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SAFETY MANAGEMENT
FUNCTIONS, RESPONSIBILITIES,
AND AUTHORITIES MANUAL
U.S. DEPARTMENT OF ENERGY
OFFICE OF ENVIRONMENT, SAFETY AND HEALTH
SAFETY MANAGEMENT FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES MANUAL
1. PURPOSE. This Department of Energy (DOE) Manual defines safety management
functions, responsibilities, and authorities for DOE senior management with
responsibilities for line, support, oversight, and enforcement actions. It provides detailed
requirements to supplement DOE P 411.1, Safety Management Functions,
Responsibilities, and Authorities Policy, dated 1-28-97.
2. CANCELLATIONS. DOE M 411.1-1B, Safety Management Functions, Responsibilities,
and Authorities Manual, dated 5-22-01.
3. APPLICABILITY.
a. DOE Elements. Except for the exclusions in paragraph 3c, this Manual applies to
all DOE elements, including National Nuclear Security Administration elements,
performing safety management functions (see Attachment 1).
b. Site/Facility Management Contractors. This Manual does not apply to
contractors.
c. Exclusions. The facilities and activities of the Naval Nuclear Propulsion Program
and the Power Marketing Administrations are exempt from the requirements of
this Manual. In addition, to the extent the requirements in this Manual conflict
with or duplicate the requirements of the Nuclear Regulatory Commission, the
Office of Civilian Radioactive Waste Management is exempt from the
requirements of this Manual.
4. SUMMARY. This Manual is composed of eight chapters that document the DOE senior
management functions, responsibilities, and authorities related to safety management.
The eight tables that follow the chapters provide detailed lists of the safety management
functions, responsibilities, and associated authorities of the Secretary, Deputy Secretary,
Under Secretaries, and various Secretarial Officers. Appendix A is a list of acronyms
used in the Manual.
5. CONTACT. Questions concerning this Manual should be addressed to Mary F.
Haughey, Office of Environment, Safety and Health, 301-903-2867 or
Mary.Haughey@eh.doe.gov.
BY ORDER OF THE SECRETARY OF ENERGY:
KYLE E. McSLARROW
Deputy Secretary
CONTENTS
1. INTRODUCTION AND OBJECTIVE 1
2. SCOPE 2
3. CHANGE CONTROL 3
4. OFFICE OF THE SECRETARY 4
4.1 SECRETARY OF ENERGY 4
4.2 DEPUTY SECRETARY 4
4.3 UNDER SECRETARIES 5
5. COGNIZANT SECRETARIAL OFFICERS 6
6. SUPPORT ORGANIZATIONS 8
6.1 OFFICE OF ENVIRONMENT, SAFETY AND HEALTH 8
6.2 OFFICE OF INDEPENDENT OVERSIGHT AND PERFORMANCE ASSURANCE 11
6.3 OFFICE OF DEPARTMENTAL REPRESENTATIVE 11
7. LINE OF SUCCESSION AND DELEGATION OF AUTHORITY 12
7.1 LINE OF SUCCESSION 12
7.2 DELEGATION OF AUTHORITY 12
8. ORGANIZATIONAL FUNCTIONS, RESPONSIBLITIES, AND AUTHORITIES
DOCUMENTS 14
TABLE 1 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES OF THE
SECRETARY 17
TABLE 2 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE
DEPUTY SECRETARY 27
TABLE 3 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR
THE UNDER SECRETARY FOR ENERGY, SCIENCE AND
ENVIRONMENT 29
TABLE 4 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR
THE UNDER SECRETARY FOR NUCLEAR SECURITY/
ADMINISTRATOR FOR THE NATIONAL NUCLEAR SECURITY
ADMINISTRATION (NNSA) 31
TABLE 5 COGNIZANT SECRETARIAL OFFICER (CSO) ASSIGNMENTS 33
TABLE 6 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES
FOR COGNIZANT SECRETARIAL OFFICERS 35
TABLE 7 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR
THE ASSISTANT SECRETARY OF ENVIRONMENT, SAFETY
AND HEALTH 47
CONTENTS (continued)
TABLE 8 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR
THE DIRECTOR OF THE OFFICE OF INDEPENDENT
OVERSIGHT AND PERFORMANCE ASSURANCE 55
APPENDIX A. ACRONYMS AND ABBREVIATIONS A-1
APPENDIX B. CITATIONS AND AUTHORITIES B-1
ATTACHMENT 1. DOE ORGANIZATIONS TO WHICH DOE M 411.1-1C IS APPLICABLE
1. INTRODUCTION AND OBJECTIVE
The Secretary of Energy (the Secretary) has the primary responsibility for ensuring that work at
Department of Energy (DOE or the Department) facilities and sites is performed in a manner that
adequately protects the worker, the public, and the environment. This responsibility flows from
the Secretary through line management to the individuals performing the work. The goal of
performing work safely is reflected in the guiding principles and core management functions
established in DOE P 450.4, Safety Management System Policy, dated 10-15-96, and is codified
in the Department of Energy Acquisition Regulations, found at Title 48 of the Code of Federal
Regulations (CFR), §§ 970.5204-2, and 970.5223-1 (48 CFR 970.5204-2 and 970.5223-1).
These guiding principles include the following:
a. line management is responsible for protection of employees, the public, and the
environment and
b. DOE and its contractors must clearly define and maintain the lines of responsibility for
ensuring protection of environment, safety, and health (ES&H) at all organizational
levels.
This Manual addresses both of these guiding principles for DOE by documenting DOE senior
management functions, responsibilities, and authorities relating to safety management. The term
“safety management” for purposes of this Manual refers to those DOE functions and
responsibilities that pertain to and govern the safety of operations and activities at DOE sites
and facilities.
This document is required by DOE P 411.1, Safety Management Functions, Responsibilities, and
Authorities Policy, dated 1-28-97, which mandates the development of a corporate-level
document to establish the clear lines of responsibilities and authorities that are necessary to—
* develop and implement requirements and standards that are necessary to provide
reasonable assurance that workers, the public, and the environment are adequately
protected;
* define essential safety management functions and establish unambiguous DOE roles,
responsibilities, and authorities for executing them to accomplish the authorized work;
* clarify the roles, responsibilities, lines of authority, and delegations between
Headquarters (HQ) and field organizations;
* ensure compliance with legal requirements and manage against contractual requirements;
* define functional relationships and responsibilities among DOE line, support, oversight,
and enforcement organizations; and
* address the coordination of line direction from multiple program offices at a single site.
This Manual is the corporate-level document that defines safety management functions,
responsibilities, and authorities for DOE senior management with responsibilities for line,
support, oversight, and enforcement functions. The framework for the lower-tier functions,
responsibilities, and authorities documents is discussed in Chapter 8.
2. SCOPE
The functions, responsibilities, and authorities documented in this Manual apply to the DOE
senior managers and organizations responsible for the overall direction, program support, and
oversight of work throughout the DOE complex, for both nuclear and non-nuclear facilities.
This Manual applies to Departmental elements performing safety management functions,
including the National Nuclear Security Administration (NNSA).
It does not apply to the following:
* Naval Nuclear Propulsion Program,
* Power Marketing Administrations, or
* Office of Civilian Radioactive Waste Management to the extent it overlaps or duplicates
requirements of the Nuclear Regulatory Commission.
This Manual applies to the Secretary, the Deputy Secretary, the Under Secretaries, the Cognizant
Secretarial Officers (CSOs) (see Chapter 5), and the support functions of the Office of
Environment, Safety and Health and the Office of Independent Oversight and Performance
Assurance (see Chapter 6). The Office of Environment, Safety and Health is a program office
with responsibilities for facilities and programs. Consequently, the Assistant Secretary for
Environment, Safety and Health must meet the CSO requirements listed in this Manual (see
Chapter 5) and the support responsibilities that are specifically listed for the Office of
Environment, Safety and Health (see Chapter 6).
In addition, the Federal employee occupational safety and health (FEOSH) requirements apply to
all DOE organizations, both at HQ and the field, with the exceptions listed in the third paragraph
of this chapter. FEOSH requirements are documented in DOE O 440.1A, Worker Protection
Management for DOE Federal and Contractor Employees, dated 3-27-98, and DOE HQ
O 442.1, Headquarters Occupational Safety and Health Program, dated 11-3-01. The Assistant
Secretary for Environment, Safety and Health is the Designated Agency Safety and Health
Officer (DASHO) responsible for defining requirements and guidance for the DOE FEOSH
program. The Office of Management, Budget and Evaluation is responsible for implementing
FEOSH requirements at DOE HQ facilities. Field element managers (FEMs) are responsible for
implementing FEOSH requirements at their field facilities.
The Office of Management, Budget and Evaluation is also responsible for developing and
implementing aviation safety policy and providing recommendations to the Secretary on aviation
safety matters.
This Manual only addresses the functions, responsibilities, and authorities for DOE
organizations. It does not impose requirements on contractors.
3. CHANGE CONTROL
This document is a Manual in the DOE Directives System. The responsibilities listed in this
Manual are derived from Congressional legislation (such as the Atomic Energy Act of 1954
(AEA) and the DOE Organization Act), Executive orders (E.O.s), Federal regulations, DOE
directives (including Secretarial policies and commitments), and Secretarial memoranda.
This document is expected to change as the Department alters its organizational responsibilities
and will be updated annually or as required. Changes to this Manual must be made through the
DOE Directives System in accordance with DOE O 251.1A, Directives System, dated 1-30-98,
and DOE M 251.1-1A, Directives System Manual, dated 1-30-98. However, the Secretary may
override or change responsibilities in this Manual through Secretarial memoranda. Secretarial
Memoranda that override or change responsibilities in the FRAM will be posted on the FRAM
web page at http://tis.eh.doe.gov/nsps/frams.html. Any changes made by Secretarial memoranda
to the responsibilities documented in this Manual must be documented in the next update of the
Manual.
In the event that responsibilities documented in this Manual conflict with responsibilities defined
in Congressional legislation, E.O.s, Federal regulations, or DOE Orders, Notices, or Manuals,
the provisions of those documents override this document. If such conflicts are discovered,
please notify the Office of Environment, Safety and Health of the need to update this Manual.
4. OFFICE OF THE SECRETARY
4.1 Secretary of Energy
Through the authorities granted under the AEA, as amended; the Energy Reorganization Act of
1974 (P.L. 93-438); and the Department of Energy Organization Act (P.L. 95-91), the Secretary
is responsible for the overall direction and administration of the Department. This responsibility
includes ensuring that the missions of DOE are performed in a manner that protects public health
and safety and advances the goals of restoring, protecting, and enhancing environmental quality.
The Secretary is authorized by these Acts to prescribe such procedural and administrative rules
and regulations as the Secretary deems necessary or appropriate to administer and manage the
functions of the Department. Except as otherwise prohibited by law, the Secretary may delegate
the functions of the Secretary to officers and employees of the Department and may authorize
successive redelegations.
Table 1 lists specific responsibilities for the Secretary as defined in Congressional legislation,
Federal regulations, Presidential directives, as well as DOE safety directives. Although DOE
directives are not strictly authorizing documents for the Secretary, if a directive explicitly lists a
responsibility for the Secretary, that directive and the responsibility have been included on the
Table for completeness.
4.2 Deputy Secretary
The Deputy Secretary reports to the Secretary and is authorized to act for and exercise the
functions of the Secretary during the absence or disability of the Secretary or in the event the
position of the Secretary becomes vacant. The Deputy Secretary also serves as the Chief
Operating Officer and is responsible for the day-to-day management of the Department against
its mission objectives. The Deputy Secretary is responsible for direct line management of the
Under Secretaries, the Energy Information Administration, the Chief Information Officer, the
Office of Independent Oversight and Performance Assurance, the Power Marketing
Administrations, and all Secretarial support and staff offices with the following exceptions:
* Office of the Secretary,
* Office of the Assistant Secretary for Congressional and Intergovernmental Affairs,
* Office of Security,
* Office of Intelligence,
* Office of Counterintelligence, and
* Office of Public Affairs.
Table 2 lists specific responsibilities for the Deputy Secretary as defined in DOE safety and
environment directives.
4.3 Under Secretaries
The Under Secretaries in the Department of Energy are the managers responsible for directing
the activities of the Department’s line and certain safety support organizations.
There are two Under Secretaries in the Department:
* Under Secretary for Energy, Science and Environment and
* Under Secretary for Nuclear Security/Administrator for NNSA.
The Under Secretary for Energy, Science and Environment has direct line management
responsibility for the following offices:
* Civilian Radioactive Waste Management;
* Energy Efficiency and Renewable Energy;
* Environment, Safety and Health;
* Environmental Management;
* Fossil Energy;
* Nuclear Energy, Science and Technology;
* Science; and
* Legacy Management.
Table 3 lists specific responsibilities for the Under Secretary for Energy, Science and
Environment as defined in and delegation orders.
NNSA was established by the NNSA Act in the National Defense Authorization Act for 2000
(see P.L. 106-377, October 27, 2000). The NNSA Act also defines specific responsibilities for
the Under Secretary for Nuclear Security/Administrator for NNSA. The Under Secretary for
Nuclear Security/Administrator for NNSA is subject to the authority, direction, and control of
the Secretary. That authority, direction, and control may be delegated only to the Deputy
Secretary, without redelegation. The Secretary may direct officials of the Department who are
not in NNSA to review NNSA programs and activities and make recommendations to the
Secretary regarding administration of those programs and activities, including consistency with
other similar programs and activities.
In carrying out NNSA missions, the Under Secretary for Nuclear Security/Administrator for
NNSA must ensure that all NNSA operations and activities are consistent with the principles of
protecting the environment and safeguarding the safety and health of the public and the NNSA
workforce.
The Under Secretary for Nuclear Security/Administrator for NNSA has direct responsibility for
the following offices:
* Defense Programs,
* Defense Nuclear Nonproliferation,
* Naval Reactors,
* Emergency Operations,
* Infrastructure and Security, and
* Management and Administration.
Table 4 lists specific responsibilities for the Under Secretary for Nuclear Security/Administrator
for NNSA as defined in Congressional legislation and DOE safety directives and delegation
orders.
As discussed in further detail in Chapter 8, each Under Secretary must develop a functions,
responsibilities, and authorities document that identifies the functions, responsibilities, and
authorities specific to that position. The Under Secretaries functions, responsibilities, and
authorities documents must also define how the authorities of each Under Secretary are
delegated and what responsibilities are assigned to specific Secretarial Offices within that
organization. In particular, the Under Secretaries may provide additional direction to their CSOs
and FEMs that should be reflected in CSO and FEM functions, responsibilities, and authorities
documents.
5. COGNIZANT SECRETARIAL OFFICERS
As stated in DOE P 411.1, Safety Management Functions, Responsibilities, and Authorities
Policy, dated 1-28-97, line management is responsible and accountable for ensuring safe
operations at DOE sites and facilities. Line management includes HQ and field organizations
with operational and programmatic responsibilities. The line of responsibility extends from the
Secretary downward thorough the Deputy Secretary, the Under Secretaries, the program office
managers, the field office managers and, ultimately, the managers directing the work (DOE or
contractor).
All managers who report directly to the Secretary, the Deputy Secretary or the Under Secretaries
are referred to as Secretarial Officers. A primary responsibility of the Secretarial Officers is to
support the Under Secretaries, the Deputy Secretary, and the Secretary in meeting their
responsibilities.
The Secretarial Officers responsible for accomplishing work in a safe and environmentally sound
manner at DOE-owned or DOE-leased sites and facilities (other than HQ) are Cognizant
Secretarial Officers (CSOs). The CSOs are Secretarial Officers with line accountability for a
laboratory or a bounded set of facilities. The CSOs provide direction to line organizations in
DOE HQ and the field regarding safety management processes and systems. Although the
ultimate responsibility for safety rests with the Secretary, the CSOs are responsible for providing
direction to the line organizations in their assigned areas and they are accountable for the
appropriate and successful implementation of DOE policies and requirements through their line
organizations.
CSOs and Field Managers are required to establish Memorandums of Understanding (MOUs)
that define the agreed upon procedures governing operations of a particular site, facility or
laboratory where multiple program offices conduct work. Copies of the MOUs are distributed to
all signatories and to all contractors whose operations are affected by the MOUs. These MOUs
should be incorporated into organizational functions, responsibilities, and authorities documents,
as appropriate.
Seven CSOs report to the Under Secretary for Energy, Science and Environment:
* Assistant Secretary for Environmental Management;
* Assistant Secretary for Energy Efficiency and Renewable Energy;
* Assistant Secretary for Environment, Safety and Health;
* Assistant Secretary for Fossil Energy;
* Director of the Office of Nuclear Energy, Science and Technology;
* Director of the Office of Science; and
* Director of Office of Civilian Radioactive Waste Management.
Two CSOs report to the Under Secretary for Nuclear Security/Administrator for NNSA:
* Deputy Administrator for Defense Programs and
* Deputy Administrator for Defense Nuclear Nonproliferation.
In addition to the nine CSOs named above, the Director of the Office of Security is a CSO with
line responsibility for certain DOE facilities, such as the New Brunswick Laboratory. The
Director of the Office of Security reports directly to the Secretary through the Deputy Secretary.
Figure 1 shows the DOE organization and indicates the CSOs addressed in this Manual in the
shaded boxes. Table 5 lists responsibilities for the various sites and facilities that each CSO is
assigned.
Table 6 provides a summary of the safety management functions, responsibilities, and authorities
of CSOs. Each CSO functions, responsibilities, and authorities document will establish how
each organization will discharge these assigned functions (see Chapter 8).
Table 6 does not provide an exhaustive list of responsibilities. Rather it lists the functions,
provides a summary of related responsibilities, and identifies the authorities for those areas.
Additional detail regarding the responsibilities for each functional area is provided in the
authorities that are listed and their associated guides, as well as organizational functions,
responsibilities, and authorities documents. Secretarial Officers should refer to these documents
for a more complete discussion of DOE’s expectations for the functions listed in the table.
6. SUPPORT ORGANIZATIONS
6.1 Office of Environment, Safety and Health
The Office of Environment, Safety and Health is the Department’s corporate safety office
(except for aviation safety). As such, the office has unique support functions, responsibilities,
and authorities regarding the safety and protection of the environment of DOE facilities and
activities. The Assistant Secretary for Environment, Safety and Health is the Department’s
corporate safety official and represents the Department in ES&H matters and, when requested or
directed, assists line management in safety management functions. The Assistant Secretary for
Environment, Safety and Health reports to the Under Secretary for Energy, Science and the
Environment and, with respect to crosscutting DOE commitments to the Defense Nuclear
Facilities Safety Board, to the Deputy Secretary.
Figure 1. Department of Energy Organization. The shaded boxes indicate the
Cognizant Secretarial Officers with responsibilities listed in Table 6.
Executive Order 13101, “Greening the Government through Waste Prevention, Recycling, and
Federal Acquisition,” requires the Secretary of Energy to assign an individual as Agency
environmental executive. The Secretary has assigned that responsibility to the Assistant
Secretary for Environment, Safety, and Health. The Assistant Secretary for Environment,
Safety and Health also serves as the Designated Agency Safety and Health Officer (DASHO),
responsible for establishing the Agency occupational safety and health policy and program to
carry out the provisions of Section 19 of the Occupational Safety and Health Act, E.O. 12196
Occupational Safety And Health Programs For Federal Employees, and 29 CFR 1960, Basic
Program Elements For Federal Employee Occupational Safety and Health Programs and
Related Matters.
Office of Environment, Safety and Health safety management functions include the development
and maintenance of DOE ES&H policies, regulations, technical standards, and other directives
(Orders, Notices, Manuals, and Guides), including this Manual. These documents address the
safety of DOE nuclear and non-nuclear operations and activities at DOE facilities and sites,
including the safety regulations necessary to meet the provisions of the AEA, as amended by the
Price-Anderson Amendments Act (PAAA) of 1988. The Office of Environment, Safety and
Health provides corporate support to DOE program and field offices to assist them in meeting
safety requirements. The Office of Environment, Safety and Health is also responsible for the
DOE enforcement program that subjects contractors to civil penalties for violations of DOE
safety regulations that are promulgated under PAAA authority.
Although the NNSA Act found in the National Defense Authorization Act for 2000, Public Law
106-65, 113 Stat.966; 50 USC 2453 et seq. states “Each officer or employee of the
Administration, in carrying out any function of the Administration …shall not be responsible to,
or subject to the authority, direction, or control of, any other officer, employee, or agent of the
Department of Energy,” the Memorandum of Understanding between the Administrator for the
National Nuclear Security Administration and the Assistant Secretary for Environment, Safety
and Health delineates special provisions regarding enforcement at NNSA facilities.
The Office of Environment, Safety and Health analyzes ES&H performance, maintains safety
data systems for the Department, advises the Secretary on all issues relevant to ES&H, and
provides subject matter expertise on various topics. The Office of Environment, Safety and
Health operates programs for the routine collection, analysis, and communication of ES&H
performance information. The Office of Environment, Safety and Health is also responsible for
a number of crosscutting or corporate programs that support the DOE complex.
Table 7 lists the Assistant Secretary for Environment, Safety and Health’s safety management
functions, responsibilities, and authorities for support functions.
Like Table 6, Table 7 does not provide an exhaustive list, but a summary of the generic functions
and responsibilities for the Assistant Secretary for Environment, Safety and Health and the
authorities for those responsibilities. Additional detail regarding these functions and
responsibilities is provided in the authorities that are listed and their associated guides, as well as
the Office of Environment, Safety and Health functions, responsibilities, and authorities
document (see http://www.eh.doe.gov/nsps/ehfra011403.pdf).
The Office of Environment, Safety and Health is also a program office with responsibilities for
facilities and programs. Consequently, the Assistant Secretary for the Office of Environment,
Safety and Health must also meet the CSO requirements listed in Table 6 for those facilities and
programs.
6.2 Office of Independent Oversight and Performance Assurance
Office of Independent Oversight and Performance Assurance is the independent oversight
organization for the Secretary of Energy and the NNSA Administrator in the areas of safeguards
and security, cyber security, emergency management, and environment, safety and health. As a
corporate resource, they conduct evaluations to verify that the Department’s safeguards and
security interests are protected; the Department can effectively respond to emergencies; and site
workers, the public, and the environment are protected from hazardous operations and materials.
The Director of the Office of Independent Oversight and Performance Assurance reports to the
Secretary of Energy through the Deputy Secretary. The authority for the Office of Independent
Oversight and Performance Assurance to conduct independent oversight was formally
established through DOE O 470.2B, Independent Oversight and Performance Assurance
Program, dated 10-31-02. In July 2001, the Secretary of Energy issued a memorandum to all
Departmental elements addressing changes in the Departmental management structure. This
memo, and a subsequent memo issued in August 2001 by the Deputy Secretary, directed that
independent oversight responsibility for environment, safety and health be incorporated into the
Office of Independent Oversight and Performance Assurance.
The safety responsibilities and authorities of the Office of Independent Oversight and
Performance Assurance are listed in Table 8. Once again, Table 8 does not provide an
exhaustive list, but a summary of the generic functions and responsibilities for the director of the
office and the authorities for those areas. Additional detail regarding these functions and
responsibilities is provided in the listed authorities and their associated guides and the office’s
functions, responsibilities, and authorities document.
6.3 Office of Departmental Representative
The Departmental Representative represents the Secretary in regular and continuing interactions
between the Department and the Defense Nuclear Facilities Safety Board (DNFSB) and advises
the Secretary and other senior managers regarding the DNFSB’s priorities, concerns, actions,
and plans. The functions, responsibilities, and authorities of the Office of the Departmental
Representative are defined in DOE M 140.1-1B, Interface with the Defense Nuclear Facilities
Safety Board, as modified and supplemented by the Memorandum from Deputy Secretary Kyle
McSlarrow, Responsibilities for Increased Performance in Meeting DOE Commitments to
DNFSB, March 31, 2003. They include:
? Represent the Secretary in regular and continuing interactions with the Board.
? Advise the Secretary, Deputy Secretary, Secretarial Officers, and other Departmental officials
on Board priorities, concerns, actions, and plans.
? Facilitate communication and cooperation between Departmental elements and the Board and
its staff.
? Manage the Department's Safety Issues Management System for DNFSB-related issues,
commitments, and actions.
? Coordinate Departmental correspondence with the DNFSB.
? Serve as the initial point of contact for receipt and management of DNFSB recommendations
and other correspondence.
? Route correspondence related to cross-cutting safety concerns, recommendations, and other
correspondence to the Assistant Secretary for Environment, Safety and Health (ASEH).
? Route correspondence related to a specific site or facility the affected program office with a
copy to the ASEH.
7. LINE OF SUCCESSION AND DELEGATION OF AUTHORITY
7.1 Line of Succession
The Department of Energy Organization Act requires the Secretary to designate the order in
which the Under Secretary and other officials will act for and perform the functions of the
Secretary during the absence or disability of both the Secretary and the Deputy Secretary or in
the event of vacancies in both of those offices. DOE O 100.1A, Secretarial Succession, dated
2-14-03, or its successor, defines the officials and order of succession in the event of absence or
disability of the Secretary.
7.2 Delegation of Authority
This Manual documents the responsibilities and authorities for specific safety functions for DOE
senior management. As stated in Chapter 4 and the DOE Organization Act, except as otherwise
prohibited by law, the Secretary may delegate the functions of the Secretary to officers and
employees of the Department and may authorize successive redelegations. DOE directives and
memoranda delegate many of the authorities listed in this Manual. A list of Secretarial
delegations and their links can be found at
http://www.directives.doe.gov/delegations/currentsdoa.html.
Some authorities within the Department are assigned directly to specific offices or positions
within the Department through laws. For example, the NNSA Act assigns authorities directly to
the Under Secretary for Nuclear Security/Administrator for NNSA and 10 CFR Part 820 assigns
certain responsibilities and authorities to the director of the Office of Enforcement and the Office
of the Docketing Clerk within the Office of Price-Anderson Enforcement. In addition, some
authorities specifically limit or prohibit delegations. An example of an authorizing document
that limits delegation is the NNSA Act, which limits the delegation of the authority, direction,
and control of the Under Secretary for Nuclear Security/Administrator for NNSA only to the
Deputy Secretary, without further delegation. An example of an authorizing document that
prohibits delegation is 10 CFR 820.61, which assigns the authority for granting exemptions to
nuclear safety requirements to specified Secretarial Officers, but prohibits delegation.
DOE officials may delegate the authority to perform certain actions to other officials where it is
not prohibited. However, the delegating officials remain accountable for the outcome of the
action, even if the function and authority is delegated to an individual or an organization that is
not subordinate to the delegating official. Functions can be delegated but never the
responsibility for the outcome of that function. In addition, delegations are to persons, not
functions.
DOE managers must clearly define the expectations for the managers and staff under them. For
example, if a Secretarial Officer expects a subordinate manager or supervisor to review and
approve an annual report on environmental consequences that is assigned to the Secretarial
Officer, that action (including any delegated authorities) should be clearly delineated in the
Secretarial Officer’s functions, responsibilities, and authorities document under the
responsibilities of that manager or supervisor. If the delegation of authority is not listed, the
Secretarial Officer is expected to perform the action.
Delegation of approval authority or other assignment of responsibility does not preclude program
offices from issuing requirements, expectations, and guidance affecting that authority or from
participating in field element interactions with the operating or management contractor.
Program offices must coordinate interactions with a contractor through the DOE contracting
officer.
The following provisions apply to the delegation of authority:
a. The delegator (individual delegating the authority) must document all delegations of
authority in writing and provide them to the delegate (official or office to whom the
authority is delegated). The document delegating the authority must clearly define—
* the authority that is delegated,
* the delegate, and
* all circumstances under which the authority may be exercised, including any
restrictions or prohibitions related to further delegation and conditions or
qualifications that relate to the delegation.
b. Unless otherwise stated, the delegation remains in effect until rescinded or modified or
there is a personnel change. The delegator may rescind or modify the delegation at any
time, provided it is done in writing. A copy of the rescission/modification must be
provided to the delegate who previously had the delegated authority so the delegate is
aware of the rescission and can document the revised delegation in the appropriate
functions, responsibilities, and authorities documents.
c. Under Secretaries; Secretarial Officers; field offices; the Office of Environment, Safety
and Health; and the Office of Independent Oversight and Performance Assurance must
list delegations of authorities that apply to their organizations in their functions,
responsibilities, and authorities documents. If any authority listed in this Manual or such
functions, responsibilities, and authorities is delegated, that delegation must be identified
in the functions, responsibilities, and authorities document.
d. Under Secretaries; Secretarial Officers; field offices; the Office of Environment, Safety
and Health; and the Office of Independent Oversight and Performance Assurance must
update their functions, responsibilities, and authorities documents at least annually to
document the current delegations of authority.
e. If the delegator delegates the authority for a function listed in the functions,
responsibilities, and authorities document to another office, the delegator must ask the
delegate to review and comment on that aspect of the delegator’s functions,
responsibilities, and authorities document and resolve the delegate’s comments. In
addition, the delegate’s functions, responsibilities, and authorities document, if
applicable, must also document the delegation.
8. ORGANIZATIONAL FUNCTIONS, RESPONSIBLITIES, AND
AUTHORITIES DOCUMENTS
In accordance with DOE P 411.1, line, support, oversight, and enforcement organizations within
DOE must develop and issue documents that define how their assigned functions and
responsibilities are properly discharged. These documents are referred to as functions,
responsibilities, and authorities documents (FRAs). As stated in DOE P 411.1, the functions,
responsibilities, and authorities documents must clearly define how the organization’s functions
and responsibilities related to safety are to be carried out. The functions, responsibilities, and
authorities documents must clearly define the functions, responsibilities and authorities related to
safety. Under Secretaries; CSOs; the Assistant Secretary for Environment, Safety and Health;
and the Director of the Office of Independent Oversight and Performance Assurance must
develop, issue, and maintain organizational functions, responsibilities, and authorities
documents. The functions, responsibilities, and authorities documents should clearly define
“who is expected to do what” in an organization, including any delegations of authority. If the
functions, responsibilities, and authorities documents fail to document or clearly communicate
an expectation, an important safety or environmental protection function might be missed.
Consequently, DOE management is responsible for clearly communicating delegated actions and
assignments to their subordinate managers, supervisors, and staff.
This Manual documents the flowdown of responsibilities from the Secretary through the Deputy
Secretary and the Under Secretaries to the CSOs and support organizations. Similarly, the
functions, responsibilities, and authorities documents must document the flowdown of
responsibilities from the Under Secretaries; Secretarial Officers; the Assistant Secretary for
Environment, Safety and Health; and the director of the Office of Independent Oversight and
Performance Assurance to subordinate managers and organizations, including field
organizations, where appropriate.
Each organizational functions, responsibilities, and authorities document must define the safety
management functions for the organization and clearly identify who within the organization has
the responsibility and authority to perform those functions. Delegations of authority to
subordinate managers and staff must be clearly listed and complete. Field office organizations
with missions that affect the safety of work performed at DOE facilities are also required to
develop and implement functions, responsibilities, and authorities documents.
Functions, responsibilities, and authorities documents must document the safety management
functions and responsibilities necessary to accomplish the intent of DOE P 111.1, Departmental
Organization Management System, as well as other DOE directives, other applicable
Government agency regulations, and appropriate programs related to safety. They must also
describe the respective organizations and their line management. The format of these functions,
responsibilities, and authorities documents is not prescribed, so that each organization can
develop a format that is most suitable and effective for its specific needs. However, functions,
responsibilities, and authorities documents must provide a breakdown of applicable functions
contained in this Manual and other applicable directives related to safety. In addition, the
functions, responsibilities, and authorities documents must clearly identify any authority that has
been transferred to or from another organization. Delegations of any authorities listed in either
this Manual or in an organizational functions, responsibilities, and authorities document must be
clearly delineated in the applicable functions, responsibilities, and authorities document. The
functions, responsibilities, and authorities document must be updated to reflect any changes to
delegations of the authority and must generally describe the process for control and revision of
the document.
The functions, responsibilities, and authorities document should be easily accessible to all
employees by web page or assigned copies. Copies of current documents of delegation or
rescission of delegation that have not yet been incorporated in the functions, responsibilities, and
authorities document should be provided with the copy of the functions, responsibilities, and
authorities document (electronic or hardcopy).
Although this Manual is part of the DOE Directives System, the associated lower-tier functions,
responsibilities, and authorities documents, which describe further delegations of safety authority
within each of the Secretarial Offices, are not.
TABLE 1
FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES OF THE SECRETARY
Functions
Responsibilities
Authorities and DOE
Directives
Delegation
Notes
Succession Planning
Establish a plan for succession
of authority.
Atomic Energy Act of 1954
(AEA), Sec. 161
See DOE O 100.1A,
Secretarial Succession
Environment, Safety, and
Health
Advance the goals of restoring,
protecting, and enhancing
environmental quality and
ensuring public health and
safety.
Department of Energy
(DOE) Organization Act,
Sec. 102
Delegation Order 00-002.00A
delegates the authority to the
Under Secretary for Energy,
Science and Environment
to—
* assert the Federal
Government’s
deliberative process
privilege with respect to
any environmental
management matters
arising under the Under
Secretary’s cognizance
and
* nominate, appoint,
review the term of, and
terminate the service of,
members of the
Environmental
Management Site
Specific Advisory Board.
This delegation is made to
protect internal predecisional
DOE documents in judicial or
administrative proceedings in
situations where the court
may require the claim to be
formally asserted by an
affidavit from an Agency
official.
Federal Employee
Occupational Safety and
Health (FEOSH)
Establish and maintain an
effective and comprehensive
FEOSH program.
Occupational Safety and
Health Act
E.O. 12196, Occupational
Safety and Health
Programs for Federal
Employees 29 CFR Part
1960, Basic Program
Elements For Federal
Employee Occupational
Safety and Health
Programs and Related
Matters
DOE O 440.1A
HQ O 442.1
The Assistant Secretary for
Environment, Safety and
Health is the Designated
Agency Safety and Health
Officer, responsible for
defining requirements and
guidance for the DOE
FEOSH program. The Office
of Management, Budget and
Evaluation is responsible for
implementing FEOSH
requirements at DOE
headquarters facilities. All
DOE organizations are
responsible for implementing
FEOSH.
Rules, Regulations, and
Orders for Safety
Prescribe such procedural and
administrative rules,
regulations, and orders as
necessary or appropriate to
administer and manage DOE
functions.
AEA, Sec. 161
DOE Organization Act,
Sec. 644
Delegation Order No.
00-015.00 delegates
responsibility to the Office of
General Council to notify
Congress of the issuance of a
rule.
Nuclear Safety Policy
Responsible for the safe
operation of DOE nuclear
facilities.
Secretarial Notice- (SEN-)
35-91
Delegation Order 00-002.00A
delegates the following
authority to the Under
Secretary for Energy, Science
and Environment:
direct the head of a field
organization to curtail or
suspend operations of nuclear
reactors/nuclear facilities, or
related activities when
continuing operations might
result in an undue risk to the
environment and/or to the
safety and health of workers
or the public.
This delegation order does
not apply to the National
Nuclear Security
Administration.
Special Nuclear Material
(SNM)
Authority to authorize delivery
of SNM to the Department of
Defense at such times as
necessary for cores for new
military reactors and
replacement cores for existing
military reactors and for
miscellaneous purposes (other
than use in atomic weapons) for
which material, fabrication, and
new reactors the Congress shall
have authorized funds.
National Security Decision
Directive 282
Delegation Order 00-002.00A
delegates the authority to
authorize transfer of SNM to
the Departments of the Army,
Air Force, and Navy (Navy
Facilities Engineering
Command only) to the Under
Secretary for Energy, Science
and Environment.
Delegation Order 00-003.00
delegates the authority to
(1) authorize transfer of SNM
to the Department of the
Navy and (2) distribute SNM
under Section 54 of the AEA.
Utilization Facilities
Authority to authorize the
Department of Defense to
manufacture, produce, or
acquire utilization facilities for
military purposes for which
facilities the Congress shall
have authorized funds.
National Security Decision
Directive 282
Delegation Order 00-002.00A
delegates the authority to
authorize the Departments of
the Army, Air Force, and
Navy to manufacture,
produce, or acquire utilization
facilities, other than nuclear
powered ships, for which
Congress has authorized
funds to the Under Secretary
for Energy, Science and
Environment.
Management of Byproduct
Material
Issue rules, regulations, or
orders to require—
* monitoring,
* remedial work,
* studies,
* inspections, and
* any other measures needed
to protect health or
minimize danger to life or
property.
AEA, Sec. 84 (42 USC
2014, 6901, and 2112)
Delegation Order 00-003.00
delegates the Under Secretary
for Nuclear Security/
Administration for the NNSA
to distribute byproduct
material under sections 64
and 82 of the AEA.
Delegation Order 00-002.00A
delegates the authority to
authorize the Departments of
the Army, Air Force, and
Navy to manufacture,
produce, or acquire utilization
facilities, other than nuclear
powered ships, for which
Congress has authorized
funds to the Under Secretary
for Energy, Science and
Environment.
Civil Penalties/Enforcement
Civil Penalties/Enforcement
(continued)
Civil Penalties/Enforcement
(continued)
* Impose civil penalties for
violations of Department
rules, regulations, or Orders.
* Compromise, modify, or
remit civil penalties.
* Determine by rule whether
nonprofit educational
institutions should receive
automatic remission of civil
penalties.
* Appoint an administrative
law judge as a presiding
officer in enforcement
adjudication (10 CFR
820.26).
* File final orders that modify
initial decisions (10CFR
820.32).
* Issue notices of review
(10 CFR 820.32).
* Issue compliance orders
(10 CFR 820.40).
* Issue stays of effectiveness
for compliance orders
(10 CFR 820.43 and
820.67).
* Assess civil penalties
against any DOE contractor
who:
(a) employs individuals who
are engaged in hazardous
substance response or
emergency response at DOE
nuclear weapons facilities;
and
(b) fails (i) to provide for the
training of such individuals
to carry out such hazardous
substance response or
emergency response, or (ii)
to certify to the DOE that
such employees are
adequately trained for such
response pursuant to orders
issued by the DOE relating
to employee safety training
(including orders numbered
5480.4 and 5480.11).
AEA, Sec. 84 (42 USC
2014, 6901, and 2112) and
Sec. 234A
10 CFR Part 820
42 USC 7274d
Delegation Order 00-002.00A
delegates the following
authority to the Under
Secretary for Energy, Science
and Environment:
* formulate and establish
enforcement policy;
* initiate and conduct
investigations;
* conduct conferences,
administrative hearings,
and public hearings;
* prepare required reports;
and
* issue orders.
10 CFR Part 820 assigns the
following authority to the
director of enforcement:
* issue preliminary notices
of violation (820.24) and
* issue final notices of
violation (820.25).
The NNSA Act states that
“Each officer or employee of
the Administration, in
carrying out any function of
the Administration …shall
not be responsible to, or
subject to the authority,
direction, or control of, any
other officer, employee, or
agent of the Department of
Energy.” See the
Memorandum of
Understanding between the
Administrator for the
National Nuclear Security
Administration and the
Assistant Secretary for
Environment, Safety and
Health for special provisions
regarding enforcement at
NNSA facilities.
Radiation Protection
* Ultimate authority on
actions necessary to comply
with the requirements of
DOE 5400.5.
* Authority to suspend any or
all requirements in DOE
5400.5.
DOE O 5400.5
“Relevant DOE authority”
(individual or office with
assigned responsibility)
makes initial determination.
Secretary may delegate
authority to suspend
requirements.
Radioactive Waste
Management
Approve any imposition of
more stringent requirements on
radioactive waste programs
than those imposed by the
Nuclear Regulatory
Commission.
DOE HQ 250.1
Secretary has sole
jurisdiction.
Delegation Order 00-002.00A
delegates the authority to the
Under Secretary for Energy,
Science and Environment to
sign all documents and take
such other actions as may be
necessary and appropriate for
the submission for publication
to the Federal Register of
notices concerning actions
undertaken to implement the
authorities and functions
provided in the Nuclear
Waste Policy Act of 1982
(P.L. 97-425).
The authority delegated does
not include rulemaking
authority.
Transuranic Waste
* Manage and store spent
nuclear fuel or high-level or
transuranic radioactive
wastes at facilities regulated
by the Nuclear Regulatory
Commission.
* Determine what waste does
not need the degree of
isolation required by 40
CFR Part 191 (such waste
will be excluded from the
definition of transuranic
waste).
40 CFR Part 191
DOE M 435.1-1
Determination must be made
in consultation with the
Administrator of the
Environmental Protection
Agency.
Nuclear Explosives and
Weapons Safety
* Final decisions on nuclear
weapon and nuclear weapon
system safety, security, and
control issues.
* Establish policy to ensure
surety of all nuclear
explosive operations (NEOs)
conducted by DOE,
including the National
Nuclear Security
Administration (NNSA), and
DOE contractors.
* Responsible for surety of all
NEOs conducted by DOE,
including NNSA, and DOE
contractors.
* Establish explicit
documented agreements
with the Secretary of
Defense for any overriding
reasons for not incorporating
modern surety features in
the design of nuclear
weapons.
DOE O 5610.13
DOE O 452.1B
Nuclear Reactor Safety
Design Criteria
* Ultimate authority on
actions necessary to comply
with the requirements of
DOE 5480.30.
* Approve permanent
exemptions from DOE
5480.30.
DOE O 5480.30
Authority may be delegated
by the Secretary.
Copy of recommendations for
exemptions should be sent to
the Assistant Secretary for
Environment, Safety and
Health so the Assistant
Secretary may provide advice
to the Secretary.
Facility Safety
* Ultimate authority on
actions necessary to comply
with the requirements of
DOE O 420.1A.
* Authority to suspend any or
all requirements in
DOE O 420.1A.
DOE O 420.1A
Authority may be delegated
by the Secretary.
Startup and Restart of
Nuclear Facilities
Approve initial startup of new
hazard category 1 and 2 nuclear
facilities.
DOE O 425.1C
Authority may be delegated
by the Secretary.
Substance Abuse
* Provide general policy
direction for DOE drug
testing program.
* Determine designated
testing positions.
* Determine whether to
include or exempt certain
positions or groups of
positions from the drug
testing program.
* Determine the percentage of
employees to be tested.
DOE O 3792.3
E.O. 12564
DOE Directives System
Approve all DOE Policy
documents issued as part of the
DOE Directives System.
DOE M 251.1-1A
TABLE 1
FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES OF THE SECRETARY
Functions
Responsibilities
Authorities and DOE
Directives
Delegation
Notes
Aviation Safety
Appoint the Director of the
Office of Aviation Management
(OAM).
Establish an Aviation Board of
Directors.
Resolve differences between
the Under Secretary for Nuclear
Security/ Administrator for
NNSA and the director of
OAM with respect to approval
of—
* aviation implementation
plans and
* remotely operated aircraft
policies.
DOE O 440.2B
Defense Nuclear Facilities
Safety Board (DNFSB)
Interface
* Provide full cooperation
with DNFSB, including
ready access to
Departmental facilities,
personnel, and information.
* Respond to DNFSB
recommendations in
accordance with the board’s
enabling statute.2
* Provide the DNFSB with
implementation plans for
each accepted
recommendation, and
approve any subsequent plan
changes.
* Provide annual reports to
Congress concerning board-
related activities of the
Department.
AEA Sections 314 and 316
DOE M 140.1-1B
TABLE 2
FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE DEPUTY SECRETARY
Functions
Responsibilities
Authorities
Can authority
be delegated?
Notes
Chief Operating Officer
* Integrate corporate programs.
* Integrate support activities with line programs.
* Review all staff and support office policy and
guidance that affects the field.
Delegation Order
00-001.00A
No.
National Nuclear
Security Administration
(NNSA)
Exercise authority, direction, and control including, but
not limited to issuance of regulations, directives, and
policy that apply to the NNSA and the authority of the
Secretary mentioned in sections 3203, 3213, 3242,
3243, and 3292 of the NNSA Act.
Delegation Order
00-001.00A
No.
Duties of the Secretary
In the event of the absence of the Secretary, perform
the duties of the Secretary.
DOE O 100.1A
Federal Technical
Capability Panel (FTCP)
* Advise and support the FTCP.
* Resolve issues where the FTCP cannot reach
agreement.
* Approve exceptions to the senior technical safety
manager qualifications.
DOE M 426.1-1
Relief from Section
501(b) of the DOE
Organization Act
Determine where strict compliance with section 501(b)
of the DOE Organization Act would be likely to cause
serious harm or injury to the public health, safety, or
welfare.
Delegation Order
00-001.00A
No.
DOE Directives
Chair the Directives Management Board (DMB).
DOE M 251.1-1A
Defense Nuclear
Facilities Safety Board
(DNFSB) Interface
* Ensure Department of Energy (DOE) properly
addresses DNFSB issues.
* Resolve disagreements within DOE on priorities and
approaches to DNFSB issues.
* Resolve disagreements on which Cognizant
Secretarial Officer is responsible for response to
DNFSB recommendations, correspondence, or other
issues.
* Chair the Senior Management Team.
* Provide guidance to DOE management on
resolution of DNFSB issues.
* Brief the Secretary in cases where a unified
Departmental position cannot be achieved to
respond to a DNFSB issue.
DOE M 140.1-1B
Aviation Safety
Resolve differences between the director of the Office
of Aviation Safety and the Administrator for Nuclear
Security regarding aviation implementation plans and
other aviation issues.
DOE O 440.2B
Environmental Impact
Statements (EISs)
Resolve differences of opinion between the
Administrator of the National Nuclear Security
Administration and the Assistant Secretary for
Environment, Safety and Health regarding EISs or
EIS-related matters.
DOE O 451.1B
Corrective Action Plans
(CAPs)
Resolve comments on CAPs that cannot be agreed
upon.
DOE O 470.2B
TABLE 3
FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE UNDER SECRETARY
FOR ENERGY, SCIENCE AND ENVIRONMENT
Functions
Responsibilities
Authorities
Can authority
be delegated?
Notes
Stop Work
Direct the heads of field organizations to curtail or
suspend operations of nuclear reactors, nuclear
facilities, or related activities when, in the opinion of
the Under Secretary, continuing operations might
result in an undue risk to the environment and/or to
the safety and health of Departmental or contractor
employees or to the public.
Delegation Order
00-002.00A
No.
Environmental Issues
On a nonexclusive basis, assert the Federal
Government’s deliberative process privilege with
respect to any environmental management matters
arising under the Under Secretary’s cognizance. This
delegation is made to protect internal predecisional
Department of Energy (DOE) documents in judicial
or administrative proceedings in situations where the
court may require the claim to be formally asserted
by an affidavit from an Agency official.
Delegation Order
00-002.00A
Environmental
Management Site
Specific Advisory Board
Under section 624 of the DOE Organization Act
(42 U.S.C. 7234) and in accordance with the Federal
Advisory Committee Act (5 U.S.C. App.2),
nominate, appoint, renew the term of, and terminate
the service of members of the Environmental
Management Site Specific Advisory Board.
Delegation Order
00-002.00A
Radioactive Waste
Management
Sign all documents and take such other actions as
may be necessary and appropriate for the submission
for publication to the Federal Register of notices
concerning actions undertaken to implement the
authorities and functions provided in the Nuclear
Waste Policy Act of 1982 (P.L. 97-425).
Delegation Order
00-002.00A
See delegations
to the Director,
Office of
Civilian
Radioactive
Waste
Management in
Redelegation
Order 00-002.06.
The authority delegated
does not include
rulemaking authority.
Yucca Mountain Site
Characterization
Progress Reports
Report and transmit site characterization progress
reports for the Yucca Mountain site in the State of
Nevada to the Nuclear Regulatory Commission, the
governor and the legislature of the State of Nevada,
and other interested parties, including the U.S.
Congress. The reports are required under section
113(b)(3) of the Nuclear Waste Policy Act of 1982,
as amended (P.L. 97-425, as amended by Title V,
Subtitle A, of P.L. 100-203).
Delegation Order
00-002.00A
Report on a semiannual
basis.
Requires the concurrence
by the General Counsel
and the Assistant Secretary
for Congressional and
Intergovernmental Affairs
before transmittal.
Transfer of Special
Nuclear Material (SNM)
* Authorize transfer of SNM to the Departments of
the Army, Air Force, and Navy (Navy Facilities
Engineering Command only) in such quantities
and at such times as necessary for cores for new
military reactors, for replacement cores for
existing military reactors, and for miscellaneous
purposes (other than use in atomic weapons) for
which material, fabrication, and new reactors the
Congress has authorized funds.
* Authorize the Departments of the Army, Air
Force, and Navy to manufacture, produce, or
acquire utilization facilities, other than nuclear
powered ships, for which Congress has
authorized funds.
Delegation Order
00-002.00A
See redelegation
to the Director
for Nuclear
Energy, Science,
and Technology
in Redelegation
Order No. 00-
002.05.
Civil
Penalties/Enforcement
* Formulate and establish enforcement policy.
* Initiate and conduct investigations.
* Conduct conferences, administrative hearings,
and public hearings.
* Prepare required reports.
* Issue orders.
Delegation Order
00-002.00A
See AEA, Sec. 84 (42USC
2014, 6901, 2112) and Sec.
234A and 10 CFR Part
820.
TABLE 4
FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE UNDER SECRETARY
FOR NUCLEAR SECURITY/ADMINISTRATOR FOR THE NATIONAL NUCLEAR SECURITY
ADMINISTRATION (NNSA)
Functions
Responsibilities
Authorities
Can authority
be delegated?
Notes
Environment, Safety,
and Health
* Protect the environment and the safety and health
of public and workers at NNSA facilities and
sites.
* Comply with applicable requirements.
* Issue and meet procedures for meeting
requirements.
National Nuclear
Security
Administration Act,
Oct. 5, 1999, (NNSA
Act)
Deputy
Administrator for
Defense
Programs by
memo from
Linton Brooks,
dated June 25,
2003.
Integrated Safety
Management
Formal organized process for planning, organizing,
assessing, and improving the safe conduct of work.
NNSA Act
DOE P 450.4
Weapons Stockpile
Safety
Enhance safety, reliability, and performance.
NNSA Act
Special Nuclear Material
(SNM)
* Authorize transfer to the Department of the Navy.
* Distribute SNM under Section 54 of the Atomic
Energy Act of 1954 (AEA).
Delegation Order No.
00-003.00
Authority may be
delegated to the
Deputy
Administrator for
Naval Reactors
and may not be
delegated further.
Utilization Facilities
Authorize the Department of the Navy to
manufacture, produce, or acquire utilization facilities
(nuclear powered ships) for which Congress has
authorized funds.
Delegation Order No.
00-003.00
Authority may be
delegated to the
Deputy
Administrator for
Naval Reactors
and may not be
delegated further.
Source and Byproduct
Material
Distribute source and byproduct material under
Sections 64 and 82 of the AEA.
Delegation Order No.
00-003.00
TABLE 5
COGNIZANT SECRETARIAL OFFICER (CSO) ASSIGNMENTS
Symbol
CSO
Site/Laboratory
NA-1
Under Secretary for Nuclear
Security/Administrator for the
National Nuclear Security
Administration (Deputy
Administrator for Defense Programs
and Deputy Administrator for
Defense Nuclear Nonproliferation )
Los Alamos National Laboratory
Sandia National Laboratories
Pantex Plant
Kansas City Plant
Fissile Material Disposition Facilities
Savannah River Tritium Facilities
Lawrence Livermore National Laboratory
Y-12
Nevada Test Site
EM-1
Assistant Secretary for
Environmental Management
Office of River Protection
Mound Environmental Management Project
Grand Junction Project Office
Waste Isolation Pilot Project
Fernald Environmental Management Project
West Valley Demonstration Project
Ashtabula Environmental Management Project
Columbus Environmental Management Project
Hanford Site
Pacific Northwest National Laboratory
Fast Flux Test Facility
Rocky Flats Environmental Technology Site (RFETS)
Savannah River Site
Idaho Nuclear Technology and Engineering Center at INL
Paducah/Portsmouth
ETTP, K-25, Weldon Spring, etc
Energy Technology Engineering Center
SC-1
Director of the Office of Science
Argonne National Laboratory—East
Brookhaven National Laboratory
Ames Laboratory
Princeton Plasma Physics Laboratory
Fermi National Accelerator Laboratory
Environmental Measurements Laboratory
Oak Ridge National Laboratory
Thomas Jefferson National Accelerator Facility
Lawrence Berkeley National Laboratory
Stanford Linear Accelerator Center
EE-1
Assistant Secretary for Energy
Efficiency and Renewable Energy
National Renewable Energy Laboratory
EH-1
Assistant Secretary for Environment,
Safety and Health
Radiological and Environmental Sciences Laboratory
NE-1
Director of the Office of Nuclear
Energy, Science and Technology
Idaho National Laboratory (INL)
Test Reactor Area
Argonne National Laboratory—West
SO-1
Director of the Office of Security,
New Brunswick Laboratory
FE-1
Assistant Secretary for Fossil Energy
National Energy Technology Laboratory - Morgantown
National Energy Technology Laboratory - Pittsburgh
Arctic Energy Office
Albany Research Center
National Petroleum Technology Office
Naval Petroleum Reserve - California
Rocky Mountain Oil Field Testing Center
Strategic Petroleum Reserve - Bryan Mound
Strategic Petroleum Reserve - Bill Hill
Strategic Petroleum Reserve - Bayou Choctow
Strategic Petroleum Reserve Project Office
Strategic Petroleum Reserve - West Hackberry
RW-1
Director of the Office of Civilian
Radioactive Waste Management
Yucca Mountain Site
ME-1
Director of the Office of
Management, Budget, and
Evaluation
DOE Headquarters Buildings
TABLE 6
FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR
COGNIZANT SECRETARIAL OFFICERS
Functions
Responsibilities
Authorities
Can authority
be delegated?
Notes
Integrated Safety
Management (ISM)
ISM safety system descriptions
(including the Environmental
Management System or EMS) that
addresses the five core functions:
* Define the scope of work.
* Analyze the hazards.
* Develop and implement hazard
controls.
* Perform work within controls.
* Provide feedback and continuous
improvement.
DOE P 450.4
DOE O 450.1
48 CFR 970.5204-2
48 CFR 970.5215-3
Yes.
Annual review.
EMS to be implemented by
12-05.
Safety Basis
* Safety Evaluation Report.
* Safety Basis Information System
(SBIS).
* Documented Safety Analysis
(DSA).
* Technical Safety Requirements
(TSRs) and other hazard controls.
* Preliminary DSA.
* Unreviewed safety questions
(USQs).
* Alternate methodologies for DSAs.
* Hazard Categorization.
10 CFR Part 830, Subpart B
DOE O 420.1A
48 CFR 970.5223-1
Yes.
Annual update for DSA and TSRs.
Annual submittal for USQs.
Quarterly reports to SBIS.
Concurrence from the Office of
Environment, Safety and Health is
required for DSA/TSR methodology
other than safe harbor methodologies in
Table 2 of Appendix A to 10 CFR Part
830.
Radiation Protection
* Radiation protection program
(RPP).
* Monitoring programs.
* As low as reasonably achievable
(ALARA) process.
* Notification to the public.
10 CFR Part 835
DOE P 441.1
DOE O 5400.5
Yes.
Update RPP when changes are made to
program.
Accident
Investigation
* Type A and B investigations.
* Investigation reports.
* Corrective action plans (CAPs).
DOE O 225.1A
Yes.
Beryllium Disease
Prevention
* Record keeping.
* Chronic Beryllium Disease
Prevention Program.
* Baseline beryllium inventory.
* Formal exposure reduction and
minimization program.
* Respiratory protection program.
* Medical surveillance program.
* Beryllium training program.
* Postings.
* Reporting beryllium sensitization.
10 CFR Part 850
29 CFR 1910
Yes.
Quality Assurance
(QA)
* QA Program
* Management and independent
assessments
* Software QA (SQA)
* Suspect/counterfeit parts
10 CFR Part 830, Subpart A
DOE O 414.1A
DOE N 411.1
DOE O 440.1A
Yes.
SQA requirements must be updated
when DOE directive on SQA replaces
DOE N 411.1.
Startup and Restart
of Nuclear Facilities
* DOE operational readiness reviews
or readiness assessments.
* Startup notification reports.
DOE O 425.1C
Yes.
Radioactive Waste
Management
* Implement the requirements of
DOE O 435.1.
* Ensure field element managers
meet the requirements of DOE
M 435.1-1.
DOE O 435.1
DOE M 435.1-1
Yes (see DOE
M 435.1-1).
ES&H reporting
ES&H Reporting
(continued)
* Log of occupational fatalities,
injuries, and illnesses.
* Log of work-related injuries.
* Summary of work-related injuries.
* Individual accident/incident
reports.
* Injury and illness reports.
* Radiological exposure data.
* ES&H assessment reports.
* Summary report of ES&H
self-assessments.
* Report of fatalities or multiple
hospitalizations.
* Occurrence reports.
* Implementation procedures.
* Event categorization and
notification of significant
occurrences.
* Reports of noncompliance with
nuclear safety regulations
(recommended reports).
* DOE annual site environmental
reports.
* National emission standards for
hazardous air pollutants
(NESHAP) reports.
* DOE data for annual reporting to
Office of Management and Budget
(OMB) under E.O.s 13101 and
13148.
* Performance analysis reports and
identification and reporting of
recurring events.
DOE N 231.1
DOE M 231.1-1
DOE M 231.1-2
DOE O 231.1A
10 CFR Part 820
40 CFR Part 61
DOE O 450.1
E.O. 13101
E.O. 13148
10 CFR Part 835
Yes.
Annual reports:
* ES&H assessment reports and the
summary report of ES&H self-
assessments.
* NESHAP reports.
* Report on the Department’s
progress in implementing
E.O. 13101.
Quarterly reports:
* Individual accident/incident reports
and injury and illness reports.
* Reports on periodic performance
analysis and identification and
reporting of recurring events.
45 day reports:
Submit Occurrence Reporting and
Processing System final reports within
45 days or provide an update report
(note: occurrence reports are normally
contractor reports, but DOE has
responsibilities with respect to the
reports as defined in DOE M 231.1-2).
Civil Penalties/
Enforcement
Referrals to the Office of Price-
Anderson Enforcement and support
throughout the enforcement process.
10 CFR Part 820
Price-Anderson Amendments
Act
Atomic Energy Act of 1954
No.
Lessons Learned
Program
Development and dissemination of
lessons learned.
DOE M 140.1-1B
DOE O 225.1A
DOE N 231.1
DOE O 231.1A
DOE M 231.1-2
DOE O 425.1C
DOE O 440.1A
DOE O 451.1B
DOE O 460.1B
DOE O 5480.19
Yes.
Corrective Action
Plans (CAPs)
CAPs.
CAP verification.
DOE O 225.1A
DOE O 414.1A
DOE O 470.2B
Yes.
Nuclear and
Explosives and
Weapon Safety
(Facility Safety)
* Authorization agreements.
* Nuclear Explosives Weapons
Surety Program.
* Nuclear Weapons Surveillance
Program.
* Nuclear explosive safety study
reports.
* Certification that nuclear explosive
surety standards have been met.
* Nuclear explosive safety study
reports.
* Nuclear explosive rules.
* Authorizations for nuclear
explosive operations (NEOs).
* Comprehensive safety program for
NEOs.
* Nuclear Explosives Safety
Program.
* Safety basis.
* Operation hazard analysis reports.
* Facility safety analyses.
* Hazard controls.
* Implementation plans for nuclear
and explosive safety design
criteria.
DOE O 420.1A
(paragraph 4.1)
DOE O 452.1B
DOE O 452.2B
Yes.
Fire Protection
(Facility Safety)
Fire protection program.
DOE O 420.1A
(paragraph 4.2)
Yes.
Criticality Safety
(Facility Safety)
Nuclear criticality safety program.
DOE O 420.1A
(paragraph 4.3)
Yes.
Natural Phenomena
Hazards (NPHs)
(Facility Safety)
* NPH assessments.
* Seismic reports.
* Dam safety reports.
DOE O 420.1A
(paragraph 4.4)
E.O.s 12699 and 12941
P.L. 104-303
DOE O 5480.4
Yes.
Update as necessary, at least every 10
years.
Safety System
Engineer Program
(Facility Safety)
Cognizant system engineer.
DOE O 420.1A
(paragraph 4.5)
Yes.
Configuration
Management
(Facility Safety)
Configuration management plans.
DOE O 420.1A
(paragraph 4.5)
DOE O 452.2B
Yes.
Maintenance
Maintenance implementation plans
(MIPs)
DOE O 433.1
Yes.
Update MIPs every 2 years.
Worker Protection
* Notification of excesses of
illnesses or injuries that require
epidemiological analyses.
* Records of occupational fatalities,
injuries, and illnesses.
* Reports of subcontractor accident
information.
* Worker Protection Program.
* Postings.
* Accident investigations.
* Hazard prevention/abatement
program.
* Workplace inspections.
* Safety and health plans.
* Fire Protection Program (life
safety).
* Industrial hygiene programs.
* Pressure safety policies.
* Motor vehicle safety programs.
* Suspect and counterfeit part
controls.
* Construction hazards analyses.
* Occupational Medical Program.
* Employee job tasks and hazards
analysis information.
* Summaries of workplace
exposures.
* Health examinations.
* Employee counseling and health
promotion.
DOE M 231.1-1
DOE O 440.1A
Yes, except for
exemptions
related to
Occupational
Safety and
Health
Administration
(OSHA)
standards.
Firearm Safety
(Facility Safety)
Firearms safety policies and
procedures.
DOE O 440.1A
Yes, except for
exemptions
related to OSHA
standards.
Explosives Safety
(other than nuclear
weapons)
* Process hazards analyses.
* List of explosive and hazardous
materials.
* Process hazards analyses.
* Safety analysis of explosives
facilities.
* Classification of hazards contents.
* Access control procedures.
* Storage review programs.
* Placards.
* Explosives emergency control
plans.
DOE M 440.1-1
Yes, except for
exemptions
related to OSHA
standards.
Aviation Safety
* Aviation implementation plans.
* Maintenance and inspection
programs.
* Aviation safety programs.
DOE O 440.2B
Yes, except for
site General
Counsel
authority to
approve certain
travel.
National
Environmental
Policy Act (NEPA)
Compliance
* Annual mitigation reports.
* Annual NEPA planning
summaries.
* NEPA Compliance Program.
* NEPA QA plans.
* Environmental impact statements
and associated notices.
* Environmental assessments.
* Records of Decision.
* Public participation plans.
* Mitigation action plans.
* Independent reviews of proposed
actions under NEPA.
* Review of DOE NEPA
compliance.
* EMS.
DOE O 450.1
DOE O 451.1B
DOE M 231.1-1
NEPA
DOE P 141.2
10 CFR Part 1021
DOE O 451.1B
contains specific
provisions on
delegation.
Conduct of
Operations
Ensure conduct of operations
provisions are incorporated into
contractor programs and procedures.
DOE O 5480.19
Yes.
Biological Agents
Program for biological agents.
DOE N 450.7
Yes.
Packaging and
Transportation
Safety
* Packaging approval.
* Transportation Safety Analysis
Report (TSAR).
* Transportation plan.
* Onsite packaging and transfer
procedures.
* Carrier evaluations.
* Reports to Tracking and
Communications System.
* Packaging and transportation plans
* Transportation system risk
assessments.
* Implementation Plan for DOE
O 461.1.
* Packaging and transportation
procedures.
* Letter to governor or tribal leader
for offsite.
* Transportation Safety Document.
* Safety Analysis Report for
Packaging.
DOE O 460.1B
DOE O 460.2
DOE O 461.1
DOE M 460.2-1
Yes.
Update TSAR every 5 years.
Federal Employee
Occupational Safety
and Health (FEOSH)
* FEOSH program.
* Federal Employee Industrial
Health Program.
* Federal Employee Occupational
Medical Program.
* Designated Cognizant Secretarial
Officer Occupational Safety and
Health Manager.
DOE O 3790.1B, Chapter VIII
(medical)
DOE HQ O 442.1
DOE O 440.1A
Yes.
Appraisals,
Assessments, and
Self-Assessments
Perform various appraisals and
assessments as required by DOE
directives.
10 CFR Part 830, Subpart A
DOE O 414.1A
DOE O 420.1A
DOE P 450.5
DOE O 450.1
Implementation Plan for
Defense Nuclear Facilities
Safety Board
Recommendation 2002-2,
Configuration of Vital Safety
Systems
Yes.
Line management
environment, health
and safety (ES&H)
oversight
* Monitor field element and
contractor performance
* When appropriate, participate in
field element appraisals,
assessments, surveillances and
walkthroughs of contractor
facilities and activities
* Conduct onsite reviews of field
element’s performance, including
verifications of their appraisals of
the contractor, as necessary
DOE P 450.5
Yes
Substance Abuse
Workplace substance abuse program.
10 CFR Part 707
DOE N 471.3
DOE O 350.1
DOE O 440.1A
DOE O 3792.3
48 CFR 970.2305
48 CFR 970.5223
48 CFR 923.570
Yes.
Employee Protection
Posted regulations.
10 CFR Part 708
DOE O 442.1A
48 CFR 970.0309
Yes.
Quarterly reports.
TABLE 6
FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR
COGNIZANT SECRETARIAL OFFICERS
Functions
Responsibilities
Authorities
Can authority
be delegated?
Notes
Organizational
Staffing and
Competency
* Employee training and
qualification.
* DOE staffing plans.
* Oversight of contractor training
and qualification plans.
* Facilities representatives program.
10 CFR 830.122
DOE 5480.20A
DOE M 426.1-1
DOE O 360.1B
Yes.
DOE Technical
Standards Program
Assign technical standards managers
for DOE offices and contractors.
DOE O 252.1
P.L. 104-113
OMB Circular A-119
Yes.
Organization
Functions,
Responsibilities, and
Authorities
Documents
Functions, responsibilities, and
authorities document for organizations.
DOE P 411.1
DOE M 411.1-1C
No.
Update organizational Functions,
Responsibilities, and Authorities
documents annually.
DNFSB Interface
* Assign responsible manager for
assigned issue.
* Implement DOE policy with
respect to the DNFSB.
* Support other DOE managers in
responding to DNFSB.
* Designate Point of Contact.
DOE M 140.1-1B
Yes
TABLE 7
FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE ASSISTANT SECRETARY OF ENVIRONMENT,
SAFETY AND HEALTH
Functions
Responsibilities
Authorities
Can authority
be delegated?
Notes
Environmental Issues
As the Agency environmental
executive, monitor environmental
programs related to—
* procurement and acquisition,
* waste prevention and recycling,
and
* reports on progress.
Advise the Secretary with respect to
conformance of the Department’s
activities to environmental protection
laws and principles, and conduct a
comprehensive program of research
and development on the environmental
effects of energy technologies and
programs.
DOE O 450.1
The Department of Energy
(DOE) Organization Act
(P.L. 95-91, as amended),
Sec. 203 (a)(3)
Yes.
National
Environmental Policy
Act (NEPA)
* Issue notices of intent for
environmental impact statements
(EISs).
* Approve EISs.
* Independent review of proposed
actions under NEPA.
* Review of DOE NEPA
compliance.
* Notices of intent for EISs.
* Policy, guidance, and oversight
for NEPA compliance.
DOE O 451.1B
10 CFR Part 1021
Yes.
Environment, Safety,
and Health (ES&H)
Policies, Regulations,
Directives, and
Guidance
(Rules, Regulations,
and Orders for Safety
* Policies.
* Regulations/rules.
* Orders.
* Notices.
* Manuals.
* Guides.
Administrative Procedure
Act (APA)
DOE O 231.1A
DOE M 231.1-1
DOE M 231.1-2
DOE O 251.1A
DOE M 251.1-1A
DOE P 410.1A
AEA
Price-Anderson
Amendments Act (PAAA)
E.O. 13148
DOE O 450.1
DOE P 411.1
Some authorities
cannot be
delegated.
The NNSA Act states that “Each officer
or employee of the Administration, in
carrying out any function of the
Administration …shall not be
responsible to, or subject to the
authority, direction, or control of, any
other officer, employee, or agent of the
Department of Energy.”
Federal Employee
Occupational Safety
and Health (FEOSH)
Requirements and guidance for the
Department of Energy (DOE) FEOSH
program.
DOE O 440.1A
No.
The NNSA Act states that “Each officer
or employee of the Administration, in
carrying out any function of the
Administration …shall not be
responsible to, or subject to the
authority, direction, or control of, any
other officer, employee, or agent of the
Department of Energy.”
Budget
* Office of Environment, Safety and
Health budget.
* Review of operating contract
budgets to ensure ES&H is
adequately addressed.
DOE O 130.1
DOE O 135.1
Office of Management and
Budget (OMB) Circular
A-11
No.
Safety Analysis,
Hazard Controls, and
Hazard Categorization
* Requirements and guidance.
* Concurrence on alternate
methodologies other than safe
harbor methodologies in Table 2
to Appendix A of 10 CFR Part
830.
* Concurrence on other documents
when requested.
* Safety Basis Information System
(SBIS).
10 CFR Part 830, Subpart B
29 CFR 1910.1450
29 CFR 1910.120
DOE O 420.1A
DOE O 420.2A
Yes.
Annual update for Documented Safety
Analyses and Technical Safety
Requirements.
Annual submittal for unreviewed safety
questions.
Quarterly reports to SBIS.
The NNSA Act states that “Each officer
or employee of the Administration, in
carrying out any function of the
Administration …shall not be
responsible to, or subject to the
authority, direction, or control of, any
other officer, employee, or agent of the
Department of Energy.”
Radiation Protection
Approve—
* planned special exposures,
* alternate dosimetry, and
* exemptions.
Issue policies and guidance.
10 CFR Part 835
DOE P 441.1
DOE O 5400.5
Yes, except for
exemptions.
Startup and Restart of
Nuclear Facilities
* Conduct independent reviews of
startups in coordination with the
Program Secretarial Officer.
* Review and comment on startup
and restart procedures,
implementation plans, plans of
action, and final reports.
DOE O 425.1C
DOE O 420.2A
Yes.
Corrective Action
Plans (CAPs)
* Monitor and report on the
Corrective Action Management
Program (CAMP).
* Review CAPs from Type A & B
investigations.
* Enter all findings and Judgments
of Need into the Corrective
Action Tracking System (CATS).
* Maintain the CATS database.
DOE O 225.1A
DOE O 414.1A
DOE O 470.2B
Yes.
ES&H Reporting
Maintain the following reporting
systems:
* Computerized Accident/Incident
Reporting System (CAIRS),
* Occurrence Reporting and
Processing System, and
* Noncompliance Tracking System.
Annual corporate reports to OMB on
Department’s progress on E.O. 13101
and 13148.
DOE N 231.1
DOE O 231.1A
DOE M 231.1-1
DOE M 231.1-2
E.O. 13101
E.O. 13148
Yes.
Annual ES&H assessment reports and
annual summary report of ES&H
self-assessment.
Annual report on the Department’s
progress in implementing E.O. 13101
and 13148.
Accident Investigation
* Type A and B investigations.
* Notifications.
* Lessons learned.
* CAPs.
* Investigation reports.
* Appoint officials for Type A
Boards.
DOE O 225.1A
Yes.
Reporting to External
Organizations
Reports to external agencies for which
the Office of Environment, Safety and
Health is responsible include—
* seismic reports,
* dam safety reports,
* pollution prevention and
abatement plans,
* annual summary of occupational
illnesses and injuries,
* annual reports to the
Environmental Protection
Agency,
* historical/cultural reporting, and
* Interagency Nuclear Safety
Review Panel reports of nuclear
space applications to the
President’s Science Advisor.
OMB A-119
E.O. 13148
E.O. 12941
P.L. 104-303, the Water
Resources Development Act
of 1996
Presidential Directive
PD/NSC/25
DOE Technical
Standards
* Technical Standards Program.
* DOE standards executive to
represent DOE’s interests on
consensus standards-setting
organizations and the Interagency
Committee on Standards Policy.
* Report to meet OMB Circular
A-119.
DOE O 252.1
DOE P 251.1
DOE M 251.1-1A
P.L. 104-113
OMB A-119
Yes.
Annual report to meet OMB-119.
Exemptions
Grant or concur as authorized in
regulations or Orders.
10 CFR Part 820, Subpart E
DOE M 251.1-1A
Exemption processes as
specified in individual DOE
Orders
Exemption processes as
authorized for external
regulations
See authorities.
Quality Assurance
(QA)
* DOE directives and regulation for
QA
* Office of Environment, Safety,
and Health QA Program
* Software QA
* Suspect/Counterfeit Parts
10 CFR Part 830, Subpart A
DOE O 414.1A
DOE N 411.1
DOE O 440.1A
Yes, however
promulgation of
regulations must
follow APA and
DOE rulemaking
procedures.
SQA requirements must be updated
when DOE directive on SQA replaces
DOE N 411.1.
Fire Protection
(facility safety)
Authority having jurisdiction (in the
Office of Environment, Safety and
Health).
DOE O 420.1A (sec. 4.2)
Yes.
Lessons Learned,
Feedback, and
Improvement
Develop and disseminate lessons
learned.
DOE M 140.1-1B
DOE O 225.1A
DOE N 231.1
DOE O 231.1A
DOE M 231.1-2
DOE O 414.1A
DOE O 425.1C
DOE O 440.1A
DOE O 451.1B
DOE O 460.1B
DOE O 5480.19
DOE Laboratory
Accreditation Program
(DOELAP)
Develop and implement the DOELAP
in coordination with Cognizant
Secretarial Officers, contractors, and
industry.
10 CFR 835
DNFSB Interface
* Act as the Deputy Secretary’s
agent on crosscutting issues.
* Work with line management and
program offices to identify and
address obstacles that arise in the
course of implementing corrective
actions in response to issues that
require action by multiple
organizations.
* Evaluate planned actions to
ensure that collectively they are
responsive to the DNFSB
concerns and underlying causes.
Memorandum from Deputy
Secretary McSlarrow,
March 31, 2003
Letter from Deputy
Secretary McSlarrow to
DNFSB Chairman Conway,
March 18, 2003
DOE M 140.1-1B
Yes.
Monthly reports to Deputy Secretary on
status and problems.
TABLE 7
FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE ASSISTANT SECRETARY OF ENVIRONMENT,
SAFETY AND HEALTH
Functions
Responsibilities
Authorities
Can authority
be delegated?
Notes
Civil Penalties/
Enforcement
Enforcement program.
10 CFR Part 820
Price-Anderson
Amendments Act
Atomic Energy Act of 1954,
Section 234a
Memorandum of
Understanding between the
Administrator for the
National Nuclear Security
Administration and the
Assistant Secretary for
Environment, Safety and
Health, January 12, 2001
Most
enforcement
activities are
assigned directly
to the Office of
Enforcement by
10 CFR Part
820. These
cannot be
delegated. In
addition,
10 CFR Part 820
prohibits
delegation of
exemption
authority.
The NNSA Act states that “Each officer
or employee of the Administration, in
carrying out any function of the
Administration …shall not be
responsible to, or subject to the
authority, direction, or control of, any
other officer, employee, or agent of the
Department of Energy.”
Safety Management
Functions,
Responsibilities and
Authorities Manual
(DOE M 411.1-1) and
Organizational
Functions,
Responsibilities and
Authorities document
* Update DOE M 411.1-1 every six
months.
* Post DOE M 411.1-1 and any
overriding Secretarial Memoranda
on web page.
* Update EH Functions,
Responsibilities, and Authorities
document annually.
DOE M 411.1-1C
TABLE 8
FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE DIRECTOR OF THE OFFICE OF
INDEPENDENT OVERSIGHT AND PERFORMANCE ASSURANCE
Responsibility Topic
Subtopics/Deliverables
Authorities
Can authority
be delegated?
Notes
Independent oversight of
Environment, Safety,
and Health (ES&H)
* Develop and maintain DOE ES&H
independent oversight and
performance assurance policies,
procedures, standards, and guidelines.
* Advise appropriate site and
Headquarters managers promptly
(within 24 hours) of major
vulnerabilities or imminent danger
identified during appraisal activities at
evaluated sites.
* Direct, manage, and conduct ES&H
independent oversight programs.
* Provide DOE managers with
independent evaluations of
environment, safety, and health
policies, programs, and
implementation.
DOE O 470.2B
No.
Appraisals, Assessments,
and Self-Assessments
Appraisals, Assessments,
and Self-Assessments
(continued)
* Coordinate the scheduling,
notification, and planning of appraisals
with appropriate cognizant secretarial
officers and heads of field elements.
* Ensure environment, safety, and health
On a selected basis, conduct appraisals
to verify and validate the effectiveness
of corrective actions and to confirm
closure of findings.
* Coordinate with the applicable DOE
policy organizations to resolve
environment, safety, and health policy
findings or deficiencies and to ensure
accurate interpretation of
requirements.
* Maintain awareness of the status of
findings and ratings identified during
appraisals.
* Brief senior DOE officials, including
the Under Secretaries, cognizant
secretarial officers, the Office of
Security, DOE policy organizations,
and the managers of DOE sites, on the
results of appraisal activities.
* Ensure comments are resolved or
elevate comments until resolution is
obtained. If needed, elevate comments
to the Deputy Secretary and/or the
Secretary for resolution.
DOE O 470.2B
No.
Corrective Action Plans
(CAPs)
Review CAPs and provide comments,
when necessary, within prescribed time
frames.
DOE O 470.2B
No.
Corrective Action
Tracking System
(CATS)
Ensure ES&H findings (and related
information) are entered into the CATS.
DOE O 470.2B
No.
Civil Penalties/
Enforcement
Coordinate with the Office of Price-
Anderson Enforcement when appraisal
activities identify any potential
noncompliance with rules, consistent
with the Price-Anderson Amendments
Act.
DOE O 470.2B
No.
Organizational Staffing
and Competency
Implement a Technical Qualification
Program for all DOE employees whose
duties and responsibilities require them
to provide oversight that could impact
the safe operation of a defense nuclear
facility.
DOE M 426.1-1
Yes.
Organization Functions,
Responsibilities, and
Authorities Documents
Maintain the OA Functions,
Responsibilities, and Authorities
Document.
DOE P 411.1
DOE M 411.1-1C
No.
Update annually
Defense Nuclear
Facilities Safety Board
(DNFSB) Interface
Cooperate with the DNFSB, including
ready access to OA inspection results,
and respond to DNFSB
recommendations, as applicable.
DOE M 140.1-1B
Yes.
APPENDIX A. ACRONYMS AND ABBREVIATIONS
AEA
Atomic Energy Act of 1954
APA
Administrative Procedures Act
CAP
Corrective Action Plan
CATS
Corrective Action Tracking System
CFR
Code of Federal Regulations
CSO
Cognizant Secretarial Officer
DASHO
Designated Agency Safety and Health Officer
Department
Department of Energy
DMB
Directives Management Board
DNFSB
Defense Nuclear Facilities Safety Board
DOE
Department of Energy
DOELAP
DOE Laboratory Accreditation Program
DSA
Documented Safety Analysis
EIS
environmental impact statement
EMS
Environmental Management System
E.O.
Executive order
ES&H
environment, safety, and health
FEM
field element manager
FEOSH
Federal employee occupational safety and
health
FTCP
Federal Technical Capability Panel
HQ
(DOE) Headquarters
ISM
Integrated Safety Management
NEO
nuclear explosive operation
NEPA
National Environmental Policy Act
NESHAP
National Emission Standards for Hazardous
Air Pollutants
NNSA
National Nuclear Security Administration
NPH
natural phenomenon hazard
OAM
Office of Aviation Management
OMB
Office of Management and Budget
OPI
Office of Primary Interest
PAAA
Price-Anderson Amendments Act
QA
quality assurance
RPP
radiation protection program
SBIS
Safety Basis Information System
Secretary
Secretary of Energy
SNM
Special Nuclear Material
SQA
Software Quality Assurance
TSR
Technical Safety Requirements
TSAR
Transportation Safety Analysis Report
USQ
unreviewed safety question
APPENDIX B. CITATIONS AND AUTHORITIES
Federal Statutes, Acts, Executive Orders and other Authorities
Federal Statutes, Acts, Executive Orders and other Authorities
Reference Number
Title
Manual Section
Title 5, United States Code
(5 U.S.C.)
Administrative Procedure Act (APA)
Table 7
42 U.S.C
Atomic Energy Act of 1954 (AEA)
Chapter 3, 4, & 6,
Tables 1, 2, 4, 6, & 7
Public Law (P.L.) 93-438
Energy Reorganization Act of 1974
Chapter 3, 4
P. L. 95-91
DOE Organization Act
Chapter 4 &7
Tables 1,2,3,& 7
42 U.S.C. (P.L. 91-190)
National Environmental Policy Act (NEPA)
Table 6 & 7
42 USC 7274d
National Defense Authorization Act for fiscal years 1992
and 1993
P. L. 106-377
National Nuclear Security Administration Act (NNSA) Act
in the National Defense Authorization Act for 2000
Chapter 4 &7
Tables 1, 2, 4, & 7
P. L. 104-113
National Technology Transfer and Advancement Act of
1995
Table 6, 7
P. L...97-425 as amended by
Title V, Subtitle A of P. L.
100-203
Nuclear Waste Policy Act of 1982 (NWPA)
Table 1& 3
42 U.S.C. 2011 (P.L. 100-
408)
Price Anderson Amendments Act of 1988 (PAAA)
Chapter 5
Table 7
P. L. 104-303
Water Resources Development Act of 1996
Table 7
Executive Order (E.O.)
12196
Occupational Safety and Health Programs for Federal
Employees
Chapter 6
Table 1
E.O. 12564
Drug-Free Federal Workplace
Table 1
E.O. 12699
Seismic Safety Of Federal and Federally Assisted or
Regulated New Building Construction
Table 6
E.O. 12941
Seismic Safety of Existing Federally Owned or Leased
Building
Tables 6 & 7
E.O. 13101,
Greening the Government Through Waste Prevention,
Recycling, and Federal Acquisition
Chapter 6
Tables 6 & 7
E.O. 13148
Greening the Government Through Leadership in
Environmental Management
Tables 6, &7
Presidential Directive
PD/NSC/25
Scientific or Technological Experiments with Possible
Large-Scale Adverse Environmental Affects and Launch of
Nuclear systems into space
Chapter 7
National Security Decision
Directive 282
Continuing Authority to Deliver Nuclear Materials and to
Acquire Utilization Facilities
Table 1
OMB Circular A-119
Federal Participation in the Development and Use of
Voluntary Consensus Standards and in Conformity
Assessment Activities
Table 6 & 7
OMB Circular A-11
Preparation, Submission and Execution of the Budget
Table 7
Code of Federal Regulations
Reference Number
Title
Manual Section
10 CFR Part 707
Workplace Substance Abuse Programs at DOE Sites
Table 6
10 CFR Part 708
DOE Contractor Employee Protection Program
Table 6
10 CFR Part 820
Procedural Rules for DOE Nuclear Activities
Tables 1, 3, 6, 7
10 CFR Part 830
Nuclear Safety Management
Table 6, 7
10 CFR Part 835
Occupational Radiation Protection
Table 6, 7
10 CFR Part 850
Chronic Beryllium Disease Prevention Program
Table 6
10 CFR Part 1021
National Environmental Policy Act Implementing
Procedures
Tables 6, 7
29 CFR Part 1910
Occupational Safety and Health Standards
Table 6, 7
29 CFR Part 1960
Basic Program Elements for Federal Employee
Occupational Safety and Health Programs and Related
Matters
Chapter 6
Table 1
40 CFR Part 61
National Emission Standards for Hazardous Air Pollutants
Table 6
40 CFR Part 191
Environmental Radiation Protection Standards for
Management and Disposal of Spent Nuclear Fuel, High-
Level and Transuranic Radioactive Wastes
Table 1
48 CFR 923.570
Workplace Substance Abuse Programs at DOE Sites
48 CFR 970.0309
Whistleblower Protection Of Contractor Employees.
Table 6
48 CFR 970.2305
Workplace Substance Abuse Programs -- Management and
Operating Contracts
Table 6
48 CFR 970.5204-2
Laws, Regulations, and DOE Directives
Chapter 1
Table 6
48 CFR 5215-3
Contracting by Negotiation
Table 6
48 CFR 970.5223-1
Integration of Environment, Safety and Health into Work
Planning and Execution
Chapter 1
Table 6
48 CFR 970.5223-3
Agreement Regarding Workplace Substance Abuse
Programs at DOE Facilities.
Table 6
48 CFR 970.5223-4
Workplace Substance Abuse Programs at DOE Sites.
Table 6
DOE Policies
Policy Number
Titles
OPI
Manual Section
DOE P 111.1
Departmental Organization Management System
OS
Chapter 8
DOE P 141.2
Department of Energy Management of Cultural
Resources
EH
Table 6
DOE P 251.1
Directives System Policy
ME
Table 7
DOE P 410.1A
Promulgating Nuclear Safety Requirements
GC
Table 7
DOE P 411.1,
Safety Management Functions, Responsibilities, and
Authorities Policy
EH
Chapter 1,5, & 8
Tables 6, 7, & 8
DOE P 450.4
Safety Management System Policy
EH
Chapter 1
Tables 4 & 6
DOE P 450.5
Line Environment, Safety and Health Oversight
NA
Table 6
DOE Orders, Manuals, Notices
Directive Number
Titles
OPI
Manual Section
DOE O 100.1A
Secretarial Succession
OS
Chapter 1
Tables 1 & 2
DOE O 130.1
Budget Formulation
ME
Table 7
DOE O 135.1
Budget Execution - Funds Distribution and Control
ME
Table 7
DOE M 140.1-1B
Interface With The Defense Nuclear Facilities Safety
Board
OS
Chapter 6
Tables 1, 2, 6, 7, 8
DOE O 225.1A
Accident Investigations
EH
Table 6, 7
DOE M 231.1-1
Environment, Safety, and Health Reporting Manual
EH
Table 6, 7
DOE M 231.1-2
Occurrence Reporting and Processing of Operations
Information
EH
Table 6, 7
DOE N 231.1
Environment, Safety, and Health Reporting Notice
EH
Table 6, 7
DOE O 231.1A
Environment, Safety, and Health Reporting
EH
Table 6, 7
DOE HQ 250.1
Civilian Radioactive Waste Management Facilities –
Exemption from Departmental Directives
RW
Chapter 2
Table 1
DOE M 251.1-1A,
Directives System Manual
ME
Chapter 3,
Tables 1, 2, 7
DOE O 251,1A
Directives System
ME
Chapter 3
Table 7
DOE O 252.1
Technical Standards Program
EH
Table 6, 7
DOE O 350.1
Contractor Human Resource Management Programs
ME
Table 6
DOE O 360.1B
Federal Employee Training
ME
Table 6
DOE M 411.1-1C
(this manual)
Safety Management Functions, Responsibilities, and
Authorities Manual
EH
Tables 6, 7, & 8
DOE N 411.1
Safety Software Quality Assurance Functions,
Responsibilities, and Authorities for Nuclear
Facilities and Activities
EH
Table 6, 7
DOE O 414.1A
Quality Assurance
EH
Table 6, 7
DOE O 420.1A
Facility Safety
EH
Tables 1, 6, 7
DOE O 420.2A
Safety of Accelerator Facilities
SC
Table 7
DOE O 425.1C
Startup and Restart of Nuclear Facilities
EH
Tables 1, 6, 7
DOE M 426.1-1
Federal Technical Capability Manual
ME
Tables 2, 6, 8
DOE O 433.1
Maintenance Management Program for DOE Nuclear
Facilities
EH
Table 6
DOE M 435.1-1
Radioactive Waste Management Manual
EM
Tables 1 & 6
DOE O 435.1
Radioactive Waste Management
EM
Table 6
DOE M 440.1-1
DOE Explosives Safety Manual
EH
Table 6
DOE O 440.1A
Worker Protection Management for DOE Federal and
Contractor Employees
EH
Chapter 2
Tables 1, 6, & 7
DOE O 440.2B
Aviation Management and Safety
ME
Tables 1, 2, 6
DOE O 442.1A
Department of Energy Employee Concerns Program
EH
Table 6
DOE HQ O 442.
Headquarters Occupational Safety and Health
Program
EH
Chapter 2
Tables 1 & 6
DOE O 450.1
Environmental Protection Program
EH
Tables 6 & 7
DOE N 450.7
The Safe Handling, Transfer, and Receipt of
Biological Etiologic Agents at Department of Energy
Facilities
EH
Table 6
DOE O 451.1B
National Environmental Policy Act Compliance
Program
EH
Tables 2, 6, 7
DOE O 452.1B
Nuclear Explosive and Weapons Surety Program
NA
Tables 1 & 6
DOE O 452.2B
Safety of Nuclear Explosives Operations
NA
Table 6
DOE O 460.1B
Packaging and Transportation Safety
EM
Table 6, 7
DOE M 460.2-1
Radioactive Material Transportation Practices
EM
Table 6
DOE O 460.2
Departmental Materials Transportation and
Packaging Management
EH
Table 6
DOE O 461.1
Packaging and Transfer or Transportation of
Materials of National Security Interest
NA
Table 6
DOE O 470.2B
Independent Oversight and Performance Assurance
Program
OA
Chapter 6
Tables 2, 6, 7, & 8
DOE N 471.3
Reporting Incidents of Security Concern
SO
Table 6
DOE O 3790.1B
Federal Employee Occupational Safety and Health
Program
ME
Table 6
DOE O 3792.3
Drug-Free Federal Workplace Testing
Implementation Program
ME
Tables 1 & 6
DOE O 5400.5
Radiation Protection of the Public and the
Environment
EH
Tables 1, 6, & 7
DOE O 5480.4
Environmental Protection, Safety, and Health
Protection Standards
EH
Tables 1 & 6
DOE O 5480.19
Conduct of Operations Requirements for DOE
Facilities
EH
Table 6 & 7
DOE O 5480.20A
Personnel Selection, Qualification, and Training
Requirements for DOE Nuclear Facilities
EH
Table 6
DOE O 5480.30
Nuclear Reactor Safety Design Criteria
EH
Table 1
DOE O 5610.13
Joint Department of Energy/Department of Defense
Nuclear Weapon System Safety, Security, and Control
Activities
NA
Table 1
Secretarial Notice
(SEN) 35-91
Nuclear Safety Policy
EH
Table 1
DOE ORGANIZATIONS TO WHICH DOE M 411.1-1C IS APPLICABLE FOR
FEDERAL EMPLOYEE OCCUPATIONAL SAFETY AND HEALTH (FEOSH)
REQUIREMENTS
Office of the Secretary
Chief Information Officer
Office of Civilian Radioactive Waste Management
Office of Congressional and Intergovernmental Affairs
Office of Counterintelligence
Departmental Representative to the Defense Nuclear Facilities Safety Board
Office of Economic Impact and Diversity
Office of Energy Efficiency and Renewable Energy
Energy Information Administration
Office of Environment, Safety and Health
Office of Environmental Management
Office of Fossil Energy
Office of General Counsel
Office of Hearings and Appeals
Office of Independent Oversight and Performance Assurance
Office of the Inspector General
Office of Intelligence
Office of Management, Budget and Evaluation and Chief Financial Officer
National Nuclear Security Administration
* Office of the Deputy Administrator for Defense Programs
* Office of the Deputy Administrator for Defense Nuclear Nonproliferation
* Office of Emergency Operations
* Office of the Associate Administrator for Facilities and Operations
* Office of the Associate Administrator for Management and Administration
Office of Nuclear Energy, Science and Technology
Office of Policy and International Affairs
Office of Public Affairs
Office of Science
Secretary of Energy Advisory Board
Office of Security
Office of Worker and Community Transition
Office of Energy Assurance
DOE ORGANIZATIONS TO WHICH DOE M 411.1-1C IS APPLICABLE FOR
REQUIREMENTS OTHER THAN FEOSH
Office of the Secretary
Office of Civilian Radioactive Waste Management
Office of Energy Efficiency and Renewable Energy
Office of Environment, Safety and Health
Office of Environmental Management
Office of Fossil Energy
Office of Independent Oversight and Performance Assurance
National Nuclear Security Administration
* Office of the Deputy Administrator for Defense Programs
* Office of the Deputy Administrator for Defense Nuclear Nonproliferation
Office of Nuclear Energy, Science and Technology
Office of Science
Office of Security
Note: Following is a listing of all the footnotes
DOE line management refers to the Department organization that is responsible for safe operations of a facility or
site and has a linear reporting relationship extending from the Secretary to the people in the facilities directly
performing the Department’s missions.
For the purposes of this Manual, the term “safety” encompasses “environment, safety, and health” functions to the
extent that those functions relate to the safe management of DOE facilities or activities. This Manual does not
address security and emergency management, nor does it address protection of human subjects and worker
compensation.
See DOE HQ 250.1, Civilian Radioactive Waste Management Facilities—Exemption from Departmental
Directives, dated 5-1-98.
DOE directives with the designation of HQ are only applicable to headquarters organizations.
See Secretarial Memorandum to Headquarters and Field Elements, dated April 15, 1999.
See DOE Organization Act, Sec. 102, item (13).
See DOE Organization Act Sec. 644.
See DOE Organization Act, Sec. 642.
See DOE Organization Act, Sec. 202.
See Memorandum from Secretary Spencer Abraham to the Heads of Departmental Elements, July 26, 2001.
See Memorandum from Secretary Spencer Abraham to the heads of departmental elements, July 26, 2001.
See NNSA Act in the National Defense Authorization Act for 2000 (See P.L. 106-377, October 27, 2000) (NNSA
Act).
See NNSA Act.
See Memorandum from Secretary Spencer Abraham to the Heads of Departmental Elements, July 26, 2001.
See Memorandum from Under Secretary T.J. Glauthier, Roles and Responsibilities Guiding Principles, June 2,
2000
Ibid.
In a memorandum dated June 25, 2003, the Under Secretary for Nuclear Security/Administrator for the National
Nuclear Security Administration (NNSA) delegated the authority to serve as the Secretarial Officer for environment,
safety, and health matters at the eight NNSA-owned facilities to the Deputy Administrator for Defense Programs.
This delegation does not apply to facilities being designed and constructed by the Deputy Administrator for Defense
Nuclear Nonproliferation.
Memorandum from Deputy Secretary, Kyle McSlarrow, Responsibilities for Increased Performance in Meeting
DOE Commitments to DNFSB, March 31, 2003.
See DOE O 450.1, Environmental Protection Program, dated 1-15-03.
See 29 CFR 1960.6.
See Memorandum of Understanding for special provisions regarding enforcement at
http://tis.eh.doe.gov/enforce/handbks/20010108mou.pdf.
In a memorandum dated December 2, 2003, James T. Campbell, Acting Director of the Office of Management,
Budget and Evaluation/Acting CFO requested the establishment of the Office of Security and Safety Performance
Assessment (SSA). That office will combine the functions of the Office of Independent Oversight and Performance
Assessment with some of the functions of the Office of Security. Those changes when finalized will be addressed in
a future revision to this Manual.
In a memorandum dated April 3, 2002, Spencer Abraham delegated the Secretary authorities in DOE O 425.1B to Under Secretary Card for the facilities under his
cognizance.
2Atomic Energy Act of 1954 as amended, Sections 311–321 (42 USC § 2286 et. Sec.), Defense Nuclear Facilities Safety Board.
See the Memorandum of Understanding between the Administrator for the National Nuclear Security Administration and the Assistant Secretary for Environment,
Safety and Health for special provisions regarding enforcement at NNSA facilities.
In a memorandum dated June 25, 2003, the Under Secretary for Nuclear Security/Administrator for the National
Nuclear Security Administration (NNSA) delegated the authority to serve as the Secretarial Officer for environment,
safety, and health matters at the eight NNSA-owned facilities to the Deputy Administrator for Defense Programs.
This delegation does not apply to facilities being designed and constructed by the Deputy Administrator for Defense
Nuclear Nonproliferation. The division of Program Secretarial Officer responsibility for NNSA facilities is
addressed in the NNSA FRA document.
Reports through the Chicago Operations Office.
The Administrator for the National Nuclear Security Administration (NNSA) will approve or adopt the environmental impact statement and related documents for
specific NNSA proposals that the Administrator determines (after consultation with the Assistant Secretary for Environment, Safety and Health) do not warrant
Secretarial attention.