CHAPTER VI

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 Secretary or

(b) the person requesting the information does not need such access in connection with his/her duties (see Chapter I, subparagraph 2a).

(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, subparagraph 2e).

(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).

b. On-site Requests for Information by the Board.

 (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.

(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.

c. Requests for In-process or Draft Documentation.

 (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 current position.

(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.

d. Formal Reporting Requirements.

 (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 final report.

(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 final approval.

(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.

Complete Step	30 Days	60 Days	90 Days	General
Assignment	3	3	3	3
First Meeting	7	7	7	7
Follow-Up	As time permits	As time permits	As time permits	As time permits
First Draft	16	30	60	DD - 30
Feedback	18	33	63	DD - 27
Begin Signature Cycle	19	46	76	DD - 14
Obtain Concurrence	20	50	80	DD - 10
Submit for Final Approval	23	53	83	DD - 7
Final Approval	30	60	90	Due Date

(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:

(a) Environment, Safety, and Health Oversight Reports, such as Safety Management Evaluations;

(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) 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 assessments.

a. Coordination, Preparation, and Participation.

(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 organizational position);

(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 individuals; and

(e) the information provided is responsive to the Board's needs.

(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.

(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.

b. Internal Notice of Meetings.

(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 participants;

(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 possible.

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.

d. Documentation of Meeting Results.

(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 following information:

(a) the names and titles of individuals involved;

(b) significant conditions, observations, or issues identified by the Board;

(c) a description of Departmental action items; and

(d) the responsible organization and due date for each action item.

(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.

(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.

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 mandate.

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.

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