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U.S. DEPARTMENT OF ENERGY ORDER
Office of Management DOE O 251.1C

APPROVED: 1-15-09

DEPARTMENTAL DIRECTIVES PROGRAM

1. PURPOSE.

a. To define requirements and responsibilities for
implementing the Department of Energy (DOE) Directives
Program in support of the Secretary’s memorandum of
September 10, 2007, “Principles Governing Departmental
Directives.” Note: Upon issuance of this Order,
DOE O 251.1C, the Secretary’s memorandum of September
10, 2007 will be incorporated as a Policy directive in
accordance with this Order.

b. To establish directives as the primary means to set,
communicate, and institutionalize policies,
requirements, responsibilities, and procedures
for Departmental elements and contractors.

(1) Directives facilitate achievement of DOE’s
strategic and operational goals. They also help
ensure safe, secure, efficient, cost-effective
operations and compliance with applicable legal
requirements.

(2) Directives promote operational consistency
throughout the DOE complex and foster sound
management.

2. CANCELLATION. DOE P 251.1A, Departmental Directives Program
Policy, DOE O 251.1B, Departmental Directives Program, and
DOE M 251.1-1B, Departmental Directives Program Manual, all
dated 8-16-06. All other current Policies, Orders, Manuals,
and Guides will remain in effect until revised according to
this Order.
Note: Manuals will be phased out over time as a result of
this Order.

Cancellation of a directive does not, by itself, modify or
otherwise affect any contractual or regulatory obligation to
comply with the directive. Contractor Requirements Documents
(CRDs) that have been incorporated into a contract remain in
effect throughout the term of the contract unless and until
the contract or regulatory commitment is modified to either
eliminate requirements that are no longer applicable or
substitute a new set of requirements. Note: For directives
requiring Central Technical Authority (CTA) concurrence and
published prior to this order, the exemption provisions in
Appendix E must be followed until the directive is revised
to comply with this order.

3. APPLICABILITY.

a. Departmental Applicability.

(1) With the exception of the Procurement Management
System, this Order applies to all programs.

(2) The Administrator of the National Nuclear Security
Administration (NNSA) must assure that NNSA
employees comply with their responsibilities under
this directive. Nothing in this directive will be
construed to interfere with the NNSA
Administrator’s authority under section 3212(d) of
Public Law (P.L.) 106-65 to establish
Administration-specific policies, unless
disapproved by the Secretary.

(3) This Order takes precedence over all other
directives with respect to their development,
approval and revision or cancellation.

b. DOE Contractors. Does not apply to contractors.

c. Equivalencies/Exemptions for DOE O 251.1C.

(1) Requests for Equivalencies and Exemptions to this
Order must be in memorandum form and sent to the
Office of Information Resources.

(a) The memorandum must briefly justify the
reasons for the Equivalencies/Exemptions.

(b) The memorandum must reference the offices, or
localities, and requirements for which the
Equivalency/Exemption is sought.

(2) Equivalency. In accordance with the
responsibilities and authorities assigned by
Executive Order 12344, codified at 50 USC sections
2406 and 2511, and to ensure consistency
throughout the joint Navy/DOE Naval Nuclear
Propulsion Program, the Deputy Administrator for
Naval Reactors (Director) will implement and
oversee requirements and practices pertaining to
this directive for activities under the Director's
cognizance, as deemed appropriate.

(3) Exemption. Procurement Management System is
exempt. However, DOE heads of contracting
activities (HCAs) will be afforded a reasonable
opportunity to review and comment on draft
Acquisition Letters that provide guidance,
instruction, or direction to contracting officers,
where such guidance, instruction or direction
significantly affects contract terms and
conditions of management and operating (M&O)
contracts and other site and facility management
contracts. In those situations where the Senior
Procurement Executives provide guidance,
instruction, or direction to contracting officers,
including where such guidance, instruction or
direction may significantly affect contract terms
and conditions of management and operating (M&O)
contracts and other site and facility management
contracts, the Procurement Management System will
be exempt.

(a) DOE heads of contracting activities (HCAs)
will be afforded reasonable opportunity to
review and comment on any such guidance,
instruction or direction, including but not
limited to draft Acquisition Letters (e.g.,
where the draft Acquisition Letter would
require the contracting officer to modify an
existing contract clause or add a contract
clause during an on-going contract term).

(b) Other examples would be instances where
guidance, instruction, or direction set out
in the draft Acquisition Letter would
materially impact the contractor’s
performance, materially impact the contract
funding, or change the rights and remedies of
the parties. This opportunity will be
provided so that the HCA’s review will be
conducted concurrent with any other standard
internal reviews (i.e., Procurement
Executives, Procurement Counsels) for a
particular draft Acquisition Letter.

(4) Exemption. The Chief Financial Officer’s
Accounting Handbook. However, DOE Field CFOs will
be afforded a reasonable opportunity to review and
comment on draft handbook chapters that provide
guidance, instruction or direction to Field CFOs.

(5) Exemption. CFO budget calls, which provide
guidance, instruction and direction to
Headquarters Departmental elements and the field
on the preparation of budgets.

(6) Exemption. Guidance, direction and instruction
issued by the Department’s Designated Agency
Ethics Official (DAEO) in carrying out the DAEO’s
responsibilities required by law or by the Office
of Government Ethics, or as determined necessary
by the DAEO in carrying out the Department’s
ethics and standards of conduct program.

(7) Exemption. Guidance, direction and instruction
issued by the Department’s General Counsel to, or
concerning the management of, the Department’s
attorneys and the legal services and advice they
render.

(8) Equivalency or Exemption determinations made under
this Order which involve NNSA organizations shall
be made by the Administrator of the NNSA or
designee.

4. GENERAL REQUIREMENTS.

a. DOE will use directives as its primary means to
establish, communicate, and institutionalize policies,
requirements, responsibilities, and procedures for
multiple Departmental elements.

b. Within the structure of DOE directives, Policies
provide the Secretary's direction for Orders, Notices,
Guides, and Technical Standards.

c. No single directive can take precedence (e.g., override
requirements or responsibilities) over another, with
the exception of this Order relative to the
development, approval and revision/cancellation of
directives. Where conflicts exist between directives,
the Directives Review Board (DRB) must be notified in
writing by the Departmental element that identifies the
conflict. If the DRB confirms that a conflict exists,
one or more of the affected directives must be revised.

d. The following principles regarding directives must be
applied to simplify and clarify directives, reduce
unnecessary burden, and ensure that directives support
improved Departmental management and mission
accomplishment.

(1) What vs. How. Directives shall be written clearly
and will specify the goals and requirements that
must be met and to the extent possible, refrain
from mandating how to fulfill the goals and
requirements, thus increasing emphasis on results.
However, it will sometimes be necessary to specify
how requirements are to be met in directives that
cover high risk functions such as safety and
security or areas that require consistency such as
financial reporting and information technology.

(2) Duplication of Laws, Regulations, or National
Standards. Departmental directives shall not
duplicate or be inconsistent with applicable laws
or regulations. To the extent possible, directives
also should be written so that they are consistent
with or incorporate widely accepted national
standards.

(3) Improved Planning. The need for a new directive or
a major revision to an existing directive must be
confirmed early in the planning process.
Organizations developing a directive will also
assess the inherent risk or particular need for
consistency to determine the degree of
prescription required. The estimated financial
impact of proposed directives will be determined,
as appropriate, and factored into the decision
making process. Program offices with oversight for
affected contractors will establish procedures for
soliciting the views of those contractors on
proposed directives early in the planning process.

(4) Applicability. Organizations developing a
directive are responsible for identifying
specifically which Departmental elements need to
be covered by the proposed directive. These
organizations should not approach development of
directives from a one size fits all perspective.
Departmental elements and contractors covered by
directives should make full use of exemptions and
equivalencies, as appropriate, to avoid
unnecessary burden.

(5) Impasse Process. Understanding that consensus is
not always possible, in instances where consensus
among relevant Departmental elements on a proposed
directive is not achieved expeditiously, the
established impasse process will be used to
resolve differences. Issues that cannot be
resolved quickly will be elevated to the Deputy
Secretary for decision. Dissenting views on
directives will also be included in the review
packages to ensure that the Department's senior
leadership is aware of differing positions.

(6) Unofficial Guidance. Existing requirements that
cross organizational lines and apply to
contractors but were not developed and promulgated
through the formal directives process are to be
considered invalid unless/until they have been
reviewed and adopted through that process. To the
extent possible, program offices, including field
offices, should limit supplementing directives
with additional guidance.

e. A Directives Review Board (DRB) will be established and
chaired by the Director, Office of Management. The
Board will advise, as well as concur, on individual
directives before their release for DOE-wide comment
and final issuance. Board membership will be comprised
of a senior representative from each of the three Under
Secretarial offices, the Office of the General Counsel,
and the Office of Health, Safety and Security.

f. Development of a directive must follow one of the
processes outlined in this Order (Appendices A and B),
or in rare circumstances, an expeditious process
approved by the Deputy Secretary.

(1) Appendix A (Process #1) will be used for Orders
and Guides.

(2) Appendix B (Process #2) will be used for Policies
and Notices.

(3) Appendix C will be used to determine the
applicability of a directive to the Bonneville
Power Administration (BPA).

(4) Appendix D will be used for directives involving
high risk functions, primarily those concerning
nuclear facilities, as determined by the DRB. A
list of directives meeting the criteria in
Appendix D will be maintained by the DRB,
including those directives addressing public
health and safety in the construction, operation
and decommissioning of a DOE defense nuclear
facility, as defined in section 318 of the Atomic
Energy Act.

(5) Appendix E will be used to request exemptions for
directives published prior to this Order and
requiring CTA concurrence.

(6) Copies of all Justification Memoranda will be sent
by the Office of Information Resources to the
Office of the Chief Financial Officer (CFO). In
addition, when the DRB determines that a proposed
Order appears to involve the potential for
significant budgetary or other resource impacts on
the Department, the affected Program Secretarial
Officers will prepare a detailed financial impact
analysis, which will be shared with the DRB and
the CFO prior to Stage VI of the directives
development process as outlined in Appendices A
and B.

g. The Office of Information Resources will publish an
annual Directives Agenda prior to the beginning of each
fiscal year. This agenda will, at a minimum, include
all directives reviews due for certification as
required in paragraph 7 of this Order.

5. DIRECTIVES TYPES.

a. Policies.

(1) Establish high level expectations in the conduct
of the Department’s mission and impact two or more
Departmental elements.

(2) Are either memoranda issued by the Secretary or
Deputy or documents developed by an OPI using
Process #2 outlined in Appendix B to this Order.

(3) Will be posted in RevCom for information purposes.

(4) Remain in effect until canceled by the Secretary
or Deputy Secretary.

b. Orders.

(1) Establish management objectives, requirements and
assignment of responsibilities for DOE Federal
employees consistent with policy and regulations.

(2) Are documents developed by an OPI and issued by
the Secretary or Deputy Secretary using Process #1
outlined in Appendix A to this Order.

(3) If requirements for contractors (e.g., M&O
contractors) are necessary, they must be included
in the form of an Attachment called a Contractor
Requirements Document (CRD).

(4) Detailed instructions describing how requirements
are to be implemented should be included in the
form of appendices.

c. Notices.

(1) Have the same effect as an Order, but are issued
in response to a Departmental matter requiring
prompt action to establish short-term management
objectives.

(2) Are documents developed by an OPI and issued by
the Secretary or Deputy Secretary using Process #2
outlined in Appendix B to this Order.

(3) Are expedited through the directives process and
expire after one year.

(4) Must be converted to or incorporated into an Order
within one year of the effective date of the
Notice unless an extension is granted or the
Notice is allowed to expire.

(5) May be extended through the issuance of another
Notice provided the conversion of the Notice to an
Order has been initiated.

d. Guides.

(1) Provide an acceptable, but not mandatory means for
complying with requirements of an Order or rule.
Note: Alternate methods that satisfy the
requirements of an Order are also acceptable.
However, any implementation selected must be
justified to ensure that an adequate level of
safety commensurate with the identified hazards is
achieved.

(2) Are documents prepared by an OPI, issued by the
Office of Management and developed using Process
#1 outlined in Appendix A to this Order.

(3) Cannot be made mandatory by reference in an Order,
Notice, appendix to a directive, or Technical
Standard.

e. Technical Standards.

(1) Are nonmandatory criteria issued under
DOE O 252.1.

(2) Provide DOE-approved possible methodology and
criteria for meeting requirements in Orders or
rules.

(3) Can be made mandatory under DOE regulatory or
contractual provisions.

6. DIRECTIVES CONTENT AND FORMAT.

a. Orders and Notices. The format specified below
should be followed. An alternative
format, as demonstrated by this Order, is allowed when
approved by the Office of Information Resources. Note:
There are no similar content or format requirements for
Policies and Guides.

(1) Purpose. A paragraph that defines the program or
subject matter and its goals/objectives. Goals
should be stated in simple, straightforward
language that describes the results to be achieved
by issuance of the directive.

(2) Cancellation. When a new directive replaces one
currently in use, the canceled directive is
identified by number, title and date. If a
canceled directive included a CRD, the following
text must be added:

(3) Applicability.

(a) Departmental Applicability. The OPI specifies
the subject matter, functions, or
Departmental elements to which the directive
applies. For example:

This Order applies only to sites
with fixed wing aircraft.

The CRD must be included in all
contracts involving activities
associated with the treatment,
storage and disposal of hazardous
waste.

If any part of the Order applies to the NNSA,
the following language must be added to the
Departmental Applicability paragraph:

The Administrator of NNSA will assure
that NNSA employees and contractors
comply with their respective
responsibilities under this directive.
Nothing in this Order/Notice will be
construed to interfere with the NNSA
Administrator’s authority under section
3212(d) of Public Law (P.L.) 106-65 to
establish Administration-specific
policies, unless disapproved by the
Secretary.

If any part of the Order applies to the Naval
Nuclear Propulsion Program, the following
language must be added to the Departmental
Applicability paragraph:

In accordance with the responsibilities
and authorities assigned by Executive
Order 12344, codified at 50 USC sections
2406 and 2511 and to ensure consistency
through the joint Navy/DOE Naval Nuclear
Propulsion Program, the Deputy
Administrator for Naval Reactors
(Director) will implement and oversee
requirements and practices pertaining to
this Directive for activities under the
Director's cognizance, as deemed
appropriate.
Note: The Bonneville Power Administration
(BPA) Administrator has authority to
determine, for all Department of Energy
directives, which directives, or parts
thereof, are applicable to the BPA, with the
following exceptions:

1 Those directives specified in Appendix C
to this Order 251.1C, which will be
fully applicable to BPA; and,

2 Those directives issued after September
27, 2002 that specifically state that
they are applicable to BPA.

(b) DOE Contractors.

1 Contractors are bound by applicable
laws and regulations and the terms
and conditions of their contracts and
CRDs that are incorporated into
contracts through the use of the
clause at 48 CFR (DEAR) 970.5204-2,
laws, regulations and DOE directives.
Therefore, if the OPI intends any
requirements to apply to a
contractor, those requirements must
be written into a CRD which is
attached to the directive.
Requirements identified in a CRD
apply only when the CRD is
incorporated in a contract. Also, in
the body of the directive, the OPI
must identify the program offices
responsible for determining which
contracts the CRD should apply to and
for notifying the cognizant
contracting officer.

2 A directive with a CRD attached must use
the following italicized text:

Except for the
equivalencies/exemptions in
paragraph 3.c. the Contractor
Requirements Document (CRD) sets
forth requirements of this
Order/Notice that will apply to
contracts that include the CRD.

The CRD must be included in
contracts that . . .

[Here the OPI describes criteria that
program offices use to identify
contracts that should incorporate the
CRD and assigns responsibility to
program offices to identify to which
contracts the CRD should apply and to
notify the cognizant contracting
officer.]

1 Equivalencies are alternatives to how a
requirement in a directive is fulfilled
in cases where the “how” is specified.
These represent an alternative approach
to achieving the goal of the directive.
Unless specified otherwise in the
directive, Equivalencies are granted, in
consultation with the OPI, by the
Program Secretarial Officer or their
designee, or in the case of the NNSA, by
the Administrator or designee, and
documented for the OPI in a memorandum.

2 Exemptions are the release from one or
more requirements in a directive. Unless
specified otherwise in the directive,
Exemptions are granted, in consultation
with the OPI, by the Program Secretarial
Officer or their designee, or in the
case of the NNSA, by the Administrator
or designee, and documented for the OPI
in a memorandum. For those directives
listed in Attachment 1 of DOE O 410.1,
CTA concurrences are required prior to
the granting of Exemptions.

3 The basis for approving exemptions and
equivalency requests must be documented
in the approval memorandum. Any increase
in risk to public health and safety, the
environment, workers, or security must
be justified.

(4) Directives Requirements. Actions that must be
completed in order to achieve the directive’s
purpose. In cases where it is necessary to include
more detailed information or provide direction on
how requirements are to be completed, they must be
added in the form of an Appendix to the Order or
Notice. To provide greater clarity, requirements
may be organized into general and more specific
topic areas. Note: Manuals will no longer be
renewed and will be phased out over time as a
result of this Order.

(5) Responsibilities. Duties or responsibilities
assigned to a position or office to implement,
manage and/or oversee each directive. This section
summarizes top-level responsibilities. It should
not duplicate every requirement contained in the
requirements section, but must broadly state who
has responsibility for implementing each
requirement.

(6) References. List sources cited in the directive
and additional information sources to assist in
implementing the directive. A short statement of
relevance to the Order should be included with
each reference. Applicable sections of lengthy
references should be identified where possible.

(7) Definitions (optional). To be included to help
readers understand requirements or terminology
unique to the technical discipline addressed in
the directive. Definitions used should comport
with those used in this Order 251.

(8) Contact. Provide the name and telephone number of
the responsible organization.

(9) Contractor Requirements Document (CRD). The CRD
must identify (not reference) each requirement in
the directive that is intended to apply to a
contractor. The CRD should be incorporated by DOE
contracting officers into contracts without
alteration unless the CRD specifies how
alterations are to be determined and/or approved.

(10) Appendices.

(a) Contain “how” requirements and associated
responsibilities. These should focus on
actions to be completed or processes that
must be followed to achieve the directive’s
purpose. Note: When Manuals are scheduled for
renewal, they will be converted into
appendices within Orders.

(b) Contain other information necessary for
purposes of ensuring effective implementation
with an Order. For example, forms,
check-sheets, matrices, pictures, graphs,
etc.

7. DIRECTIVES REVIEW, CERTIFICATION AND CANCELLATION. One
year after initial issuance, a directive must be reviewed
for accuracy by the OPI. Thereafter, it must be reviewed and
certified every four years by the OPI to verify continuing
relevance and/or whether any action (i.e., revision or
cancellation) is necessary. Review and certification follows
a two-step process.

a. The OPI must send a memo to the Office of Information
Resources, for review by the DRB, attesting to the
directive’s continuing relevance or in cases where a
revision is needed submit a Justification Memorandum as
part of Appendix A (Process #1) for Orders and Guides.
(Note: Extension of a Notice must follow Process #2 of
Appendix B.) Orders and Guides that have not been
certified every four years are subject to cancellation
by the Director, Office of Management, in consultation
with the DRB.

b. Cancellation of a directive requires submission of a
Justification Memorandum to the DRB through the Office
of Information Resources.

(1) In cases of cancellation initiated by the OPI, the
Justification Memorandum must be prepared by the
OPI.

(2) In cases of cancellation initiated by the
Director, Office of Management, the Justification
Memorandum will be prepared by the Office of
Information Resources. The OPI will be invited to
a DRB meeting to discuss the proposed cancellation
and will be provided the opportunity to address
the reason(s) for cancellation.

(3) If approved for cancellation by the Director,
Office of Management, in consultation with the
DRB, notice of cancellation will be posted in
RevCom for a period of 30 days.

(a) In cases where there are uniform concurrences
in RevCom, the directive will be listed on
the Office of Information Resources web site
as canceled.

(b) In cases where there is a non-concurrence in
RevCom, the issue will be sent to the Impasse
process, and ultimately decided by the Deputy
Secretary, if necessary.

8. UNAUTHORIZED DIRECTIVES. With the exception of documents
issued by the Secretary or Deputy Secretary (e.g., memoranda),
unauthorized directives are documents that purport to apply
on-going requirements (other than legal requirements) to more
than one Departmental element and that have not been reviewed and
promulgated through the processes described in this Order.
Exceptions are allowed for unique requirements promulgated
through acceptable alternative programs or processes covered
by an Order, if addressed in 3.c. of this Order, or as
otherwise directed by the Secretary or Deputy Secretary.

a. Acceptable alternative programs or processes must have
an approved and current order outlining the methodology
for promulgating unique requirements.

b. The Office of Information Resources will notify the DRB
when unauthorized directives are identified. The DRB
will review the document and will make a determination
of its compliance with the directives program.

c. The OPI must address unauthorized directives in one of
the following ways:

(1) withdraw the document;

(2) modify the document (e.g., restrict its
applicability to one element) so that it no longer
fits the description of an unauthorized directive;
or

(3) convert the document to a directive following one
of the processes described in this Order.

Note: Headquarters and field elements are authorized
to publish supplemental directives for use by those
organizations and their contractors, provided the
supplemental directives do not contradict, delete, or
duplicate provisions in any applicable Policy,
regulation, Order, or Notice.

9. DIRECTIVES NUMBERING SYSTEM.

a. All Policies, Orders, Notices, and Guides have a letter
identifying the type of document, a three-digit number
identifying the subject matter category, a suffix
showing the sequence within that subject matter
category, and for revisions, a capital alpha character
indicating the revision level. In the case of page
changes or administrative changes, the numbering is not
changed.

b. The following examples show how the numbering system
works for various directives.

(1) Policies. In DOE P 111.1, Departmental
Organization Management System, “P” stands for
Policy, “111” is the subject matter category
(Organization and Structure), and “.1” indicates
the first policy directive in this category.
Subsequent revisions must be “.1A,” “.1B,” etc.

(2) Orders. In DOE O 151.1, Comprehensive Emergency
Management System, “O” stands for Order, “151” is
the subject matter category (Emergency
Management), and “.1” indicates that this is the
first Order in this category. Subsequent revisions
must be “.1A,” “.1B,” etc.

(3) Notices. In DOE N 221.14, Reporting Fraud, Waste
and Abuse, “N” stands for Notice, “221” is the
subject matter category (Inspector General
Relations), and “.14” indicates that this is the
fourteenth issuance of the Notice.

(4) Guides. Are numbered similar to Orders and Notices
but the initial letter designator is “G,” followed
by the primary three-digit subject code. For
example: The DOE Risk Management Guide in support
of DOE Order 413.4 is numbered DOE G 413.3-7.

10. PROCESSING AND IMPLEMENTATION OF DOE DIRECTIVES.

a. Directives must be processed as outlined in Appendix A
or Appendix B of this Order.

b. A monthly DOECAST message listing directives issued
during the previous month will be transmitted
throughout the Department by the Office of Information
Resources.

c. As new directives with a Contracting Requirements
Documents are promulgated, contracting officers will be
notified by the Office of Information Resources of the
directives’ existence through DOE and NNSA Procurement
Executives.

d. All directives, unless classified, will be posted on
the website maintained by the Office of Information
Resources. Directives containing classified information
will have an unclassified summary posted on the
website.

e. The four-year certification memoranda will be posted on
the directives web site.

11. CONFORMING CHANGE PROCESS.

a. Where changes to one directive affect other directives,
the Office of Information Resources, with concurrence
from the OPI, will determine whether the change is
administrative or non-administrative. If the Office of
Information Resources and the OPI disagree as to the
nature of the change(s), the directive will undergo a
formal review as outlined in either Appendix A or B.

(1) Administrative changes are those that do not alter
requirements or responsibilities in the affected
directives, and thus do not require that the
directives undergo a formal review and comment
process as outlined in either Appendix A or B.

(2) Non-administrative changes are those that alter
requirements or responsibilities in the affected
directives. These require the directives to
undergo a formal review and comment process as
outlined in either Appendix A or B to conform to
the proposed changes. Conforming changes to
affected directives must be processed and reviewed
as a package along with the primary directive
being revised.

b. Administrative changes will be made by the Office of
Information Resources.

c. For non-administrative changes, the DRB and affected
OPIs will be contacted by the Office of Information
Resources for purposes of revising the directives.
Resolution of the issues must be tracked by the OPI and
DRB.

12. RESPONSIBILITIES.

a. Secretary of Energy. Approve Policies, Orders and Notices or
delegate approval authority to the Deputy Secretary.

b. Deputy Secretary.

(1) As the Secretary’s designee, approve Policies,
Orders and Notices.

(2) Render a decision on issues on proposed directives
or changes to existing directives that cannot be
resolved by the OPI of a directive and opposing
Departmental elements, organizations or offices.

c. Secretarial Officers.

(1) For Orders, Notices or Guides for which the
Secretarial Officer is the OPI:

(a) Initiate and submit to the Director, Office
of Management, through the Office of
Information Resources, a Justification
Memorandum that describes the need for a
proposed directive;

(b) Ensure that OPIs have the necessary support
to engage in efforts to draft and publish
directives within the prescribed timetable
established by the DRB;

(d) Submit DRB approved Policies, Orders and
Notices to the Secretary or Deputy Secretary
for approval, through the Office of
Management;

(e) Submit DRB approved Guides to the Director,
Office of Management, through the Office of
Information Resources, for issuance; and,

(f) Provide assistance to offices affected by
their directives.

(2) Assist the DRB in obtaining accurate estimates of
the financial and/or resource impacts of proposed
Directives on their organizations, sites or
contractors.

(3) Ensure that Policies, Orders and Notices initiated
by others are implemented within their
organizations and incorporated into contracts in a
timely fashion, as appropriate.

(4) Establish procedures for soliciting and
consolidating the views of their contractors and
stakeholders on draft directives throughout the
different stages of the directive development
process.

(5) Identify to the Office of Information Resources,
names of Directives Points of Contact (DPC) that
are adequately trained to process and provide
guidance on the development of directives and have
the authority to represent their respective
organizations.

(6) Grant Exemption or Equivalency determinations in
consultation with the OPI.

d. Directives Review Board Members.

(1) Where applicable (i.e., depending on the process),
disseminate Justification Memoranda and draft
directives in a timely fashion within their
organizations.

(2) Manage efforts to screen, reconcile and
consolidate comments emanating from their
organizations.

(3) Participate in DRB meetings for the purposes of
discussing and concurring on proposed directives.

(4) Consult with the Central Technical Authorities,
DOE Departmental Representative to the Defense
Nuclear Facilities Safety Board (DNFSB), and other
stakeholders as appropriate on the development and
maintenance of the list of directives promulgated
in accord with paragraph 4.f.(4).

e. Director, Office of Management.

(1) In accordance with delegated authority from the
Secretary, administers the Departmental Directives
Program.

(2) Serves as Chairperson of the DRB, convening DRB
meetings and alerting the CFO when significant
potential for budgetary or other resources appear
necessary to implement requirements of a proposed
directive.

(3) Serves as representative on the DRB for
Departmental staff/support offices not already
represented on the DRB.

f. Director, Office of Information Resources.

(1) Manages all aspects of the Directives Program and
processes.

(2) Manages the web site where all directives and
related information are posted.

(3) Reviews and coordinates requests which differ from
the established directive templates, development
processes and/or associated development software
configuration.

(4) Provides support and advice to OPIs in program
offices.

(5) Tracks progress of directives development
including the development of the annual Directives
Agenda.

(6) Solicits, consolidates and forwards comments from
the National Laboratories Directors’ Council
spokesperson on Justification Memoranda.

(7) Distributes to DRB members any comments related to
Justification Memoranda, and where appropriate,
draft directives.

(8) With OPI consultation, determines whether a
proposed change to an existing directive alters
requirements and thus, requires a formal review
and comment process.

(9) With OPI consultation, makes administrative
changes to directives or their drafts.

(10) Coordinates with all Departmental elements the
selection of DPCs.

(11) Publishes an annual Directives Agenda prior to the
beginning of each fiscal year to include all
directive reviews that are required during the
upcoming fiscal year.

(12) Tracks all memoranda signed by the current or
former Secretary or Deputy Secretary for
incorporation as Policy directives.

g. Offices of Primary Interest.

(1) Create Justification Memoranda and draft
directives.

(2) Solicit comments from Program Counsel on draft
directives prior to submitting the drafts for the
first review and comment, Stage IV of Appendices A
and B.

(3) Lead efforts to engage organizations in order to
resolve differences over comments.

(4) Work with the Office of the General Counsel and
the Office of Management (Office of Procurement
and Assistance Management) in developing a CRD for
non-NNSA elements. For NNSA elements, work with
the Program Counsel in the NNSA Office of the
General Counsel and the NNSA Office of Acquisition
and Supply Management.

(5) Coordinate with the DOE Departmental
Representative to the DNFSB, as appropriate.

(6) Using the prescribed directives process, document
the basis for resolution of all comments.

(7) Complete directives on schedule.

(8) In a directive, identify program offices
responsible for determining which contracts the
CRD should apply to and notify the cognizant
contracting officers.

(9) Consult with the Office of Information Resources
as to whether a proposed change to an existing
directive is administrative or alters requirements
and thus requires a formal review and comment
process.

(10) Interpret or clarify provisions of a directive
(e.g., provide responses to frequently asked
questions).

(11) Consult with offices seeking Equivalencies or
Exemptions,

h. DOE Departmental Representative to the DNFSB.

(1) Coordinates directives reviews with the DNFSB.

(a) Provides the OPI with DNFSB comments through
the process used by the Department (e.g.,
RevCom, Appendix A).

(b) Facilitates communication between the OPI and
DNFSB regarding DNFSB comments prior to a
directive’s approval.

(2) Informs the DNFSB when new Secretarial memoranda,
which could affect health and safety at defense
nuclear facilities, are presented to the DRB.

i. Directives Points of Contact (DPCs).

(1) Solicit information on a proposed directive,
directive revision, or directive cancellation from
subject matter experts and input comments approved
by the Secretarial Officer into the directives
review and comment tools (e.g., RevCom) as
directed by their management, and represent the
office or organization for whom they serve (e.g.,
screen comments, provide concurrence).

(2) In consultation with their management, assign
subject matter experts as needed for each draft
directive issued for review and comment by the
Office of Information Resources.

j. Contracting Officers. Incorporate CRDs into contracts in
a timely fashion without alteration, unless the CRD
specifies how alterations are to be determined and/or
approved.

k. Central Technical Authorities. Requirements regarding
the role and responsibility of Central Technical Authorities
related to the directives process are established in
DOE O 410.1, Central Technical Authority Responsibilities
Regarding Nuclear Safety Requirements. Nothing in this Order
should be construed as contrary to or rescinding the
requirements, processes, roles and responsibilities
previously published in DOE O 410.1.

l. Chief Financial Officer. Participate in DRB meetings
involving directives for which a financial impact analysis
has been completed. Develop and share best practices with
program offices regarding the creation of financial impact
analyses.

13. REFERENCE.

P.L. 106-65, Title XXXII National Nuclear Security
Administration Act, as amended, which established a
separately organized agency within the Department of Energy.

DNFSB letter to Under Secretary of Energy, Honorable Thomas
P. Grumbly; 1996. The letter explains the importance of
using a tool to track requirements.

14. DEFINITIONS.

a. Certification. Process for reviewing and certifying
directives that have been in effect for four or more years,
for accuracy and continued relevance. A certification
date is placed below the approval date on the directive.

b. Contractor. For purposes of the directives system, corporate
organizations under contract with DOE to perform
services with the clause at DEAR 970.5204-2, laws,
regulations, and DOE directives, in their contract.
[Note: This definition of contractor does not include
all of the procurement contracts entered into by DOE.]

c. Counsel. General Counsel, Procurement Counsel, Program
Counsel, etc., all refer to attorneys assigned to various
parties for the purpose of providing legal advice and guidance.

d. Departmental Elements. Headquarters elements or first-tier
organizations as listed in the Correspondence Style Guide,
Office of the Executive Secretariat.

e. Directives Point of Contact (DPC). The DPC is
designated by the Departmental element and
provides the liaison between his/her organization and
the DOE Directives Program. See the directives web site
for more information.

f. Equivalencies. Alternatives to how a requirement in a directive is
fulfilled in cases where the ”how” is specified. These
represent an acceptable alternative approach to
achieving the goal of the directive.

g. Exemption. A release from one or more requirements in a directive.

h. Manuals. Supplement other directives, laws, regulations,
or other requirements by providing more instructions or
details on how the provisions of those directives or
laws must be carried out throughout DOE. Manuals
identify procedural requirements in more detail than
Orders for DOE Federal employees and intended
requirements for contractors, which must be in the form
of the CRD attached to the Manual. Note: Manuals will
remain in effect until revised according to this Order
and will be phased out over time as a result of this
Order.

i. National/International Standards.Standards are developed through
a process that is open to participation by representatives of all
interested parties, transparent, consensus-based, and
subject to due process. These might be developed by
governmental organization or private sector groups such
as the American Society for Testing and Materials
(ASTM) or the International Organization for Standards
(ISO).

j. Office of Information Resources. The office within
the Office of Management charged
with responsibility for managing the Directives
Program.

k. Office of Primary Interest (OPI). The office responsible for
originating the directive, the author’s office.

l. Procurement Management System. The procurement programs
managed by DOE and NNSA Senior Procurement Executives that
ensure the development and implementation of Department-wide
policies, procedures, programs, and management systems pertaining to
procurement and financial assistance.

m. RevCom. A web-based software application used by the Office
of Management for the review and comment of draft
directives.

n. Requirements. Actions that must be completed or processes
that must be followed in order to achieve a directive’s
purpose.

o. Responsibilities. Duties or responsibilities assigned to a
position or office to implement, manage and/or oversee
directives.

p. Secretarial Officer. Program Secretarial Officers as listed in the
Correspondence Style Guide, Office of the Executive
Secretariat.

q. Unauthorized Directives. Documents that purport to apply
requirements (other than legal requirements) to more than one
Departmental element and that have not been reviewed and
promulgated through the processes described in this Order.
Exceptions are allowed for unique requirements
promulgated through acceptable alternative programs or
processes covered by an Order, the procurement
management system, or as otherwise directed by the
Secretary or Deputy Secretary.

15. CONTACT. Questions concerning this directive should be addressed to the
Office of Information Resources at 202-586-5955.

BY ORDER OF THE SECRETARY OF ENERGY:

JEFFREY F. KUPFER
Acting Deputy Secretary

APPENDIX A. REVIEW AND COMMENT PROCESS #1 (FULL PROCESS)

Orders and Guides require a Justification Memorandum and are
subject to the development process described below. While Orders
and Guides have different levels of compliance and approval as
defined in paragraph 5 of this Order, both have the same review
and comment process as delineated in this Appendix.

1. STAGE 1. JUSTIFICATION MEMORANDUM.

a. The OPI must develop a Justification Memorandum that
meets the following requirements:

(1) Be written using the prescribed template (see the
Office of Information Resources directives web
site).

(2) Justify why the Order or Guide is necessary,
specify which Departmental elements, offices or
organizations the subject directive covers, and
indicate if or how those elements, offices, and
organizations have been involved at this stage.

(3) Qualitatively and, where possible, quantitatively
describe anticipated costs and beneficial impacts
associated with implementation.

(4) Identify issues that must be resolved or
addressed, all conflicts with existing directives,
and any impacts to other directives or
Departmental functions or operations.

(5) When applicable, be accompanied by a one to two
page outline of the Order or Guide that follows
the directives principles outlined in the body of
this Order.

(6) Be signed by the Secretarial Officer initiating
the proposed Order or Guide and sent to the
Director, Office of Management, through the Office
of Information Resources.

b. The Office of Information Resources must ensure that
the Justification Memorandum meets the requirements of
this directive. If it does not, the Justification
Memorandum will be returned to the Secretarial Officer
for revision. Once the Justification Memorandum meets
the requirements of this directive, the Office of
Information Resources emails it to the Directives
Review Board (DRB) members for a 10-20 day review
(number of days depends upon factors such as complexity
of subject matter, time of year, etc.). During the
review, DRB members may email the Office of Information
Resources any comments to be addressed at the biweekly
DRB meeting.

(1) Departmental elements with oversight for affected
contractors (other than DOE’s national
laboratories) must establish procedures for
soliciting the views of their contractors on
proposed Orders or Guides.

(2) The national laboratories have the opportunity to
comment on the need for a proposed Order or Guide
through the National Laboratories Directors
Council. The Director, Office of Information
Resources will solicit the views of the national
laboratories on the Justification Memorandum.

2. STAGE II. FIRST REVIEW BOARD MEETING. The Director,
Office of Management, will convene a biweekly
meeting of the DRB to discuss Justification Memoranda. A
senior representative from the office initiating each
Justification Memorandum will be invited to address the DRB.
In cases of a non-concurrence with a Justification
Memorandum:

a. The office of primary interest (OPI) will have the
opportunity to explain in greater detail the need for
the Order or Guide and answer any questions posed by
the DRB members.

b. DRB members must reach consensus on whether to
recommend to the Director, Office of Management that
the Order or Guide be developed.

c. If the DRB fails to reach consensus, the Order or Guide
will be referred to the Impasse Process, Stage VII.

3. STAGE III. DEVELOPMENT OF THE FIRST DRAFT.

a. The OPI (writer) that receives approval to proceed from
the Director, Office of Management, through the
organization’s Secretarial Officer will be given a
specified number of days in which to develop a draft
for submission to the Office of Information Resources.
During this time, the OPIs must:

(1) Engage stakeholders such as Headquarters
Secretarial Offices that manage field offices,
contractors, and field offices and solicit any
substantive technical comments on the draft.

(2) Engage appropriate program counsel.

b. When the first draft is completed, the OPI must email a
copy as an attached MS Word document to the Office of
Information Resources.

c. The Office of Information Resources will then process
the draft for posting in RevCom.

4. STAGE IV. FIRST REVIEW AND COMMENT.

a. Directives Points of Contact (DPCs) will have a
specified number of days in which to solicit,
reconcile, consolidate and submit proposed comments for
approval by their Secretarial Officer or his/her
designee. Review time frames will be consistent with
the complexity of the document and need for technical
review.

b. The DOE Departmental Representative to the DNFSB must
enter DNFSB comments into RevCom.

5. STAGE V. DEVELOPMENT OF THE SECOND DRAFT.

a. After receiving comments, the OPI will have a specified
number of days in which to consider comments and create
a comment and response document and a
redlined/strikeout second draft.

b. When the documents are completed, the OPI must email
copies of the documents as attached MS Word documents
to the Office of Information Resources to be processed
for a second posting in RevCom.

c. At the end of the second posting, DPCs must submit
either concurrence or nonconcurrence in RevCom and then
forward any comments approved by their Secretarial
Officers or their designees to their respective DRB
representatives.

d. OPI’s will then have a specified number of days in
which to attempt to resolve any non-concurrences, after
which time their Secretarial Officer responsible for
the proposed Order or Guide will submit the proposed
Order or Guide through the Office of Information
Resources for approval. The Departmental Representative
to the DNFSB will facilitate communication between the
OPI and DNFSB.

(1) In the case of Orders, the proposed Order must be
submitted through the Office of Information
Resources and the Office of Management to the
Deputy Secretary for approval.

(2) In the cases of Guides, the proposed Guide must be
submitted through the Office of Information
Resources to the Director, Office of Management,
for approval.

6. STAGE VI. SECOND REVIEW AND COMMENT RESOLUTION

a. At the conclusion of Stage V, the Office of Information
Resources will present a final draft to the DRB members
at their bi-weekly meeting for their concurrence. The
Director, Office of Management will serve as DRB
representative for Departmental staff/support offices
not represented on the DRB. The Director, Office of
Management may invite Secretarial Officers (or
designee) to attend the DRB meeting, as appropriate.

b. In the case of Orders, if DRB members reach consensus,
the Director, Office of Management, will present the
proposed Order to the Deputy Secretary for approval. In
the case of Guides, if DRB members reach consensus, the
Director, Office of Management will approve the Guide.
If DRB members cannot reach consensus in either case,
the Director, Office of Management, will direct the
Office of Information Resources to inform the OPI of
the impasse and the reasons for the non-concurrence.

7. STAGE VII. IMPASSE PROCESS.

a. Upon receiving notification of an impasse from the
Office of Information Resources, the Secretarial
Officer who signed the Justification Memorandum will be
invited to a meeting of the DRB.

b. Acting as a neutral party, the Director, Office of
Management, will engage the DRB members and invited
Secretarial Officer (or designee) on any unresolved
comments/issues in an effort to facilitate resolution.

c. If comments/issues cannot be resolved by the DRB, the
Director, Office of Management, will advise the OPI to
prepare a final draft and the dissenting organizations
to prepare 1-2 page summary papers, which summarize
their positions. The Director, Office of Management,
will then forward the final draft and summary papers to
the Deputy Secretary. The Deputy Secretary renders a
decision on the issues and decides whether to approve
the Order, or in cases of Guides, develop and/or issue
the Guides.

8. CLASSIFIED DIRECTIVES. Classified directives are subject to the
same review processes as unclassified directives; however, this
information cannot be transmitted by unclassified e-mail systems.
In order to adequately protect the classified information,
steps 1.b., 3.b. and 5.b. will not use email to transmit the classified
directives. Classified directives will be transmitted by
paper copies that are appropriately marked and controlled or
transmitted through classified email systems. Additionally,
classified directives will not be posted in RevCom and step
3.c. will be used to post an unclassified description of the
directive.

APPENDIX B. REVIEW AND COMMENT PROCESS #2 (EXPEDITED PROCESS)

Notices require Justification Memoranda and are subject to the
development process described below. Policies, with the exception
of those issued as memoranda by a Secretary or Deputy Secretary,
also require Justification Memoranda and are subject to the
development process described below. The Secretary or Deputy
Secretary will determine which memoranda they wish to have
incorporated into the Directives Program as Policies. – Note:
This includes memoranda issued prior to the effective date of
this Order.

1. STAGE 1. JUSTIFICATION MEMORANDUM.

a. The OPI must develop a Justification Memorandum that
meets the following requirements:

(1) Be written using the prescribed template (see the
Office of Information Resources directives web
site).

(2) Justify why the Policy or Notice is necessary,
specify which Departmental elements, offices or
organizations the directive covers; and indicate
if or how those elements, offices, and
organizations have been involved at this stage.

(3) Qualitatively and, where possible, quantitatively
describe anticipated costs and beneficial impacts
associated with implementing the directive.

(4) Identify issues that must be resolved or
addressed, all conflicts with existing directives,
and any impacts to other directives or
Departmental functions or operations.

(5) When applicable, be accompanied by a one to two
page outline of the directive that follows the
directives principles outlined in the body of this
Order.

(6) Be signed by the Secretarial Officer initiating
the proposed directive and sent to the Director,
Office of Management, through the Office of
Information Resources.

b. The Office of Information Resources must ensure that
the Justification Memorandum meets the requirements of
this directive. If it does not, the Justification
Memorandum will be returned to the Secretarial Officer
for revision. Once the Justification Memorandum is
consistent with this directive, the Office of
Information Resources emails it to DRB members for a
10-20 day review (number of days depends upon factors
such as complexity of subject matter, time of year,
etc.). During this review, DRB members may email the
Office of Information Resources any comments in
preparation for the biweekly DRB meeting.

(2) The national laboratories have the opportunity to
comment on the need for a proposed directive
through the National Laboratories Directors
Council. The Director, Office of Information
Resources will solicit the views of the national
laboratories on the Justification Memorandum.

2. STAGE II. FIRST REVIEW BOARD MEETING. The Director, Office of
Management, will convene a biweekly meeting of the DRB to discuss
the Justification Memoranda. A senior representative from the office
providing each Justification Memorandum will be invited to address
the DRB. In cases of a nonconcurrence on a Justification Memorandum:

a. The office of primary interest (OPI) will have the
opportunity to explain in greater detail the need for
the Policy or Notice and answer any questions posed by
the DRB members.

b. DRB members must reach consensus whether to recommend
to the Director, Office of Management that the Policy
or Notice should be developed for its completion.

c. If the DRB fails to reach consensus, the Policy or
Notice will be referred to the Impasse Process, Stage
VII.

3. STAGE III. DEVELOPMENT OF THE FIRST DRAFT.

a. The OPI (writer) that receives approval to proceed from
the Director, Office of Management, through the
responsible Secretarial Officer will be given a
specified number of days in which to fully develop
their draft for submission to the Office of Information
Resources. During this time, OPIs must:

(1) Engage stakeholders such as Headquarters
Secretarial Offices that manage field offices,
contractors, and field offices, and solicit any
substantive technical comments on the draft.

(2) Engage appropriate program counsel.

b. When the first draft is completed, the OPI must email a
copy of the draft as an attached MS Word document to
the Office of Information Resources.

c. The Office of Information Resources will then email the
draft to the DRB members, and when appropriate, the DOE
Departmental Representative to the DNFSB.

4. STAGE IV. FIRST REVIEW AND COMMENT.

a. DRB members will have a specified number of days in
which to solicit, reconcile, consolidate, approve and
submit proposed comments from their respective
organizations. Review time frames will be consistent
with the complexity of the document and need for
technical review.

b. The DOE Departmental Representative to the DNFSB must
email DNFSB comments to the Office of Information
Resources, when appropriate.

5. STAGE V. DEVELOPMENT OF THE SECOND DRAFT.

a. After receiving comments through the Office of
Information Resources, the OPI will have a specified
number of days in which to consider comments and create
a redlined/strikeout second draft. The Departmental
Representative to the DNFSB will facilitate
communication between the OPI and DNFSB.

b. When the document is completed, the OPI must email a
copy as an attached MS Word document to the Office of
Information Resources for submission to the DRB, and
DOE Departmental Representative to the DNFSB when
appropriate.

6. STAGE VI. SECOND REVIEW AND COMMENT RESOLUTION.

a. At the conclusion of Stage V, DRB members will discuss
the proposed directive at their bi-weekly meeting and
will decide whether to concur on the redlined/strikeout
draft. For Departmental staff/support offices not
represented on the DRB, the Director, Office of
Management will serve as their representative on the
DRB. In some cases, the appropriate Secretarial
Officers may be invited by the Director, Office of
Management to attend the DRB meeting.

b. If DRB members reach consensus, the Secretarial Officer
responsible for the proposed directive will be asked by
the Office of Information Resources to submit the
proposed directive through the Director, Office of
Management, to the Deputy Secretary for approval. If
DRB members cannot reach consensus, the Director,
Office of Management, will direct the Office of
Information Resources to inform the aforementioned
Secretarial Officer of the impasse and the reasons for
the non-concurrence.

7. STAGE VII. IMPASSE PROCESS.

a. If notified by the Office of Information Resources of
an impasse, the Secretarial Officer (or deignee) who
signed the Justification Memorandum will be invited to
a meeting of the DRB.

b. Acting as a neutral party, the Director, Office of
Management, will engage the DRB members and invited
Secretarial Officer or their designee on any unresolved
comments/issues in an effort to facilitate resolution.

8. CLASSIFIED DIRECTIVES. Classified directives are subject to the
same review processes as unclassified directives; however, this
information cannot be transmitted by unclassified e-mail systems.
In order to adequately protect the classified information, steps 1.b., 3.b.
and 5.b. will not use email to transmit the classified
directives. Classified directives will be transmitted by
paper copies that are appropriately marked and controlled or
transmitted through classified email systems. Additionally,
classified directives will not be posted in RevCom and step
3.c. will be used to post an unclassified description of the
directive.

APPENDIX C

DIRECTIVES ISSUED BEFORE 9-27-02 THAT ARE FULLY APPLICABLE TO BPA

1500.4A, Travel Charge Card Program
2300.1B, Audit Resolution and Follow Up
2340.1C, Coordination of General Accounting Office Activities
3350.1, Furlough in the Senior Executive Service
3351.2, Reduction in Force in the Senior Executive Service
3792.3, Drug-Free Federal Workplace Testing Implementation Program
5480.4, Environmental Protection, Safety and Health Protection Standards
5500.11, Power Marketing Administration Emergency Management Program
5632.1C, Protection and Control of Safeguards and Security Interests
M 200.1-1, Telecommunications Security Manual
M 251.1-1A, Directives System Manual
M 440.1-1, DOE Explosives Safety Manual
M 471.2-1B, Classified Matter Protection and Control Manual
M 471.2-2, Classified Information System Security Manual
M 472.1-1B, Personnel Security Program Manual
M 473.2-1A, Firearms Qualification Courses Manual
M 473.2-2, Protective Force Program Manual
M 475.1-1A, Identifying Classified Information
M 5632.1C-1, Manual for Protection and Control of Safeguards and Security Interests (except Chapters III and IX)
N 221.8, Reporting Fraud, Waste, and Abuse
N 251.44, Extension of DOE Directives on Security
N 326.8, Annual Confidential Financial Disclosure Report (OGE 450)
N 471.3, Reporting Incidents of Security Concern
N 473.8, Security Conditions
O 151.1A, Comprehensive Emergency Management System
O 221.1, Reporting Fraud, Waste, and Abuse to the Office of the Inspector General
O 221.2, Cooperation with the Office of the Inspector General
O 221.3, Establishment of Departmental Position on Inspector General Reports
O 224.2, Auditing of Programs and Operations
O 251.1A, DOE Directives System
O 440.2A, Aviation Management and Safety
O 470.1, Safeguards and Security Program
O 470.2A, Security and Emergency Management Independent Oversight and Performance Assurance Program
O 471.2A, Information Security Program
O 472.1B, Personnel Security Activities
O 473.2, Protective Force Program
O 551.1A, Official Foreign Travel
P 142.1, Unclassified Visits by Foreign Nationals
P 205.1, Departmental Cyber Security Management Program
P 251.1, Directives System
P 470.1, Integrated Safeguards and Security (ISMS) Policy
SEN-19A-92, Department of Energy Executive Committee

APPENDIX D. DIRECTIVES REQUIRING ADDITIONAL DOCUMENTATION

Certain directives involving high risk functions, primarily those
concerning nuclear facilities, will be developed using greater
rigor and will require additional documentation. The following
process will be used to identify and process these directives.

1. Directives (or successor documents) meeting the below
criteria must be developed using requirements tracking and
basis documentation to permit users to trace any
requirements in the original directive to the comparable
requirement(s) in the revised directive and the basis for
each requirement. The criteria include directives that:

a. Set requirements regarding the establishment,
verification and maintenance of the safety basis for
DOE nuclear facilities;

b. Establish requirements regarding the integration of
safety into the operation, design and construction of
defense nuclear facilities;

c. Provide guidance for use in implementing the
requirements established in the directives listed in
1.a. and 1.b. of this appendix. Any “requirements” to
be tracked in these instances are the mandatory
elements of such directives; or,

d. Are developed by the Office of Health, Safety and
Security.

2. For each directive in the Directives Program, judgment will
be applied by the Directives Review board (DRB) as to
whether “requirements tracking” and basis documentation are
warranted. Those directives chosen will be listed on the
directives web site maintained by the Office of Information
Resources. The OPI will be expected to prepare “requirements
tracking” and basis documentation accordingly.

3. “Requirements tracking” and basis documentation are
necessary to permit any user to trace any requirements in
the original directive to the comparable requirement(s) in
the revised directive and the basis for each requirement.
The form of the requirements tracking and basis
documentation will be proposed in the justification
memorandum and agreed to by the DRB when approving the
justification memorandum.

4. Depending on the extent of changes made to the directive,
the requirements tracking and basis documentation is
generally expected to be a cross walk combined with an
explanation for each requirement but may simply be a line-
in/line-out of the revised directive (e.g., where there are
only a few changes to the directive).

APPENDIX E. LEGACY EXEMPTION PROCESS

This Appendix, which is taken from Chapter X of DOE M 251.1-1B,
will be used for directives published prior to this Order
(DOE O 251.1C) and requiring CTA concurrence. However, as these
same directives are revised according to DOE O 251.1C, the new
process outlined in paragraph 6.a.(3)(c) of DOE O 251.1C will be
used. Note: the terms “EH” or “ES&H” used in this Appendix refer
to the Office of Health Safety and Security (HSS), “CSO” refers
to Cognizant Secretarial Officer, and “ESE” refers to Energy,
Science and Environment.

1. GENERAL PROVISIONS. An exemption under the Directives Program
is a release from one or more requirements in a DOE Order,
Notice, or Manual that has been granted to a DOE element or a
contractor.1

If the Order, Notice, or Manual includes specific provisions
for exemptions, equivalencies, or other forms of relief from
the requirements in the document, then those provisions must
be applied.

If the document does not include specific provisions for
relief, the process in this chapter applies to granting
permanent or temporary relief from the applicable
requirements in those documents.

This exemption process does not apply to requirements in
regulations.

An approved exemption must be submitted to the Office of
Information Resources.

a. Requirements for Federal Employees.

When a DOE Order, Notice, or Manual is issued, the
requirements in that document automatically apply to
Federal elements as stated in the document. To acquire
exemption from a requirement in a directive, a Federal
element must use the relief process specifically
included in the directive, or if there is no relief
process in the directive, the exemption process in this
chapter. Federal elements are required to meet all
applicable directives requirements unless relief is
granted through one of these processes. An exemption
granted to a contractor does not relieve Federal
elements from the responsibility to obtain an exemption
to related requirements for Federal elements.

b. Requirements for Contractors.

(1) Requirements in DOE Orders, Notices, and Manuals
apply to contractors to the extent that they are
incorporated in the contract. Contracting officers
incorporate requirements from directives by
referencing or copying sections of the CRD into
the contracts.

(2) As stated in Department of Energy Acquisition
Requirements (DEAR) 48 CFR 970.0470(b), the
program office must identify requirements in the
Directives System that are applicable to a
contract, develop a list of applicable
requirements, and provide the list to the
contracting officer. The contracting officer must
include that list in the contract. That list
constitutes the list of applicable directives
referred to as List B in 48 CFR 970.5204-2.

(3) In some cases, requirements included in List B
will be tailored to the specific hazards and needs
of activity through a DOE-approved process. Such
processes include the Standards/Requirements
Identification (S/RID) Process, the Work Smart
Standards Process, and the Safety Management
System [See 48 CFR 970.0470(c) and (d)]. If a
requirement from a directive is excluded from List
B using one of these processes, then it is not a
contract requirement and does not require
requesting an exemption.

(4) If a requirement of a directive is included in
List B of the contract and temporary or permanent
relief from the requirement is sought, use this
exemption process (unless there is another relief
process specifically included in the directive).

2. EXEMPTION APPROVAL PROCESS.

a. NNSA Facilities and Activities.

(1) Review and Approval.

(a) The approval authority must provide copies of
the exemption request, appropriate supporting
documentation, and the draft exemption, and
with respect to each exemption request views
from the following parties before granting an
exemption:

1 the CSO;

2 the OPI;

3 HSS; and

4 the NNSA CTA for requirements listed on
the NNSA Index of Baseline Nuclear
Safety Requirements.

(b) The approval authority may not grant the
exemption until—

1 the parties have indicated that there is
no objection or

2 thirty (30) calendar days have passed
without objection after providing the
parties the draft exemption and
associated documentation (If a party
requests additional information they
will be granted an additional 14
calendar days after requested additional
information has been provided).

1 Work with the objecting party to resolve
any issues and withdraw the objection.

2 For unresolved objections from NNSA
personnel, raise the issue to the NNSA
Administrator or designee for
resolution.

3 For unresolved objections from parties
outside of NNSA, raise the matter
through the NNSA Administrator or
designee to the Deputy Secretary for
resolution.

(2) Approval Authority. Unless otherwise stated in the
directive, approval is as follows.

(a) Heads of Departmental NNSA elements (which
include operations and field office managers)
approve exemptions to requirements in DOE
Orders, Notices, and Manuals for activities
and facilities under their direction except
as provided in paragraph 2.a.(2)(b).

(b) For ES&H requirements in Orders, Notices, and
Manuals for hazard category 1 nuclear
facilities, the Under Secretary for Nuclear
Security approves exemptions. This authority
may be delegated to other heads of
Departmental NNSA elements.

b. ESE Facilities and Activities.

(1) Concurrence.

(a) The approval authority must provide copies of
the exemption request, appropriate supporting
documentation, and the draft exemption, and
request concurrence on each exemption from
the following parties before granting an
exemption:

1 the CSO;

2 the OPI;

3 HSS; and

4 the ESE CTA for requirements listed on
the ESE Index of Baseline Nuclear Safety
Requirements.

(b) The approval authority may not grant the
exemption until—

1 the parties have concurred or

2 thirty (30) calendar days have passed
without nonconcurrence after providing
the parties the draft exemption and
associated documentation (if a party
requests additional information they
will be granted an additional 14
calendar days after requested additional
information has been provided).

1 Work with the nonconcurring party to
resolve any issues and withdraw the
nonconcurrence.

2 For nonconcurrences from DOE personnel,
raise the issue to the Under Secretary
for Energy or the Under Secretary for
Science, as appropriate for resolution.

3 For nonconcurrences from parties outside
of ESE, raise the matter to the Deputy
Secretary for resolution.

(2) Approval Authority.

Unless otherwise stated in the directive approval
is as follows.

(a) Heads of Departmental elements (which include
operations and field office managers) approve
exemptions from requirements from DOE Orders,
Notices, and Manuals for activities and
facilities under their direction except as
provided in paragraph 2.b.(2)(b).

(b) For ES&H requirements in Orders, Notices, and
Manuals for hazard category 1 nuclear
facilities, the Under Secretary for Energy,
Science and Environment approves exemptions
to requirements in DOE Orders, Notices, and
Manuals. This authority may be delegated to
other heads of Departmental elements.

c. Other than NNSA or ESE Facilities and Activities.

(1) Concurrence.

(a) The approval authority must provide copies of
the exemption request, appropriate supporting
documentation, and the draft exemption and
request concurrence on each exemption from
the following parties before granting an
exemption:

1 the CSO;

2 the OPI; and

3 HSS; and

4 the Office of the General Counsel.

(b) The approval authority may not grant the
exemption until—

1 the parties have concurred, or

1 Work with the nonconcurring party to
resolve any issues and withdraw the
nonconcurrence.

2 Raise the matter to the Deputy Secretary
for resolution.

(2) Approval Authority. Unless otherwise stated in the
directive, heads of Departmental elements (which
include operations and field office managers)
approve exemptions from DOE Orders, Notices, and
Manuals for activities and facilities under their
direction.

3. EXEMPTION REQUESTS.

a. Requests for exemptions must include the following
information.

(1) Site or facility for which an exemption is being
requested.

(2) Reference to the requirements for which exemption
is sought.

(3) Identification and justification of the acceptance
of any additional risks that will be incurred if
the exemption is granted.

(4) Benefits to be realized by providing the
exemption.

(5) Whether the exemption being requested is temporary
or permanent and for temporary exemptions,
indication of when compliance will be achieved.

(6) Identification of other pertinent data or
information used as a basis for obtaining an
exemption.

b. Requests for exemptions to environment, safety, and
health requirements must also address the following:

(1) A description of any special circumstances that
warrant the granting of an exemption, including
whether—

(a) application of the requirement in the
particular circumstances would conflict with
another requirement;

(b) application of the requirement in the
particular circumstances would not achieve,
or is not necessary to achieve its underlying
purpose;

(c) application of the requirement in the
particular circumstances would not be
justified by any safety and health benefit;

(d) the exemption would result in a health and
safety benefit that compensates for any
detriment that would result from granting the
exemption; or

(e) other material circumstances that exist were
not considered when the requirement was
adopted for which it is in the public
interest to grant an exemption.

(2) Steps to be taken to provide adequate protection
of health, safety, and the environment, and a
statement that adequate protection will be
provided.

(3) A description of any alternative or mitigating
actions that have or will be taken to ensure
adequate safety and health and protection of the
public, the workers, and the environment for the
period the exemption will be effective.

4. APPROVAL CRITERIA.

For all exemption decisions, the basis for approving the
exemption must be documented in the approval and the
approving authority may grant an exemption only if the
exemption—

a. is not prohibited by law;

b. would not present an undue risk to public health and
safety, the environment, facility workers, or security;
and

c. is warranted under the circumstances.

_______________________________
1 There are a number of terms used for relief processes including
but not limited to exemptions, equivalencies, variances, and
relief. This chapter applies to all such terms.