DOE M 411.1-1C, Safety Management Functions, Responsibilities, and Authorities Manual

DISTRIBUTION: INITIATED BY: All Departmental Elements Office of Environment, Safety and Health Approved: 12-31-03 SAFETY MANAGEMENT FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES MANUAL U.S. DEPARTMENT OF ENERGY OFFICE OF ENVIRONMENT, SAFETY AND HEALTH DOE M 411.1-1C DOE M 411.1-1C i (and ii) 12-31-03 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 DOE M 411.1-1C iii 12-31-03 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......................................................................................................45 iv DOE M 411.1-1C 12-31-03 CONTENTS (continued) TABLE 8 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE DIRECTOR OF THE OFFICE OF INDEPENDENT OVERSIGHT AND PERFORMANCE ASSURANCE ........................................53 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 DOE M 411.1-1C 1 12-31-03 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 management1 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 safety2 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; 1DOE 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. 2For 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. 2 DOE M 411.1-1C 12-31-03 • 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.3

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). 3See DOE HQ 250.1, Civilian Radioactive Waste Management Facilities—Exemption from Departmental Directives, dated 5-1-98. DOE M 411.1-1C 3 12-31-03 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 HQ4 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.5 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.

4DOE directives with the designation of HQ are only applicable to headquarters organizations. 5See Secretarial Memorandum to Headquarters and Field Elements, dated April 15, 1999. 4 DOE M 411.1-1C 12-31-03 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.6 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.7 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.8 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.9 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:10 • Office of the Secretary, • Office of the Assistant Secretary for Congressional and Intergovernmental Affairs, • Office of Security, • Office of Intelligence, 6See DOE Organization Act, Sec. 102, item (13). 7See DOE Organization Act Sec. 644. 8See DOE Organization Act, Sec. 642. 9See DOE Organization Act, Sec. 202. 10See Memorandum from Secretary Spencer Abraham to the Heads of Departmental Elements, July 26, 2001. DOE M 411.1-1C 5 12-31-03 • 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:11 • 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.12 The Secretary may direct officials of the Department who are 11See Memorandum from Secretary Spencer Abraham to the heads of departmental elements, July 26, 2001. 12See NNSA Act in the National Defense Authorization Act for 2000 (See P.L. 106-377, October 27, 2000) (NNSA Act). 6 DOE M 411.1-1C 12-31-03 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.13 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 13See NNSA Act. DOE M 411.1-1C 7 12-31-03 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.14 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.15 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.16 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: 14See Memorandum from Secretary Spencer Abraham to the Heads of Departmental Elements, July 26, 2001. 15See Memorandum from Under Secretary T.J. Glauthier, Roles and Responsibilities Guiding Principles, June 2, 2000 16Ibid. 8 DOE M 411.1-1C 12-31-03 • Deputy Administrator for Defense Programs17 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.18 17In 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. 18Memorandum from Deputy Secretary, Kyle McSlarrow, Responsibilities for Increased Performance in Meeting DOE Commitments to DNFSB, March 31, 2003. DOE M 411.1-1C 9 12-31-03 Under Secretary for Energy, Science and Environment Under Secretary for Nuclear Security/ Administrator for National Nuclear Security Administration Federal Energy Regulatory Commission Office of the Deputy Administrator for Defense Programs Office of Emergency Operations Office of the Deputy Administrator for Naval Reactors Office of the Deputy Administrator for Defense Nuclear Nonproliferation Office of the Associate Administrator for Management and Administration Office of the Associate Administrator for Infrastructure and Security Office of the Assistant Secretary for Environmental Management Office of the Assistant Secretary for Energy Efficiency & Renewable Energy Office of Science Office of the Assistant Secretary for Fossil Energy Office of Nuclear Energy, Science and Technology Office of the Assistant Secretary for Environment, Safety and Health Office of the Assistant Secretary for Policy and International Affairs Office of Counterintelligence Power Marketing Administrations Energy Information Administration Office of Independent Oversight and Performance Assurance Office of Economic Impact and Diversity Secretary of Energy Advisory Board Office of the Chief Information Officer Office of Hearings and Appeals Office of Public Affairs Office of Energy Assurance Office of the Assistant Secretary for Congressional & Intergovernmental Affairs

Office of Intelligence General Counsel Office of Security Office of Management, Budget and Evaluation/CFO Office of the Inspector General Office of the Departmental Representative to the DNFSB Office of Civilian Radioactive Waste Management Office of Worker and Community Transition Secretary 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.19 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.20 19See DOE O 450.1, Environmental Protection Program, dated 1-15-03. 20See 29 CFR 1960.6. 10 DOE M 411.1-1C 12-31-03 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.21 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. 21See Memorandum of Understanding for special provisions regarding enforcement at http://tis.eh.doe.gov/enforce/handbks/20010108mou.pdf. DOE M 411.1-1C 11 12-31-03 6.2 Office of Independent Oversight and Performance Assurance22 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:

22In 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. 12 DOE M 411.1-1C 12-31-03 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 DOE M 411.1-1C 13 12-31-03 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 14 DOE M 411.1-1C 12-31-03 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. DOE M 411.1-1C 15 (and 16) 12-31-03 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. D O E M 411.1-1C 17 12-31-03 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. 18 D O E M 411.1-1C 12-31-03 TABLE 1 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES OF THE SECRETARY Functions Responsibilities Authorities and DOE Directives Delegation Notes

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. D O E M 411.1-1C 19 12-31-03 TABLE 1 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES OF THE SECRETARY Functions Responsibilities Authorities and DOE Directives Delegation Notes 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. 20 D O E M 411.1-1C 12-31-03 TABLE 1 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES OF THE SECRETARY Functions Responsibilities Authorities and DOE Directives Delegation Notes 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 • Impose civil penalties for violations of Department rules, regulations, or Orders. • Compromise, modify, or remit civil penalties. 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: D O E M 411.1-1C 21 12-31-03 TABLE 1 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES OF THE SECRETARY Functions Responsibilities Authorities and DOE Directives Delegation Notes Civil Penalties/Enforcement (continued) • 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 • 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 22 D O E M 411.1-1C 12-31-03 TABLE 1 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES OF THE SECRETARY Functions Responsibilities Authorities and DOE Directives Delegation Notes Civil Penalties/Enforcement (continued) 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). 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. D O E M 411.1-1C 23 12-31-03 TABLE 1 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES OF THE SECRETARY Functions Responsibilities Authorities and DOE Directives Delegation Notes 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 24 D O E M 411.1-1C 12-31-03 TABLE 1 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES OF THE SECRETARY Functions Responsibilities Authorities and DOE Directives Delegation Notes 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.23 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 23In 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. D O E M 411.1-1C 25 (and 26) 12-31-03 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 2Atomic Energy Act of 1954 as amended, Sections 311–321 (42 USC § 2286 et. Sec.), Defense Nuclear Facilities Safety Board. D O E M 411.1-1C 27 12-31-03 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 28 D O E M 411.1-1C 12-31-03 TABLE 2 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE DEPUTY SECRETARY Functions Responsibilities Authorities Can authority be delegated? Notes 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 D O E M 411.1-1C 29 12-31-03 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. 30 D O E M 411.1-1C 12-31-03 TABLE 3 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE UNDER SECRETARY FOR ENERGY, SCIENCE AND ENVIRONMENT Functions Responsibilities Authorities Can authority be delegated? Notes 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/Enforcement24 • 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. 24See 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. D O E M 411.1-1C 31 (and 32) 12-31-03 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 DOE M 411.1-C 33 12-31-03 TABLE 5 COGNIZANT SECRETARIAL OFFICER (CSO) ASSIGNMENTS Symbol CSO Site/Laboratory 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 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 Nonproliferation25) Nevada Test Site 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 EM-1 Assistant Secretary for Environmental Management Energy Technology Engineering Center 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 SC-1 Director of the Office of Science 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 Idaho National Laboratory (INL) 25In 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. 34 DOE M 411.1-1C 12-31-03 TABLE 5 COGNIZANT SECRETARIAL OFFICER (CSO) ASSIGNMENTS Symbol CSO Site/Laboratory Test Reactor Area Energy, Science and Technology Argonne National Laboratory—West SO-1 Director of the Office of Security, New Brunswick Laboratory26 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 FE-1 Assistant Secretary for Fossil Energy 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 26Reports through the Chicago Operations Office. D O E M 411.1-1C 35 12-31-03 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. 36 D O E M 411.1-1C 12-31-03 TABLE 6 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR COGNIZANT SECRETARIAL OFFICERS Functions Responsibilities Authorities Can authority be delegated? Notes 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 • 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. 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 D O E M 411.1-1C 37 12-31-03 TABLE 6 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR COGNIZANT SECRETARIAL OFFICERS Functions Responsibilities Authorities Can authority be delegated? Notes ES&H Reporting (continued) • 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. 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. 38 D O E M 411.1-1C 12-31-03 TABLE 6 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR COGNIZANT SECRETARIAL OFFICERS Functions Responsibilities Authorities Can authority be delegated? Notes 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. D O E M 411.1-1C 39 12-31-03 TABLE 6 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR COGNIZANT SECRETARIAL OFFICERS Functions

Responsibilities Authorities Can authority be delegated? Notes 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 DOE M 231.1-1 DOE O 440.1A Yes, except for exemptions related to Occupational Safety and Health Administration (OSHA) standards. 40 D O E M 411.1-1C 12-31-03 TABLE 6 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR COGNIZANT SECRETARIAL OFFICERS Functions Responsibilities Authorities Can authority be delegated? Notes promotion. 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. D O E M 411.1-1C 41 12-31-03 TABLE 6 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR COGNIZANT SECRETARIAL OFFICERS Functions Responsibilities Authorities Can authority be delegated? Notes 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. 42 D O E M 411.1-1C 12-31-03 TABLE 6 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR COGNIZANT SECRETARIAL OFFICERS Functions Responsibilities Authorities Can authority be delegated? Notes 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. D O E M 411.1-1C 43 12-31-03 TABLE 6 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR COGNIZANT SECRETARIAL OFFICERS Functions Responsibilities Authorities Can authority be delegated? Notes 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. 44 D O E M 411.1-1C 12-31-03 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 D O E M 411.1-1C 45 12-31-03 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)27 • 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. 27The 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. 46 D O E M 411.1-1C 12-31-03 TABLE 7 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE ASSISTANT SECRETARY OF ENVIRONMENT, SAFETY AND HEALTH Functions Responsibilities Authorities Can authority be delegated? Notes 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. D O E M 411.1-1C 47 12-31-03 TABLE 7 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE ASSISTANT SECRETARY OF ENVIRONMENT, SAFETY AND HEALTH Functions Responsibilities Authorities Can authority be delegated? Notes 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. 48 D O E M 411.1-1C 12-31-03 TABLE 7 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE ASSISTANT SECRETARY OF ENVIRONMENT, SAFETY AND HEALTH Functions Responsibilities Authorities Can authority be delegated? Notes 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 D O E M 411.1-1C 49 12-31-03 TABLE 7 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE ASSISTANT SECRETARY OF ENVIRONMENT, SAFETY AND HEALTH Functions Responsibilities Authorities Can authority be delegated? Notes 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 50 D O E M 411.1-1C 12-31-03 TABLE 7 FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE ASSISTANT SECRETARY OF ENVIRONMENT, SAFETY AND HEALTH Functions Responsibilities Authorities Can authority be delegated? Notes 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. D O E M 411.1-1C 51 (and 52) 12-31-03 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 D O E M 411.1-1C 53 12-31-03 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 • 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 DOE O 470.2B No. 54 D O E M 411.1-1C 12-31-03 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 Appraisals, Assessments, and Self-Assessments (continued) 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. 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. DOE M 411.1-1C Appendix A 12-31-03 Page A-1 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 Appendix A DOE M 411.1-1C Page A-2 12-31-03 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 DOE M 411.1-1C Appendix B 12-31-03 Page B-1 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 Appendix B DOE M 411.1-1C Page B-2 12-31-03 Code of Federal Regulations Reference Number Title Manual Section 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 M 411.1-1C Appendix B 12-31-03 Page B-3 DOE Orders, Manuals, Notices Directive Number Titles OPI Manual Section 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 ME Table 6 Appendix B DOE M 411.1-1C Page B-4 12-31-03 DOE Orders, Manuals, Notices Directive Number Titles OPI Manual Section Program 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 M 411.1-1C Attachment 1 12-31-03 Page 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 Attachment 1 DOE M 411.1-1C Page 2 12-31-03 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 INTRODUCTION AND OBJECTIVE SCOPE CHANGE CONTROL OFFICE OF THE SECRETARY COGNIZANT SECRETARIAL OFFICERS SUPPORT ORGANIZATIONS LINE OF SUCCESSION AND DELEGATION OF AUTHORITY ORGANIZATIONAL FUNCTIONS, RESPONSIBLITIES, ANDAUTHORITIES DOCUMENTS TABLE 1. FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES OF THE SECRETARY TABLE 2. FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE DEPUTY SECRETARY TABLE 3. FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE UNDER SECRETARYFOR ENERGY, SCIENCE AND ENVIRONMENT TABLE 4. FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE UNDER SECRETARYFOR NUCLEAR SECURITY/ADMINISTRATOR FOR THE NATIONAL NUCLEAR SECURITYADMINISTRATION (NNSA) TABLE 5. COGNIZANT SECRETARIAL OFFICER (CSO) ASSIGNMENTS TABLE 6. FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FORCOGNIZANT SECRETARIAL OFFICERS TABLE 7. FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE ASSISTANT SECRETARY OF ENVIRONMENT,SAFETY AND HEALTH TABLE 8. FUNCTIONS, RESPONSIBILITIES, AND AUTHORITIES FOR THE DIRECTOR OF THE OFFICE OFINDEPENDENT OVERSIGHT AND PERFORMANCE ASSURANCE APPENDIX A. ACRONYMS AND ABBREVIATIONS APPENDIX B. CITATIONS AND AUTHORITIES ATTACHMENT 1. DOE ORGANIZATIONS TO WHICH DOE M 411.1-1C IS APPLICABLE