter to the Board
within 10 days which acknowledges receipt of the Board's reporting
requirements and provides the Department's plans to respond.
(4) Board contacts with the Departmental and contractor staff pursuant to
investigative authority authorized by statute (see Chapter I, subparagraph
2a) and subsequent requests for or access to information or documents are
exempt from using the information request and response guidance
provided in this Manual.
(5) Based on Department experience, development of timely and responsive
reports generally requires the following steps:
(a) Assignment. The Departmental Representative should determine
the responsible Departmental element for preparing the response.
The Departmental Representative or Issue Lead should inform the
Executive Secretary of the assigned Departmental Office that will
fulfill the Board reporting requirements. The Departmental
Representative should also provide the Executive Secretary with
the name of the Responsible Manager within that office or site.
(b) First Meeting. The Responsible Manager should conduct a
meeting of representatives of organizations (response team
members) with access to information necessary for an acceptable
report. The Responsible Manager should create a list of tasks
needed to gather the facts that will form the technical basis of the
report. The Responsible Manager should assign an accountable
person for completing each necessary task. The Responsible
Manager should obtain an agreement from the response team
members for a follow-up meeting to collect and review the results
of the assigned tasks.
(c) Follow-Up. The Responsible Manager accepts the outputs created
by the tasks and formulates the first draft of the report. The
Responsible Manager may schedule additional follow-up meetings,
as needed, with persons executing tasks. A follow-up meeting may
create additional tasks and assignments. Tasks need to conclude
before the approval cycle begins.
(d) First Draft Report. The Responsible Manager should forward a
draft report to the response team members, the Departmental
Representative, and the cognizant Board staff member.
(e) Feedback. The response team members should provide the
Responsible Manager with any feedback on the draft report. The
Responsible Manager should determine the disposition of the
comments provided. More draft and review cycles may be set up
by the Responsible Manager, as needed and as time permits. The
Responsible Manager is accountable for the factual accuracy of the
(f) Begin Signature Cycle. The Responsible Manager should provide
the draft report, which incorporates comments received, to each of
the organizations either affected by or involved in the report.
(g) Obtain Concurrence. Representatives of each affected or involved
organization should determine whether their organization concurs
with the draft report and provide their concurrence determination
along with any contingent corrections.
(h) Submit for Final Approval. The Responsible Manager should
submit the response, in format ready for transmittal to the Board, to
the Departmental Office with the authority to issue the requested
report. When the signature authority is in the Secretarial Office,
the Departmental Representative should assist in obtaining the
(i) Final Approval. The Responsible Manager should ensure that
either the requested report or a missed-date explanation letter is
approved and provided to the Board by the report due date. The
schedule for completing each of the above steps is a function of the
due date. The following table, based on report due dates, should be
used as a guide to ensure reports are completed on time.
DD - 30
DD - 27
|Begin Signature Cycle
DD - 14
DD - 10
|Submit for Final
DD - 7
(6) If the Responsible Manager determines that the report due date cannot be
met, the Responsible Manager must notify the Departmental
Representative. This missed-due-date notification should be provided to
the Departmental Representative no later than 7 days before the report is
due to the Board. The Departmental Representative should review and
confirm this determination. When the due date cannot be met, the
Responsible Manager should create a letter to the Board explaining the
circumstances of the missed date, and an expected completion date. The
Responsible Manager should ensure that the delay letter is delivered to the
Board on or before the original report due date.
e. Standing Request for Departmental Evaluations and Assessments.
(1) The Board has a standing request for the Department to provide it with
copies of routinely developed reports in the health and safety areas for
Departmental defense nuclear facilities. This may include, but is not
limited to, the following documents:
(2) Managers responsible for preparing these reports should send copies to
their points of contact for transmittal to the Board staff with a copy of the
transmittal letter to the Departmental Representative. Departmental
organizations may establish internal procedures to ensure that the
applicable evaluations and assessments are identified and routed in
accordance with this section. In addition to forwarding reports, the
Department may also brief the Board on routine evaluations and
(a) Environment, Safety, and Health Oversight Reports, such as Safety
(b) Technical Safety Appraisals;
(c) Operational Readiness Reviews/Readiness Assessments ;
(d) Self-assessment documents (Headquarters and field), limited to
final Departmental reports or procedures;
(e) Rules/Orders/Standards development activities applicable to
defense nuclear facilities;
(f) Radiological evaluations, limited to final reports from formal
Departmental contractor assessments; and
(g) Five-Year Plans, such as final issuance of Environment, Safety,
and Health Management Plans.
2. PUBLIC MEETINGS AND OTHER FORMAL BOARD MEETINGS. Public hearings,
public meetings, and other formal Board meetings are consistent with authorities granted
under the Board's enabling statute (see Chapter I, subparagraph 2a).
a. Coordination, Preparation, and Participation.
3. BRIEFINGS, DISCUSSIONS, TELEPHONE COMMUNICATIONS, AND OTHER
b. Internal Notice of Meetings.
(1) The Departmental Representative or a designated point of contact should
serve as the Departmental lead for coordinating the Department's
participation in meetings with the Board members. Coordination
responsibilities include ensuring the following:
(a) appropriate participants are selected (with sufficient technical
knowledge, accomplished presentation skills, and of appropriate
(2) Requests from the Board members for meetings with the Department are
routinely made through the Departmental Representative. Other
Departmental elements that receive such requests from the Board or its
staff must immediately notify the Departmental Representative and the
appropriate point of contact.
(b) the participants are adequately prepared;
(c) a consensus is reached prior to the meeting to the extent possible
on major technical or policy issues that are identified as the
subjects of the meeting;
(d) the views presented as the Department's views will indeed
represent those adopted by the responsible Department managers,
or else these views will be clearly identified as opinions of specific
(e) the information provided is responsive to the Board's needs.
(3) Requests by Departmental elements for meetings with Board members
must be made through the appropriate point of contact, who must
coordinate with the Departmental Representative. Departmental elements
initiating or participating in meetings with the Board members must keep
the Departmental Representative informed of the schedule and content of
the meetings. Departmental personnel should use the Briefing Request
format (Attachment 4) for such requests.
c. Notice to the Board of Expected Meeting Attendees. The Departmental
Representative should provide the Board staff with advance notice of the expected
meeting attendees for meetings at the Board's facilities. This allows the Board
and its staff to ensure the proper Board representation and meeting arrangements.
The cognizant manager or associated points of contact should assist the
Departmental Representative in developing an accurate list of expected attendees.
(1) The designated Departmental lead for meetings with the Board should
prepare and distribute a written notice containing a meeting agenda. The
agenda information should be developed by the designated Departmental
lead for the meeting through discussions with the lead Board staff member
for the meeting and with Departmental organizations expected to support
the meeting. If the schedule or agenda requested by the Board cannot be
accommodated, the Departmental lead should resolve any issues or
conflicts with the lead Board staff member. The Departmental lead should
provide a notice and agenda which include the following information:
(a) the date, time, and location of the meeting;
(b) the subject of the meeting;
(c) the Board and key Board staff participants;
(d) the Departmental lead and other participants, including contractor
(e) specific topics to be discussed; and
(f) other special requirements, as applicable.
(2) The Departmental lead should distribute the notice to the cognizant
Secretarial Officer, the Departmental Representative, affected
Operations/Area Office Managers, and affected points of contact. The
Departmental Representative's office should make any additional internal
distribution determined to be necessary to ensure that interested parties are
notified of the meeting in advance.
(3) If changes in the schedule or agenda topics arise after the notice is issued,
the designated Departmental lead should modify and redistribute the
notice. If there is insufficient advance notice of a substantive change in
the schedule or agenda to reissue the notice, the Departmental lead should
contact the affected participants to advise them of the changes as soon as
d. Documentation of Meeting Results.
e. Price-Anderson Enforcement Process. The Board and its staff have no official
mandate for involvement in or oversight of the Department's Price-Anderson
Enforcement Process. However, the Board does have legitimate jurisdictional
interest in both the safety issues and circumstances that prompted any
enforcement actions. The Board also has jurisdictional interest in the extent of
corrective actions taken to address any safety issues or deficiencies. When
requested, Department personnel should discuss with the Board and its staff the
safety aspects of any enforcement action. Discussion of the enforcement aspects
of these actions, such as the basis for the fine amount, is not within the Board's
(1) As needed to communicate the results of the meeting, the designated
Departmental lead should promptly prepare a meeting summary, using the
Board's transcript, if available. This summary should include the
(2) The Departmental lead should achieve agreement with affected parties on
the action items and associated responsibilities and due dates prior to
issuing the meeting summary. Approval authority for action items is
established either by the actions being within the normal realm of
responsibility for that position or by specific delegation of that
responsibility from the cognizant Departmental manager. These action
items need to be satisfied to maintain an effective working relationship
with the Board and its staff; they should be tracked and managed at the
Departmental level where the action items are undertaken.
(a) the names and titles of individuals involved;
(b) significant conditions, observations, or issues identified by the
(c) a description of Departmental action items; and
(d) the responsible organization and due date for each action item.
(3) The Departmental Representative's office should distribute the summary
as necessary to ensure that affected parties are apprized of the meeting
results. The Departmental Representative's office should also distribute
the meeting transcript to interested parties within the Department.
a. Departmental personnel contacted by the Board or its staff must cooperate with
the Board and provide requested information. Departmental personnel should be
courteous, open, honest, and responsive. Departmental personnel should be
mindful of their organizational authority and not agree to take actions outside their
immediate level of authority.
b. For discussion of complex issues, Departmental personnel should request prior
notification and scheduling to allow adequate preparation of a mutually agreeable
agenda and briefing materials. Prior notification and scheduling allows both
parties to be prepared and improves the quality of communications.
c. Departmental personnel should handle briefings and discussions with members of
the Board or its staff in a similar manner to that described for formal meetings
with the Board (see section 2 of this chapter). The Departmental lead for the
interaction is the senior manager with responsibility for the issues being
discussed. The Departmental lead should notify the affected Departmental points
of contact, the Departmental Representative's office, and any other affected
Departmental personnel, and provide information about the time, place, and
content of the interaction. The Departmental lead should reach agreement with
the Board staff lead on the agenda, expectations, and participants. The
Departmental lead should provide feedback on substantive information and
actions discussed to the affected organizations and the Departmental
Representative. The Departmental lead should identify any resultant action items,
responsibilities, and due dates and provide tracking and follow-up of these items
through to their completion.
d. Subsequent to any informal discussions or interactions, Departmental elements
must notify the appropriate point of contact of the substantive information and
actions discussed. The Departmental Representative, in conjunction with the
point of contact, should evaluate the information, request the individual to submit
a written summary if the information is of wider interest, and distribute the
information to interested parties.