Display Related Directives to this directive.

DOE O 451.1B
10-26-00

THIS PAGE IS TO REMAIN WITH DOE O 451.1B

THE ONLY ADMINISTRATIVE CHANGES OCCURRED IN THIS
REVISION WERE
1. TO BRING THIS DIRECTIVE INTO COMPLIANCE WITH THE
NATIONAL NUCLEAR SECURITY ADMINISTRATION (NNSA);
AND
2. TO CHANGE THE OFFICE TITLE.

U.S. Department of Energy ORDER
Washington, D.C. DOE O 451.1B

Approved: 10-26-00
Review Date: 10-26-02
Change 1: 9-28-01

SUBJECT: NATIONAL ENVIRONMENTAL POLICY ACT COMPLIANCE PROGRAM
1. OBJECTIVE. The purpose of this Order is to establish DOE internal requirements and
responsibilities for implementing the National Environmental Policy Act of 1969 (NEPA), the
Council on Environmental Quality Regulations Implementing the Procedural Provisions of NEPA
(40 CFR Parts 1500-1508), and the DOE NEPA Implementing Procedures
(10 CFR Part 1021). (Hereinafter, the latter two will be referred to as "the Regulations.") The
goal of establishing the requirements and responsibilities presented here is to ensure efficient and
effective implementation of DOE's NEPA responsibilities through teamwork. A key
responsibility for all participants is to control the cost and time for the NEPA process while
maintaining its quality.

2. CANCELLATION. DOE 451.1A, NATIONAL ENVIRONMENTAL POLICY ACT
COMPLIANCE PROGRAM, dated 6-5-97.

3. APPLICABILITY. This Order applies to DOE Elements, including the National Nuclear
Security Administration (NNSA). Although contractors may assist in the Department's NEPA
implementation, the legal obligation to comply with NEPA belongs to DOE. This Order does not
apply to operations conducted under the authority of the Director, Naval Nuclear Propulsion
Program, as described in Public Law 98-525. Section 5.a (10), (12), and (14), Section 5.b and
Section 5.f do not apply to NNSA activities, except as provided in Section 6. Section 6 applies
only to NNSA activities.

4. REQUIREMENTS.

In addition to requirements established in NEPA and the Regulations, DOE's NEPA Compliance
Program shall include:

a. A system of DOE NEPA Compliance Officers.

b. Internal scoping procedures for environmental assessment and environmental impact
statements that include development of a schedule. For an environmental impact statement,

Vertical line denotes change.
the schedule, absent extraordinary circumstances, will provide for completion of a final
environmental impact statement within 15 months of the issuance of the Notice of Intent.

c. NEPA quality assurance plans and public participation plans.

d. Annual NEPA planning summaries. An annual NEPA planning summary will describe
briefly: (1) the status of ongoing NEPA compliance activities, (2) any environmental
assessments expected to be prepared in the next 12 months, (3) any environmental impact
statements expected to be prepared in the next 24 months, and (4) the planned cost and
schedule for completion of each NEPA review identified. Every three years starting with
1995, the annual NEPA planning summary for each Field Organization will include an
evaluation of whether a site-wide environmental impact statement would facilitate future
NEPA compliance efforts.

e. A DOE NEPA Document Manager for each environmental impact statement and
environmental assessment.

f. A system for reporting lessons learned and encouraging continuous improvement.

g. Tracking and annually reporting progress in implementing a commitment for environmental
impact mitigation that is essential to render the impacts of a proposed action not significant,
or that is made in a record of decision.

5. RESPONSIBILITIES.

a. Each Secretarial Officer and Head of a Field Organization shall, for matters under the
office's purview:

(1) Establish a NEPA compliance program and use the NEPA process early in project
and program planning to consider environmental factors along with other relevant
information.

(2) Maintain a DOE NEPA Compliance Officer for the office and designate a DOE
NEPA Document Manager at the start of each environmental assessment and
environmental impact statement.

(3) Ensure that internal scoping procedures, a quality assurance plan and a public
participation plan are prepared for the office.

(4) Include in new contracts and grants a provision that the awardee may not undertake
on DOE's behalf an action that is subject to NEPA until DOE has notified the
awardee that DOE has satisfied applicable NEPA requirements.

(5) Incorporate NEPA milestones in project planning documents.

(6) Incorporate NEPA compliance status information in internal budget review
documents.

(7) Submit an annual NEPA planning summary to the Assistant Secretary for
Environment, Safety and Health by January 31 of each year and make it available to
the public.

(8) Determine that an environmental assessment or an environmental impact statement is
appropriate or required.

(9) After an environmental assessment determination, prepare and issue an environmental
assessment. Responsibilities for approving and adopting environmental assessments
and issuing findings of no significant impact may not be delegated except as provided
in this Order. In addition to meeting requirements established in the Regulations,
responsibilities include:

(a) When another agency is involved in preparation, determining whether DOE
shall be a lead or cooperating agency.

(b) Obtaining concurrence of DOE counsel in the legal adequacy of an
environmental assessment before it is approved and in any finding of no
significant impact before it is issued.

(c) Determining, based on an environmental assessment, that the impacts of a
proposed action are significant and that an environmental impact statement is
required, or issuing a finding of no significant impact when appropriate.

(d) Adopting another agency's environmental assessment.

(e) When a commitment to mitigation is essential to render the impacts of a
proposed action not significant, preparing a mitigation action plan for any such
commitment before issuing the finding of no significant impact.

(f) Tracking and annually reporting progress made in implementing, and the
effectiveness of, any commitment for environmental impact mitigation that is
essential to render the impacts of a proposed action not significant.

(10) Request from the Assistant Secretary for Environment, Safety and Health delegation
of approval or adoption authority for a specific environmental impact statement when
appropriate to expedite the review and approval process.

(11) When required by the Regulations, prepare a supplement analysis and with the
concurrence of DOE counsel, determine whether a supplemental or a new
environmental impact statement is required for a proposed action, or whether no
further documentation is required.

(12) Determine that a proposed action that may be an interim action is clearly allowable
under the Regulations. For a proposed action that may be an interim action not
clearly allowable under the Regulations, provide the Assistant Secretary for
Environment, Safety and Health with a recommendation for a determination whether
the proposed action may proceed.

(13) Incorporate NEPA values, such as analysis of cumulative, off-site, ecological, and
socioeconomic impacts, to the extent practicable, in DOE documents prepared under
the Comprehensive Environmental Response, Compensation, and Liability Act.

(14) When appropriate, request from the Assistant Secretary for Environment, Safety and
Health a variance from the DOE NEPA Regulations or from this Order.

b. In addition to provisions in paragraph 5.a above, for a proposed action under the office's
purview, after an environmental impact statement determination, each Secretarial Officer
shall prepare an environmental impact statement and forward it to the Assistant Secretary
for Environment, Safety and Health for approval. Responsibilities for issuing records of
decision may not be delegated except as provided in this Order. In addition to meeting
requirements established in the Regulations, responsibilities include:

(1) Submitting a notice of intent to prepare an environmental impact statement to the
Assistant Secretary for Environment, Safety and Health for issuance.

(2) [Removed and reserved]

(3) Issuing a record of decision for an environmental impact statement, after obtaining the
concurrence of the Assistant Secretary for Environment, Safety and Health in its
environmental content and ensuring that DOE counsel concurs in its legal adequacy.

(4) Preparing any mitigation action plan required under the DOE Regulations before
taking an action that is the subject of a mitigation commitment made in a record of
decision.

(5) Tracking and annually reporting progress made in implementing, and the effectiveness
of, any mitigation commitment made in a record of decision.

c. A Head of a Field Organization may delegate environmental assessment responsibilities to a
Head of a subsidiary Field Organization (Area or Project Office) after confirming that the
subsidiary organization has prepared adequate internal scoping procedures, a quality
assurance plan and a public participation plan; has designated a NEPA Compliance
Officer; and has adequate DOE legal resources available. (By such delegation, the
authority to make categorical exclusion determinations would transfer to the NEPA
Compliance Officer of the subsidiary Field Organization.) A Head of a subsidiary Field
Organization may not redelegate responsibilities for approving and adopting environmental
assessments and issuing findings of no significant impact except as provided in this Order.

d. A NEPA Compliance Officer shall:

(1) Develop office NEPA procedures and information management requirements, and
document the office's compliance with those procedures and requirements.

(2) For actions specifically listed in Appendix A or B to Subpart D of the DOE
Regulations, make categorical exclusion determinations and approve and issue any
required associated floodplain and wetland documents. These responsibilities may
not be delegated except as provided in this Order. Categorical exclusion
determinations need not be documented.

(3) Report to the Office of NEPA Policy and Compliance on lessons learned after
completing each environmental impact statement and environmental assessment.

(4) Coordinate NEPA compliance strategies for matters within the office's purview.

(5) Advise on NEPA-related matters, including the provisions of the Regulations, the
DOE NEPA Compliance Guide, this Order, and any other related requirements and
guidance.

(6) Recommend to the Head of the Office served (i.e., Secretarial Officer, Head of a
Field Organization, or Head of a subsidiary Field Organization), whether an
environmental assessment or environmental impact statement is appropriate or
required.

(7) Assist with the NEPA process and document preparation.

(8) Advise on the adequacy of NEPA documents and other related documents.

(9) Participate in periodic NEPA meetings and workshops conducted by the Office of
NEPA Policy and Compliance; provide NEPA training and disseminate NEPA
guidance materials and related information.

(10) Notify the Office of NEPA Policy and Compliance promptly -- generally, within two
weeks of:

(a) The designation of a NEPA Document Manager.

(b) A determination to prepare an environmental assessment.

(c) A transmittal of an environmental assessment to States, Tribes and, when
applicable, members of the public, other Federal agencies, and local
governments for preapproval review.

(d) A determination to prepare an environmental impact statement.

(11) Provide the Office of NEPA Policy and Compliance promptly -- generally, within
two weeks of their availability -- five copies and one electronic file of:

(a) An approved environmental assessment and any finding of no significant impact.

(b) A proposed finding of no significant impact required under the Council on
Environmental Quality Regulations.

(d) An approved draft or final environmental impact statement.

(e) A record of decision for an environmental impact statement.

(f) A mitigation action plan and corresponding annual mitigation report. The
mitigation report may be submitted on the anniversary of a mitigation action plan
or in a combined report (for example, as part of the annual NEPA planning
summary) for multiple plans until mitigation is completed.

(g) An environmental impact statement supplement analysis and any determination
based on it.

e. A NEPA Document Manager shall, for the environmental impact statement or
environmental assessment being prepared:

(1) Establish a team, representing all necessary DOE Elements to plan, assist in
preparing, and concurrently review documents.

(2) Conduct an early internal scoping process.

(3) Maintain tracking systems to monitor costs of and adherence to the schedule for the
NEPA process.

(4) Manage the document preparation process, including reviewing internal drafts for
technical adequacy, controlling cost, and maintaining schedule.

(5) Encourage and facilitate public participation through the NEPA process.

(6) [Removed and reserved]
(7) Evaluate, upon completion of the environmental impact statement or environmental
assessment, any support contractor's performance for timeliness, quality,
cost-effectiveness, responsiveness, and application of requirements and guidance.

(8) Report to the Office of NEPA Policy and Compliance on lessons learned after
completing the environmental impact statement or environmental assessment.

f. The Assistant Secretary for Environment, Safety and Health shall:

(1) Provide DOE policy, guidance, and oversight to ensure adequate and consistent
application of NEPA.

(2) For an environmental impact statement:

(a) Issue a notice of intent.

(b) When another agency is involved in preparation, determine whether DOE shall
be a lead or cooperating agency.

(c) Evaluate proposed and alternative actions, including alternative mitigation
measures, and make any appropriate recommendations to mitigate
environmental impacts.

(d) (i) Approve an environmental impact statement after the Assistant General
Counsel for Environment concurs in its legal adequacy, (ii) identify whether it
warrants approval by the Secretary of Energy, or (iii) determine that it may be
approved by a Secretarial Officer or Head of a Field Organization.

(e) Adopt another agency's environmental impact statement.

(f) Concur in the environmental content of a record of decision.

(3) For a proposed action that may be an interim action not clearly allowable under the
Regulations, determine whether the proposed action may proceed.

(4) When a required NEPA document is not being prepared, direct a Secretarial Officer
or Head of a Field Organization to prepare an environmental assessment or
environmental impact statement.

(5) Advise the responsible Secretarial Officer and, if appropriate, the Secretary, of a
proposed action believed not to conform with DOE policies or, after consulting with
the Assistant General Counsel for Environment, applicable environmental laws and
regulations.

(6) Resolve disagreements among multiple involved offices concerning the assignment of
responsibility for conducting the NEPA process for a proposed action. (7) Grant appropriate variances from the DOE NEPA Regulations or from this Order.

(8) Coordinate DOE assistance to other Federal agencies throughout their NEPA
processes, including DOE's review of documents and submission of comments.

(9) Advise the Secretary of Energy on DOE's NEPA compliance program.

g. The Director, Office of NEPA Policy and Compliance, shall:

(1) Develop policy and guidance documents on NEPA and related environmental review
requirements.

(2) Provide NEPA-related technical advice and assistance, on request, to Field and
Program organizations.

(3) Perform independent review of proposed actions as appropriate to ensure that
NEPA requirements are being met.

(4) Provide workshops and information on NEPA and related requirements and policies.

(5) Provide leadership for continuous improvement of DOE's implementation of NEPA.

(6) Solicit comments from NEPA Compliance Officers, NEPA Document Managers,
and other involved persons on lessons learned for each completed environmental
assessment and environmental impact statement and prepare and disseminate a
quarterly summary.

(7) File approved draft, final, and supplemental environmental impact statements with the
Environmental Protection Agency, pursuant to the Regulations.

(8) Coordinate consultation with the Council on Environmental Quality and the
Environmental Protection Agency on matters relating to NEPA.

(9) Maintain DOE's NEPA information resources.

6. NNSA PROCEDURES.

a. NNSA shall follow all the applicable procedures set forth in this Order. The Administrator
shall ensure that all functions assigned to Secretarial Officers and their subordinates in
Section 5 are performed.

b. The Administrator shall approve or adopt environmental impact statements and EIS-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. This authority may not be delegated. In performing these
duties, NNSA will consult with the Assistant Secretary for Environment, Safety and Health,
who will consult with the Assistant General Counsel for Environment, to ensure that all
NEPA requirements are satisfied. If an unresolvable difference of opinion develops
between the offices regarding an EIS or EIS-related matter, the Administrator shall bring
the issue to the Secretary [Deputy Secretary] for resolution or direction.

c. For EISs and EIS-related documents for proposals not covered by Section 6.b and for
matters described in Section 5.a(14), the Administrator shall submit requests for action or
approval to the Secretary [Deputy Secretary]. The Assistant Secretary for Environment,
Safety and Health, after consultation with the Assistant General Counsel for Environment,
shall provide recommendations to the Secretary [Deputy Secretary] on such requests.

7. CONTACT. Questions regarding this Order and requests for guidance should be addressed to
Environment, Safety and Health, Office of NEPA Policy and Compliance (EH-42; 202-586-
4600).

BY ORDER OF THE SECRETARY OF ENERGY:

FRANCIS S. BLAKE
Deputy Secretary

U.S. Department of Energy PAGE CHANGE
DOE O 451.1B Chg 1 Washington, D.C.

Approved: 10-26-00
Chg 1: 9-28-01

SUBJECT: NATIONAL ENVIRONMENTAL POLICY ACT COMPLIANCE PROGRAM

1. PURPOSE. To transmit revised pages to DOE O 451.1B , National Environmental
Policy Act Compliance Program, dated 10-26-00.

2. EXPLANATION OF CHANGES. To allow the Under Secretary/Administrator of the
National Nuclear Security Administration (NNSA) to approve certain NNSA
environmental impact statements..

3. FILING INSTRUCTIONS.

Remove Dated Insert Dated

Page 1 10-26-01 Page 1 9-28-01

Pages 9 and 10 10-26-01 Pages 9 and 10 9-28-01

After filing the attached pages, this transmittal may be discarded.

BY ORDER OF THE SECRETARY OF ENERGY:

FRANCIS S. BLAKE
Deputy Secretary