DOE O 150.1, Continuity Programs

AVAILABLE ONLINE AT: INITIATED BY: www.directives.doe.gov National Nuclear Security Administration U.S. Department of Energy ORDER Washington, D.C. Approved: 5-8-08 SUBJECT: CONTINUITY PROGRAMS 1. OBJECTIVES. a. Continuity planning as required by the following. (1) National Security Presidential Directive 51 (NSPD 51)/Homeland Security Presidential Directive 20 (HSPD 20), National Continuity Policy, dated, 5-9-07; (2) Executive Order 12656, Assignment of Emergency Preparedness Responsibilities, dated, 11-18-88, as amended; and (3) Executive Order 12472, Assignment of National Security and Emergency Preparedness Telecommunications Functions, dated, 4-3-84, as amended. b. NSPD 51/HSPD 20 establishes a comprehensive national policy on the continuity of Federal Government structures and operations and a single National Continuity Coordinator responsible for coordinating the development and implementation of Federal continuity policies. The policy also establishes National Essential Functions (NEFs), and prescribes continuity requirements for all executive departments and agencies. NSPD 51/HSPD 20 also provides guidance for State, local, territorial, and tribal governments, and private sector organizations in order to ensure a comprehensive and integrated national continuity program that will enhance the credibility of our national security posture and enable a more rapid and effective response to and recovery from a national emergency. (1) Continuity of Government (COG): A coordinated effort within each branch of government (e.g., the Federal government’s executive branch) to ensure that NEFs continue to be performed during a catastrophic emergency. (2) Continuity of Operations (COOP): An effort within individual organizations (e.g., Federal executive branch departments and agencies) to ensure that Mission Essential Functions (MEFs) continue to be performed during a wide range of emergencies, including localized acts of nature, accidents, technological, or attack-related emergencies. c. The objectives of this Order are: (1) to assign and describe roles and responsibilities for the Department of Energy (DOE) Continuity Program; (2) to establish requirements for planning, preparedness, response, and reconstitution activities of the Continuity Program; and DOE O 150.1 2 DOE O 150.1 5-8-08 (3) to ensure that the Department is ready to respond promptly, efficiently, and effectively to a continuity event involving DOE/NNSA facilities, activities, or operations. 2. CANCELLATION. None. 3. APPLICABILITY. a. Departmental Elements. Except for the exclusions in paragraph 3c below, this Order applies to all Departmental elements; including elements created after this Order is issued (Go to www.directives.doe.gov/pdfs/reftools/org-list.pdf for a current listing of Departmental elements). The Administrator of National Nuclear Security Administration (NNSA) will assure NNSA employees comply with their respective responsibilities under this Order. Nothing in this Order will be construed to interfere with the NNSA Administrator’s authority under section 3212(d) of Public Law (P.L.) 106-65 to establish Administration specific policies, unless disapproved by the Secretary. b. DOE Contractors. Except for the exclusions listed in paragraph 3c, the Contractor Requirements Document (CRD), Attachment 1, applies to the extent set forth in each contract requiring or involving responsibility for work or operations at DOE sites or facilities that support or perform Departmental MEFs or Primary Mission Essential Functions (PMEFs). These functions are described in Attachment 2.

c. Exclusions. (1) In accordance with the responsibilities and authorities assigned by Executive Order 12344 and to ensure consistency throughout the joint Navy and DOE organization of the Naval Nuclear Propulsion Program, the Deputy Administrator for Naval Reactors will implement and oversee all requirements and practices pertaining to this DOE Order for activities under the Deputy Administrator’s cognizance. (2) In accordance with the statutory responsibilities and regulatory requirements assigned to Bonneville Power Administration, they are exempt from compliance of this order as long as they have developed and implemented a comprehensive and integrated Business Resilience Program that encompasses this Order. (3) Requests for exemptions must be approved or denied by program Secretarial Officers (if applicable) and the Director, Office of Emergency Operations, with conflicts resolved by the Deputy Secretary or designated Departmental Chief Operating Officer. Requests for exemptions must be https://www.directives.doe.gov/references/DOEDepartmentalElements.pdf DOE O 150.1 3 5-8-08 submitted from the cognizant field element manager to the appropriate program Secretarial Officers and the Director, Office of Emergency Operations. 4. REQUIREMENTS. See Chapters I and II. 5. RESPONSIBILITIES. See Chapter III. 6. DEFINITIONS. See Attachment 3. 7. REFERENCES. a. P.L. 106-65 The National Nuclear Security Administration Act, as amended. b. P.L. 80-253, The National Security Act of 1947, as amended. c. Title 5, Code of Federal Regulations (CFR) Part 550, Subpart A, Premium Pay, and Subpart D, Payments during Evacuation. d. 36 CFR 1236, Management of Vital Records, as amended. e. 41 CFR 102-74.230, Occupant Emergency Program, as amended. f. Executive Order 12148, Federal Emergency Management, dated 7-20-79, as amended. g. Executive Order 12472, Assignment of National Security and Emergency Preparedness Telecommunications Functions, dated 4-3-84, as amended. h. Executive Order 12344, Naval Nuclear Propulsion Program, dated 2-01-82, as amended. i. Executive Order 12656, Assignment of Emergency Preparedness Responsibilities, dated 11-18-88, as amended. j. HSPD 3, Homeland Security Advisory System, dated 3-11-02. k. HSPD 5, Management of Domestic Incidents, dated 2-28-03. l. HSPD 7, Critical Infrastructure Identification, Prioritization, and Protection, dated 12-17-03. m. HSPD 8, National Preparedness, dated 12-17-03. n. HSPD 20/NSPD 51, National Continuity Policy, dated 5-09-07. o. National Security Directive 42, National Policy for the Security of National Security Telecommunications and Information Systems, dated 7-05-90. 4 DOE O 150.1 5-8-08 p. National Response Framework, dated March 2008. q. National Communications System Directive 3-10, Minimum Requirements for Continuity Communications Capabilities, dated 7-25-07. r. Memorandum from Frances Fragos Townsend, Assistant to the President for Homeland Security, “Continuity Policy/Department and Agency Essential Functions,” dated 1-10-05. s. Memorandum from Joshua B. Bolten, Director, Office of Management and Budget, “Regulation on Maintaining Telecommunications Services during a Crisis or Emergency in Federally Owned Buildings,” dated 6-30-05. t. DOE O 151.1C, Comprehensive Emergency Management System, dated 11-02-05. u. DOE O 243.2, Vital Records, dated 2-2-06, which establishes Department-wide requirements, roles and responsibilities for implementing and maintaining a Vital Records program, as required by the Federal Records Act, as amended.

v. DOE O 322.1B, Pay and Leave Administration and Hours of Duty, dated 1-14-05, which establishes requirements and responsibilities for the management of pay, including overtime and compensatory time, leave administration, and hours of duty, as amended. w. DOE Order 414.1C, Quality Assurance, dated 6-17-05, as amended. x. DOE O 470.4A, Safeguards and Security Program, dated 5-25-07, which establishes responsibilities for the DOE Safeguards and Security Program and the managerial framework for implementing DOE Policy 470.1, Integrated Safeguards and Security Management, dated 5-08-01. y. DOE M 470.4-1, Safeguards and Security Program Planning and Management, dated 8-26-05, which establishes program planning and management requirements for the Department’s Safeguards and Security Program, as amended. z. DOE O 475.1, Counterintelligence Program, dated 12-10-04, establishes the Counterintelligence Program requirements and responsibilities for DOE, including NNSA, as amended. aa. Department of Energy Organization Act, 42 U.S.C. 7132(a). 8. IMPLEMENTATION. a. Full compliance with this Order and any changes made to this Order must be accomplished within one year of issuance. b. If compliance cannot be accomplished within one year, an implementation schedule must be developed and submitted to the Director, Office of Emergency DOE O 150.1 5 (and 6) 5-8-08 c. Operations through the appropriate program Secretarial Officer or staff office director. 9. NECESSITY. In compliance with Sec. 3174 of P.L. 104-201 (50 U.S.C. 2584 note), DOE hereby finds that this Order is necessary for the protection of human health and the environment or safety, fulfillment of current legal requirements, or conduct of critical administrative functions. 10. CONTACT. For assistance regarding this directive, contact the Continuity Program Manager at 301-903-5886. BY ORDER OF THE SECRETARY OF ENERGY: JEFFREY F. KUPFER Acting Deputy Secretary DOE O 150.1 I-1 5-8-08 CHAPTER I CONTINUITY PROGRAM REQUIREMENTS 1. GENERAL. a. A Departmental Continuity Program comprised of COG and COOP Programs must be established to: (1) ensure the Department can continue to support National Essential Functions (NEFs) (See Attachment 2); (2) ensure the Department can continue to perform Mission Essential Functions (MEFs), Primary Mission Essential Functions (PMEFs), and Essential Supporting Activities (ESAs) (See Attachment 2); (3) ensure readiness by addressing at a minimum, the basics of continuity planning (e.g., determination of MEFs, PMEFs, ESAs, order of succession, delegation of authority, communication requirements, human capital, and vital records); (4) ensure that the requirements established in NSPD 51/HSPD 20, Executive Order 12656, Assignment of Emergency Preparedness Responsibilities, and the program elements specified in Federal Continuity Directives are addressed; and (5) address preparedness and response to epidemic and pandemic events. b. This Order is not intended to require new or redundant programs when the requirements of this Order can be satisfied through or integrated with existing emergency management programs. c. The requirements of this Order should be coordinated with the requirements of a comprehensive emergency management system, which defines the requirements for planning, preparing, and responding to DOE operational emergencies. 2. CONTINUITY PROGRAM COMPONENTS.

a. COG is a coordinated effort within the executive branch to ensure NEFs continue to be performed during a catastrophic emergency. COG is dependent on the effective implementation of a COOP Program. I-2 DOE O 150.1 5-8-08 b. COOP. (1) Management. (a) The Department must develop and implement a Departmental COOP Program. The DOE COOP Program must be documented in an overarching DOE COOP Plan. (b) Each program office and staff office must assess COOP management needs to plan and implement a COOP Program commensurate with Departmental MEFs, PMEFs, and ESAs. Each COOP Program must document and address the basics of continuity planning (e.g., essential functions and activities, order of succession, delegation of authority, communication requirements, human capital, and vital records) in a COOP Implementation Plan that also addresses epidemic and pandemic events. (2) Field Programs. (a) Each field element must plan and implement a field COOP Program. The field element COOP Program must be commensurate with the field element’s role in supporting the execution of Departmental MEFs, PMEFs, and ESAs. In addition, the field element must address commitments made to DOE program offices and staff offices, with regards to providing alternate work locations, devolution sites, and performance of MEFs, PMEFs, and ESAs to support the DOE COOP Program, as required. (b) Each field element must document and address basic continuity planning (e.g., essential functions and activities, order of succession, delegation of authority, communication requirements, human capital, and vital records) in a field COOP Plan that also addresses epidemic and pandemic events. (c) Field COOP Programs and Plans must be coordinated with the DOE COOP Plan, the relevant program office or staff office Implementation Plan, appropriate field element, Emergency Management Plan, and contractor’s Continuity Programs, as applicable. (3) Capabilities. COOP Programs must be developed with the following capabilities: (a) Implement with and without warning; DOE O 150.1 I-3 5-8-08 (b) Perform PMEFs as soon as possible after the occurrence of the continuity event, but no later than 12 hours after COOP activation; (c) Sustain COOP operations for up to 30 days; and (d) Sustain COOP operations for up to 60 days during an epidemic or pandemic continuity event. c. Responsibilities must be established in accordance with Chapter III of this Order. 3. PLANNING PHASE. a. COOP Planning must: (1) provide for deferring nonessential functions until additional resources become available and as the situation permits; (2) outline a decision process for determining appropriate actions in implementing COOP plans and procedures including continuity of operations condition (COOP COGCON) changes; (3) consider reduced or mitigated disruptions to operations; (4) address procedures for the orientation of COOP personnel and for conducting operations and administrations at alternate operating facilities; (5) provide for coordination with non-COOP personnel, including teleworking personnel; (6) provide for implementation of plans addressing epidemic and pandemic threats to DOE facilities; and (7) provide for the reconstitution of agency capabilities and the transition from a continuity event to normal operations. b. Mission Essential Functions (MEFs), Primary Mission Essential Functions (PMEFs), and Essential Supporting Activities (ESAs). MEFs, PMEFs, ESAs and the resources needed to accomplish and sustain the functions and activities during a continuity event must be identified. See attachment #2.

(1) MEFs are the limited set of Department-level government functions that must be continued throughout or resumed rapidly after a disruption of normal activities. PMEFs are a subset of MEFs that must be performed in order to support or implement the performance of NEFs before, during and in the aftermath of a continuity event. MEFs must be prioritized based on the criticality and recovery-time objective of the function. Recovery-time I-4 DOE O 150.1 5-8-08 objective is the pre-determined time frame a function must be resumed following a continuity event. (a) The DOE Continuity Program Manager must identify the Departmental MEFs and PMEFs. (b) PMEFs must be continued with minimal disruption or resumed within 12 hours of COOP activation and maintained for up to 30 days, or until normal operations can be resumed. (c) All MEFs must be resumed within 30 days of COOP activation. (d) Consider a recovery-time objective of 60 days to accomplish MEFs for epidemic and pandemic event planning. (2) ESAs are specific activities performed to allow DOE to accomplish its MEFs and PMEFs. The Continuity Program Manager must identify the Departmental ESAs. (3) Program office, staff office, and field element essential functions/activities. (a) Each DOE organization (program office, staff office or field element) must identify their MEFs, PMEFs, and ESAs for which the office is responsible for or provides support. (b) Specific office essential functions, resources, and vital records needed to perform the MEFs, PMEFs, and ESAs must be identified as the office’s essential functions and activities. (4) COOP personnel that perform the essential functions/activities for each program office, staff office and field elements must be identified. Those identified will be members of the Continuity Emergency Response Group (CERG). CERG members must have the authority to perform organizational essential functions and activities. (5) CERG members must be trained and properly equipped by their respective program office or staff office. (6) Provisions for the acquisition of necessary resources for continuity operations must be made. c. Planning Requirements. COOP Programs must provide for integrated planning that at minimum addresses the following. DOE O 150.1 I-5 5-8-08 (1) Delegation of Authority. (a) Program offices, staff offices, and field elements must establish predetermined delegations of authority for making policy decisions when normal channels of direction are disrupted. (b) Delegations of authority must include clear descriptions of the circumstances under which the delegated authorities would take effect and any limits to the authorities delegated. (2) Orders of Succession. Establish succession to office with accompanying authorities in the event a disruption renders departmental leadership unable, unavailable, or incapable of assuming and discharging their duties and responsibilities of office. (a) The DOE Secretarial Order of Succession must be established pursuant to section 202(a) of the Department of Energy Organization Act, 42 U.S.C. 7132(a). (b) Program offices, staff offices, and field elements must establish orders of succession for key positions within their organizations to ensure support of the Secretary and the execution of MEFs, PMEFs, and ESAs when necessary. (c) Succession orders must include position or title, a description of conditions under which succession will take place, method of notification, and any limitations of authority.

(3) Alternate Operating Facilities. (a) Alternate operating facilities used for performing MEFs, PMEFs, and/or ESAs with minimal disruption of operations must be identified, prepared, and maintained. (b) Field elements must take maximum advantage of existing infrastructures and consider whether the field element’s essential functions and activities can be executed from DOE Headquarters or another DOE field element during a continuity disruption. (c) An all-hazard risk assessment must be conducted for use in the selection and planning of alternate operating facilities. 1 The following factors must be considered during the selection phase: Geographic location; power; telecommunications and internet grid services availability; health, safety, security and emotional well-being of I-6 DOE O 150.1 5-8-08 relocated employees; and the distance from hazardous areas or facilities. 2 Hazard and risk assessments performed for other DOE requirements may be used. (d) Alternate operating facilities must: 1 provide sufficient space and equipment to sustain relocation operations for 30 days; 2 be selected with the capability of sustaining operations for 60 days for epidemic or pandemic events; 3 provide safety and security for personnel and operations; 4 provide reliable logistical support, services, infrastructure systems, and emergency power; 5 be equipped to perform PMEFs within 12 hours of activation and until normal business activities can be reconstituted; 6 provide interoperable communications and means for secure communications if needed; and 7 provide necessary computer equipment, software, and automated data processing equipment. (e) DOE/NNSA Headquarters alternate operating facilities must be reported to the General Services Administration (GSA) on form SF-336, “GSA Alternate Reporting Form.” (f) Telework options should be considered when appropriate. Telework facilities do not have to meet requirements established in (3) (c) through (3) (e) above. (4) Interoperable Communications. See Chapter II. (5) Vital Records. (a) A vital records program must be established in accordance with DOE O 243.2. (b) Records that are vital to accomplishing PMEFs, MEFs, and ESAs must be identified and available. DOE O 150.1 I-7 5-8-08 (c) Duplicate records or back-up electronic files must be prepositioned or otherwise available at an alternate operating facility. (d) Program offices, staff offices, and field elements must account for the identification and protection of vital records, systems, data management software and equipment. These vital records will include classified and/or other sensitive data, as applicable, necessary to perform MEFs, PMEFs, and ESAs, and to reconstitute normal operations after the continuity event. (6) Human Capital. (a) COOP human capital planning encompasses the Federal and Departmental policies regarding employees in an emergency situation and follows requirements of 5 CFR Part 550, Subparts A and D and DOE O 322.1B, Pay and Leave Administration and Hours of Duty. (b) In addition to Federal and Departmental policies, COOP human capital planning must consider staffing needs during continuity events (including epidemic and pandemic), designation of CERG members, status of non-emergency employees, communication with employees, staffing flexibility, pay and leave flexibility, work schedules, dismissal and closure policies, use of alternative worksites, and telework policies.

(c) Methods of notifying and communicating with employees about COOP issues must be developed. (d) A corporate accountability system must be developed for DOE HQ federal employees and contractors to be used during a continuity event. Each program office, staff office, and field element must establish a personnel accountability program to document the location, contact information, and well-being of all personnel during a continuity event. (e) Employees who are identified as CERG members, must have a designee letter and appropriate telework agreement. 4. PREPAREDNESS PHASE. a. Training, Testing, and Exercises. (1) A COOP training, testing, and exercise program must be developed and implemented to assess, demonstrate, and improve the Department’s ability to respond to a continuity event. The COOP training, testing, and exercise I-8 DOE O 150.1 5-8-08 program may be integrated with other test, training, and exercise programs. (2) A multi-year training, testing, and exercise plan, along with a planning calendar addressing exercise requirements and resources to support these activities, must be developed and implemented. (3) Training. (a) Training familiarizes continuity support team members with plans, procedures, and tasks to be performed during a continuity event. (b) An annual COOP awareness briefing must be conducted for the DOE workforce. COOP awareness briefings must include training on COOP alert, notification, and deployment procedures. (c) Individual and team training of the CERG members must be conducted annually and must: 1 familiarize CERG members with alert, notification, and deployment procedures and; 2 familiarize members with the skills necessary to implement COOP plans and carry out PMEFs, MEFs, communication systems, and reconstitution. (d) Drills can be used to reinforce training, and they are not evaluated. (e) Designated successors must receive annual briefings on their responsibilities to carry out emergency duties during a continuity event. (4) Testing. (a) Tests serve to assess and validate specific aspects of COOP plans, policies, procedures, systems, and facilities used in response to a continuity event. (b) Testing of COOP alert and notification procedures and systems must be conducted quarterly. (c) Contact numbers must be available at each alternate operating facility to permit communication among field elements, DOE/NNSA Headquarters, Federal departments, and agencies, and customers. DOE O 150.1 I-9 5-8-08 (d) Communications equipment at the operation center and alternate operation centers must be tested quarterly to ensure available redundant communications sufficient to meet continuity event requirements. (e) Recovery of vital classified and unclassified records, critical information systems, services, and data must be tested annually. (f) Primary and backup infrastructure systems and services at the alternate operating facilities must be tested annually. (5) Exercises. (a) Exercises serve to assess and validate the integration and practicality of all aspects of COOP plans, policies, procedures, systems, and facilities used in response to a continuity event. (b) An annual formally documented continuity exercise must be conducted. The exercise may be part of a larger emergency management exercise. (c) The exercise must provide the opportunity for CERG members to demonstrate familiarity with COOP plans, the capability to perform MEFs, PMEFs, and ESAs, and include a demonstration of inter-and intra-agency communication capabilities.

(d) A comprehensive debriefing must be conducted after each exercise where participants identify systemic weaknesses in plans and procedures, and recommend revisions to the COOP plans. b. COOP training, testing, and exercises must be documented and deficiencies identified. Exercises must be documented in an after action report. Corrective actions must be identified and tracked through a corrective action system to completion, in accordance with DOE Order 414.1C, Quality Assurance, dated 6- 17-05, as amended. All corrective actions for NNSA shall be implemented in accordance with P.L. 106-65, The National Nuclear Security Administration Act, as amended. 5. RESPONSE PHASE. a. Notification. (1) A preplanned decision-making process affecting the status of the Department in a continuity event must be identified. (2) The Federal Emergency Management Agency (FEMA) Operations Center (FOC) makes the appropriate Continuity of Government Readiness I-10 DOE O 150.1 5-8-08 Condition (COGCON) level notifications to the executive branch departments and agencies. The COGCON levels establish the required readiness level for the Federal Government. (3) Headquarters Emergency Operations Center (EOC) Watch Office and the DOE Continuity Program Manager serves as the principal points of contact for receipt of continuity event notifications and reports from the FOC. (4) Depending on the situation, the DOE Continuity Program Manager or designee, initiates internal notifications per the DOE COOP Plan to organizational leadership, COOP coordinators, the field, and others as necessary to provide direction relating to changes in COOP COGCON level or COOP Plan activation. (5) During a continuity event, the DOE Headquarters EOC Watch Office serves as the focal point to receive, coordinate, and disseminate information as required. (6) Notification of changes to COOP COGCON levels, a continuity event and/or DOE COOP Plan activation must be made as indicated in the DOE COOP Plan and program office or staff office Implementation Plans. b. Activation and Relocation. Once a decision is made to activate the DOE COOP Plan, program offices and staff offices must implement their COOP Plans as instructed in the notification. Field elements affected by the event must implement their COOP Plans as necessary to support DOE Headquarters. The CERG provides leadership, performs MEFs, PMEFs, and ESAs, and provides logistics and other support during a continuity event. (1) DOE Headquarters. (a) A Headquarters CERG must be established for a continuity event affecting DOE Headquarters. (b) The Headquarters CERG is comprised of the Continuity Emergency Management Team (CEMT) and the Continuity Support Team (CST). Field elements must provide support to the HQ CERG when required. (c) The Continuity Program Manager will activate the HQ CEMT facility. The position of CEMT Director will be filled by the Continuity Program Manager or another senior manager from the Office of Emergency Operations. DOE O 150.1 I-11 5-8-08 (d) The CEMT staffing, activation, mission, functions, and responsibilities are described in the DOE COOP Plan. (e) Essential COOP personnel for each program office and staff office comprise the CST. CST members must be identified and trained. (f) Response to a Headquarters continuity event must be coordinated with the DOE Headquarters Occupant Emergency Plan and the Headquarters Emergency Management Team. (2) Field Elements.

(a) Field elements must establish their own CERGs for continuity events affecting their facilities. (b) The field element manager may activate a CERG to oversee COOP operations at the appropriate site. (c) The field element manager ensures situational reports are provided to the DOE Continuity Program Manager via the DOE EOC Watch Office. (d) The field element manager or designee will communicate with state, local, territorial, and tribal governments, the national media, and the public. (e) DOE Headquarters will communicate with national leadership, other Federal agencies, and national media. (f) Field element COOP programs must work in concert with the appropriate field emergency management programs. c. Devolution of Control and Direction. (1) The Departmental COOP Program must address the possibility that leadership and staff may be unavailable or incapable of supporting the execution of DOE MEFs, PMEFs, or ESAs from either the primary or the alternate locations. Under such circumstances, DOE leadership must transfer MEFs, PMEFs, and ESAs to another geographical location. (2) Headquarters devolution planning must address the following subjects: Direction, control, and necessary resources. (3) Personnel with the authority to perform MEFs, PMEFs, or ESAs must be identified at the designated devolution site. I-12 DOE O 150.1 5-8-08 6. RECONSTITUTION. a. The COOP Program must include planning for resumption of normal operations or reconstitution once a threat or disruption is over. b. Pre-planning and coordinating options must include movement from the alternate or devolution location to the original operating facility or a new operating facility if necessary. Procedures for a smooth transition must be outlined. c. A reconstitution plan must address procedures for notifying personnel that resumption of normal operations has commenced. The plan will ensure the orderly return to the primary facility and include; verifying all systems, communications, and other required capabilities are available and operational. d. The status of the DOE Headquarters relocation must be reported to the FOC and other points-of-contact, as necessary. e. The status of the relocation of any DOE operations must be reported to the DOE EOC Watch Office, the DOE Continuity Program Manager, and other points-of-contact, as necessary. f. An after-action review of COOP operations and the effectiveness of plans and procedures must be conducted to identify areas for correction. Remedial action plans must be developed as soon as possible after reconstitution. Corrective actions must be tracked to completion. All corrective actions for NNSA shall be implemented in accordance with P.L. 106-65, The National Nuclear Security Administration Act, as amended. 7. READINESS ASSURANCE. Each DOE program office, staff office, and field element must establish a Continuity Readiness Assurance Program to ensure that MEFs, PMEFs, and ESAs can be performed during a continuity event. The Continuity Readiness Assurance Program at the program office, staff office, and field element level may be part of another readiness assurance program. The Continuity Readiness Assurance Program consists of the following components. a. Assessments of COOP Programs. Each DOE program office, staff office, and field element shall be responsible for monitoring and/or ensuring completion of the following issues within its own program office, staff office or field element.

(1) Identify findings (i.e., strengths, improvements, deficiencies) in continuity programs; training, testing, and exercises; plans and procedures; and provide assurance that capabilities are sufficient to implement COOP plans. (2) COOP assessment activities can include program and exercise evaluations and performance indicator tracking. Activities can be conducted with emergency management readiness assurance evaluation activities. DOE O 150.1 I-13 5-8-08 (3) A review of COOP Programs must be conducted once every three years by an entity technically qualified, knowledgeable in the areas to be accessed, and not directly involved with the development of that COOP Program. (4) Program offices, staff offices, and field elements, and contractor-operated facilities must conduct annual self-assessments of their COOP Program. Self-assessment results must be documented in the Continuity Readiness Assurance Report. (5) COOP Program evaluations must be based on the requirements in this Order. (6) Each field element must evaluate the COOP program at each site or facility under its supervision annually. The field element must provide the evaluation results to the appropriate program office and the DOE Continuity Program Manager. The evaluation results may be included with the Continuity Readiness Assurance Report. (7) Evaluations of the COOP Program may be combined with other evaluation programs. (8) Evaluation reports must be completed within 30 working days of completion of the assessment. b. Improvements. Each DOE program office, staff office, and field element must ensure appropriate and timely improvements are made in response to needs identified through coordinated COOP planning, resource allocation, program assistance activities, evaluations, training, drills, and exercises. All improvements for NNSA shall be implemented in accordance with P.L. 106-65, The National Nuclear Security Administration Act, as amended. (1) Corrective Actions. A Continuity Corrective Action Program (CAP) must be developed and implemented to assist in documenting, prioritizing, and resourcing continuity issues identified during training, testing, exercises, assessments, and responses. (a) Continuous improvement of the Continuity Program results from implementation of corrective actions from findings (areas for improvements). (b) Corrective Action Plans must be developed within 30 working days of receipt of a final report (training, testing, exercise, or assessment). (c) Corrective actions must be completed as soon as possible. I-14 DOE O 150.1 5-8-08 (d) Corrective actions addressing revision of procedures or training of personnel should be completed before the next annual self-assessment of the program. (e) A verification and validation process must be accomplished by someone independent of those who performed the corrective action. The process verifies the corrective action has been completed and validates the effective resolution of the original finding. (2) Lessons Learned. The Continuity Readiness Assurance Program must include a system for incorporating and tracking lessons learned from training, drills, and actual responses. Program offices, staff offices, field elements, and DOE/NNSA contractor-operated facilities must participate in the DOE/NNSA Corporate Lessons Learned Program. DOE-STD-7501-99, The DOE Corporate Lessons Learned Program, provides guidance on the use of the system.

c. Continuity Readiness Assurance Report. The Continuity Readiness Assurance Report documents the readiness of the continuity program based on planning and preparedness activities and the results of the assessment, including evaluations and improvements. The report is a planning tool to identify and develop needed resources and improvements, and to highlight changes and achievements in the program. More specifically, the report must identify what the goals were for the fiscal year that ended, and the degree to which these goals were accomplished. This report must also identify the goals for the next fiscal year. (1) Program offices and field elements may submit Continuity Readiness Assurance Reports as appendices to Emergency Readiness Assurance Plans (ERAPs), if applicable. (2) Field elements must provide copies of Continuity Readiness Assurance Reports to their appropriate program office. (3) Continuity Readiness Assurance Reports must be provided to the Director, Office of Emergency Operations by November 30 of each year. (4) The Continuity Program Manager must submit an annual status report that summarizes continuity readiness assurance to the Deputy Secretary by April 30 of each year. 8. PROGRAM ADMINISTRATION. a. Personnel Requirements. (1) Each DOE/NNSA program office or staff office manager or administrator, along with a cognizant field element manager and DOE/NNSA DOE O 150.1 I-15 5-8-08 contractor-operated site or facility subject to this Order, must designate an individual to administer the COOP Program. (2) This individual must develop and maintain a COOP Implementation Plan, field COOP Plan, and Continuity Readiness Assurance Report as appropriate. b. COOP Plans. (1) The DOE COOP Plan documents the overall DOE COOP Program and addresses procedures to ensure the Department’s ability to accomplish the Departmental MEFs, PMEFs, and ESAs during a continuity event. The Plan: (a) identifies Departmental MEFs, PMEFs, and ESAs, and identifies procedures to ensure MEFs and PMEFs are accomplished during a continuity event; (b) addresses Orders of Succession and Delegation of Authority; (c) identifies alternate operating facilities and their capabilities; (d) describes COOP notification and COOP Plan activation procedures; (e) outlines a decision process for determining appropriate actions for implementing COOP plans and procedures; (f) identifies the devolution site and its capabilities; (g) addresses human capital issues; (h) addresses Departmental response to epidemic and pandemic events; (i) describes the COOP Training, Testing, and Exercise Program; (j) addresses reconstitution planning; and (k) addresses the DOE Continuity Readiness Assurance Program. (2) Each DOE program office or staff office must develop a COOP Implementation Plan that details the office’s COOP Program, responsibilities, and procedures to support the DOE COOP Plan. COOP Implementation Plans must define or reference internal procedures necessary to ensure accomplishment of MEFs, PMEFs, and ESAs from alternate operating locations. The COOP Implementation Plan must: I-16 DOE O 150.1 5-8-08 (a) include COOP elements, as indicated in this Order; (b) identify the MEFs, PMEFs, and ESAs the office supports or is responsible for, and indicate specific office essential functions/activities that must be performed to accomplish the MEFs, PMEFs, or ESAs; (c) address internal procedures necessary to ensure accomplishment of MEFs, PMEFs, and ESAs during a continuity event;

(d) identify CERG members for their offices; (e) identify implementing procedures that clearly describe how COOP Plans must be implemented; (f) include predetermined delegations of authority for making policy determinations and decisions that can take effect when normal channels of direction are disrupted; (g) establish orders of succession to key positions within the organization; (h) identify alternate operating facilities and capabilities; (i) identify vital records; (j) identify methods for notification of and communications with employees; (k) establish a Personnel Accountability Program for the office; (l) planning for an epidemic/pandemic continuity event; (m) describe the training, testing, and exercise program for the office; and (n) describe the Office’s Continuity Readiness Assurance Program. (3) Each DOE/NNSA field element must develop a COOP Plan to address the accomplishment of essential functions and activities in a continuity event at their location. Field element COOP Plans must also address the element’s responsibilities to assist and support DOE Headquarters in a continuity event that forces relocation of Headquarters operations to an alternate location. DOE field element COOP Plans must include COOP elements as indicated in this Order. Specifically, field COOP Plans must include the following elements. DOE O 150.1 I-17 5-8-08 (a) Departmental MEFs, PMEFs, and ESAs they are responsible for or provide support to and specific office essential functions/activities; (b) References to internal procedures to ensure accomplishment of specific office essential functions/activities from alternate operating locations; (c) References to internal procedures for executing MEFs, PMEFs, and ESAs that may be transferred from DOE Headquarters; (d) Planning for an epidemic/pandemic continuity event; (e) CERG members for the office; (f) Predetermined delegations of authority for policy determinations and decisions that can take effect when normal channels of direction are disrupted; (g) Orders of succession to key positions within the organization; (h) Identification of an alternate operating facility and its capabilities, as needed; (i) Identification of vital records; (j) Methods for notification of and communications with employees; (k) A Personnel Accountability Program for their office; (l) A training, testing, and exercise program for their office; and (m) A description of their Continuity Readiness Assurance Program. (4) The Continuity Readiness Assurance Program may be part of another readiness assurance program. d. Multi-Year Strategic Program Management Plan. The Departmental Multi-Year Strategic Program Management Plan must be developed to define the resources necessary to develop and maintain a functional COOP Program. (a) The plan must include objectives, programs, staffing, and budgetary requirements to support viable Continuity Program capability. (b) The plan must be updated and published annually. e. Classification Review. If the site/facility/activity generates classified information, unclassified controlled nuclear information (UCNI), or is conducting operations I-18 DOE O 150.1 5-8-08 that are classified or identified as UCNI, then all COOP Plans, procedures, scenarios, and assessments must be reviewed for classified information and UCNI by an authorized derivative classifier or UCNI reviewing official. DOE O 150.1 II-1 5-8-08 CHAPTER II COMMUNICATIONS REQUIREMENTS

1. GENERAL. Continuity events requiring evacuation of a primary location, the relocation to alternate operating facilities, and/or activation of communications at alternate operating facilities may be reported to DOE Headquarters, employees and the public. Communications requirements for continuity events do not supplant other required notifications and reporting delineated under legislation, implementing regulations, and DOE Orders. 2. PLANNING PHASE. a. For continuity events requiring evacuation of primary work facilities and relocation to alternate operating facilities, provisions must be established to permit prompt initial notification of all affected workers, DOE Headquarters, and other DOE/NNSA facilities. b. Notifications can be accomplished by automated calling systems, intra-office telephone trees or other established methods. c. DOE Headquarters and Albuquerque Service Center must meet the minimum requirements for continuity communications capabilities established in the National Communications System Directive (NCSD) 3-10. Communication capabilities identified in NCSD 3-10 and available at the DOE Headquarters and Albuquerque facilities will be tested and reported. d. The communication capabilities of alternate operating facilities must include: (1) capabilities commensurate with the Departmental MEFs and PMEFs; (2) the ability to communicate with CERG members, DOE employees, DOE leadership, and other Departmental elements; (3) the ability to communicate with the FOC, the Homeland Security Operations Center, other Federal agencies and their COOP sites, and critical customers; (4) redundant communication systems available for use, as appropriate; (5) the ability to access data systems and services, the local area network, vital electronic records, critical information systems and data, and internal and external e-mail files, and archives necessary to conduct MEFs, PMEFs, and ESAs; (6) communications and IT capabilities that are operational as soon as possible following COOP activation, but within 12 hours of notification; and II-2 DOE O 150.1 5-8-08 (7) an office COOP Implementation Plan that describes communication capabilities other than those contained in the DOE COOP Plan. e. A Disaster Recovery Plan must be developed to define resources, actions, tasks, and data systems required to manage the technology recovery effort for the Department. 3. PREPAREDNESS PHASE. a. See Chapter I for communication testing requirements. b. Communications testing requirements will be in accordance with NCSD 3-10. 4. RESPONSE PHASE. a. DOE Headquarters EOC Watch Office staff receives notifications of Headquarters or field element continuity events and is responsible for disseminating such information to the Director of Emergency Operations and the Continuity Program Manager. b. The Continuity Program Manager receives notifications from the FOC regarding a continuity event and makes the appropriate notifications. c. Field elements must notify the EOC Watch Office of a continuity event via phone call providing as much information as is known at the time. Field elements must immediately follow up this call with a confirmation e-mail or fax (pending operable IT) containing the same information. Both notifications should include the following: (1) The fact a continuity event has been declared; (2) A description of the situation; (3) The date and time the continuity event was declared; (4) Whether or not an alternate operating facility has been activated;

(5) Information on damage and casualties; (6) The status of other facility/site operations or program activities; and (7) Notifications that have been made. d. All reports and releases must be reviewed for classified information or UCNI by an authorized derivative classifier or UCNI reviewing official prior to being provided to uncleared personnel, entered into unclassified databases, or transmitted using non-secure communications equipment. DOE O 150.1 III-1 5-8-08 CHAPTER III RESPONSIBILITIES 1. DEPUTY SECRETARY. The Deputy Secretary is responsible for: a. serving as senior Departmental continuity management policy official. b. appointing a senior policy official to serve as the Departmental Continuity Coordinator. The Departmental Continuity Coordinator is the single point of contact for program management responsibilities and authorities as required by NSPD 51/HSPD 20. c. ensuring the Department has continuity plans for a national or localized continuity event and the ability for continued performance of all PMEFs, MEFs, and other essential functions. d. approving the DOE COOP Plan. 2. ADMINISTRATOR, NATIONAL NUCLEAR SECURITY ADMINISTRATION (NNSA). The Administrator, NNSA is responsible for: a. ensuring the availability of the Albuquerque Service Center (AL/SC) to serve as a devolution site. b. ensuring that all site services and support will be maintained in a state of readiness to support relocating personnel. 3. ASSOCIATE ADMINISTRATOR, OFFICE OF EMERGENCY OPERATIONS. The Associate Administrator, Office of Emergency Operations is responsible for: a. issuing all policy, requirements, and guidance for the Continuity Program. b. appointing a Continuity Program Manager. c. serving as budget and staffing advocate for the continuity program. d. ensuring that the COOP Program provides a comprehensive and integrated approach to continuity planning, preparedness, response, and reconstitution. 4. CONTINUITY PROGRAM MANAGER. The Continuity Program Manager is responsible for: a. managing day-to-day operation of the DOE Continuity Program Office. b. developing and maintaining the DOE multi-year strategy and Program Management Plan. III-2 DOE O 150.1 5-8-08 c. coordinating all continuity intra- and inter-Departmental commitments and exercise and response activities. d. developing and implementing a COG Program as delineated in NSPD 51/HSPD 20. e. managing all Departmental COG planning, preparedness, training and exercises. f. developing and implementing the Departmental COOP Program. (1) Documenting the COOP Program in the DOE COOP Plan. (2) Performing a documented review of the plan annually. (3) Submitting substantive changes to the COOP Plan for the Deputy Secretary’s approval, as deemed necessary. g. activating the CEMT facility and serving as CEMT Director as necessary. h. issuing all DOE/NNSA continuity policy, requirements, and guidance. i. representing the Department to the continuity community and continuity working groups. j. keeping all DOE program office, staff office, and field element COOP coordinators apprised of DOE and interagency continuity activities. k. incorporating OMB guidance on continuity as provided when developing the Department’s continuity budget. l. ensuring the DOE COOP Plan and procedures are coordinated with the individual responsible for the Occupant Emergency Plan and the Director, Office of Emergency Operations, who is responsible for Emergency Management Policy.

m. ensuring the Order of Succession to the Secretary of Energy is maintained up-to-date. n. establishing Departmental MEFs, PMEFs, and ESAs. o. ensuring alternate operating facilities are established as needed. p. ensuring program office and staff office implementation plans are established and maintained for the execution of Departmental MEFs, PMEFs, and ESAs. q. activating the HQ Continuity Emergency Response Group. r. establishing procedures for notifying and instructing DOE Headquarters and field personnel when the DOE COOP Plan is activated. DOE O 150.1 III-3 5-8-08 s. initiating internal notification to organizational leadership, COOP coordinators, and others as necessary to provide direction relating to changes in COOP COGCON levels or COOP Plan activation. t. testing DOE Headquarters Continuity Program’s automated notification system quarterly. u. planning for and making COOP awareness training available for DOE personnel. v. ensuring officials in the Order of Secretarial Succession participate and are trained to carry out their response duties during continuity exercises. w. validating Headquarters COOP readiness through regularly scheduled internal and interagency tests and exercises. x. providing up-to-date key continuity point-of-contact information to the FEMA Operations Center. y. Ensuring that Departmental and field elements have their COOP Programs reviewed once every three years by an entity technically qualified, knowledgeable in the areas to be accessed, and not directly involved with the development of that COOP Program. z. providing an annual status report to the Deputy Secretary on Departmental COOP readiness assurance. aa. establishing procedures for DOE Headquarters and Albuquerque for compliance of NCSD 3-10. 5. DIRECTOR, DOE HEADQUARTERS/NNSA EMERGENCY OPERATIONS CENTER (EOC) WATCH OFFICE. The Director, DOE Headquarters/NNSA EOC Watch Office is responsible for: a. providing emergency operations support for COOP planning, preparedness, and implementation. b. ensuring the Headquarters communications equipment is tested in accordance with NCSD 3-10. c. establishing the Transportation and Emergency Control Center (TECC) in Albuquerque, NM, as backup to the DOE Headquarters Emergency Operations Center and Alternate Operating Center (AOC), and training TECC duty personnel to accomplish EOC tasks. d. maintaining an AOC capable of assuming the duties of the primary Headquarters EOC Watch Office in a continuity event. III-4 DOE O 150.1 5-8-08 e. notifying the DOE Continuity Program Manager of continuity events reported by FEMA or a DOE field element. 6. PROGRAM SECRETARIAL OFFICER AND STAFF OFFICE DIRECTOR. Each Program Secretarial Officer and Staff Office Director is responsible for: a. appointing a COOP coordinator and a backup to administer COOP and serve as continuity points-of-contact. b. ensuring the COOP coordinator provides updated personnel notification lists on a quarterly or as necessary basis to the DOE Continuity Program Manager. c. developing and implementing a COOP Program, as required by chapters 1 & 2 of this Order. d. ensuring the COOP plan addresses epidemic and pandemic threats to DOE facilities and operations. e. developing and implementing a COOP implementation plan. f. annually reviewing, updating, and providing an electronic copy of the implementation plan to the DOE Continuity Program Manager. g. ensuring implementation of COOP management policy and requirements.

h. maintaining programs and systems consistent with policy and requirements. i. establishing a test and exercise program for all applicable personnel. j. ensuring budget submissions for facilities, activities, and transportation functions are adequate for the effective implementation and maintenance of COOP. k. identifying office essential functions, resources, and records for the DOE MEFs, PMEFs, and ESAs they are responsible for or required to support. l. ensuring a system or program is established for issuing and maintaining accountability of Government Emergency Telecommunications Service (GETS) Cards issued to all COOP responders, and providing the total number of cards issued to the Continuity Program Manager. m. establishing order for succession to key positions within the organization. n. establishing predetermined delegation of authority for the office. o. identifying and establishing local and remote alternate operating facilities. p. notifying the Continuity Program Office of significant office changes that may impact space allocation in the event of COOP Plan activation. DOE O 150.1 III-5 5-8-08 q. ensuring that within areas of programmatic responsibility: (1) a system or program is established and maintained for 24-hour initial receipt and further dissemination of continuity notifications; (2) specialized technical representatives and subject matter experts are provided when the CEMT is convened; (3) CERG members are officially identified; (4) GETS cards are issued and tested by CERG members; (5) a continuity training, testing, and exercise program is established for their office, and providing COOP awareness training; (6) continuity training and response procedures are adequate in field element programs; (7) a system or program is established for maintaining vital records that are accessible at COOP facilities; (8) access to vital classified and unclassified records, critical information systems, services, and data that must be tested at the alternate operating facility semi-annually; (9) COOP readiness assurance activities are performed; and (10) infrastructure and training is in place to enable essential employees (including contractors) to work from home or other alternate operating facilities in a continuity event. r. developing a plan with procedures and instructions addressing epidemic and pandemic threats in coordination with the Director, Office of Human Capital Management and the Chief Health, Safety, and Security Officer. s. reviewing the fields’ COOP Plan(s) annually and ensuring a copy is provided to the DOE Continuity Program Manager. 7. PROGRAM SECRETARIAL OFFICERS. Program Secretarial Officers are responsible for ensuring implementation of policy and requirements for activities conducted by sites/facilities and/or cognizant field elements under their authority, including COOP self-assessments of their Continuity Readiness Assurance Programs. 8. CHIEF HEALTH, SAFETY, AND SECURITY OFFICER (HSS). The Chief HSS is responsible for: III-6 DOE O 150.1 5-8-08 a. conducting the security portion of the all-hazards risk assessment of DOE’s primary and secondary Headquarters operating facilities. b. coordinating with the Office of Management on the security portion of the all-hazards risk assessment of DOE’s primary and secondary Headquarters operating facilities. c. updating the security portion of all-hazards risk assessment bi-annually.

d. developing a plan with procedures and instructions addressing epidemic and pandemic threats in coordination with the Director, Office of Human Capital Management. 9. DIRECTOR, OFFICE OF HUMAN CAPITAL MANAGEMENT. The Director, Office Human Capital Management is responsible for: a. developing a plan to provide the infrastructure and training to enable DOE federal employees to work from home or other alternate operating facilities during a continuity event in coordination with the Chief Information Officer. b. providing guidance consistent with the Office of Personnel Management regarding procedures and instructions for federal employees in the event that an epidemic or pandemic situation threatens one or more DOE facilities in coordination with the Chief HSS. c. providing a corporate system to account for DOE federal employees and contractors after a continuity event of DOE facilities and the unavailability of those facilities for an extended time. 10. DIRECTOR, OFFICE OF MANAGEMENT. The Director, Office of Management is responsible for: a. developing an internal plan for Headquarters operating facility management to ensure availability of infrastructure support (e.g., primary and backup power, water, HVAC, decontamination). b. ensuring consistency between the Headquarters Occupant Emergency Plan and the DOE COOP Plan. c. developing a standard operating procedure for use of aviation and other transportation assets in the event DOE leadership must be moved out of the Washington DC area. d. preparing an all-hazards risk assessment of DOE’s primary and secondary Headquarters operating facilities in coordination with the Chief HSSO. This risk assessment must be updated annually. DOE O 150.1 III-7 5-8-08 11. DIRECTOR, OFFICE OF THE CHIEF INFORMATION OFFICER (IM) AND OTHER OFFICES NOT SUPPORTED BY IM. These entities are responsible for: a. developing a plan, in coordination with the Chief Human Capital Officer to provide the infrastructure and training to enable DOE Headquarters federal employees to work from home or other alternate operating facilities in a continuity event. b. developing a Disaster Recovery Plan that defines the resources, actions, tasks, and data required to manage the technology recovery effort for the Department, including the capability to recover vital records. 12. DIRECTOR, OFFICE OF INTELLIGENCE AND COUNTERINTELLIGENCE. The Director, Office of Intelligence and Counterintelligence is responsible for participating in the quarterly testing of interoperable communication systems to be used in a continuity event (primary and alternate facilities), in accordance with NCSD 3-10. 13. FIELD ELEMENT MANAGER. The degree of field element COOP planning must be commensurate with that field element’s role in supporting the execution of the Departmental MEFs and PMEFs, and to the extent an event directly affecting the field element would impact the continuity of Departmental MEFs, PMEFs, and ESAs. The field element manager is responsible for: a. ensuring the field element COOP Program is developed. b. integrating the field element COOP Program with the required emergency management program. c. conducting annual field element COOP Program self-assessments. d. establishing order of succession to key positions to ensure support to the Secretary and execution of MEFs, PMEFs, and ESAs. e. establishing predetermined delegation of authority for making policy determinations that can take effect when normal channels of direction are disrupted.

f. appointing a primary and a back-up COOP coordinator to administer COOP and serve as the COOP points-of-contact for the field element, and designating the COOP coordinator to provide notification information to their Lead Program Secretarial Office (LPSO) and the DOE Continuity Program Manager. g. identifying essential functions/activities, resources, and records for the DOE MEFs, PMEFs, and ESAs for which his/her office is responsible for or to which it provides support. III-8 DOE O 150.1 5-8-08 h. developing and implementing a field element COOP Plan that documents their COOP Program. i. providing a copy of the approved plan(s) to the appropriate program office and to the DOE Continuity Program Manager. j. ensuring epidemic and pandemic planning is integrated with the development and maintenance of the field element COOP Plans. k. implementing COOP management policy and requirements and maintaining programs and systems consistent with policy and requirements. l. coordinating with the program Secretarial Officers to ensure resources for facilities and activities under their cognizance are available to implement this Order. m. notifying the DOE Headquarters EOC Watch Office as soon as possible following the declaration of a continuity event. n. maintaining effective communication systems and protocols with the Headquarters EOC. Specifically, during continuity events that require relocation of essential personnel and involving/affecting facilities. o. developing a disaster recovery plan or procedure that defines the resources, actions, tasks, and data required to manage the technology recovery effort for the Department, including the capability to recover vital records. p. identifying the CERG members, and ensuring GETS cards are issued to and tested by CERG members. q. ensuring field element personnel and contractors participate in COOP training, testing, and exercises. COOP awareness training is provided to all personnel, and CERG members are provided office specific CERG training. r. establishing a Personnel Accountability Program to document the location, contact information, and well-being of all personnel during a continuity event. s. implementing corrective actions from lessons learned based on findings from relocations (exercise or real world), evaluations, assessments, and appraisals. Corrective actions should be included in the field element corrective action program. t. implementing, in coordination with the Director, Office of Emergency Operations, and the program Secretarial Officers, a Readiness Assurance Program, consisting of evaluations, improvements, and Continuity Readiness Assurance Reports. DOE O 150.1 III-9 5-8-08 u. ensuring appropriate measures of the effectiveness of contractor site or facility continuity programs are incorporated in contractual arrangements. v. ensuring a system or program is established for issuing and maintaining accountability of Government Emergency Telecommunications Service (GETS) cards, and providing total number of cards to the Continuity Program Manager. w. reviewing and approving Continuity Readiness Assurance Reports covering facilities under his/her supervision; submits reports to the Program Secretarial Officer and the Director, Office of Emergency Operations. x. ensuring COOP plans and procedures are prepared, reviewed annually, and updated as necessary for all facilities within his/her area of responsibility and are integrated with the overall field element emergency preparedness program.

y. possibly activating a CERG to oversee COOP operations at the appropriate site. z. ensuring situational reports are provided to the DOE Continuity Program Manager via the DOE EOC Watch Office. aa. ensuring communications with state, tribal, and local governments, the national media, and the public. bb. field elements with contractors responsible for site or facility operations and activities, participating in the development of a comprehensive COOP Program that integrates with other local emergency response programs. cc. notifying contracting officers of affected site or facility management contracts to incorporate the CRD of this Order into their contracts. dd. approving written requests from the contractors at sites with multiple facilities to place facility-specific requirements from the CRD of this Order on a site-contractor-level or organization (such as a single, site-wide public information organization rather than separate organizations at each facility). The field element federal manager may also decide to place facility-specific requirements on the field element organization. Placing facility-specific requirements on the field element or on a site-contractor-level organization does not require an exemption from this Order. ee. providing the sites, facilities, and activities under his/her contractor oversight responsibility with: (1) direction to implement continuity management policy and requirements; (2) direction in COOP planning and preparedness activities including the Departmental MEFs, PMEFs, and ESAs that the contractor supports. III-10 DOE O 150.1 5-8-08 (3) support and assistance during COOP events; and (4) support and assistance in resolving issues and assessment of COOP Programs. 14. SITE/FACILITY MANAGERS. In addition to the responsibilities listed in paragraph 13.aa., managers of government owned and government operated facilities are responsible for: a. developing, implementing, maintaining, and updating, as necessary, a COOP Program consistent with Departmental directives and standards of performance. b. preparing and maintaining COOP Plans, procedures, and technical resource capabilities that address training, drills, exercises, outreach and coordination, and applicable Federal statutes, state and local laws, DOE Orders, and implementing regulations and guidance. c. establishing and maintaining an internal assessment program to ensure the readiness of COOP response capabilities, including developing and conducting a self-assessment program with a process to measure, monitor, and evaluate line performance. DOE O 150.1 Attachment 1 5-8-08 Page 1 CONTRACTOR REQUIREMENTS DOCUMENT DOE O 150.1, Continuity Programs Regardless of who performs the work, the contractor is responsible for complying with the requirements of this contractor requirements document (CRD). The contractor is responsible for flowing down the requirements of this CRD to subcontractors at any tier to the extent necessary to ensure the contractor’s compliance with the requirements. 1. GENERAL REQUIREMENTS. a. The contractor must develop implement, and update, as necessary, a Continuity of Operations (COOP) Program designed to: (1) assist the Department in continuing to accomplish Departmental mission essential functions (MEFs), primary mission essential functions (PMEFs), and essential supporting activities (ESAs), see attachment #2; (2) be integrated with the Emergency Management Program;

(3) utilize existing emergency management programs to meet the requirements of this CRD; (4) develop and implement a COOP Implementation Plan or Business Recovery Plan that documents the COOP Program; and (5) address preparedness and response to epidemic and pandemic events. b. Contractors with established Business Recovery Plans which meet requirements of this CRD need not develop separate COOP Plans. c. Implementation of contractor Business Recovery Plans may be directed by the DOE/NNSA field element with contract oversight. d. The COOP Implementation Plan or Business Recovery Plan must be approved by the DOE field element. 2. SPECIFIC REQUIREMENTS. The contractor program must: a. identify contractor/site-performed essential functions/activities that support Departmental MEFs, PMEFs, and ESAs as identified by the field element; b. provide for planning to ensure the capability exists for performance of identified essential functions/activities; c. provide for the planning and implementation of plans that address epidemic and pandemic threats; Attachment 1 DOE O 150.1 Page 2 5-8-08 d. identify a primary and a back-up COOP coordinator to administer the COOP Program and serve as the COOP points-of-contact; e. provide for internal procedures for executing MEFs, PMEFs, and ESAs that have been devolved from DOE Headquarters or field elements; f. identify and train CERG members; g. provide for predetermined delegations of authority for policy determinations and decisions that can take effect when normal channels of direction are disrupted; h. provide for orders of succession to key positions within the organization; i. identify and provide alternate operating facilities with capabilities for performing essential functions; j. provide for necessary interoperable communications to perform essential functions; k. provide for notifications to DOE HQ and the field element of a continuity event at the site; l. identify vital records necessary to perform essential functions/activities and ensure those vital records are available at the alternate operating facility; m. define methods of and provide capabilities for notification of and communication with employees during a continuity event; n. establish a Personnel Accountability Program for use during a continuity event; o. provide a training, testing and exercise program to ensure the office/site/contractor specific essential functions/activities can be accomplished in a continuity event; p. conduct annual COOP awareness briefing for the contractor workforce, and ensure COOP awareness briefings include training on COOP alert, notification, and deployment procedures; q. provide for a Continuity Readiness Assurance Program, including a COOP Corrective Action Program and a Lessons Learned Program, and submit a Continuity Readiness Assurance Report to the appropriate field element and Headquarters program office. NOTE: The Continuity Readiness Assurance Program may be part of another Readiness Assurance Program and the report may be submitted as part of the Emergency Readiness Assurance Report; and r. conduct annual self-assessment of COOP Plans. DOE O 150.1 Attachment 2 5-8-08 Page 1 ESSENTIAL FUNCTIONS

Essential functions are the basis for continuity planning. Performance of essential functions represents the primary goal of the DOE Continuity of Operations Program. Essential Government functions are those Government activities that must remain uninterrupted or resumed rapidly following a disruption of normal Department/Agency (D/A) business, even if the D/A’s primary operating facilities or key personnel are not available. Essential functions are necessary to lead and sustain the country during a continuity event; exercise civil authority; maintain the safety and well being of the general populace; provide vital services, and sustain the industrial and economic base. The National Essential Functions and DOE’s Mission Essential Functions (MEF) are subject to change depending on respective focus and mission changes. Please refer to the approved DOE Continuity of Operation Plan for the most current Departmental MEFs. National Essential Functions (NEFs) The Homeland Security Council has established eight National Essential Functions (NEFs (NSPD-51/HSPD-20)) that represent those efforts that will be the primary focus of the President and the national leadership during and following a continuity event. NEFs require the collective effort of many D/A working together to carry out their individual and joint missions. 1. Ensuring the continued functioning of our form of government under the Constitution, including the functioning of the three separate branches of government. 2. Providing leadership visible to the Nation and the world and maintaining the trust and confidence of the American people. 3. Defending the Constitution of the United States against all enemies, foreign and domestic, and preventing or interdicting attacks against the United States or its people, property, or interests. 4. Maintaining and fostering effective relationships with foreign nations. 5. Protecting against threats to the homeland and bringing to justice perpetrators of crimes or attacks against the United States or its people, property, or interests. 6. Providing rapid and effective response to and recovery from the domestic consequences of an attack or other incident. 7. Protecting and stabilizing the Nation's economy and ensuring public confidence in its financial systems. 8. Providing for critical Federal Government services that address the national health, safety, and welfare needs of the United States. Attachment 2 DOE O 150.1 Page 2 5-8-08 Department of Energy Mission Essential Functions (MEFs), Primary Mission Essential Functions (PMEFs) The Department of Energy has identified seven MEFs of which six are PMEFs that are of top priority during a continuity event and relate back to the NEFs. DOE must resume the PMEFs within 12 hours of a catastrophic event and be able to sustain these functions for up to 30 days. The single Departmental MEF must be resumed within 30 days of the event. PMEFs/MEFs • Maintain the safety and security of nuclear materials and stewardship of the nation’s Nuclear Weapons Complex. • Manage the status of the National Energy Infrastructure. Respond to the National Response Plan, ESF #12. • Quickly develop and deploy creative scientific and engineering solutions to complex challenges using the extensive DOE National Laboratory complex capabilities. • Deploy DOE national response assets in accordance with Federal emergency response plans and provide technical expertise, information, and mitigation support regarding nuclear and radiological weapons design and effects.

• Manage and respond to international nuclear and other weapons of mass destruction (WMD) proliferation issues. • Conduct intelligence, counterintelligence, and threat assessments of global nuclear weapon development, nonproliferation, terrorist threats, and energy production and consumption. MEF • Continue the cleanup of the environmental legacy of the nation’s nuclear weapons program and government-sponsored nuclear energy research. Establish a disposal site for the nation’s commercial nuclear waste and defense atomic energy activities. Department of Energy Essential Supporting Activities (ESAs) The Department’s ESAs are those functions and activities that assist in the accomplishment of the Departments MEFs, PMEFs, or the NEFs. The ESAs are not listed in priority order. • Provide executive-level department command, control, leadership, and management of Department’s program office, staff office, support office, and field offices. • Ensure the availability of information technology. • Ensure the availability of communication systems. DOE O 150.1 Attachment 2 5-8-08 Page 3 (and Page 4) • Provide security of DOE programs and facilities. • Provide for the health, safety, security, and accountability of human capital. • Ensure adequate funding, procurement, and contracting support is available for essential DOE activities during and after a continuity event. • Provide essential business services to the DOE Secretary and program offices. • Respond to DOE operational emergencies. • Provide interface with the public, press, Congress, states, tribal, locals, other Federal agencies, and international governments during a continuity event. DOE O 150.1 Attachment 3 5-8-08 Page 1 DEFINITIONS 1. Agencies—Federal executive branch departments, agencies, and independent organizations. 2. Agency Head—the highest-ranking official of the primary occupant agency or a successor or designee selected by the official. 3. All-hazard Risk Assessment—a risk assessment performed on sites/facilities that are being considered as alternate operating facilities. The assessment analyzes the risks and vulnerability of the building to both natural and manmade disasters that could disrupt operations. Assessments performed for other program requirements (safety and security) can be utilized. 4. Alternate Operating Facility—a location other than the primary facility used to carry out MEFs, PMEFs, or ESAs in a continuity situation. 5. Automated Data Processing (ADP) Equipment—equipment that performs data processing largely by automatic means. 6. Business Recovery Plan—also known as a Business Continuity Plan, is how an organization prepares for future incidents that could jeopardize the organization's core mission and its long term health. Incidents include local incidents like building fires, regional incidents like earthquakes, or national incidents like pandemic illnesses, 7. Catastrophic Emergency—any incident, regardless of location, that results in extraordinary levels of mass casualties, damage, or disruption severely affecting the U.S. population, infrastructure, environment, economy, or government functions. 8. Continuity Capability—the ability of an organization to continue performance of Essential Function utilizing Continuity of Operations and Continuity of Government programs and integrated day-to-day operations with a primary goal of ensuring the preservation of our form of government under the Constitution and the continuing performance of National Essential Functions under all conditions.

9. Continuity Coordinator—departmental representative at the Assistant Secretary or equivalent level appointed by the Deputy Secretary of Energy to represent the Department. 10. Continuity Emergency Management Team (CEMT)—component of the Continuity Emergency Response Group (CERG) responsible for coordination of information and actions in a continuity event; the primary information hub and source for situational updates to DOE decision makers. 11. Continuity Emergency Response Group (CERG)—individuals that provide leadership, coordinate emergency response activities, perform mission essential functions and essential supporting activities and provide logistics and other support. The CERG is divided into several teams. Attachment 3 DOE O 150.1 Page 2 5-8-08 12. Continuity Emergency Response Group (CERG) Member—a person assigned responsibility to report to an alternate site to perform MEFs, PMEFs, ESAs or other continuity related operations. 13. Continuity Event—an emergency caused by natural disasters, accidents, military or terrorist attacks, technological emergencies, and pandemic/epidemic threats, which causes the Department to relocate operations to an alternative site to ensure continuing operation of essential functions. 14. Continuity of Government (COG)—a coordinated effort within each branch of government (e.g., the Federal government’s executive branch) to ensure that national essential functions continue to be performed during a catastrophic emergency. 15. Continuity of Operations (COOP)—an effort within individual organizations (e.g., Federal executive branch departments and agencies) to ensure that Mission Essential Functions continue to be performed during continuity events, including localized acts of nature, accidents, and technological or attack-related emergencies. 16. Continuity Programs—a general term that includes all aspects of Enduring Constitutional Government (ECG), Continuity of Government (COG), and Continuity of Operations (COOP). 17. Continuity Program Manager—under the direction of agency head, manages the day- to-day continuity programs and represents their department or agency on the continuity community and working groups as appropriate. Reports to the Department Continuity Coordinator 18. Continuity Readiness Assurance Program—a program developed and implemented by each DOE office to ensure that MEFs, PMEFs, and ESAs can be performed during a continuity event. 19. Continuity Readiness Assurance Report—documents the readiness of the office’s continuity program based on planning and preparedness activities and the results of the assessment, including evaluations and improvements. Can be included in the Emergency Management Readiness Assurance Report. 20. Continuity Support Team (CST)—a component of the CERG staffed by the program office and staff office personnel who actually perform MEFs, PMEFs, and essential supporting activities. 21. COOP Activation—the point at which the CERG is fully operational and accepts the transfer of essential functions from the primary operating facility. 22. COOP Coordinator—program office, staff office, or field element representative who represent and are the point-of-contact for their office or field element regarding COOP. 23. COOP Implementation Plan—a type of COOP plan that each DOE HQ Program and Staff Office develops to implement their COOP office program. COOP Implementation DOE O 150.1 Attachment 3 5-8-08 Page 3

Plans work in concert with the DOE COOP Plan. The Implementation Plans provides the planning and direction to the specific office of what needs to be done in a continuity event. 24. COOP Plan—also know as the Continuity of Operations Plan, is a DOE wide plan that documents and describes the DOE Continuity Program, provides implementation process and procedures for DOE Headquarters in a continuity event and provides guidance to DOE field element on the development and implementation of their own COOP Programs. 25. COOP Plan Activation—the process of implementing a COOP Plan when a notification occurs of a change in the COOP COGCON Level to COOP COGCON 2 or 1. Usually involves the movement of the CERG to alternate operating facilities. 26. Corrective Action Program (CAP)—a system of identifying and tracking corrective actions for findings from continuity tests, training, exercises, assessments, and operations. The program will assist in the documentation, prioritizing, and acquiring resources to improve the Continuity Program. 27. Critical Infrastructure Protection (CIP)—risk management actions intended to prevent a threat from attempting to or succeeding at destroying or incapacitating critical infrastructures. Critical infrastructures are those systems and assets so vital to the nation that their incapacity or destruction would have a debilitating impact on national security, national economic security, or national public health or safety. 28. Delegation of Authority—identification, by position, of the personnel with authority for making policy determinations and decisions at Headquarters, field levels, and all other organizational locations when primary personnel are unavailable. Generally, pre-determined delegations of authority will take effect when normal channels of direction are disrupted and terminate when these channels have resumed. 29. Devolution—the capability to transfer statutory authority and responsibility for essential functions from an Agency's primary operating staff and facilities to other employees and facilities and to sustain that operational capability for an extended period. 30. Disaster Recovery Plan—disaster recovery is the process of regaining access to the data, hardware, and software necessary to resume critical business operations after a natural or human-induced disaster. 31. Drive-Away Kit—a collection of materials prepared for an individual who expects to deploy to an alternate location during a continuity event. It contains items needed to minimally satisfy personal and professional needs during deployment. 32. Emergency Operating Records—vital records essential to the continued functioning or reconstitution of an organization during and after a continuity event. Included are emergency plans and directives, orders of succession, delegations of authority, staffing assignments, selected program records needed to continue the most critical agency Attachment 3 DOE O 150.1 Page 4 5-8-08 operations (MEFs/PMEFs), and related policy or procedural records that assist Agency staff in conducting operations under emergency conditions and for resuming normal operations after a continuity event. 33. Emergency Readiness Assurance Plan (ERAP)—an annual report that each field element submits summarizing its emergency management program. It identifies the goals and accomplishments of the past fiscal year and the goals for the current fiscal year.

34. Enduring Constitutional Government (ECG)—a cooperative effort among the executive, legislative, and judicial branches of the Federal Government, coordinated by the President, as a matter of comity with respect to the legislative and judicial branches and with proper respect for the constitutional separation of powers among the branches, to preserve the constitutional framework under which the Nation is governed and the capability of all three branches of government to execute constitutional responsibilities and provide for orderly succession, appropriate transition of leadership, and interoperability and support of the National Essential Functions during a catastrophic emergency. 35. Epidemic—a pronounced clustering of contagious disease cases within a short period of time; more generally, a contagious disease whose frequency of occurrence is in excess of the expected frequency in a population during a given time interval. 36. Essential Functions—critical activities performed by organizations after a disruption of normal activities. The categories of essential functions are NEFs, MEFs, and PMEFs. 37. Essential Resources—those that support the Federal Government's ability to provide vital services, exercise civil authority, maintain the safety and well being of the general populace, and sustain the industrial/economic base during a continuity event. 38. Essential Supporting Activities (ESAs)—activities performed by an agency or department that support the accomplishment of the Department’s MEFs and PMEFs. 39. Executive Agent—a term used to indicate a delegation of authority by a superior to a subordinate to act on behalf of the superior. An executive agent may be limited to providing only administration and support or coordinating common functions or it may be delegated authority, direction, and control over specified resources for specified purposes. 40. Exercises—organized activity designed to test the ability to execute business continuity plans and evaluate individual or organization performance against approved standards or objectives. Exercises can be announced or unannounced and are performed for the purpose of training and conditioning team members and validating continuity plans. Exercise results identify plan gaps and limitations and are used to improve and revise the continuity plans. Types include table top exercises, simulations, operational exercises, mock disasters, desktop exercises, and full rehearsals. DOE O 150.1 Attachment 3 5-8-08 Page 5 41. Facility—several structures or component units with a common or related purpose may constitute a single facility. A complex of dissimilar buildings, processes, and equipment may also be considered as a single facility if they are physically adjacent, under common management, and contribute to a common programmatic mission. 42. Field Element—operations offices, service centers, site offices, area offices, regional offices of federally staffed laboratories, and Power Marketing Administrations. 43. Government Emergency Telecommunication Service (GETS)—a telecommunication service that provides continuity responders a high probability of completion of their land line telephone calls in a continuity event. 44. Government Functions—the collective functions of the heads of executive departments and agencies as defined by the Constitution, statue, regulation, presidential direction, or other legal authority, and the functions of the legislative and judicial branches.

45. Interagency Agreement—a written agreement entered into between agencies that require specific goods, services to be furnished, or tasks to be accomplished by one agency in support of the other. 46. Interoperability— a. The ability of systems, personnel, or agencies to provide services to and accept services from other systems, personnel, or agencies and to use the services so exchanged to enable them to operate effectively together. b. The condition achieved among communications-electronic systems or items of communications-electronics equipment when information or services can be exchanged directly and satisfactorily between them and/or their users. 47. Interoperable Communications—alternate communications capabilities that perform essential functions in conjunction with other agencies until normal operations can be resumed. 48. Legal and Financial Records—vital rerecords essential to protect legal and financial rights of the Government and individuals directly affected by its activities, also known as rights and interests records. Samples include accounts receivable records, social security records, payroll records, retirement records, and insurance records. 49. Mission Critical Data—information essential to supporting the execution of an Agency or Department’s MEFs and PMEFs. 50. Mission Critical Systems—equipment essential to supporting the execution of an Agency or Department's MEFs and PMEFs. 51. Mission Essential Functions (MEFs)—the limited set of Department and Agency-level government functions that must be continued after a disruption of normal activities. Attachment 3 DOE O 150.1 Page 6 5-8-08 MEFs provide vital services, exercise civil authority, maintain the safety of the general public and sustain the industrial/economic base during disruption of normal operations. 52. Multi-year Strategy and Program Management Plan—a Departmental plan that describes a process that ensures the maintenance and continued viability of the COOP program. 53. National Essential Functions (NEFs)—a set of Government functions that are necessary to lead and sustain the country during a catastrophic emergency and must be supported through COOP and COG capabilities. 54. Occupant Emergency Plan (OEP)—procedures developed to protect life and property in a specific federally-occupied space under stipulated emergency conditions. 55. Orders of Succession—provisions for the assigning of senior Agency officials’ responsibilities during an emergency in the event that any of those officials are unavailable to execute their legal duties. 56. Pandemic—a worldwide epidemic when a new or novel strain of influenza disease emerges in which humans have little or no immunity, and develops the ability to infect and be passed between humans.. 57. Primary Facility—the site of normal, day-to-day operations; the location where an employee usually goes to work. 58. Primary Mission Essential Functions (PMEFs)—those Government functions that must be performed to support or implement the performance of NEFs before, during and in the aftermath of a continuity event. 59. Reconstitution—the process by which surviving and/or replacement Agency personnel resume normal operations from the original or replacement primary operating facility. 60. Risk Analysis—identification and assessment of hazards effects and countermeasures. 61. Site–the area over which DOE has access control authority.

62. Telecommuting Locations—those locations with computers and telephones that enable employees to work at locations other than their main offices. 63. Telework—when an employee carries out work duties at his/her residence or other location rather than the official duty station. 64. Test—a pass/fail evaluation of infrastructure (e.g., computers, cabling, devices, hardware and physical plant infrastructure (e.g., building systems, generators, utilities)) to demonstrate the anticipated operation of the components and system. Tests are often DOE O 150.1 Attachment 3 5-8-08 Page 7 (and Page 8) performed as part of normal operations and maintenance. Tests are often included within exercises (See Exercise). 65. Training, Testing, and Exercises (TT&E)—measures to ensure that a Department/Agency's COOP program is capable of supporting the continued execution of its MEFs, PMEFs, and ESAs throughout the duration of a COOP situation. 66. Virtual Offices—a location or environment where an employee performs work with portable information technology and communication packages. 67. Vital Databases—information systems needed to support MEFs, PMEFs, and ESAs during a COOP situation. 68. Vital Records—the emergency operating records and legal and financial rights records required to accomplish MEFs, PMEFs, and ESAs during and after a continuity event, or as part of the recovery from a disaster. 69. Weapons of Mass Destruction (WMDs)—weapons that are capable of a high order of destruction and/or of being used in such a manner as to destroy large numbers of people. Weapons of mass destruction can be high explosives or nuclear, biological, chemical, and radiological weapons. DOE O 150.1 Attachment 4 5-8-08 Page 1 ACRONYM LIST ADP Automated Data Processing AL/SC Albuquerque Service Center AOC Alternate Operations Center CAP Corrective Action Plan CEMT Continuity Emergency Management Team CERG Continuity Emergency Response Group CFR Code of Federal Regulations CIO Chief Information Officer CIP Critical Infrastructure Protection COG Continuity of Government COGCON Continuity of Government Condition COOP Continuity of Operations CRD Contract Requirements Document CST Continuity Support Team D/A Department and Agency DOE Department of Energy DHS Department of Homeland Security ECG Enduring Constitutional Government EOC Emergency Operations Center ERAP Emergency Readiness Assurance Plan ESA Essential Supporting Activities ESF Emergency Support Function FEMA Federal Emergency Management Agency FOC FEMA Operations Center GETS Government Emergency Telecommunications Service GSA General Services Administration HQ Headquarters HSOC Homeland Security Operations Center HVAC Heating, Ventilating, and Air Conditioning HSPD Homeland Security Presidential Directive HSS Health, Safety, and Security Office Attachment 4 DOE O 150.1 Page 2 5-8-08 IT Information Technology LPSO Lead Program Secretarial Officer MEF Mission Essential Functions NEF National Essential Functions NNSA National Nuclear Security Administration NRP National Response Plan NCS National Communications System NCSD National Communications System Directive NSPD National Security Presidential Directive OEP Occupant Emergency Plan OMB Office of Management and Budget P.L. Public Law PMEF Primary Mission Essential Functions PSO Program Secretarial Officer SF Standard Form TECC Transportation Emergency Control Center TT&E Testing, Training, and Exercises UCNI Unclassified Controlled Nuclear Information U.S.C. United States Code WHMO White House Military Office WMD Weapons of Mass Destruction