DOE O 150.1B, Continuity Programs

AVAILABLE ONLINE AT: INITIATED BY: www.directives.doe.gov National Nuclear Security Administration U.S. Department of Energy ORDER Washington, DC Approved: 12-21-2021 SUBJECT: CONTINUITY PROGRAMS 1. PURPOSE. The purpose of this Order is to: a. Establish the requirements for a continuity program for the Department of Energy (DOE), including Headquarters Offices, Field Elements, and contractors (as defined later in this Order), all herein referred to as the “Department.” (1) Headquarters Office is used to describe the collective DOE and National Nuclear Security Administration (NNSA) Headquarters Offices (e.g., Secretarial, Program, Staff, Support, Mission, and Mission Support). (2) Field Element is used to describe the collective DOE/NNSA operations offices, service centers, site offices, field offices, area offices, production offices, project management offices, government-owned government- operated facilities, and regional offices of federally-staffed laboratories that report directly to a DOE Headquarters office. (3) The phrase “all Departmental Elements” is used, for the purpose of this Order, to generically describe all Headquarters Offices and Field Elements. (4) The definition and requirements for Management and Operating (M&O) and other than M&O contractors are addressed in the Contractor Requirements Document (CRD), Attachment 1. b. Meet the mandatory Continuity of Operations (COOP) planning requirements prescribed by the following documents currently in circulation: (1) Presidential Policy Directive (PPD) 40, National Continuity Policy, dated July 15, 2016. (2) Executive Order 12656, Assignment of Emergency Preparedness Responsibilities, dated November 18, 1988, as amended. (3) Executive Order 13618, Assignment of National Security and Emergency Preparedness Communications Functions, dated July 6, 2012. (4) Federal Continuity Directive 1 (FCD-1), Federal Executive Branch National Continuity Program and Requirements, dated January 17, 2017. (5) FCD-2, Federal Executive Branch Mission Essential Functions and Candidate Primary Mission Essential Functions Identification and Submission Process, dated June 13, 2017. DOE O 150.1B http://www.directives.doe.gov/ 2 DOE O 150.1B 12-1-2021 (6) Office of Science and Technology Policy/Office of Management and Budget Directive 16-1, (OSTP/OMB D-16-1), Minimum Requirements for Federal Executive Branch Continuity Communications Capabilities, dated December 15, 2016. (7) Federal Mission Resilience Strategy (FMRS), December 7, 2020. (8) Executive Order 13961, Governance and Integration of Federal Mission Resilience, December 7, 2020. c. Increase operational resilience across the enterprise through application of the National Security Council’s (NSC’s) Assess, Distribute, Sustain planning paradigm documented in the FMRS. d. Establish Departmental program and planning requirements for continuity readiness and preparedness activities; plan activation; continuity operations, including devolution; and reconstitution. e. Assign and describe roles and responsibilities, within the continuity program, for specific positions within the Department. f. Ensure the Department can respond promptly, efficiently, and effectively to a continuity event involving the Department’s facilities, activities, or operations. g. Ensure the Department can maintain control and direction at all levels of the organization and perform its Primary Mission Essential Functions (PMEFs), Mission Essential Functions (MEFs), and Essential Supporting Activities (ESAs) during a continuity event.

h. Shape the Department's continuity planning and overall continuity preparedness by documenting enterprise-wide requirements, which provide perspective on interdependencies across continuity programs, in order to ensure Department- wide participation and mission success. 2. CANCELS/SUPERSEDES. DOE O 150.1A, Continuity Programs, dated March 31, 2014. Cancellation of a directive does not, by itself, modify or otherwise affect any contractual or regulatory obligation to comply with the directive. CRDs that have been incorporated into a contract remain in effect throughout the term of the contract unless and until the contract or regulatory commitment is modified to either eliminate requirements that are no longer applicable or substitute a new set of requirements. 3. APPLICABILITY. a. Departmental Applicability. (1) Except for the exclusions in paragraph 3.c., below, this Order applies to all Headquarters Offices and Field Elements; including Headquarters Offices/ Field Elements created after issuance of this Order. DOE O 150.1B 3 12-1-2021 (2) The Administrator of the NNSA must assure that NNSA employees comply with their responsibilities under this directive. Nothing in this directive will be construed to interfere with the NNSA Administrator’s authority under section 3212(d) of Public Law (P.L.) 106-65 to establish Administration-specific policies, unless disapproved by the Secretary. b. DOE Contractors. Except for the equivalencies/exemptions in paragraph 3.c., the CRD, Attachment 1, sets forth requirements of this Order that will apply to contracts that include the CRD. The CRD must be included in contracts that perform or support DOE/NNSA MEFs, ESAs, or Strategic Partnership Projects determined by the cognizant DOE/NNSA Program Office to be a DOE/NNSA essential function and consistent with the biennial PMEF/MEF Revalidation Package and the Enterprise-wide Business Process Analysis (BPA). c. Equivalencies/Exemptions for DOE O 150.1B. Equivalences to and exemptions from the requirements of this Order are processed in accordance with DOE O 251.1, Departmental Directives Program, current version. (1) Equivalency. In accordance with the responsibilities and authorities assigned by Executive Order 12344, codified at 50 United States Code sections 2406 and 2511 and to ensure consistency through the joint Navy/DOE Naval Nuclear Propulsion Program, the Deputy Administrator for Naval Reactors (Director) will implement and oversee requirements and practices pertaining to this Directive for activities under the Director's cognizance, as deemed appropriate. (2) Exemption. 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. 4. REQUIREMENTS. Federal Employee requirements specific to Headquarters Offices are included in Appendix A. Federal Employee requirements specific to Field Elements are contained in Appendix B. Additional requirements unique to the Office of Emergency Operations are contained in Appendix C. Overarching continuity program requirements applying to all Federal Employees are outlined below. a. Establishment of a Continuity Program. It is DOE policy to maintain a comprehensive and effective continuity capability consisting of COOP and Continuity of Government (COG) programs, therefore:

(1) DOE has established the Office of Continuity Programs, an operational entity responsible for developing; documenting; implementing; and executing, on a day-to-day basis, an overarching DOE continuity program. 4 DOE O 150.1B 12-1-2021 The Office of Continuity Programs supports all levels of the Department prior to, during, and following a continuity event. (2) All Departmental Elements, regardless of location and function, must maintain documented continuity capabilities that specifically address the risks and capabilities of each respective Departmental Element in performing or supporting DOE/NNSA PMEFs, MEFs or ESAs. (3) This Order does not mandate the creation of new or redundant programs when requirements herein can be satisfied through, or integrated with, existing DOE programs. (4) This Order shall be synchronized with applicable requirements found in DOE O 151.1D, Comprehensive Emergency Management System (or the most current version of the Order), to produce a framework for control, direction, and interoperability of all Departmental activities imperative to the continuous performance of DOE/NNSA MEFs. (5) The Department shall integrate continuity requirements and capabilities into daily operations to ensure: (a) Readiness, resilience, and alignment of all continuity program elements. (b) Incorporation of risk management principles, as outlined in FCD-2, including identification and assessment of potential threats and hazards and their associated impacts, determination of acceptable risk, and identification of required mitigation resources. (c) Identification of collective or interdependent Federal Government; State, local, territorial, and tribal governments; nongovernmental organizations; and private sector owners and operators of critical infrastructure in order to ensure comprehensive and integrated continuity programs that enhance the integrity of the Nation’s national security posture while enabling a more rapid and effective response to and recovery from a catastrophic emergency. (d) Support for essential functions of other Federal Agencies through Strategic Partnership Projects is identified and addressed at the cognizant Field Element, as applicable. DOE O 481.1, Strategic Partnership Projects [formerly known as Work for Others (Non- Department of Energy Funded Work)], current version, provides additional information regarding Strategic Partnership Projects. DOE O 150.1B 5 12-1-2021 b. Program Objectives. The continuity program objectives are: (1) Sustain operations and essential functions critical to the performance of DOE/NNSA PMEFs, MEFs, and ESAs, which are henceforth referred to as DOE/NNSA essential functions. DOE/NNSA essential functions are those PMEFs, MEFs, or ESAs identified in the biennial PMEF/MEF Revalidation Package or the Enterprise-wide BPA. (2) Identify and dedicate the resources required to sustain DOE/NNSA essential functions. (3) Reduce loss of life and mitigate threats to property. (4) Incorporate risk management principles, outlined in FCD-2 for Departmental Elements performing or supporting DOE/NNSA PMEFs, MEFs, and ESAs, including identification and assessment of potential threats and hazards, and their associated impacts; acceptable risk determination; and identification of required mitigation resources.

(5) Establish orders of succession and delegations of authority to ensure sequential assumption of legal authorities and responsibilities by holders of other specified positions within the organization. Ensure orders of succession and delegations of authority are reviewed and approved by the DOE or NNSA Office of the General Counsel, as applicable. (6) Reduce or mitigate operational disruptions to essential functions. (7) Identify, maintain, and operate alternate locations from which organizations can perform essential functions. (8) Protect personnel, alternate locations, equipment, essential records, and other assets critical to the performance of any DOE/NNSA essential functions. (9) Provide for recovery during reconstitution. 5. RESPONSIBILITIES. Federal Employee responsibilities for Headquarters Offices are contained in Appendix A, and Federal Employee responsibilities for Field Elements are contained in Appendix B. Additional responsibilities unique to the Office of Emergency Operations are contained in Appendix C. 6. INVOKED STANDARDS. This Order does not invoke any DOE technical standards or industry standards as required methods. Any technical standard or industry standard that is mentioned in or referenced by this Order is not invoked by this Order. Note: DOE O 251.1D, Appendix J provides a definition for “invoked technical standard.” 6 DOE O 150.1B 12-1-2021 7. REFERENCES. a. Title XXXII, P.L. 106-65, The National Nuclear Security Administration Act, as amended, dated June 12, 2019. b. P.L. 80-253, National Security Act, dated July 26, 1947, as amended through P.L. 115-232, enacted August 13, 2018. c. 42 United States Code 7131 et seq., Public Law 95-91, Department of Energy Organization Act, dated August 4, 1977. d. Title 5, Code of Federal Regulations Part 550, Subpart A, Premium Pay, dated January 1, 2019. e. Title 5, Code of Federal Regulations Part 550, Subpart D, Payments During Evacuation, dated January 1, 2019. f. Title 32 Code of Federal Regulations Part 2001, Classified National Security Information, dated July 1, 2010. g. Title 36 Code of Federal Regulations Part 1236, Electronic Records Management, dated May 10, 2019. h. Title 41 Code of Federal Regulations 101-20.103-4, Occupant Emergency Program, dated July 1, 1999. i. Executive Order 12148, Federal Emergency Management, dated July 20, 1979. j. Executive Order 12344, Naval Nuclear Propulsion Program, dated February 1, 1982. k. Executive Order 12656, Assignment of Emergency Preparedness Responsibilities, dated November 18, 1988, as amended. l. Executive Order 13526, Classified National Security Information, dated December 29, 2009. m. Executive Order 13618, Assignment of National Security and Emergency Preparedness Communications Functions, dated July 6, 2012. n. Executive Order 13961, Governance and Integration of Federal Mission Resilience, December 7, 2020. o. Homeland Security Presidential Directive 5, Management of Domestic Incidents, dated February 28, 2003. p. PPD-7, National Terrorism Advisory System, dated January 26, 2011. DOE O 150.1B 7 12-1-2021 q. PPD-8, National Preparedness, dated March 30, 2011. r. PPD-21, Critical Infrastructure Security and Resilience, dated February 12, 2013. s. PPD-40, National Continuity Policy, dated July 15, 2016. t. National Security Directive 42, National Policy for the Security of National Security Telecommunications and Information Systems, dated July 5, 1990.

u. National Response Framework, 4th Edition, dated October 28, 2019. v. Federal Mission Resilience Strategy, December 7, 2020. w. OSTP/OMB D-16-1, Minimum Requirements for Federal Executive Branch Continuity Communications Capabilities, dated December 15, 2016. x. OMB Memorandum M-05-16, Regulation on Maintaining Telecommunications Services during a Crisis or Emergency in Federally Owned Buildings, dated June 30, 2005. y. FCD-1, Federal Executive Branch National Continuity Program and Requirements, dated January 17, 2017. z. FCD-2, Federal Executive Branch Mission Essential Functions and Candidate Primary Mission Essential Functions Identification and Submission Process, dated June 13, 2017. aa. DOE O 100.1, Secretarial Succession, Threat Level Notification, and Successor Tracking, current version. bb. DOE O 151.1, Comprehensive Emergency Management System, current version. cc. DOE O 205.1, Department of Energy Cybersecurity Program, current version. dd. DOE O 243.1, Records Management Program, current version. ee. DOE O 314.1, DOE-Flex: DOE’s Telework Program, current version. ff. DOE O 322.1, Pay and Leave Administration and Hours of Duty, current version. gg. DOE O 414.1, Quality Assurance, current version. hh. DOE O 470.4, Safeguards and Security Program, current version. ii. DOE P 470.1, Safeguards and Security Program, current version. jj. DOE O 471.1, Identification and Protection of Unclassified Controlled Nuclear Information, current version. 8 DOE O 150.1B 12-1-2021 kk. DOE O 471.3, Identifying and Protecting Official Use Only Information, current version. ll. DOE O 471.6, Information Security, current version. mm. DOE O 475.1, Counterintelligence Program, current version. nn. DOE O 475.2, Identifying Classified Information, current version. oo. DOE O 481.1, Strategic Partnership Projects [Formerly Known as Work for Others (Non-Department of Energy Funded Work)], current version. pp. DOE O 541.1, Appointment of Contracting Officers and Contracting Officer Representatives, current version. qq. DOE Manual (M) 471.3-1, Manual for Identifying and Protecting Official Use Only Information, current version. rr. NNSA Supplemental Directive (SD) 150.1, Lines of Succession, current version. ss. NNSA SD 205.1, Baseline Cybersecurity Program, current version. 8. DEFINITIONS. See Attachment 2. 9. IMPLEMENTATION. a. Full compliance with this Order must be accomplished within 1 year of issuance. b. If compliance cannot be accomplished within 1 year of issuance, an implementation schedule must be developed and submitted to the Associate Administrator and Deputy Under Secretary for Emergency Operations, through the appropriate Program, Program Secretarial Office, or Staff Office Director. 10. CONTACT. For assistance regarding this directive, contact the Office of Continuity Programs at 301-903-3766. BY ORDER OF THE SECRETARY OF ENERGY: DAVID M. TURK Deputy Secretary https://www.directives.doe.gov/directives-documents/400-series/0481.1-BOrder-d https://www.directives.doe.gov/directives-documents/400-series/0481.1-BOrder-d DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-1 APPENDIX A: REQUIREMENTS FOR HEADQUARTERS OFFICES This Appendix documents Department of Energy (DOE) Order (O) 150.1B requirements placed upon all Headquarters Offices in the areas of Continuity Program Management, Continuity of Operations (COOP) Plans, and Communications and Information Systems. This Appendix also provides a list of the Roles and Responsibilities of leadership of Headquarters Offices and select continuity personnel, as well as instructions regarding classification and controlled unclassified information review.

In addition to the Headquarters Office requirements provided in this Appendix, Appendix C contains additional requirements placed on the Office of Emergency Operations. Within the Office of Emergency Operations, the Office of Continuity Programs plays a role in enterprise- wide continuity planning for the DOE and the National Nuclear Security Administration (NNSA) that go beyond the requirements placed on all Headquarters Offices. 1. CONTINUITY PROGRAM REQUIREMENTS FOR HEADQUARTERS OFFICES. a. Program Management. At the Headquarters Office level, the continuity program must meet the following requirements or reference overarching plans that integrate crosscutting continuity/devolution capabilities and responsibilities: (1) Include all the Continuity Capability Elements and meet the requirements as listed in Federal Continuity Directive 1 (FCD-1), Federal Executive Branch National Continuity Program and Requirements; and FCD-2, Federal Executive Branch Mission Essential Functions and Candidate Primary Mission Essential Functions Identification and Submission Process. (2) Provide personnel accountability reports (including initial reports and updates, if applicable) to the DOE Office of the Chief Human Capital Officer (HC) upon request. In addition, NNSA Elements will also provide the information to NNSA’s Management and Budget (NA-MB) office. Additional personnel accountability requirements for Headquarters Offices include: (a) Provide DOE HC and the Office of Continuity Programs with the name and contact information for the Accountability Point-of- Contact (APOC) for the Headquarters Office. (b) Identify, document, and execute a process to account for all personnel supporting DOE in the following conditions: 1 Headquarters Offices will account for continuity personnel and alternates supporting DOE within 12 hours of activation during real-world events. Appendix A – Federal Employees Only DOE O 150.1B A-2 12-1-2021 2 Headquarters Offices will account for all other employees supporting DOE within the affected area within 5 days after activating an organization’s continuity plan during real- world events. 3 Headquarters Offices will account for all employees (not limited to continuity personnel) during accountability drills and other exercises. (c) Address any additional guidance for the accountability process as released by DOE HC and/or the Office of Continuity Programs. (d) Headquarters Offices will participate in quarterly accountability drills conducted by DOE HC and the Office of Continuity Programs. 1 Headquarters Offices can submit a request for an exemption from participating in a quarterly drill on an as needed basis. 2 Requests are to be submitted in writing to the Director, Office of Continuity Programs. Exemptions will be considered and granted, as appropriate, by the Associate Administrator and Deputy Under Secretary for Emergency Operations. (3) Ensure the ability to communicate with Field Elements’ primary, alternate, and devolution locations from the Headquarters Office’s primary, alternate, and devolution locations. (4) Designate a primary and alternate COOP Coordinator responsible for administering the COOP program in each Headquarters Office. (5) Identify the essential functions, if applicable, performed by each Headquarters Office and develop Essential Function Data Sheets consistent with guidance found in FCD-2. Data sheets will be incorporated by the Office of Continuity Programs in the biennial revalidation of DOE/NNSA’s Mission Essential Functions (MEFs) and Primary Mission Essential Functions (PMEFs).

(6) Develop a Business Process Analysis (BPA) for each DOE/NNSA MEF the Headquarters Office performs and submit each BPA to the Office of Continuity Programs biennially. In order to promote uniformity of BPA submissions, offices are highly encouraged to use the Business Process Analysis Data Sheet Template found in FCD-2. DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-3 (7) Coordinate with the Office of Continuity Programs to address how the Headquarters Office will identify and transfer organizational command and control, as well as responsibility for performing essential functions, if applicable, to personnel at a geographically dispersed location unaffected by the incident. Additional devolution requirements include but may not be limited to: (a) Develop a Memorandum of Agreement or Memorandum of Understanding (MOA/MOU) between the Headquarters Office and the devolution partner to ensure common understanding of what responsibilities are devolving. (b) Share BPAs and any other applicable information regarding essential functions to assist the devolution partner in understanding how to perform any functions transferred. (c) Share information related to contracts, personnel, facilities, essential records, and other material necessary for the devolution partner to effectively execute its role in performing command and control responsibilities. (d) Assist in training Devolution Emergency Response Group (DERG) personnel to perform any functions transferred. (8) Certify annually, by date of signature, the Headquarters Office maintains a continuity plan. Subordinate organizations may reference overarching plans that integrate crosscutting continuity/devolution capabilities and responsibilities. (9) Certify, by date of signature, the Headquarters Office participates in an annual exercise incorporating the deliberate and preplanned movement of continuity personnel to an alternate location. (10) Identify continuity requirements that will ensure appropriate and necessary resources are available to meet established regulatory requirements. Resources should be sought to address the following goals: (a) Establish and maintain a viable continuity program. (b) Acquire and maintain resources–equipment, supplies, and personnel–necessary to sustain operations and personnel at alternate locations for a minimum of 30 days or until normal operations are resumed. (c) Establish techniques and procedures to streamline standard acquisition processes and support emergency acquisitions of Appendix A – Federal Employees Only DOE O 150.1B A-4 12-1-2021 equipment, supplies, services, and personnel to support continuity operations. (d) Integrate continuity funding and acquisition requirements, as applicable, into existing and future contract awards and MOAs/MOUs, as applicable, to ensure the continuation of MEFs. (e) Integrate continuity funding and acquisition requirements, as applicable, into annual tasks and objectives, performance metrics, and mandatory reporting. (11) Implement operations security (OPSEC) and risk management procedures, including geographically dispersed staff; resilient and redundant communications; force protection; identity management; and personnel accountability to protect continuity programs, facilities, networks, information, personnel, and plans from a broad spectrum of threats. (12) Maintain records needed for continuity operations as part of an essential records program in accordance with DOE O 243.1, Records Management Program, current version.

(13) Establish and implement a test, training, and exercise (TT&E) program, with support from the Office of Continuity Programs, to ensure Emergency Relocation Group (ERG) and DERG personnel are prepared to perform essential functions at alternate sites, as applicable. (14) Provide annual training on roles and responsibilities for personnel, including government and contractor personnel, assigned to activate, support, and sustain operations when Headquarters Offices devolve. The training must include: (a) Headquarters Office devolution plans, processes, and procedures. (b) Communications and information technology (IT) systems that will be used during devolution operations. (c) Identification, protection, and availability of electronic and hardcopy documents, references, records, information systems, and data management software and equipment needed to support devolved essential functions during devolution operations. (d) How the Headquarters Office identifies and performs/supports its essential functions during an increased threat situation or in the aftermath of a catastrophic emergency that activates the devolution plan. DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-5 (15) Conduct, at minimum, a biennial exercise for DERG members to demonstrate their familiarity with devolution procedures. This exercise may be part of an annual continuity exercise (such as Eagle Horizon), or it may be conducted separately. The exercise must: (a) Familiarize DERG personnel with devolution plans, processes, and procedures. (b) Familiarize DERG personnel with reconstitution plans and procedures for returning to the original primary operating facility or replacement primary operating facility. (16) Develop a process to submit a Continuity Status Reporting Form (CSR) to the Office of Continuity Programs during a change of continuity condition, including Federal Emergency Management Agency (FEMA)- directed Continuity of Government Readiness Conditions (COGCON) changes, a continuity incident, and/or plan activation. (17) Address Continuous Improvement Program requirements found in paragraph 1.b. below. b. Continuous Improvement Program. Each Headquarters Office will develop a methodology/program for continuous improvement of their continuity program. The methodology/program may be part of another readiness assurance/continuous improvement program. The continuous improvement consists of the following components: (1) Program Evaluations. All Headquarters Offices are responsible for monitoring and/or ensuring completion of the following items within its own Headquarters Office: (a) Identify findings (e.g., strengths, improvements, deficiencies) in continuity programs; testing, training, and exercises; plans; and procedures. (b) Evaluations are to be based on the requirements of Presidential Policy Directive (PPD) 40, National Continuity Policy, Office of Science and Technology Policy / Office of Management and Budget Directive 16-1 (OSTP/OMB D-16-1), Minimum Requirements for Federal Executive Branch Continuity Communications Capabilities; FCD-1; FCD-2; Federal Mission Resilience Strategy (FMRS); Executive Order 13961, Governance and Integration of Federal Mission Resilience; and this Order. (c) Evaluations of the COOP program may be combined with other evaluation programs. Appendix A – Federal Employees Only DOE O 150.1B A-6 12-1-2021

(d) Continuity Readiness Assurance Report (CRAR). The report must identify what the goals were for the fiscal year that ended, the degree to which these goals were accomplished, and goals for the next fiscal year. 1 All Headquarters Offices use the CRAR to document that the office participated in an annual exercise incorporating the deliberate and preplanned movement of continuity personnel to an alternate site, and the date of the exercise. 2 All Headquarters Offices may submit CRARs as appendices to Emergency Readiness Assurance Plans, if applicable. 3 CRARs must be provided to the Office of Continuity Programs by November 30 of each year. c. Improvements. All Headquarters Offices must ensure appropriate and timely improvements are made to their specific program in response to needs identified through coordinated COOP planning, resource allocation, program assistance activities, evaluations, training, drills, exercises, and actual COOP activations. d. Corrective Actions. A Corrective Action Program (CAP) must be developed and implemented to assist in documenting, prioritizing, and resourcing continuity issues identified during testing, training, exercises, evaluations, and actual COOP activations. (1) Corrective Action Plans must be developed within 45 calendar days of receipt of a final report from an exercise, real-world event, or evaluation. (2) Corrective actions must be completed as soon as feasible. (3) Corrective actions addressing revision of procedures or training of personnel should be completed before the next self-evaluation of the program. 2. REQUIREMENTS FOR HEADQUARTERS OFFICE COOP PLANS. a. Background. In accordance with PPD-40, National Continuity Policy, the Department shall develop and implement comprehensive COOP plans, including devolution and reconstitution, in order to increase survivability and ensure continuous performance and delivery of PMEFs, MEFs, and Essential Supporting Activities (ESAs) that support the National Essential Functions (NEFs) under all circumstances. This Appendix to the Order addresses requirements to be addressed in COOP plans for all Headquarters Offices. DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-7 (1) Essential functions are critical activities that directly perform or support a DOE/NNSA PMEF, MEF, or ESA and must be sustained during all phases of a continuity event. (2) PMEFs are those MEFs that must be continuously performed to support or implement the uninterrupted performance of NEFs. (3) MEFs are the essential functions directly related to accomplishing the organization's mission as set forth in its statutory or executive charter. (4) ESAs are functions that support performance of MEFs or PMEFs but are not MEFs or PMEFs. ESAs are important facilitating activities performed by most governmental organizations (e.g., providing a secure workplace, ensuring computer systems are operating); however, the sole performance of ESAs does not directly accomplish an organization’s mission. b. Federal Continuity Documents. All Department COOP plans will comply with PPD-40, FCD-1, FCD-2, FMRS, Executive Order 13961, and this Order. The exception is when a COOP plan is included as a part of a higher-level COOP plan which meets these requirements, as described in paragraph 2.c.(2) below.

All COOP plans will address all Continuity Capability Elements of a viable continuity program. Each Headquarters Office COOP plan should provide the level of detail appropriate to the operating realities of the Headquarters Office – meaning, if the Headquarters Office does not perform essential functions or has no process to devolve, then those respective sections of the COOP plan should document they have no essential functions nor devolution capabilities. The Continuity Capability Elements to be documented in each COOP plan are listed below: (1) Program management, plans, and procedures. (2) Essential functions. (3) Orders of succession. (4) Delegations of authority. (5) Communications and information systems. (6) Essential records management. (7) Alternate locations. (8) Human resources. (9) Devolution. Appendix A – Federal Employees Only DOE O 150.1B A-8 12-1-2021 (10) Reconstitution. (11) TT&E. c. Program Management, Plans, and Procedures. In addition to the requirements of FCD-1, all Headquarters Offices are to address the following requirements: (1) All Headquarters Offices, regardless of location and function, must maintain a continuity capability documented in a COOP plan, or an Annex or Appendix to a parent organization COOP plan, addressing the requirements found in the documents listed in paragraph 2.b. in this Appendix (Federal Continuity Documents). (2) All Headquarters Offices will ensure their COOP plans are in alignment with the DOE COOP planning structure. This structure builds unity of effort across the DOE COOP planning enterprise by directing the alignment of COOP plans from the DOE Continuity Plan through Field Element COOP plans. (a) The DOE Continuity Plan is supported by the collective COOP plans of the Deputy Secretary of Energy, Under Secretary, Under Secretary for Science, Under Secretary for Nuclear Security, and their respective Headquarters Office and Field Element COOP plans. (b) Headquarters Office COOP plans will support and align with the respective COOP plans of the Deputy Secretary of Energy, Under Secretary, Under Secretary for Science, or Under Secretary for Nuclear Security and any subordinate Field Element COOP plans. (c) The Field Element COOP plans will align with and support the respective Deputy- or Under Secretary-level COOP plan, Headquarters Office COOP plan, or other higher-level Field Element COOP plan. (3) All COOP plans must be signed by the Organization Head, such as the Secretary, Deputy Secretary, Under Secretary, Director, Administrator, Field Element Manager, or designee. (4) All COOP plans must document the requirement for an annual review of the COOP plan and associated system-specific plans, such as Disaster Recovery Plans (DRPs) and Information System Contingency Plans (ISCPs), with updates to the plans being required, as applicable. The date of review and names of personnel conducting the review must be recorded. Annual review will include contacting the Office of Continuity Programs to: DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-9 (a) Verify current DOE/NNSA PMEFs and the MEFs mapped to support each PMEF. (b) Verify current DOE/NNSA MEFs and the Headquarters Offices and/or Field Elements mapped to support each MEF. (5) All COOP plans must identify support for Essential Functions of other Federal Agencies through Strategic Partnership Projects, as applicable. DOE O 481.1, Strategic Partnership Projects [formerly known as Work for Others (Non-Department of Energy Funded Work)], current version, provides additional information regarding Strategic Partnership Projects.

(6) All COOP plans must define a methodology to ensure continuity operations can be sustained for a minimum of 30 days following a catastrophic emergency or until normal operations are resumed. This includes planning for challenges posed by continuity events that extend past 30 days. (7) All COOP plans must establish a process to complete and submit CSRs to the Office of Continuity Programs during any change in continuity status. (8) All COOP plans must list an ERG, consisting of leadership, staff, and functional support elements capable of relocating to alternate locations, as applicable, to support the performance of essential functions. (9) All COOP plans must identify the process to account for all personnel during real-world activations, drills, tests, and exercises. (10) All COOP plans must establish a process for executing changes to COGCON, Security Condition (SECON), or other readiness and alerting formats. (11) All COOP plans must establish a decision-support process, including a decision matrix and event triggers, informing timely and accurate COOP plan activation, with and without warning, during duty and non-duty hours. (12) All COOP plans must detail procedures for the transition of essential functions to continuity or devolution personnel at alternate location(s) and devolution site(s). (13) All COOP plans must define processes for attaining full operational capability at alternate location(s) as soon as possible, but no later than 12 hours following COOP plan activation, and reporting operational capability. Operational capability reporting must reflect the status of PMEFs and/or MEFs supported by the Headquarters Office and/or its subordinate offices. Appendix A – Federal Employees Only DOE O 150.1B A-10 12-1-2021 d. Essential Functions. In addition to the requirements of FCD-1, the content of each COOP plan must: (1) Define which of the Department’s PMEFs and/or MEFs the Headquarters Office supports. (2) Identify, prioritize, and document ESAs. These functions remain essential to the Department’s overall continued performance of the PMEFs and MEFs. e. Orders of Succession. In addition to the requirements of FCD-1, all Headquarters Offices are to address the following requirements: (1) DOE Headquarters Offices, and NNSA Headquarters Offices having a successor to the Secretary, are to list orders of succession consistent with DOE O 100.1, Secretarial Succession, Threat Level Notification, and Successor Tracking, current version. Orders of succession should annotate personnel in Secretarial Succession, including provisions for devolution or successors located at Field Elements outside the National Capital Region (NCR). (2) NNSA Headquarters Offices are to list orders of succession consistent with NNSA Supplemental Directive (SD) 150.1A, Lines of Succession (or the most current version of the Directive). Orders of succession should annotate personnel in line of succession to the Administrator and/or program offices within NNSA. f. Delegations of Authority. There are no exceptions/additions to the requirements provided in FCD-1. g. Communications and Information Systems. There are no exceptions/additions to the requirements provided in FCD-1. h. Essential Records Management. In addition to the requirements of FCD-1, the content of each COOP plan must: (1) Identify, document, position, and protect essential records in accordance with DOE O 243.1, Records Management Program, current version, and in compliance with FCD-1.

(2) Ensure all records necessary to support the PMEFs, MEFs, and ESAs are included in the essential records. (3) Ensure essential records are available and accessible to ERG personnel and DERG personnel, as applicable, at their respective alternate location. i. Alternate Locations. There are no exceptions/additions to the requirements provided in FCD-1. DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-11 j. Human Resources. In addition to the requirements of FCD-1, the content of each COOP Plan must: (1) Reference procedures for verifying need to know and providing ERG and DERG personnel with the appropriate security clearances, as applicable, and with the training and resources needed to perform their prescribed continuity roles and responsibilities. (2) Reflect human resources planning for COOP that encompasses the Federal and Departmental policies regarding employees in an emergency, as applicable, and follows requirements of 5 Code of Federal Regulations (CFR) Part 550, Subparts A and D, or the most current version of the Regulation, and DOE O 322.1, Pay and Leave Administration and Hours of Duty, current version. (3) Clearly define the expectations, roles, and responsibilities of continuity personnel, including the roles and responsibilities in paragraph 5 of this Appendix. (4) Document the process to ensure all personnel, continuity and non- continuity, are loaded into the DOE personnel accountability, alert, and notification system and the contact information is current. k. Devolution. In addition to the requirements of FCD-1, the content of each COOP plan must (if applicable): (1) Identify a DERG, as appropriate, consisting of personnel necessary to support the performance of organizational command and control, accountability, and essential functions, as applicable, at a devolution site. (2) Ensure the devolution site is aware of all responsibilities when Headquarters Offices activate devolution plans. This information should be included in an MOA/MOU between the devolving organization and the devolution location. Additional information regarding devolution requirements is provided in paragraph 1.a.(7), (a) through (d) of this Appendix. (3) Document how the Headquarters Office will support the devolution processes and procedures as identified in the DOE Continuity Plan, Annex J, Department of Energy Devolution Plan. (4) NNSA Offices should also document how the NNSA Offices will support the devolution processes and procedures as identified in the NNSA Continuity of Operations Plan, Annex J, Devolution. l. Reconstitution. There are no exceptions/additions to the requirements provided in FCD-1. Appendix A – Federal Employees Only DOE O 150.1B A-12 12-1-2021 m. Test, Training, and Exercises. There are no exceptions/additions to the requirements provided in FCD-1. TT&E requirements are addressed in paragraph 1 of this Appendix (Continuity Program Requirements for Headquarters Offices). 3. COMMUNICATIONS AND INFORMATION SYSTEMS REQUIREMENTS FOR HEADQUARTERS OFFICES. a. All Headquarters Offices performing DOE/NNSA MEFs have responsibility for ensuring the availability, diversity, and redundancy of critical communications and information systems needed to sustain MEFs. Headquarters Offices should coordinate with the DOE Office of the Chief Information Officer (IM), NNSA Office of Information Management and Chief Information Officer (NA-IM), and/or the Office of Continuity Programs if they need assistance in addressing communications and information systems requirements. In order to address communications and information systems requirements, all Headquarters Offices must ensure:

(1) Availability of communications and information systems with sufficient resilience and contingencies necessary to perform essential functions, immediately or no later than 12 hours after activation, at primary and alternate locations. (a) Systems must support connectivity among key leadership, internal elements, other organizations, and the public under all conditions. (a) Communications capabilities must be interoperable and of sufficient quantity and mode/media to enable redundant and survivable connectivity with essential function partners. (2) Compliance of the Department’s communications and information systems with FCD-1. (3) Compliance of the Department’s communications and information systems with DOE O 205.1, Department of Energy Cybersecurity Program, current version. For NNSA Offices and Elements, compliance of NNSA’s communications and information systems with NNSA SD 205.1, Baseline Cybersecurity Program, or the most current version of the Directive. (4) Implementation of communications requirements for continuity events do not supplant other required notifications and reporting delineated under legislation, implementing regulations, and DOE Orders. DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-13 b. Continuity communications and information systems requirements include: (1) Designating continuity personnel (ERG and DERG, if applicable) with dedicated access to required minimum communications capabilities to ensure continual performance of PMEFs and MEFs for a minimum of 30 days following continuity activation, to include: (a) Ensuring communications capabilities are adequately maintained and continuity personnel have necessary access and are properly trained in their use. (b) Planning accordingly for essential functions that require uninterrupted communications and IT support. (2) Ensuring organizations that share an alternate location and communications capabilities with other organizations have a signed agreement with the system owner to ensure each has adequate access to communications and IT resources. (3) Ensuring risk assessments are conducted on all primary and alternate communications and information systems involved in the performance of essential functions, including associated supply chains and facilities such as data processing centers, using all-source intelligence and/or other applicable data and coordinated with Business Impact Analyses (BIAs) for each MEF. (4) Coordinating and integrating communications and information system- specific planning efforts such as DRPs and ISCPs with appropriate organizational entities. In particular, DRPs and/or ISCPs are needed for mission critical systems supporting MEFs, essential support activities, and associated industrial control systems. (5) Coordinating system service levels, including maximum allowable downtime and data back-up frequency requirements with system owners and ensuring this is reflected in the organization’s continuity planning products such as the MEF BPA, DRPs, ISCPs, and/or service level agreements, as applicable. If existing service levels do not meet requirements to sustain PMEFs and MEFs, the following options are to be explored: (a) Increase the service levels to meet requirements. (b) Provide access to other networks with the appropriate service levels if such networks exist. (c) Accept the risk in planning documents. Appendix A – Federal Employees Only DOE O 150.1B A-14 12-1-2021

(6) Including Priority Telecommunications Services in continuity communications and information systems planning. (a) Distributing Government Emergency Telecommunications Service (GETS) cards. The COOP Coordinator in each Headquarters Office can facilitate requesting GETS cards for identified personnel through DOE’s designated point of contact to the Department of Homeland Security (DHS) GETS/Wireless Priority Services (WPS) Information Distribution System (GWIDS). 1 Pre-position at least one GETS card for emergency use at all primary and continuity facility locations. 2 Issue GETS cards to all ERG and DERG personnel. (b) Utilizing and activating WPS on cellular phones issued to ERG and DERG personnel, as applicable. The COOP Coordinator in each Headquarters Office can facilitate requesting WPS access for identified personnel through DOE’s designated point of contact to DHS GWIDS. (c) Ensuring applicable circuits at primary and alternate locations involved in the performance of MEFs are enrolled in the Telecommunications Service Priority (TSP) Restoration Program. (7) Developing communications plans documentation that provides guidance on how internal and external communications are maintained during a continuity activation. (8) Ensuring Headquarters Offices annually review communications plans for accuracy to ensure they are fully capable of supporting essential functions. Document the date of review and the names of personnel conducting the review. (9) Evaluating each location supporting MEFs to identify and mitigate potential single points of failure in the communications infrastructure. c. Additional Requirements for the Secretary and NNSA Administrator. The Secretary and NNSA Administrator’s continuity communications and information systems requirements include: (1) Ensuring compliance of the Secretary and NNSA Administrator’s communications and information systems, including their alternate location(s), with OSTP/OMB D-16-1, Minimum Requirements for Federal Executive Branch Continuity Communications Capabilities. DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-15 (2) Maintaining the capabilities required by OSTP/OMB D-16-1 for Headquarters and at the Secretary’s and NNSA Administrator’s alternate location(s) and devolution location(s). The Office of Continuity Programs assists in the maintenance of these capabilities. (3) Ensuring the communications capabilities required by this Order and OSTP/OMB D-16-1 are maintained and readily available for sustained use for a minimum of 30 days following COOP plan activation. (4) Ensuring designated continuity personnel have access to and are properly trained in the use of all OSTP/OMB D-16-1 communications capabilities. (5) Ensuring all OSTP/OMB D-16-1 communications capabilities are collocated into one location at alternate locations and that appropriate facility security requirements are met. (6) Reviewing annually the Departmental and internal communications plans for accuracy to ensure they are fully capable of supporting essential functions and to document the date of review and the names of personnel conducting the review. (7) Evaluating annually the Headquarters, Secretary, and NNSA Administrator’s alternate location(s) to eliminate potential single points of failure in the communications infrastructure. This evaluation may be delegated to the Office of Continuity Programs. All Headquarters, Secretary, and NNSA Administrator’s alternate locations should achieve logical and physical (alternate route / hybrid mesh network topology) diversity.

(8) Taking appropriate steps to ensure back-up power, cooling, and other utilities of suitable capacity and reliability are available to support continuous operation of communications at all Headquarters, Secretary, and NNSA Administrator’s alternate locations for a minimum of 30 days following COOP plan activation. 4. CLASSIFICATION AND CONTROLLED UNCLASSIFIED INFORMATION REVIEW. a. All COOP plans and other continuity-related documents must be reviewed for the presence of classified and/or controlled unclassified information, as required by DOE O 475.2B, Identifying Classified Information, current; DOE O 471.6, Information Security, current version; 32 CFR Part 2001, Classified National Security Information; 32 CFR Part 2002, Controlled Unclassified Information; and 10 CFR Part 1017, Identification and Protection of Unclassified Controlled Nuclear Information. Documents will be marked and handled in accordance with national requirements; DOE and/or NNSA Orders, Directives, Manuals, and Guides; or other government agency classification guides, as appropriate. Appendix A – Federal Employees Only DOE O 150.1B A-16 12-1-2021 b. COOP plans that do not contain classified or Unclassified Controlled Nuclear Information (UCNI) will be marked, handled, and protected as Official Use Only (OUO) in accordance with DOE Manual (M) 471.3, Manual for Identifying and Protecting Official Use Only Information, current version, or successor policy. c. Freedom of Information Act (FOIA) exemption 7, which addresses Law Enforcement, may apply to OUO COOP plans. d. Any FOIA requests for release of OUO COOP Plans must be coordinated with the cognizant Office of the General Counsel. 5. ROLES AND RESPONSIBILITIES FOR HEADQUARTERS OFFICES. This section provides lists of continuity-related responsibilities for the Department’s senior leaders, heads of Headquarters Offices, COOP Coordinators, ERG and DERG members, and others having specific responsibilities for continuity preparedness, continuity planning, and continuity operations. a. Department Senior Leaders. (1) Secretary. The Secretary of Energy is responsible for: (a) Designating an official, at the Assistant Secretary level, to serve as the Continuity Coordinator for the Department. (b) Developing and maintaining continuity programs and plans in support of the NEFs and the continuation of essential functions. (c) Planning, programing, and budgeting for continuity capabilities consistent with PPD-40 and FCD-1. (d) Supporting other continuity requirements to include monthly readiness reporting, as assigned by category (pursuant to PPD-40, DOE is a Category I Department), in accordance with the nature and characteristics of its national security roles and responsibilities. (e) Serving as a member of the ERG. (f) Reviewing, biennially, the PMEFs and MEFs and submitting PMEF validation and updates to the National Continuity Coordinator (NCC) for review. (g) Reporting the Department’s continuity facilities and reconstitution requirements to the U.S. General Services Administration (GSA) and updating the requirements annually, or as otherwise directed, and reporting to GSA. DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-17 (h) Planning and conducting routine internal tests, training, and exercises and, in consultation with the Secretary of Homeland Security, supporting and participating in annual tests, training and exercises in order to evaluate program readiness and ensure adequacy and availability of continuity plans and communications and information services systems.

(2) Deputy Secretary. The Deputy Secretary is responsible for: (a) Serving as the Department’s senior continuity policy official. (b) Ensuring the Office of the Deputy Secretary has a current and signed COOP plan. (c) Ensuring the Office of the Deputy Secretary’s COOP plan is consistent with PPD-40, FCD-1, FCD-2, FMRS, and Executive Order 13961. (d) Ensuring the Office of the Deputy Secretary’s COOP Plan supports the DOE Continuity Plan and its Headquarters Offices and Field Elements’ COOP plans. (e) Ensuring the Department has continuity plans for a national or localized continuity event and the ability for continued performance of all essential functions to meet the requirements of this Order. (f) Ensuring planners consider key tenets of the FMRS during COOP Plan development, including the “assess, distribute, and sustain planning model.” (g) Approving the DOE Continuity Plan. (h) Serving as a member of the ERG. (i) Initiate succession to the Secretary, if warranted. (3) Under Secretary. The Under Secretary is responsible for: (a) Ensuring the Office of the Under Secretary has a current and signed COOP plan. (b) Ensuring the Office of the Under Secretary’s COOP plan is consistent with PPD-40, FCD-1, FCD-2, FMRS, and Executive Order 13961. Appendix A – Federal Employees Only DOE O 150.1B A-18 12-1-2021 (c) Ensuring the Office of the Under Secretary’s COOP plan supports the DOE Continuity Plan, and its Headquarters Offices and Field Elements’ COOP plans. (d) Ensuring planners consider key tenets of the FMRS during COOP Plan development, including the “assess, distribute, and sustain planning model.” (e) Serving as a member of the ERG. (f) Preparing to perform succession role, if necessary. (4) Under Secretary for Science. The Under Secretary for Science is responsible for: (a) Ensuring the Office of the Under Secretary for Science has a current and signed COOP plan. (b) Ensuring the Office of the Under Secretary for Science’s COOP plan is consistent with PPD-40, FCD-1, FCD-2, FMRS, and Executive Order 13961. (c) Ensuring the Office of the Under Secretary for Science’s COOP Plan supports the DOE Continuity Plan, and its Headquarters Offices and Field Elements’ COOP plans. (d) Ensuring planners consider key tenets of the FMRS during COOP Plan development, including the “assess, distribute, and sustain planning model.” (e) Serving as a member of the ERG. (f) Preparing to perform succession role, if necessary. (5) Under Secretary for Nuclear Security and Administrator of National Nuclear Security Administration. The Under Secretary for Nuclear Security and Administrator, NNSA is responsible for: (a) Ensuring the NNSA has continuity plans for a national or localized continuity event and the ability for continued performance of all essential functions to meet the requirements of this Order. (b) Ensuring the Administrator’s COOP plan is consistent with PPD- 40, FCD-1, FCD-2, FMRS, and Executive Order 13961. (c) Ensuring the Administrator for NNSA’s COOP plan supports the DOE Continuity Plan, and its Headquarters Offices and Field Elements’ COOP plans. DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-19 (d) Ensuring planners consider key tenets of the FMRS during COOP Plan development, including the “assess, distribute, and sustain planning model.” (e) Reviewing and approving the NNSA Continuity of Operations Plan. (f) Ensuring maintenance of the Headquarters’ alternate location in a state of readiness to support relocating personnel.

(g) Ensuring the availability of the NNSA Albuquerque Complex to serve as a devolution location. (h) Serving as a budget and staffing advocate for the Departmental COOP program. (i) Reviewing and concurring on the DOE Continuity Plan. (j) Serving as a member of the ERG. (k) Preparing to perform succession role, if necessary. b. Headquarters Offices. All Headquarters Office leaders are responsible for: (1) Developing and implementing a COOP program, as required by PPD-40, FCD-1, FCD-2, FMRS, Executive Order 13961, and this Order. (2) Managing the development and implementation of a COOP plan for their Office. (3) Ensuring the Office’s COOP Plan supports and aligns with the respective COOP plans of the Deputy Secretary of Energy, Under Secretary, Under Secretary for Science, or Under Secretary for Nuclear Security/Administrator, NNSA, and any subordinate Field Element COOP plans. (4) Ensuring planners consider key tenets of the FMRS during COOP Plan development, including the “assess, distribute, and sustain planning model.” (5) Identifying all other than management and operating (M&O) contractors supporting essential functions and ensuring the appropriate contracting official is aware the Contractor Requirements Document (CRD) applies to these contracts. (6) Addressing how the Office identifies and transfers organizational command and control, as well as responsibility for performing essential functions, if applicable, to personnel at a devolution location. Appendix A – Federal Employees Only DOE O 150.1B A-20 12-1-2021 (7) Approving the Office’s COOP plan, including updates, as necessary. (8) Reviewing, updating, and providing an electronic copy of the COOP plan to the Office of Continuity Programs, annually. (a) Verify the current DOE/NNSA MEFs and PMEFs. (b) Verify Headquarters Office’s current essential functions align to support at least one of the Department’s MEFs and PMEFs. (9) Ensuring the COOP program and plan addresses the requirements in paragraphs 1 and 2 of this Appendix. (10) Identifying the ERG personnel to support COGCON level two requirements, for those Headquarters Offices supporting MEFs and PMEFs. (11) Ensuring identification, evaluation, and assessment of potential risks to the MEFs that can include existing risk and hazard assessments, as applicable. (12) Approving risk assessments for MEFs, including updates, as applicable. (13) Determining whether to accept risk of not performing DOE/NNSA MEFs and ESAs if subordinate Field Elements or M&Os cannot reasonably relocate nor perform the affected MEFs and/or ESAs at an alternate location. Notify the Office of Continuity Programs if DOE/NNSA MEFs and ESAs cannot be performed. (14) Implementing operations security and risk management procedures. (15) Ensuring COOP plans address cyber-attacks that may affect the Department in the performance of its mission. (16) Ensuring integration of Strategic Partnership Projects (formerly known as Work for Others [Non-Department of Energy Funded Work]) with the development and maintenance of the COOP plans. (17) Certifying, by date and signature, the Headquarters Office participation in an annual exercise incorporating the deliberate and preplanned movement of continuity personnel to an alternate location, for those Headquarters Offices supporting MEFs and PMEFs. (18) Developing a process to submit CSRs when required or when directed, for those Headquarters Offices supporting MEFs and PMEFs.

(19) Notifying the Office of Continuity Programs or Consolidated Emergency Operations Center (CEOC) as soon as possible following the declaration DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-21 of a continuity event using the CSR, for those Headquarters Offices supporting MEFs and PMEFs. (20) Conducting program evaluations commensurate with the complexity of the Headquarters Office’s continuity program in accordance with paragraph 1.b. of this Appendix (Continuous Improvement Program). Complete CRARs and submit to Office of Continuity Programs. (21) Notifying the Office of Continuity Programs, through the COOP Coordinator(s), of significant office changes that may affect COOP plan activation. (22) Ensuring that within areas of programmatic responsibility, for those Headquarters Offices supporting MEFs and PMEFs, the Office: (a) Establishes and maintains a system or program for 24-hour initial receipt and further dissemination of continuity notifications. (b) Provides specialized technical representatives (including delegated Contracting Officer’s Representatives [CORs], M&O CORs, and/or other than M&O CORs) with the requisite authority to provide technical direction and/or initiate changes to applicable contracts) and subject matter experts including M&O and other than M&O contractors when requested. (c) Ensures continuity training and response procedures are adequate in subordinate Field Element programs. (d) Establishes a system or program, compatible with paragraph 2.h., Essential Records Management, of this Appendix, for maintaining essential records that are accessible at alternate locations. (e) Ensures accessibility to and annual testing of recovery strategies for classified and unclassified essential records (including controlled unclassified records), critical information systems, services, and data at the alternate location(s). (f) Ensures infrastructure and training are in place to enable ERG personnel, DERG personnel, and other employees (including contractors), necessary to support essential functions, to work from home or other alternate locations during a continuity event, as applicable. (23) Ensuring infectious disease/pandemic planning is taken into consideration during the development and maintenance of Headquarters Office COOP plans. Coordinate with the DOE Office of Environment, Health, Safety Appendix A – Federal Employees Only DOE O 150.1B A-22 12-1-2021 and Security (AU) and review the Department of Energy Headquarters Pandemic Response Plan for additional input. (24) Identifying the essential function(s) performed by the office as well as developing Essential Function Data Sheets consistent with guidance found in FCD-2. The Office of Continuity Programs will incorporate data sheets in the biennial revalidation of DOE’s PMEFs and MEFs. (25) Developing a BPA for each DOE/NNSA MEF the Headquarters Office performs. In order to promote uniformity of BPA submissions, offices are highly encouraged to use the Business Process Analysis Data Sheet Template found in FCD-2. (26) Performing a documented, annual review of essential functions. (27) Establishing an order of succession to key positions within the organization, compliant with FCD-1 and this Order. (a) Develop orders of succession consistent with DOE O 100.1, Secretarial Succession, Threat Level Notification, and Successor Tracking, current version, as applicable. Orders of succession should annotate personnel in Secretarial Succession.

(b) For NNSA, develop orders of succession consistent with NNSA SD 150.1A, Lines of Succession, or the most current version of the Directive, as applicable. Orders of succession should annotate personnel in line of succession to the Administrator and/or program offices within NNSA. (28) Establishing predetermined delegations of authority, including devolution scenarios, compliant with FCD-1 and this Order. (29) Ensuring a system or program is established for issuing, testing, and maintaining accountability of GETS cards issued to all ERG and DERG personnel, including: (a) Ensuring issuance of GETS cards to ERG and DERG personnel within 90 days of assignment. (b) Providing the total number of cards issued to the Office of Continuity Programs. (c) Testing quarterly by ERG and DERG personnel. (30) Ensuring a system or program is established for providing WPS capability to any ERG and DERG personnel provided a mobile device, including: DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-23 (a) Ensuring provision of WPS capability is to ERG and DERG personnel within 90 days of assignment. (b) Testing quarterly by ERG and DERG personnel. (31) Ensuring the ability to communicate with Field Elements from the Headquarters Offices’ primary, alternate and devolution locations to the Field Elements’ primary, alternate, and devolution locations, as applicable. (32) Identifying and establishing local and remote alternate locations, in coordination with the Office of Continuity Programs. (33) Appointing a primary and an alternate COOP Coordinator, responsible for administering the COOP program for and serving as the liaison between the Headquarters Office and the Office of Continuity Programs. (a) Inform primary and alternate COOP Coordinator in writing of their continuity roles and responsibilities as specified in the COOP Coordinator Position Description. (b) Obtain a signed acceptance of these roles and responsibilities from the primary and alternate COOP Coordinator. (c) Submit contact information of personnel identified as COOP Coordinators to the Office of Continuity Programs within 15 days of appointment. (34) Appointing a primary and an alternate APOC; responsible for coordinating with DOE HC; DOE IM; NA-MB, Office of Continuity Programs, and COOP Coordinators to quarterly test personnel accountability and alert and notification procedures for all personnel in all Headquarters Offices. Also responsible for providing accountability reports as requested by DOE HC, NA-MB, or Office of Continuity Programs during drills, tests, exercises, or real-world events. The COOP Coordinator and APOC roles may be served by the same individual. (a) Inform primary and alternate APOCs in writing of their continuity roles and responsibilities. (b) Obtain a signed acceptance of these roles and responsibilities from the primary and alternate APOC. (c) Submit contact information of personnel identified as APOCs to the Office of Continuity Programs and HC within 15 days of appointment. (d) Ensure APOCs have access to system used for accountability in order to generate reports, as applicable. Appendix A – Federal Employees Only DOE O 150.1B A-24 12-1-2021 (35) Determining ERG personnel, for those Headquarters Offices supporting MEFs and PMEFs. (a) Determine trained personnel necessary to perform the Departments PMEFs and MEFs at an alternate location. (b) Inform primary and alternate ERG personnel in writing of their continuity roles and responsibilities.

(c) Obtain a signed acceptance of these roles and responsibilities from the primary and alternate ERG personnel. (d) Submit contact information of personnel identified for ERG to the Office of Continuity Programs within 15 days of appointment. (36) Determining DERG personnel, for those Headquarters Offices supporting the MEFs and PMEFs. (a) Determine trained personnel necessary to perform the Departments PMEFs and MEFs at a devolution location. Coordinate with devolution location leadership during the decision-making process. (b) Inform primary and alternate DERG personnel in writing of their continuity roles and responsibilities. (c) Obtain a signed acceptance of these roles and responsibilities from the primary and alternate DERG personnel. (d) Submit contact information of personnel identified for DERG to the Office of Continuity Programs within 15 days of appointment. (37) Ensuring the Office’s COOP Coordinator(s) provides updated personnel notification lists on a quarterly basis, upon changes, or as requested to the Office of Continuity Programs. (38) Ensuring the COOP plan addresses devolution and identifies a devolution location. (39) Ensuring there is an MOA/MOU with the devolution location stating their acceptance of devolution responsibilities. Headquarters Offices should coordinate with Office of Management (MA) or NA-MB, as applicable, and the Office of the General Counsel (GC) or NNSA Office of the General Counsel (NA-GC), as applicable, to ensure the documentation is properly prepared. (40) Assisting MA in maintaining GSA Standard Form 2050 (SF-2050), Reconstitution Questionnaire. https://www.gsa.gov/forms-library/reconstitution-questionnaire https://www.gsa.gov/forms-library/reconstitution-questionnaire DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-25 (41) Establishing an Office specific TT&E program for ERG, DERG and other continuity personnel. (a) The ERG must participate annually in an exercise to demonstrate their familiarity with continuity plans and procedures and to validate the Office’s capability to continue its essential functions. The exercise must: 1 Include the deliberate and preplanned movement of ERG members to an alternate site. 2 Test and validate intra- and interagency communications capabilities. 3 Verify that data and records required to support essential functions at alternate locations are sufficient, complete, current, and accessible to ERG members. 4 Maintain situational awareness and outreach with internal and external interdependencies identified in the Office’s continuity plan with respect to performance of the essential functions of the Office. 5 Demonstrate capability to continue essential functions from telework sites, if used as a continuity strategy, to include accessing and using records, communications, and systems. (b) The DERG must exercise at least biennially to demonstrate their familiarity with devolution procedures. This exercise may be part of annual continuity exercises (Eagle Horizon) or it may be conducted separately. The exercise must: 1 Familiarize DERG members with devolution plan processes and procedures. 2 Demonstrate familiarity with reconstitution plans and procedures for the original primary operating facility and replacement primary operating facility. (42) Paragraph 5.c. below includes Headquarters Offices with additional responsibilities. c. Headquarters Office Leadership with Additional Responsibilities. The Headquarters Office leadership with additional responsibilities are:

(1) Assistant Secretary for Cybersecurity, Energy Security, and Emergency Response. The Assistant Secretary for Cybersecurity, Energy Security, and Emergency Response (CESER) is responsible for: Appendix A – Federal Employees Only DOE O 150.1B A-26 12-1-2021 (a) Developing and maintaining a response plan, in coordination with the Office of Intelligence and Counterintelligence (IN) and IM to enable DOE to respond to a cyber event. (b) Developing and maintaining an implementation plan to provide support to Emergency Support Function 12. DOE is the Lead Agency and the Sector-Specific Agency for Emergency Support Function 12, and CESER represents the Department during an activation under the Disaster Relief and Emergency Assistance Act. (2) Associate Under Secretary for Environment, Health, Safety and Security. The Associate Under Secretary for AU is responsible for: (a) Reviewing and updating the security portion of the all-hazard risk assessment for DOE’s primary and alternate locations in coordination with MA, on a biennial basis in accordance with DOE O 470.4, Safeguards and Security Program, current version. (b) Assisting in the organization and conduct of annual back-up power tests at Headquarters facilities, in coordination with MA. (c) Providing protection for Headquarters facilities and maintaining executive protection for the Secretary. (d) Developing an infectious disease/pandemic plan with procedures and instructions to address infectious disease/pandemic threats in coordination with HC and Director, Office of Continuity Programs. (e) Developing, implementing, and maintaining policies and procedures for DOE’s SECON levels. (3) Chief Human Capital Officer. The Chief Human Capital Officer is responsible for: (a) Developing and maintaining an implementation plan to provide the infrastructure and training to enable DOE federal employees to work from home or other alternate locations during a continuity event, in coordination with the IM. (b) Providing guidance consistent with U.S. Office of Personnel Management guidance regarding procedures and instructions for federal employees in the event that an infectious disease/pandemic situation threatens one or more DOE facilities, in coordination with AU. DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-27 (c) Providing a corporate system to account for DOE federal employees and contractors after a continuity event at DOE headquarters facilities. (d) Providing personnel accountability information to Office of Continuity Programs for reporting to Department leadership and FEMA. (e) Coordinating with the Office of Continuity Programs, IM, NA- MB, all COOP Coordinators, and all APOCs to quarterly test personnel accountability and alert and notification procedures for all personnel in all Departmental Elements. (4) Chief Information Officer. The Chief Information Officer is responsible for: (a) Coordinating with the Office of Continuity Programs to ensure compliance with continuity communications directives and guidance, such as: 1 FCD-1, Federal Executive Branch National Continuity Program and Requirements. 2 OSTP/OMB D-16-1, Minimum Requirements for Federal Executive Branch Continuity Communications Capabilities. 3 DOE O 205.1, Department of Energy Cybersecurity Program, current version. (b) Overseeing the process of backing up data and server systems necessary for continued operations and the performance of DOE/NNSA essential functions.

(c) Developing an implementation plan, in coordination with HC, to provide the infrastructure and training to enable DOE headquarters federal employees, especially those supporting MEFs and PMEFs, to work from home or other alternate locations during a continuity activation. (d) Developing a response plan, in coordination with CESER and IN, to provide the infrastructure and training to enable DOE to respond to a cyber event. (e) Ensuring establishment of a system for: 1 Issuing GETS cards to Headquarters Offices. Appendix A – Federal Employees Only DOE O 150.1B A-28 12-1-2021 2 Maintaining accountability of issued GETS cards. 3 Providing a quarterly report on the testing of GETS cards to the Office of Continuity Programs. (f) Ensuring compliance with Federal Information Security Management Act information security requirements and Federal Information Technology Acquisition Reform Act. (g) Using U.S. Department of Commerce National Institute of Standards and Technology Special Publications 800-34, Rev. 1, Contingency Planning Guide for Federal Information Systems and 800-53, Rev. 5, Security and Privacy Controls for Information Systems and Organizations to inform the standards and measures for system evaluations. (h) Coordinating with the Office of Continuity Programs, HC, NA- MB, all COOP Coordinators, and all APOCs to quarterly test personnel accountability and alert and notification procedures for all personnel in all Departmental Elements. (i) Coordinating with the Office of Continuity Programs to annually test telework capabilities, to include IT infrastructure required to support telework options during a continuity activation. (j) Participating with the Departmental Essential Records Manager and the Office of Continuity Programs to annually test recovery strategies for essential records, critical information systems, and data. (k) Participating with the Departmental Essential Records Manager and the Office of Continuity Programs to annually test capabilities for protecting essential records and information systems, and for providing access to them from alternate locations. (5) Director, Office of Public Affairs. The Director, Office of Public Affairs (PA) is responsible for: (a) Providing timely, factual public affairs information to national or international media, the public (through the media and via website), employees through federal and contractor employee communication protocols as well as through websites, e-mails, and public media. (b) Ensuring that reviews of documents, both unclassified and classified, are conducted as required by DOE O 475.2, Identifying Classified Information, current version; DOE O 471.6, Information DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-29 Security, current version; 32 CFR Part 2001, Classified National Security Information; and 10 CFR Part 1017, Identification and Protection of Unclassified Controlled Nuclear Information. (6) Director, Office of Management. The Director, MA is responsible for: (a) Developing an internal contingency plan for headquarters operating facility management to ensure availability of infrastructure support (e.g., primary and backup power; water; heating, ventilating, and air conditioning; and decontamination). (b) Ensuring consistency between the Headquarters Occupant Emergency Plan and the DOE Continuity Plan. (c) Securing and managing ground transportation assets in the event DOE personnel must move out of the NCR.

(d) Serving as a single point of contact to secure and coordinate non- commercial aviation support, to include agency-owned aircraft, chartered aircraft, military air, or aviation assets from other government agencies, in the event DOE personnel must move out of the NCR. (e) Preparing an all-hazard risk assessment of DOE’s primary and alternate headquarters operating facilities in coordination with AU. MA must update this risk assessment biennially. (f) Preparing for submission, the GSA SF-336, Continuity of Operations (COOP) Alternate Facility Identification/Certification, for DOE Headquarters and alternate locations. (g) Developing an SOP for reconstitution that various Headquarters Offices and Field Elements will use during this phase of continuity operations. (h) Performing an annual review, update (as applicable), and submission of GSA SF 2050, Reconstitution Questionnaire to GSA. (i) Coordinate with AU and the Office of Continuity Programs to document annual testing of primary and backup infrastructure systems and services, such as power, water, and fuel at alternate operating facilities. https://www.gsa.gov/forms-library/continuity-operations-coop-continuity-facility-identificationcertification https://www.gsa.gov/forms-library/continuity-operations-coop-continuity-facility-identificationcertification https://www.gsa.gov/forms-library/reconstitution-questionnaire Appendix A – Federal Employees Only DOE O 150.1B A-30 12-1-2021 (7) Director, Office of Intelligence and Counterintelligence. The Director, IN is responsible for: (a) Participating in the quarterly testing of continuity communication systems for use during a continuity event at primary and alternate facilities, in accordance with OSTP/OMB D-16-1. (b) Developing a response plan, in coordination with the CESER and IM, to provide information to enable DOE to respond to a cyber event. (c) Coordinate with the Office of Continuity Programs and with personnel at the Department’s devolution site quarterly to test internal and external interoperability and viability of primary and contingency communications and information technology systems. (8) Associate Administrator for Management and Budget. The Associate Administrator for NA-MB is responsible for: (a) Overseeing and coordinating exercise and real-world accountability, alerting, and notifications for NNSA Offices and Field Elements with the Office of Continuity Programs and other APOCs. (b) Coordinating with MA during reconstitution to ensure NNSA equities are represented. (c) Executing procurement activities for NNSA during a COOP activation. (9) Office of Emergency Operations. Responsibilities for positions within the Office of Emergency Operations are documented in Appendix C. d. Additional Positions with Coop Responsibilities. (1) COOP Coordinators. The Department’s COOP Coordinators are responsible for: (a) Administering the Continuity Program for their Headquarters Office or Field Element. (b) Briefing their Headquarters Office/Field Element Leadership on all pertinent continuity related information (i.e., Eagle Horizon Exercise information, anticipated COGCON changes, impending real-world events, etc.). (c) Responding to requests for information (RFIs) from Office of Continuity Programs. DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-31 (d) Reviewing the “Monthly Consolidated Continuity Personnel Roster” (or similar roster if the name of the product changes) on a monthly basis and providing updates as necessary to the Office of Continuity Programs.

(e) Reviewing “DOE AWARe Quarterly Updates” spreadsheet (or similar roster if the name of the product changes) on at least a quarterly basis and providing updates as necessary to the Office of Continuity Programs. (f) Attending, in person or virtually, monthly COOP Coordinators Meetings, schedule permitting. (g) Completing the COOP Coordinator training as distributed by Office of Continuity Programs within 180-days of distribution or assignment to the position, as applicable. (h) Coordinating with HC, IM, NA-MB, APOCs, and the Office of Continuity Programs to quarterly test personnel accountability and alert and notification procedures for all personnel in their Headquarters Office. (2) PMEF Coordinators. PMEF Coordinators are responsible for: (a) Leading and coordinating the planning and execution of PMEFs. (b) Coordinating with supporting MEF Coordinators to determine the overall status of their respective PMEF. (c) Communicating PMEF status with Departmental leadership and with external partners, as appropriate. (d) Serving on the Continuity Coordination Group (CCG), when activated. (3) MEF Coordinators. MEF Coordinators are responsible for: (a) Leading and coordinating the planning and execution of MEFs. (b) Coordinating with internal and external partners to control and direct execution of their MEF. (c) Determining the status of MEF operations. (d) Coordinating with internal partners to determine status of operations and actions comprising the MEF. Appendix A – Federal Employees Only DOE O 150.1B A-32 12-1-2021 (e) Compiling all MEF component operational status to determine overall MEF status. (f) Communicating readiness with Departmental leadership and PMEF Coordinators. (g) Serving on the CCG when activated. (4) ESA Coordinators. ESA Coordinators are responsible for: (a) Leading and coordinating the planning and execution of Enterprise-wide ESAs (listed in the DOE Continuity Plan). (b) Leading and coordinating the planning and execution of Enterprise-wide ESAs. (c) Coordinating with internal and external partners to control and direct execution of their ESA(s). (d) Determining the status of ESA operations. (e) Communicating readiness with Department leadership and MEF Coordinators. (5) Headquarters Office ERG Members. Headquarters Office ERG leadership or support personnel are responsible for: (a) Responding to real-world events when notified through the proper procedures. Personnel should be prepared to respond with minimal delay. (b) Receiving training at their respective alternate location within 90 days of their assignment to the position and receiving refresher training annually thereafter. (c) Participating in continuity related TT&E events as requested by Department and/or NNSA. These events include GETS/WPS testing, accountability drills, Mid-Year Training events, Eagle Horizon exercises, etc. (6) Headquarters Office DERG Members. Headquarters Office DERG leadership or support personnel are responsible for: (a) Responding to real-world events when notified through the standard procedures. Personnel should be prepared to respond with minimal delay. DOE O 150.1B Appendix A – Federal Employees Only 12-1-2021 A-33 (b) Receiving training at their respective devolution location within 90 days of their assignment to the position and receiving refresher training annually thereafter.

(c) Participating in continuity related TT&E events as requested by Department and/or NNSA, as applicable. These events include GETS/WPS testing, accountability drills, Mid-Year Training events, and Eagle Horizon exercises, among others. (7) Contracting Officers. Contracting Officers (Cos) are responsible for the following: (a) For M&O contracts directly performing or supporting DOE/NNSA essential functions: Upon notification by the Head of the Departmental Element or his or her designee, incorporate the CRD into the contract by the due date established by the Head of the Departmental Element. The CO must incorporate the CRD without alteration unless the CRD permits alteration and the CO follows the appropriate process, or unless requirements are tailored per Department of Energy Acquisition Regulation (DEAR) 970.5204- 2. (b) For Non-M&O contracts directly performing or supporting DOE/NNSA essential functions: Upon notification by the Head of the Departmental Element or his or her designee, incorporate the CRD into the contract by the due date established by the Head of the Departmental Element. The CO should attempt to incorporate the CRD bilaterally. If unsuccessful, the CO must consult with the Head of the Departmental Element or appropriate program official. The CO must incorporate the CRD without alteration unless following the appropriate process for exemption/equivalency. (c) As applicable, designate and authorize in writing CORs to perform specific technical or administrative functions consistent with DOE Order 541.1C, Appointment of Contracting Officers and Contracting Officer Representatives, or the most current version of the Order. (8) Departmental Essential Records Manager. The Departmental Essential Records Manager is responsible for: (a) Participating with IM and the Office of Continuity Programs to annually test recovery strategies for essential records, critical information systems, services, and data. (b) Participating with IM and the Office of Continuity Programs to annually test capabilities for protecting essential records and Appendix A – Federal Employees Only DOE O 150.1B A-34 12-1-2021 information systems and for providing access to them from alternate locations. (9) Accountability Points-of-Contact. APOCs are responsible for: (a) Coordinating with HC, IM, NA-MB, COOP Coordinators, and Office of Continuity Programs to quarterly test personnel accountability and alert and notification procedures for all personnel in their Headquarters Office. (b) Providing accountability reports, as requested by HC, NA-MB, IM, or the Office of Continuity Programs during drills, tests, exercises, or real-world events. DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-1 APPENDIX B: REQUIREMENTS FOR FIELD ELEMENTS This Appendix documents Department of Energy (DOE) Order (O) 150.1B requirements placed upon all Field Elements in the areas of Continuity Program Management, Continuity of Operations (COOP) Plans, and Communications and Information Systems. This Appendix also provides a list of the Roles and Responsibilities of leadership of Field Elements and select continuity personnel, as well as instructions regarding classification and controlled unclassified information review.

Field Elements that do not directly perform or support DOE or National Nuclear Security Administration (NNSA) Primary Mission Essential Functions (PMEFs), Mission Essential Functions (MEFs), or associated Essential Supporting Activities (ESAs)—as documented in the biennial PMEF/MEF Revalidation Package or Enterprise-wide Business Process Analysis (BPA)—are subject to a reduced set of requirements. Appendix B notes those requirements that do not apply to Field Elements that do not directly perform or support DOE/NNSA PMEFs, MEFs, and ESAs. 1. CONTINUITY PROGRAM REQUIREMENTS FOR FIELD ELEMENTS. a. Program Management. At the Field Element level, the continuity program must meet the following requirements or reference overarching plans that integrate crosscutting continuity/devolution capabilities and responsibilities: (1) Include all the Continuity Capability Elements, as applicable, and meet the applicable requirements as listed in Federal Continuity Directive 1 (FCD- 1), Federal Executive Branch National Continuity Program and Requirements; and FCD-2, Federal Executive Branch Mission Essential Functions and Candidate Primary Mission Essential Functions Identification and Submission Process. (2) Address the operating requirements specific to each Field Element’s role in performing the Department’s PMEFs, MEFs, and ESAs as applicable. It is recognized that each individual DOE and NNSA Field Element may have unique operating realities which are not universal across all Field Elements. Therefore, Field Element Managers may seek an equivalency or exemption that will meet the specific operating realities of their site, so long as the underlying requirements contained in Federal Continuity Directives and this Order are met. (3) Provide personnel accountability reports (including initial reports and updates, if applicable) to the DOE Office of the Chief Human Capital Officer (HC) upon request. In addition, NNSA Elements will also provide the information to NNSA’s Management and Budget (NA-MB) office. Additional personnel accountability requirements for Field Elements include: Appendix B – Federal Employees Only DOE O 150.1B B-2 12-1-2021 (a) Provide the DOE HC and the Office of Continuity Programs with the name and contact information for the Accountability Point-of- Contact (APOC) for the Field Element. (b) Identify, document, and execute a process to account for all personnel supporting DOE in the following conditions: 1 Field Elements will account for continuity personnel and alternates supporting DOE within 12 hours of activation during real-world events. 2 Field Elements will account for all other employees supporting DOE within the affected area within 5 days after activating an organization’s continuity plan during real- world events. 3 Field Elements will account for all employees supporting DOE (not limited to continuity personnel) during accountability drills and other exercises. (c) Address any additional guidance for the accountability process as released by the DOE HC and/or the Office of Continuity Programs. (d) Field Elements will participate in quarterly accountability drills conducted by the DOE HC and the Office of Continuity Programs. 1 Field Elements can submit a request for an exemption from participating in a quarterly drill on an as needed basis. 2 Requests are to be submitted in writing to the Director, Office of Continuity Programs. Exemptions will be considered and granted, as appropriate, by the Associate Administrator and Deputy Under Secretary for Emergency Operations.

(4) Ensure processes and communications capabilities are in place to communicate with Headquarters Offices’ primary, alternate, and devolution locations. (5) Ensure the ability to communicate with Headquarters Offices from the Field Element’s primary, alternate, and devolution locations, as applicable. (6) Designate a primary and alternate COOP Coordinator tasked to administer the COOP program at each Field Element. (7) Identify the essential functions, if applicable, performed by each Field Element and develop Essential Function Data Sheets consistent with guidance found in FCD-2. Field Elements will submit Essential Function DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-3 Data Sheets to the Office of Continuity Programs biennially, who will incorporate data sheets into the biennial revalidation of DOE/NNSA’s MEFs and PMEFs. (8) Develop a BPA for each DOE/NNSA MEF the Field Element performs and submit each BPA to the Office of Continuity Programs biennially. In order to promote uniformity of BPA submissions, offices are highly encouraged to use the Business Process Analysis Data Sheet Template found in FCD-2. This requirement does not apply to Field Elements that do not directly perform or support a DOE/NNSA PMEF, MEF, or ESA. (9) For Field Elements serving as a devolution location for a Headquarters Office, the Field Element must coordinate with the respective Headquarters Office to ensure there is a Memorandum of Agreement or Memorandum of Understanding (MOA/MOU) with the Headquarters Office. The Field Element must state their acceptance of devolution responsibilities in the MOA/MOU. Field Elements should also coordinate with Office of Management (MA) or NA-MB, as applicable, and the Office of the General Counsel (GC) or NNSA Office of the General Counsel (NA-GC), as applicable, to ensure the documentation is properly prepared. (10) Address how the Field Element will identify and transfer organizational command and control, as well as responsibility for performing essential functions, if applicable, to personnel at a geographically dispersed devolution partner unaffected by the incident. At a minimum, each Field Element is to consider whether they can identify a suitable devolution partner who can receive command and control responsibilities related to providing control and direction, addressing contracting issues, accounting for all personnel, retrieving essential records, and beginning the process to address reconstitution. Additional devolution requirements, if applicable, include: (a) Develop an MOA/MOU between the Field Element and the devolution partner to ensure common understanding of what responsibilities are devolving. (b) Share BPAs and any other applicable information regarding essential functions to assist the devolution partner in understanding what functions were performed at the Field Element and how to perform any functions transferred. (c) Share information related to contracts, personnel, facilities, essential records, and other material necessary for the devolution partner to effectively execute its role in performing command and control responsibilities. Appendix B – Federal Employees Only DOE O 150.1B B-4 12-1-2021 (d) Assist in training Devolution Emergency Response Group (DERG) personnel to perform any functions transferred. (11) Certify annually, by date of signature, the Field Element maintains a continuity plan. Subordinate organizations may reference overarching plans that integrate crosscutting continuity/devolution capabilities and responsibilities.

(12) Certify, by date of signature, the Field Element participates in an annual exercise incorporating the deliberate and preplanned movement of continuity personnel to an alternate location, if applicable. This requirement does not apply to Field Elements that do not directly perform or support a DOE/NNSA PMEF, MEF, or ESA. (13) Identify continuity requirements that will ensure appropriate and necessary resources are available to meet established regulatory requirements. Resources should be sought to address the following goals, if applicable: (a) Establish and maintain a viable continuity program. (b) Acquire and maintain resources, equipment, and supplies necessary to sustain operations and personnel at alternate locations for a minimum of 30 days. (c) Establish techniques and procedures to streamline standard process and support emergency acquisitions of equipment, supplies, services, and personnel to support continuity operations. (d) Integrate continuity funding and acquisition requirements, as applicable, into existing and future contracts and MOAs/MOUs, as applicable, to ensure the continuation of MEFs. (e) Integrate continuity funding and acquisition requirements, as applicable, into annual tasks and objectives, performance metrics, and mandatory reporting. (14) Synchronize efforts with other Departmental risk management requirements to implement operations security (OPSEC) and risk management procedures, including geographically dispersed staff; resilient and redundant communications; force protection; identity management; and personnel accountability to protect continuity programs, facilities, networks, information, personnel, and plans from a broad spectrum of threats. This requirement does not apply to Field Elements that do not directly perform or support a DOE/NNSA PMEF, MEF, or ESA. Additional risk management requirements include: DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-5 (a) Complete an initial, biennial and, in the case of emerging threats, an as needed Business Impact Analysis (BIA). The BIA is used in identifying, analyzing, assessing, and prioritizing risks to continuity and threats capable of impacting essential functions. (b) Produce a risk matrix showing known or potential risks, measuring the probability of risk-event occurrence, and illustrating the severity of impact should an event be realized. (c) Identify appropriate risk mitigation strategies and threat countermeasures, including: 1 A cost-benefit analysis of risk mitigation and threat management control measures. 2 For unacceptable risks, a plan to implement mitigation, management, or control measures to reduce the impacts of catastrophic emergencies, including pandemic/infectious disease outbreak. 3 Signature of Acknowledgement of risk by the Continuity Manager, Continuity Coordinator, or by the organization’s senior executive. (15) Maintain records needed for continuity operations as part of an essential records program in accordance with DOE O 243.1, Records Management Program, current version. This requirement does not apply to Field Elements that do not directly perform or support a DOE/NNSA PMEF, MEF, or ESA. (16) Establish and implement a test, training, and exercise (TT&E) program, with support from the Office of Continuity Programs, to ensure Emergency Relocation Group (ERG) and DERG personnel are prepared to perform essential functions at alternate sites, as applicable. This requirement does not apply to Field Elements that do not directly perform or support a DOE/NNSA PMEF, MEF, or ESA.

(17) Provide annual training on roles and responsibilities for personnel, including government and contractor personnel, assigned to activate, support, and sustain devolution operations, as applicable. This requirement does not apply to Field Elements that do not directly perform or support a DOE/NNSA PMEF, MEF, or ESA. The training must include: (a) Field Element devolution plans, processes, and procedures. (b) Communications and information technology (IT) systems that will be used during devolution operations. Appendix B – Federal Employees Only DOE O 150.1B B-6 12-1-2021 (c) Identification, protection, and availability of electronic and hardcopy documents, references, records, information systems, and data management software as well as equipment needed to support devolved essential functions during devolution operations. (d) How the Field Element identifies and performs/supports its essential functions during an increased threat situation or in the aftermath of a catastrophic emergency that activates the devolution plan. (18) For Field Elements serving as a devolution location for a Headquarters Office, the Field Element must, at minimum, biennially exercise Headquarters-level counterparts on the DERG to demonstrate their familiarity with devolution procedures. This exercise may be part of an annual continuity exercise (such as Eagle Horizon) or it may be conducted separately. The exercise must: (a) Familiarize DERG personnel with devolution plans, processes, and procedures. (b) Familiarize DERG personnel with reconstitution plans and procedures for returning to normal operations at an original primary operating facility or at a replacement primary operating facility. (19) Conduct a biennial exercise for DERG members at the devolution site of the Field Element to maintain familiarity with devolution procedures, as applicable. This requirement does not apply to Field Elements that do not directly perform or support a DOE/NNSA PMEF, MEF, or ESA. The exercise must: (a) Familiarize DERG personnel with devolution plan, processes, and procedures. (b) Familiarize DERG personnel with reconstitution plans and procedures for returning to normal operations at the original primary operating facility or replacement primary operating facility. (20) Develop a process to submit a Continuity Status Reporting Form (CSR) to the Office of Continuity Programs during a change of continuity condition, including Federal Emergency Management Agency (FEMA)- directed Continuity of Government Readiness Conditions (COGCON) changes, a continuity incident, and/or plan activation. (21) Address Continuous Improvement Program requirements found in paragraph 1.b. below. This requirement does not apply to Field Elements DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-7 that do not directly perform or support a DOE/NNSA PMEF, MEF, or ESA. b. Continuous Improvement Program. Each Field Element will develop a methodology/program for continuous improvement of their continuity program. The methodology/program may be part of another readiness assurance/continuous improvement program. With the exception of annual Continuity Readiness Assurance Report (CRAR) submission requirements expected from all Field Elements, Continuous Improvement Program requirements do not apply to Field Elements that do not directly perform or support a DOE/NNSA PMEF, MEF, or ESA. The continuous improvement consists of the following components:

(1) Program Evaluations. All Field Elements are responsible for monitoring and/or ensuring completion of the following items within its own Field Element: (a) Identify findings (e.g., strengths, improvements, deficiencies) in continuity programs; testing, training, and exercises; plans; and procedures. (b) Each Field Element must seek a program evaluation by an entity not directly involved with the development of that COOP program or by the Office of Continuity Programs at least once every 3 years to ensure compliance with the Order. Results must be documented in the CRAR. (c) Evaluations are to be based on the requirements of Presidential Policy Directive (PPD) 40, National Continuity Policy; Office of Science and Technology Policy / Office of Management and Budget Directive 16-1 (OSTP/OMB D-16-1), Minimum Requirements for Federal Executive Branch Continuity Communications Capabilities; FCD-1; FCD-2; Federal Mission Resilience Strategy (FMRS); Executive Order 13961, Governance and Integration of Federal Mission Resilience, and this Order. (d) Evaluations of the COOP program may be combined with other evaluation programs. (e) CRARs must identify what the goals were for the fiscal year that ended, the degree to which these goals were accomplished, and goals for the next fiscal year. 1 All Field Elements use the CRAR to document that the office participated in an annual exercise incorporating the deliberate and preplanned movement of continuity personnel to an alternate site, and the date of the exercise. Appendix B – Federal Employees Only DOE O 150.1B B-8 12-1-2021 2 All Field Elements may submit CRARs as appendices to Emergency Readiness Assurance Plans, if applicable. 3 CRARs must be provided to the Office of Continuity Programs by November 30 of each year. (2) Improvements. All Field Elements must ensure appropriate and timely improvements are made to their specific program in response to needs identified through coordinated COOP planning, resource allocation, program assistance activities, evaluations, training, drills, exercises, and actual COOP activations. (3) Corrective Actions. A Corrective Action Program (CAP) must be developed and implemented to assist in documenting, prioritizing, and resourcing continuity issues identified during testing, training, exercises, evaluations, and actual COOP activations. (a) Corrective Action Plans must be developed within 45 calendar days of receipt of a final report from an exercise, real-world event, or evaluation. (b) Corrective actions must be completed as soon as feasible. (c) Corrective actions addressing revision of procedures or training of personnel should be completed before the next self-evaluation of the program. 2. REQUIREMENTS FOR FIELD ELEMENT COOP PLANS. a. Background. In accordance with PPD-40, the Department shall develop and implement comprehensive COOP plans, including devolution and reconstitution, where applicable, in order to increase survivability and ensure continuous performance and delivery of PMEFs, MEFs, and ESAs that support the National Essential Functions (NEFs) under all circumstances. This Appendix to the Order addresses requirements to be addressed in COOP plans for all Field Elements. (1) Essential functions are critical activities that directly perform or support a DOE/NNSA PMEF, MEF, or ESA and must be sustained during all phases of a continuity event. (2) PMEFs are those MEFs that must be continuously performed to support or implement the uninterrupted performance of NEFs.

(3) MEFs are the essential functions directly related to accomplishing the organization's mission as set forth in its statutory or executive charter. (4) ESAs are functions that support performance of MEFs or PMEFs but do not reach the threshold of MEFs or PMEFs. ESAs are important in DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-9 facilitating continuity activities necessary to sustain MEFs or PMEFs (e.g., providing a secure workplace, ensuring computer systems are operating); however, the sole performance of ESAs does not directly accomplish an organization’s mission. b. Federal Continuity Documents. All Department COOP plans will comply with PPD-40, FCD-1, FCD-2, FMRS, Executive Order 13961, and this Order. The exception is when a COOP plan is included as a part of a higher-level COOP plan which meets these requirements, as described in paragraph 2.c.(2) below. All COOP plans will address all Continuity Capability Elements of a viable continuity program. Each Field Element COOP plan should provide the level of detail appropriate to the operating realities of the Field Element—meaning, if the Field Element does not perform essential functions or has no process to devolve, then those respective sections of the COOP plan should document they have no essential functions nor devolution capabilities. The Continuity Capability Elements to be documented in each COOP plan are listed below: (1) Program management, plans, and procedures. (2) Essential functions. (3) Orders of succession. (4) Delegations of authority. (5) Communications and information systems. (6) Essential records management. (7) Alternate locations. (8) Human resources. (9) Devolution. (10) Reconstitution. (11) TT&E. c. Program Management, Plans, and Procedures. In addition to the requirements of FCD-1, all Field Elements are to address the following requirements: (1) All Field Elements, regardless of location and function, must maintain a continuity capability documented in a COOP plan, or an Annex or Appendix to a parent organization COOP plan, addressing the requirements found in the documents listed in paragraph 2.b., in this Appendix (Federal Continuity Documents). Appendix B – Federal Employees Only DOE O 150.1B B-10 12-1-2021 (2) All Field Elements will ensure their COOP plans are in alignment with the DOE COOP planning structure. This structure builds unity of effort across the DOE COOP planning enterprise by directing the alignment of COOP plans from the DOE Continuity Plan through Field Element COOP plans. (a) The DOE Continuity Plan is supported by the collective COOP plans of the Deputy Secretary of Energy, Under Secretary, Under Secretary for Science, Under Secretary for Nuclear Security, and their respective Headquarters Office and Field Element COOP plans. (b) Headquarters Office COOP plans will support and align with the respective COOP plans of the Deputy Secretary of Energy, Under Secretary, Under Secretary for Science, or Under Secretary for Nuclear Security and any subordinate Field Element COOP plans. (c) The Field Element COOP plans will align with and support the respective Deputy- or Under Secretary-level COOP plan, Headquarters Office COOP plan, or other higher-level Field Element COOP plan. (3) All COOP plans must be signed by the Organization Head, such as the Secretary, Deputy Secretary, Under Secretary, Director, Administrator, Field Element Manager, or designee.

(4) All COOP plans must document the requirement for an annual review of the COOP plan and associated system-specific plans, such as Disaster Recovery Plans (DRPs) and Information System Contingency Plans (ISCPs), if applicable, with updates to the plans being required, as applicable. The date of review and names of personnel conducting the review must be recorded. Annual review will include contacting the Office of Continuity Programs to: (a) Verify current DOE/NNSA PMEFs and the MEFs mapped to support each PMEF. (b) Verify current DOE/NNSA MEFs and the Field Elements mapped to support each MEF. (5) All COOP plans must identify support for Essential Functions of other Federal Agencies through Strategic Partnership Projects, as applicable. DOE O 481.1E, Strategic Partnership Projects [formerly known as Work for Others (Non-Department of Energy Funded Work)], current version, provides additional information regarding Strategic Partnership Projects. (6) All COOP plans must define a methodology to ensure applicable continuity operations can be sustained for a minimum of 30 days DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-11 following a catastrophic emergency or until normal operations are resumed. This includes planning for challenges posed by continuity events that extend past 30 days. (7) All COOP plans must establish a process to complete and submit CSR forms to the Office of Continuity Programs during any change in continuity status. (8) All COOP plans must list an ERG, consisting of leadership, staff, and functional support elements capable of relocating to alternate locations, as applicable, to support the performance of essential functions. (9) All COOP plans must identify the process to account for all personnel during real-world activations, drills, tests, and exercises. (10) All COOP plans must document a decision-support process and define event triggers, including responses, as applicable, to COGCON changes in the National Capital Region (NCR), Security Condition (SECON) changes, and other local readiness conditions, as applicable. This process should inform timely and accurate COOP plan activation, with and without warning, during duty and non-duty hours. (11) All COOP plans must provide procedures for identifying, maintaining, activating, and sustaining alternate locations and the transition of essential functions to continuity personnel, as applicable. (12) All COOP plans must define processes for attaining full operational capability at an alternate location(s), as applicable, as soon as possible, but no later than 12 hours following COOP plan activation, and reporting operational capability. Operational capability reporting must reflect the status of PMEFs and/or MEFs supported by the Field Element and/or its subordinate Elements. (13) Field Elements have flexibility in the format of their plans, provided they meet the requirements of this Order. Field Elements have the flexibility to establish one COOP plan, or multiple COOP plans for the site with contractors, eliminating the need to develop separate plans. The Field Element and contractor can make the determination through collaboration to decide the most effective option. d. Essential Functions. In addition to the requirements of FCD-1, the content of each COOP plan must: (1) Define which of the Department’s PMEFs and/or MEFs the Field Element supports, if any. Appendix B – Federal Employees Only DOE O 150.1B B-12 12-1-2021

(2) Identify, prioritize, and document ESAs. These functions remain essential to the Department’s overall continued performance of the PMEFs and MEFs. e. Orders of Succession. In addition to the requirements of FCD-1, all Field Elements are to address the following requirements, if applicable: (1) DOE Field Elements, and NNSA Field Elements having an out-of-area successor to the Secretary, are to list orders of succession consistent with DOE O 100.1, Secretarial Succession, Threat Level Notification, and Successor Tracking, current version. Orders of succession should annotate personnel in Secretarial Succession, including provisions for devolution or successors located at Field Elements outside the NCR. (2) NNSA Field Elements are to list orders of succession consistent with NNSA Supplemental Directive (SD) 150.1A, Lines of Succession (or the most current version of the Directive). Orders of succession should annotate personnel line of succession to the Administrator and/or program offices within NNSA. f. Delegations of Authority. There are no exceptions/additions to the requirements provided in FCD-1. g. Communications and Information Systems. There are no exceptions/additions to the requirements provided in FCD-1. h. Essential Records Management. In addition to the requirements of FCD-1, the content of each COOP plan must: (1) Identify, document, position, and protect any applicable essential records in accordance with DOE O 243.1, Records Management Program, current version, and in compliance with FCD-1. (2) Ensure all records necessary to support the PMEFs, MEFs, and ESAs are included in the essential records. (3) Ensure essential records are available and accessible to ERG personnel and DERG personnel, as applicable, at their respective alternate location. i. Alternate Locations. In addition to the requirements of FCD-1, all Field Elements are to address the following requirements: (1) List the location(s) of the Field Element’s COOP relocation site(s) and devolution site(s), as applicable. Identify the MEFs and ESAs, if any, that can be performed at each alternate location. (a) Consider the use of local sites to act as alternate locations to maintain organizational command and control and accountability DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-13 when the Field Element cannot move essential functions to an alternate location(s). (b) In the event that MEFs and ESAs performed by the Field Element or their respective contractor cannot be reasonably moved nor performed at an alternate location, the Field Element Manager or cognizant DOE/NNSA Headquarters Office Leadership may accept the risk of not performing any affected MEFs or ESAs. In such a case, the Field Element Manager or cognizant DOE/NNSA Headquarters Office Leadership must document acceptance of risk and inform the Office of Continuity Programs. (2) Ensure alternate locations are aware of all responsibilities when Field Elements activate COOP and devolution plans. This information should be included in an MOA/MOU between the Field Element and its alternate location(s). * j. Human Resources. In addition to the requirements of FCD-1, the content of each COOP Plan must: (1) Reference procedures verifying need to know and for providing ERG and DERG personnel with the appropriate security clearances, as applicable, and with the training and resources needed to perform their prescribed continuity roles and responsibilities.

(2) Reflect human resources planning for COOP that encompasses the Federal and Departmental policies regarding employees in an emergency, as applicable, and follows requirements of 5 Code of Federal Regulations (CFR) Part 550, Subparts A and D, or the most current version of the Regulation, and DOE O 322.1C Change 1, Pay and Leave Administration and Hours of Duty, current version. (3) Clearly define the expectations, roles, and responsibilities of continuity personnel, including the roles and responsibilities in paragraph 5 of this Appendix. k. Devolution. In addition to the requirements of FCD-1, the content of each COOP plan must (if applicable): (1) Identify a DERG, as appropriate, consisting of personnel necessary to support the performance of organizational command and control, accountability, and essential functions, as applicable, at a devolution site. (2) Ensure the devolution site is aware of all responsibilities when Headquarters Offices activate devolution plans. This information should be included in an MOA/MOU between the devolving organization and the devolution location. Additional information regarding devolution Appendix B – Federal Employees Only DOE O 150.1B B-14 12-1-2021 requirements is provided in paragraph 1.a.(9), (a) through (d) of this Appendix. (3) Identify devolution partner(s) and the process for transitioning essential functions to devolution personnel, as applicable. Consider Field Elements performing similar functions, as applicable, or their parent Headquarters Office as devolution partner(s). (4) Define a devolution process for the Field Element. This process must: (a) Define the devolution partner(s). The devolution partner(s) must agree, in writing, to designation as a devolution partner and be willing to provide DERG personnel, as necessary. (b) Include devolution of, at a minimum, Field Element command and control, and personnel accountability. (c) Include the transfer of all essential records, including BPA documentation. (d) Include devolution of essential functions, if functions can be devolved to another location. l. Reconstitution. In addition to the requirements of FCD-1, all Field Elements are to address the following requirements: (1) Designate a Reconstitution Manager to oversee all phases of the reconstitution process. The Reconstitution Manager may vary based on the initiating event. (2) Record information similar to what is included in a General Services Administration Standard Form 2050 (SF-2050), Reconstitution Questionnaire, and maintain this information with the essential records. (3) Ensure any additional information needed to reconstitute is included in and protected with the essential records. (4) Detail the process to verify operational capability and availability of systems, communications, essential records, infrastructure, and other required resources. Establish that the Field Element is fully capable of accomplishing all essential functions and operations at the new or restored facility. m. Test, Training, and Exercises. There are no exceptions/additions to the requirements provided in FCD-1. TT&E requirements are addressed in paragraph 1 of this Appendix (Continuity Program Requirements for Field Elements). https://www.gsa.gov/forms-library/reconstitution-questionnaire https://www.gsa.gov/forms-library/reconstitution-questionnaire https://www.gsa.gov/forms-library/reconstitution-questionnaire DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-15

3. COMMUNICATIONS AND INFORMATION SYSTEMS REQUIREMENTS FOR FIELD ELEMENTS. a. All Field Elements performing DOE/NNSA MEFs have responsibility for ensuring the availability, diversity, and redundancy of critical communications and information systems needed to sustain MEFs. Field Elements should coordinate with the DOE Office of the Chief Information Officer (IM), NNSA Office of Information Management and Chief Information Officer (NA-IM), and/or the Office of Continuity Programs if they need assistance in addressing communications and information systems requirements. In order to address communications and information systems requirements, all Field Elements must ensure: (1) Availability of communications and information systems with sufficient resilience and contingencies necessary to perform essential functions, immediately or no later than 12 hours after activation, at primary and alternate locations. (a) Systems must support connectivity among key leadership, internal elements, other organizations, and the public under all conditions. (b) Communications capabilities must be interoperable and of sufficient quantity and mode/media to enable redundant and survivable connectivity with essential function partners. (2) Compliance of the Department’s communications and information systems with FCD-1. (3) Compliance of the Department’s communications and information systems with DOE O 205.1, Department of Energy Cybersecurity Program, current version. For NNSA Offices and Elements, compliance of NNSA’s communications and information systems with NNSA SD 205.1, Baseline Cybersecurity Program, or the most current version of the Directive. (4) Implementation of communications requirements for continuity events do not supplant other required notifications and reporting delineated under legislation, implementing regulations, and DOE Orders. b. Continuity communications and information systems requirements include: (1) Designating continuity personnel (ERG and DERG, if applicable) with dedicated access to required minimum communications capabilities to ensure continual performance of PMEFs and MEFs for a minimum of 30 days following continuity activation, to include: Appendix B – Federal Employees Only DOE O 150.1B B-16 12-1-2021 (a) Ensuring communications capabilities are adequately maintained and continuity personnel have necessary access and are properly trained in their use. (b) Planning accordingly for essential functions that require uninterrupted communications and IT support. (2) Ensuring organizations that share an alternate location and communications capabilities with other organizations have a signed agreement with the system owner to ensure each has adequate access to communications and IT resources. (3) Ensuring risk assessments are conducted on all primary and alternate communications and information systems involved in the performance of essential functions, including associated supply chains and facilities such as data processing centers, using all-source intelligence and/or other applicable data and coordinated with BIAs for each MEF. (4) Coordinating and integrating communications and information system- specific planning efforts such as DRPs and ISCPs with appropriate organizational entities. In particular, DRPs and/or ISCPs are needed for mission critical systems supporting MEFs, essential support activities, and associated industrial control systems.

(5) Coordinating system service levels, including maximum allowable downtime and data back-up frequency requirements with system owners, and ensuring this is reflected in the organization’s continuity planning products such as the MEF BPA, DRPs, ISCPs, and/or service level agreements, as applicable. If existing service levels do not meet requirements to sustain PMEFs and MEFs, the following options are to be explored: (a) Increase the service levels to meet requirements. (b) Provide access to other networks with the appropriate service levels if such networks exist. (c) Accept the risk in planning documents. (6) Including Priority Telecommunications Services in continuity communications and information systems planning. (a) Distributing Government Emergency Telecommunications Service (GETS) cards. The COOP Coordinator in each Field Element can facilitate requesting GETS cards for identified personnel through DOE’s designated point of contact to the Department of Homeland DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-17 Security (DHS) GETS/Wireless Priority Services (WPS) Information Distribution System (GWIDS). 1 Pre-position at least one GETS card for emergency use at all primary and continuity facility locations. 2 Issue GETS cards to all ERG and DERG personnel. (b) Utilizing and activating WPS on cellular phones issued to ERG and DERG personnel, as applicable. The COOP Coordinator in each Field Element can facilitate requesting WPS access for identified personnel through DOE’s designated point of contact to DHS GWIDS. (c) Ensuring applicable circuits at primary and alternate locations involved in the performance of MEFs are enrolled in the Telecommunications Service Priority (TSP) Restoration Program. (7) Developing communications plans documentation that provides guidance on how internal and external communications are maintained during a continuity activation. (8) Ensuring Field Elements annually review communications plans for accuracy to ensure they are fully capable of supporting essential functions. Document the date of review and the names of personnel conducting the review. (9) Evaluating each location supporting MEFs to identify and mitigate potential single points of failure in the communications infrastructure. 4. CLASSIFICATION AND CONTROLLED UNCLASSIFIED INFORMATION REVIEW. a. All COOP plans and other continuity-related documents must be reviewed for the presence of classified and/or controlled unclassified information, as required by DOE O 475.2, Identifying Classified Information, current version; DOE O 471.6, Information Security, current version; 32 CFR Part 2001, Classified National Security Information; 32 CFR Part 2002, Controlled Unclassified Information; and 10 CFR Part 1017, Identification and Protection of Unclassified Controlled Nuclear Information. Documents will be marked and handled in accordance with national requirements; DOE and/or NNSA Orders, Directives, Manuals, and Guides; or other government agency classification guides, as appropriate. b. COOP plans that do not contain classified or Unclassified Controlled Nuclear Information (UCNI) will be marked, handled, and protected as Official Use Only (OUO) in accordance with DOE Manual (M) 471.3, Manual for Identifying and Protecting Official Use Only Information, current version, or successor policy. Appendix B – Federal Employees Only DOE O 150.1B B-18 12-1-2021 c. Freedom of Information Act (FOIA) exemption 7, which addresses Law Enforcement, may apply to OUO COOP plans.

d. Any FOIA requests for release of OUO COOP Plans must be coordinated with the cognizant Office of the General Counsel. 5. ROLES AND RESPONSIBILITIES FOR FIELD ELEMENTS. This section provides lists of continuity-related responsibilities for Field Element managers, COOP Coordinators, ERG and DERG members, and others having specific responsibilities for continuity preparedness, continuity planning, and continuity operations. a. Field Element Managers. The Field Element Managers are responsible for: (1) Developing, implementing, maintaining, and updating, as necessary, a COOP program consistent with Federal Directives and this Order. Field Element Managers may establish this COOP program in conjunction with the contractors on-site or as a separate program. (2) Ensuring the Field Element’s COOP plan aligns with and supports the higher echelon COOP p0lan and any subordinate element COOP plans. Examples of higher echelon plans may include a Headquarters Office COOP plan or a Program Office COOP plan. (3) Ensuring planners consider key tenets of the FMRS during COOP Plan development, including the “assess, distribute, and sustain planning model.” (4) Reviewing and approving the COOP or business continuity plans, including updates, as necessary. (a) Validate the current DOE/NNSA MEFs and PMEFs. (b) Verify Field Element’s current essential functions align to support applicable DOE/NNSA MEFs, PMEFs, and/or overall mission. (5) Identifying all other than Management and Operating (M&O) contractors supporting essential functions and ensuring the appropriate contracting official is aware the Contractor Requirements Document (CRD) applies to these contracts. (6) Certifying annually, by date and signature, the Field Element maintains a COOP plan. Subordinate organizations may reference overarching COOP plans that integrate crosscutting continuity/devolution capabilities and responsibilities. (7) Identifying continuity budgetary requirements and providing adequate funding to support the COOP program, if the Field Element directly performs or supports DOE/NNSA PMEFs, MEFs, or ESAs. DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-19 (8) Approving risk assessments for MEFs, including updates, as applicable. (9) Ensuring identification, evaluation, and assessment of potential risks to the MEFs that can include existing risk and hazard assessments, as applicable. (10) Determining whether to accept risk of not performing DOE/NNSA MEFs and ESAs if the M&O cannot reasonably relocate nor perform the affected MEFs and/or ESAs at an alternate location. Notify the Office of Continuity Programs if DOE/NNSA MEFs and ESAs cannot be performed. (11) Synchronizing efforts with other Departmental risk management requirements to implement operations security and risk management procedures, including geographically dispersed staff; resilient and redundant communications; force protection; identity management; and personnel accountability to protect continuity programs, facilities, networks, information, personnel, and plans from a broad spectrum of threats. (12) Integrating the COOP program with the required emergency management program(s), as applicable. (13) Addressing how the Field Element will identify and transfer organizational command and control, as well as responsibility for performing essential functions, if applicable, to personnel at a geographically dispersed location unaffected by the incident.

(14) Ensuring a COOP plan and procedures, encompassing all the Field Element’s facilities, are prepared, reviewed annually, and updated, as necessary, and are integrated with the overall Field Element emergency preparedness program. (15) Providing an electronic copy of the approved COOP plan(s) to the appropriate higher-echelon Headquarters Office and to the Office of Continuity Programs. (16) Ensuring infectious disease/pandemic planning is taken into consideration during the development and maintenance of Field Element COOP plans. Coordinate with the DOE Office of Environment, Health, Safety, and Security (AU) and review the Department of Energy Headquarters Pandemic Response Plan for additional input. (17) Ensuring COOP plans address cyber-attacks that may affect the Department in the performance of its mission. Appendix B – Federal Employees Only DOE O 150.1B B-20 12-1-2021 (18) Ensuring integration of appropriate Strategic Partnership Projects (formerly known as Work for Others [Non-Department of Energy Funded Work]) with the development and maintenance of the COOP plans. (19) Develop a process to submit a CSR form to the Office of Continuity Programs during a change of continuity status, including FEMA-directed COGCON changes, a continuity incident, and/or COOP plan activation. (20) Notifying the Office of Continuity Programs or the DOE Headquarters Consolidated Emergency Operations Center (CEOC) as soon as possible following the declaration of a continuity event using the CSR submission process, for those Field Elements supporting MEFs and PMEFs. (21) Conducting program evaluations commensurate with the complexity of the Field Element’s continuity program in accordance with paragraph 1.b. of this Appendix (Continuous Improvement Program). Complete CRARs and submit to the higher-echelon Headquarters Office and the Office of Continuity Programs. (22) Reviewing and approving CRARs covering facilities under their supervision; submitting reports to the Headquarters Office and the Office of Continuity Programs. (23) Ensuring incorporation of appropriate and effective measures for supporting the Field Element’s COOP programs in contractual arrangements. (24) Activating the Field Element’s ERG to oversee continuity operations at the appropriate location for those Field Elements supporting MEFs and PMEFs. (25) Ensuring Field Elements supporting MEFs and PMEFs provide situation reports to their respective Headquarters Program Office, the Office of Continuity Programs, and the Headquarters CEOC, as requested during continuity activations. (26) Participating in the development of a comprehensive COOP program for Field Elements with contractors responsible for site or facility operations and activities, which integrates with other local emergency response programs. (27) 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 level (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 DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-21 organization. Placing facility-specific requirements on the Field Element or on a site-contractor-level organization does not require an exemption from this Order.

(28) Providing the sites and facilities under their contractor oversight responsibility with: (a) Direction to implement continuity management policy and requirements. (b) Direction in COOP planning and preparedness activities including the Departmental essential functions the contractor supports. (c) Support and assistance during COOP events. (d) Support and assistance in resolving issues and in evaluation of COOP programs. (29) Identifying and documenting essential functions, resources, and records for which the Field Element is responsible, or to which it provides support. (30) Identifying and documenting the essential functions performed by the Field Element and developing Essential Function Data Sheets consistent with guidance found in FCD-2. The Office of Continuity Programs incorporates data sheets into the biennial revalidation of DOE/NNSA’s MEFs and PMEFs. (31) Developing a BPA for each DOE/NNSA MEF the Field Element performs. In order to promote uniformity of BPA submissions, Field Elements are highly encouraged to use the Business Process Analysis Data Sheet Template found in FCD-2. (32) Coordinating with higher-echelon Headquarters Offices and M&O contractors, as applicable, in performing a documented, biennial review of essential functions. (33) Establishing the orders of succession to key positions, consistent with DOE O 100.1, Secretarial Succession, Threat Level Notification, and Successor Tracking, current version, as applicable, to ensure support to the Secretary, as applicable, and execution of essential functions. NNSA Field Element Managers must also establish the orders of succession to key positions, consistent with SD 150.1A, Lines of Succession, or the most current version of the Directive as applicable, to ensure support to the Administrator, as applicable, and execution of essential functions. (34) Establishing predetermined delegations of authority for making policy determinations that can take effect upon disruption of normal channels of Appendix B – Federal Employees Only DOE O 150.1B B-22 12-1-2021 direction. This document should provide detail for officials to make key decisions during a continuity event to include: (a) Outlining explicitly the authority, including any exceptions to that authority, of an official so designated to exercise organizational direction. (b) Delineating the limits of authority and accountability. (c) Outlining the authority of officials to re-delegate their functions and duties, as appropriate. (d) Defining the circumstances under which delegations of authority take effect and terminate. (e) Incorporating the conditions under which delegations take place; the method of notification; the duration of the delegations; conditions for termination of the delegations; and, any temporal, geographical, or organizational limitations to the authorities granted by the orders of succession or delegations of authorities, including ability to re-delegate authorities. (35) Maintaining effective communication systems and protocols with the Office of Continuity Programs, specifically, during continuity events that require relocation of essential personnel and involve or affect facilities. (36) Ensuring the ability to communicate with Headquarters Offices from the Field Elements’ primary, alternate, and devolution locations to the Headquarters Offices’ primary, alternate, and devolution locations, as applicable.

(37) Ensuring a system or program is established for issuing, testing, and maintaining accountability of GETS cards issued to all ERG and DERG personnel, including: (a) Ensuring issuance of GETS cards to ERG and DERG personnel within 90 days of assignment. (b) Providing the total number of cards issued to the Office of Continuity Programs. (a) Testing quarterly by ERG and DERG personnel. (38) Ensuring a system or program is established for providing WPS capability to any ERG and DERG personnel provided a mobile device, including: (a) Ensuring provision of WPS capability to ERG and DERG personnel within 90 days of assignment. DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-23 (b) Testing quarterly by ERG and DERG personnel. (39) Establishing an essential records program in accordance with DOE O 243.1, Records Management Program, current version. (40) Developing a procedure that defines the resources, actions, tasks, and data required to manage the technology recovery effort for the Field Element, including the capability to recover essential records, for those Field Elements supporting MEFs and PMEFs. (41) Identifying and establishing local and remote alternate locations, as applicable. (42) Appointing a primary and an alternate COOP Coordinator, responsible for administering the COOP program for the Field Element and serving as the liaison between the Field Element and the Office of Continuity Programs. (a) Inform primary and alternate COOP Coordinators in writing of their continuity roles and responsibilities as specified in the COOP Coordinator Position Description. (b) Obtain a signed acceptance of these roles and responsibilities from the primary and alternate COOP Coordinators. (c) Submit contact information of personnel identified as COOP Coordinators to the Office of Continuity Programs within 15 days of appointment. (43) Appointing a primary and an alternate APOC; responsible for coordinating with DOE HC, IM, NA-MB, Office of Continuity Programs, and COOP Coordinators to quarterly test personnel accountability and alert and notification procedures for all personnel in all Field Elements. Also responsible for providing accountability reports, as requested by DOE HC, NA-MB, or Office of Continuity Programs during drills, tests, exercises, or real-world events. The COOP Coordinator and APOC roles may be served by the same individual. (a) Inform primary and alternate APOCs in writing of their continuity roles and responsibilities. (b) Obtain a signed acceptance of these roles and responsibilities from the primary and alternate APOCs. (c) Submit contact information of personnel identified as APOCs to the Office of Continuity Programs and HC within 15 days of appointment. Appendix B – Federal Employees Only DOE O 150.1B B-24 12-1-2021 (d) Ensure APOCs have access to system(s) used for accountability in order to generate reports, as applicable. (44) Appointing primary and alternate ERG members, as applicable. (a) Determine trained personnel necessary to perform essential functions at an alternate location (consider training, security clearances, ability to work under pressure, etc. when selecting personnel). (b) Inform primary and alternate ERG personnel in writing of their continuity roles and responsibilities. (c) Obtain a signed acceptance of these roles and responsibilities from the primary and alternate ERG personnel. (d) Submit contact information of personnel identified as ERG members to the Office of Continuity Programs within 15 days of appointment.

(45) Appointing primary and alternate DERG members, as applicable. (a) Determine trained personnel necessary to perform essential functions at a devolution location. Coordinate with devolution location leadership during the decision-making process (devolution location leadership should consider training, security clearances, ability to work under pressure, etc. when selecting personnel). (b) Inform primary and alternate DERG personnel in writing of their continuity roles and responsibilities. (c) Obtain a signed acceptance of these roles and responsibilities from the primary and alternate DERG personnel. (d) Submit contact information of personnel identified as DERG members to the Office of Continuity Programs and HC within 15 days of appointment. (46) Establishing a procedure for the Field Element to document the location, contact information, and well-being of all DOE personnel and contractors (M&O and other than M&O) during a continuity event. (47) Ensuring there is an MOA/MOU with the devolution location, if applicable, stating their acceptance of devolution responsibilities, as applicable. (48) Conducting a biennial exercise for DERG members, if a devolution site for a Headquarters Office, allowing Headquarters-level counterparts on DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-25 the DERG to demonstrate their familiarity with devolution procedures. This exercise may be part of annual continuity exercise (Eagle Horizon) or conducted separately. (49) Conducting a biennial exercise for DERG members at the devolution site, if applicable, for the Field Element to demonstrate familiarity with devolution procedures. (50) Certifying, by date and signature, the Field Element participation in an annual exercise incorporating the deliberate and preplanned movement of continuity personnel to an alternate location, for those Field Elements supporting MEFs and PMEFs. (51) Ensuring Field Element personnel, M&O contractors, and other than M&O contractors supporting essential functions participate in the COOP TT&E program and COOP awareness training is provided to all personnel. (52) Provide ERG members Field Element-specific ERG training. (53) Collaborate with devolution location(s) to ensure DERG personnel receive function specific training. (54) 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 CAP. (55) Coordinating with their higher Headquarters Office to ensure resources are available to implement this Order. b. COOP Coordinators. The Department’s COOP Coordinators are responsible for: (1) Administering the Continuity Program for their Headquarters Office or Field Element. (2) Briefing their Headquarters Office/Field Element Leadership on all pertinent continuity related information (i.e., Eagle Horizon Exercise information, anticipated COGCON changes, impending real-world events, etc.). (3) Responding to requests for information (RFIs) from Office of Continuity Programs. (4) Reviewing the “Monthly Consolidated Continuity Personnel Roster” (or similar roster if the name of the product changes) on a monthly basis and providing updates as necessary to the Office of Continuity Programs. Appendix B – Federal Employees Only DOE O 150.1B B-26 12-1-2021

(5) Reviewing “DOE AWARe Quarterly Updates” spreadsheet (or similar roster if the name of the product changes) on at least a quarterly basis and providing updates as necessary to the Office of Continuity Programs. (6) Attending, in person or virtually, monthly COOP Coordinators Meetings, schedule permitting. (7) Completing the COOP Coordinator training as distributed by Office of Continuity Programs within 180-days of distribution or assignment to the position, as applicable. (8) Coordinating with HC, IM, NA-MB, APOCs, and the Office of Continuity Programs to quarterly test personnel accountability and alert and notification procedures for all personnel in all Field Elements. c. Field Element ERG. Field Element ERG leadership or support personnel are responsible for: (1) Responding for real-world events upon notification of activation through the standard procedures. Personnel should be prepared to respond to respective alternate location with minimal delay. (2) Receiving training, as applicable, at their respective alternate location within 90 days of their assignment to the position and receiving refresher training annually thereafter. (3) Participating in continuity related TT&E events as requested by Department and/or NNSA. These events include GETS/WPS testing, accountability drills, Mid-Year Training events, Eagle Horizon exercises, etc. d. Field Element DERG. As applicable, Field Element DERG leadership or support personnel are responsible for: (1) Responding for real-world events upon notification of activation through the standard procedures. Personnel should be prepared to respond to their respective devolution location with minimal delay. (2) Receiving training, as applicable, at their respective devolution location within 90 days of their assignment to the position and receiving refresher training annually thereafter. (3) Participating in continuity related TT&E events as requested by Department and/or NNSA. These events include GETS/WPS testing, accountability drills, Mid-Year Training events, Eagle Horizon exercises, etc. DOE O 150.1B Appendix B – Federal Employees Only 12-1-2021 B-27 (and B-28) e. Contracting Officers. Contracting Officers (COs) are responsible for the following: (1) For M&O contracts directly performing or supporting DOE/NNSA essential functions: Upon notification by the Head of the Departmental Element or his or her designee, incorporate the CRD into the contract by the due date established by the Head of the Departmental Element. The CO must incorporate the CRD without alteration unless the CRD permits alteration and the CO follows the appropriate process, or unless requirements are tailored per Department of Energy Acquisition Regulation (DEAR) 970.5204-2. (2) For Non-M&O contracts directly performing or supporting DOE/NNSA essential functions: Upon notification by the Head of the Departmental Element or his or her designee, incorporate the CRD into the contract by the due date established by the Head of the Departmental Element. The CO should attempt to incorporate the CRD bilaterally. If unsuccessful, the CO must consult with the Head of the Departmental Element or appropriate program official. The CO must incorporate the CRD without alteration unless following the appropriate process for exemption/equivalency. (3) As applicable, designate and authorize in writing Contracting Officer Representatives (CORs) to perform specific technical or administrative functions consistent with DOE Order 541.1C, Appointment of Contracting Officers and Contracting Officer Representatives, or the most current version of the Order.

f. Accountability Points-of-Contact. APOCs are responsible for: (1) Coordinating with HC, IM, NA-MB, COOP Coordinators, and Office of Continuity Programs to quarterly test personnel accountability and alert and notification procedures for all personnel in all Field Elements. (2) Providing accountability reports, as requested by HC, NA-MB, IM, or the Office of Continuity Programs during drills, tests, exercises, or real-world events. DOE O 150.1B Appendix C – Federal Employees Only 12-1-2021 C-1 APPENDIX C: REQUIREMENTS FOR THE OFFICE OF EMERGENCY OPERATIONS This Appendix documents Department of Energy (DOE) Order (O) 150.1B requirements placed upon the Office of Emergency Operations, an office within the National Nuclear Security Administration (NNSA). In addition to meeting the requirements for Headquarters Offices in Appendix A, the Office of Emergency Operations must meet additional requirements contained within this Appendix. The requirements in this Appendix address the role the Office of Emergency Operations must play in enterprise-wide continuity planning for the DOE and NNSA that go beyond the requirements placed on all Headquarters Offices. This Appendix addresses requirements placed on the Office of Emergency Operations in the areas of Continuity Program Management, Continuity of Operations (COOP) Plan Development, and Communications and Information Systems. This Appendix also provides a list of the Roles and Responsibilities of leadership within the Office of Emergency Operations, including the Director of the Office of Continuity Programs. This Appendix also contains instructions regarding classification and controlled unclassified information review. 1. CONTINUITY PROGRAM REQUIREMENTS SPECIFIC TO THE OFFICE OF CONTINUITY PROGRAMS. a. Program Management. The Office of Continuity Programs will act as the Department’s primary action office responsible for coordinating with continuity programs across the DOE/NNSA enterprise and will work with the Federal Emergency Management Agency (FEMA), the National Security Council (NSC), and other entities responsible for leading continuity program requirements for the Federal Government. As a result of the Office of Continuity Programs’ role as a conduit to convey Federal Government requirements across all Departmental Elements, the Office of Continuity Programs shall: (1) Address all the Continuity Capability Elements and meet the requirements as listed in Federal Continuity Directive 1 (FCD-1), Federal Executive Branch National Continuity Program and Requirements; and FCD-2, Federal Executive Branch Mission Essential Functions and Candidate Primary Mission Essential Functions Identification and Submission Process in the Office of Continuity Programs’ products and policies. (2) Develop plans and processes to promote the ability of Headquarters and Field Elements to communicate with one another from their primary, alternate, and devolution locations. (3) Provide forums for individuals responsible for administering COOP programs from all Departmental Elements to coordinate and share information with one another. Appendix C – Federal Employees Only DOE O 150.1B C-2 12-1-2021 (4) Review and revalidate overarching DOE Primary Mission Essential Functions (PMEFs) and Mission Essential Functions (MEFs) biennially and ensure incorporation of any identified changes into continuity plans at all levels of the Department. Solicit and review input from all Departmental Elements during the revalidation process. Once the Office of Continuity Programs completes the PMEF/MEF Revalidation Package, submit the package to the Interagency Board, through FEMA, as requested.

(5) Develop a DOE enterprise-wide Business Process Analysis (BPA) addressing each of DOE/NNSA’s MEFs and PMEFs. (a) The Office of Continuity Programs will derive the enterprise-wide BPA from input provided by all Departmental Elements which support a MEF or a PMEF. (b) The Office of Continuity Programs will biennially review BPA documentation. (6) Coordinate with Headquarters Offices to address how DOE Headquarters and leadership will identify and transfer organizational command and control, as well as responsibility for performing essential functions, to personnel at a geographically dispersed location unaffected by the incident. Additional devolution requirements include: (a) Work in conjunction with the Office of Intelligence and Counterintelligence (IN), as applicable, to manage communications, facility, logistical, and other issues at DOE Headquarters’ primary devolution site. (b) Manage communications assets related to Office of Science and Technology Policy (OSTP)/Office of Management and Budget (OMB) Directive 16-1, Minimum Requirements for Federal Executive Branch Continuity Communications Capabilities, at devolution facilities requiring D-16-1 communications capabilities. (c) Develop a Memorandum of Agreement/Memorandum of Understanding (MOA/MOU) between the DOE Headquarters and the devolution partner to ensure common understanding of what responsibilities are devolving. (d) Share BPAs and any other applicable information regarding essential functions to assist the devolution partner in understanding how to perform any functions transferred. (e) Share information related to contracts, personnel, facilities, essential records, and other material necessary for the devolution DOE O 150.1B Appendix C – Federal Employees Only 12-1-2021 C-3 partner to effectively execute its role in performing command and control responsibilities. (f) Assist in training of Devolution Emergency Relocation Group (DERG) personnel to perform any functions transferred. (7) Identify continuity budgetary requirements and provide adequate funding to: (a) Establish and maintain a viable continuity program. (b) Acquire and maintain resources, equipment, and supplies necessary to sustain operations and personnel at alternate locations for a minimum of 30 days. (c) Establish techniques and procedures to streamline standard acquisition processes and support emergency acquisitions of equipment, supplies, services, and personnel to support continuity operations. (d) Integrate continuity funding and acquisition requirements into existing and future contracts and MOAs/MOUs, as applicable, to ensure the continuation of MEFs. (e) Integrate continuity funding and acquisition requirements into annual tasks and objectives, performance metrics, and mandatory reporting. (8) Implement Operations Security (OPSEC) and risk management procedures, including geographically dispersed staff; resilient and redundant communications; force protection; identity management; and personnel accountability to protect continuity programs, facilities, networks, information, personnel, and plans from a broad spectrum of threats. Additional risk management requirements include: (a) Complete an initial, biennial and, in the case of emerging threats, an as needed Business Impact Analysis (BIA) addressing enterprise-wide PMEFs and MEFs. The BIA is used in identifying, analyzing, assessing, and prioritizing risks to continuity and threats capable of impacting essential functions.

(b) Produce a risk matrix showing known or potential risks, measuring the probability of risk-event occurrence, and illustrating the severity of impact should an event be realized. (c) Identify appropriate risk mitigation strategies and threat countermeasures, including: Appendix C – Federal Employees Only DOE O 150.1B C-4 12-1-2021 1 A cost-benefit analysis of risk mitigation and threat management control measures. 2 For unacceptable risks, a plan to implement mitigation, management, or control measures to reduce the impacts of catastrophic emergencies, including pandemic/infectious disease outbreak. 3 Signature of Acknowledgement of risk by the Department’s Continuity Coordinator. (9) Integrate the Continuity Program with the Department’s essential records program in accordance with DOE O 243.1, Records Management Program, current version. (10) Establish a continuity Test, Training, and Exercise (TT&E) program to verify continuity capabilities, including procedures for the initial orientation of COOP Coordinators and Emergency Relocation Group (ERG) and DERG members. (a) The Office of Continuity Programs will implement an effective TT&E program to prepare and validate continuity plans, programs, and capabilities to verify the Department’s ability to perform essential functions during disruptions to normal operating conditions. The TT&E Program will: 1 Document all conducted TT&E events conducted by the Office of Continuity Programs, including the date of the event, those personnel participating in the event, and the outcomes of the event. During biennial Headquarters assessments, documentation must be made available to FEMA evaluators. 2 Utilize an all-hazards approach to affirm the viability of continuity plans and programs using threats, hazards, and vulnerabilities identified through organizational risk assessments. (b) Testing. The Office of Continuity Programs oversees the Department’s testing program with respect to activities associated with continuity planning. The Office of Continuity Programs will: 1 Coordinate with the Office of the Chief Human Capital Officer (HC), NNSA’s Management and Budget (NA-MB) office, the Office of the Chief Information Officer (IM), all COOP Coordinators, and all Accountability Points-of- Contact (APOCs) to quarterly test personnel accountability DOE O 150.1B Appendix C – Federal Employees Only 12-1-2021 C-5 and alert and notification procedures for all personnel in all Departmental Elements. a Process requests from Headquarters Offices, Field Elements, and contractors for exemption from participating in quarterly personnel accountability drills. b Submit recommendations for how to adjudicate exemption requests to the Associate Administrator and Deputy Under Secretary for Emergency Operations 2 Coordinate with the Department’s Essential Records Manager and DOE IM to annually test recovery strategies for essential records, critical information systems, services, and data. 3 Coordinate with the Department’s Essential Records Manager and the DOE IM to annually test capabilities for protecting essential records and information systems, and for providing access to them from alternate locations. 4 Coordinate with DOE IN, the Office of Consolidated Emergency Operations Center (CEOC), and with personnel at the Department’s devolution site to quarterly test internal and external interoperability and viability of primary and contingency communications and information technology systems.

5 Coordinate with the Office of Management (MA) to annually test primary and backup infrastructure systems and services, such as power, water, and fuel at alternate operating facilities. 6 Coordinate with DOE IM to annually test telework capabilities, to include information technology (IT) infrastructure required to support telework options during a continuity activation. (c) Training. The Office of Continuity Programs oversees the Department’s training program with respect to activities associated with continuity planning. The Office of Continuity Programs will: 1 Provide documentation of all training given or received. Appendix C – Federal Employees Only DOE O 150.1B C-6 12-1-2021 2 Develop and provide annual continuity awareness briefings for all Department employees, new personnel as they onboard, Management and Operating (M&O) contractors, and other than M&O contractors supporting mission critical activities. 3 Develop and document minimum training requirements for appointed COOP Coordinators and ERG and DERG members in order to provide the personnel with at least minimum levels of competency in each of the assigned roles. 4 Provide continuity training within 90 days of appointment to all COOP Coordinators and ERG and DERG members, and track currency of appointed members quarterly by coordinating with appropriate Headquarters Offices, Field Elements, and/or M&O contractors. 5 Provide annual training on roles and responsibilities for all ERG and DERG personnel, including government and contractor personnel, assigned to activate, support, and sustain continuity operations. The training must include: a Organization continuity plans that involve using or relocating to alternate locations or other work arrangements such as telework. b Reconstitution plans and procedures to resume normal operations at a primary operating facility or a replacement primary operating facility. c Communications and IT system planning necessary to support or sustain continuity operations. d How to identify, protect, and make available electronic and hardcopy essential records, documents, references, records, information systems, and data management software and equipment needed to support or sustain continuity operations. 6 Provide annual training on roles and responsibilities for personnel, including government and contractor personnel, assigned to activate, support, and sustain devolution operations. The training must include: DOE O 150.1B Appendix C – Federal Employees Only 12-1-2021 C-7 a The Department’s devolution plans, processes, and procedures. b Communications and IT systems that will be used during devolution operations. c Identification, protection, and availability of electronic and hardcopy documents, references, records, information systems, and data management software and equipment needed to support devolved essential functions during devolution operations. d How all Departmental Elements identify and perform/support essential functions during an increased threat situation or in the aftermath of a catastrophic emergency that activates the devolution plan. 7 Provide annual training for leadership on its essential functions, succession, continuity communications, and deployment requirements. 8 Provide annual training for all organization and sub- component personnel designated within the orders of succession for the organization head and other key positions who assume the authority and responsibility of the organization’s leadership if that leadership is incapacitated or becomes otherwise unavailable during a continuity activation.

9 Provide annual training for those officials listed within the delegations of authority on all pre-delegated authorities, including limitations, conditions, and restrictions that have been delegated. (d) Exercises. The Office of Continuity Programs oversees the Department’s exercise program with respect to activities associated with continuity planning. The Office of Continuity Programs will: 1 Develop and document an exercise plan that includes a cycle of events that incorporates evaluations, After Action Reports (AARs), and lessons learned into the development and implementation of an Improvement Plan (IP). 2 Develop and conduct an annual exercise for continuity personnel to demonstrate their familiarity with continuity plans and procedures and to validate the Department’s Appendix C – Federal Employees Only DOE O 150.1B C-8 12-1-2021 capability to continue its essential functions. The exercise must: a Include the deliberate and preplanned movement of ERG members to an alternate operating facility, as applicable. b Test and validate intra- and interagency communications capabilities. c Verify that data and records required to support essential functions at alternate locations are thorough, current, and accessible to ERG and DERG personnel. d Maintain situational awareness and outreach with internal and external interdependencies identified in the Department’s continuity plan with respect to performance of the essential functions. e Demonstrate capability to continue essential functions from telework sites, if used as a continuity strategy, to include accessing and using records, communications, and systems. 3 Conduct, at minimum, a biennial exercise for DERG members to demonstrate their familiarity with devolution procedures. This exercise may be part of the annual continuity exercise (Eagle Horizon) or it may be conducted separately. The exercise must: a Familiarize DERG personnel with devolution plans, processes, and procedures. b Familiarize DERG personnel with reconstitution plans and procedures for returning to the original primary operating facility or replacement primary operating facility. 4 Conduct a biennial exercise for ERG personnel to demonstrate their familiarity with reconstitution procedures for transition from a continuity environment to normal operations, when appropriate. 5 Participate in the annual FEMA sponsored Eagle Horizon exercises, as directed by the Department’s Continuity Coordinator. DOE O 150.1B Appendix C – Federal Employees Only 12-1-2021 C-9 (11) Submit Quick Look and Continuity Status Reporting Form (QL/CSR) to FEMA National Continuity Programs (NCP) each month, in response to a Continuity of Government Readiness Conditions (COGCON) change, during continuity events, or as otherwise directed. (12) Address Continuous Improvement Program requirements found in paragraph 1.b. below. b. Continuous Improvement Program. The Office of Continuity Programs shall: (1) Develop and submit the Federal Continuity Assessment Tool (FCAT) report to FEMA NCP during the last month of each quarter. The FCAT is a tool enabling DOE to make qualitative and quantitative assessments of the Department’s continuity program and capabilities in the areas of planning, organization, equipment, training, and exercise efforts. The tool provides the Office of Continuity Programs the ability to track the progress of continuous improvement efforts on an ongoing basis.

(2) Create a continuity-focused Enterprise Continuity Program Strategy that guides the development, maintenance, and annual review of continuity capabilities, including, at a minimum: (a) Short-term (1-year) and long-term (5-year) planning goals and objectives. (b) Potential program implementation issues, concerns, and obstacles, and a strategy to address each. (c) Planning, training, and exercise milestones and activities. (d) Audit continuity plans at the Headquarters Office level on a 5-year cycle and annually track continuity TT&E activities. (e) Establish a Corrective Action Program (CAP) to ensure continuous program improvement. (3) Conduct occasional announced and unannounced tests and evaluations of government continuity plans across the Department to ensure operable continuity capabilities in coordination with the cognizant DOE/NNSA Program Office. (4) Review Continuity Readiness Assurance Reports (CRARs) from each Departmental Element. CRARs are due to the Office of Continuity Programs by November 30 each year. (5) Submit an annual status report summarizing CRARs to the Deputy Secretary by April 30 each year. Appendix C – Federal Employees Only DOE O 150.1B C-10 12-1-2021 2. COOP PLAN DEVELOPMENT REQUIREMENTS FOR THE OFFICE OF CONTINUITY PROGRAMS. a. The Office of Continuity Programs is responsible for assisting in the development and maintenance of the following plans: (1) The DOE Continuity Plan. (2) The COOP plans for the: (a) Office of the Secretary of Energy. (b) Office of the Deputy Secretary of Energy. (c) Office of the Under Secretary. (d) Office of the Under Secretary for Science. (e) Office of the Under Secretary for Nuclear Security and Administrator, NNSA. b. The Office of Continuity Programs is to provide the following coordination activities related to COOP plan development and maintenance: (1) Solicit and address input from all Departmental Elements, as applicable, in developing the DOE Continuity Plan. (2) Coordinate with and incorporate the feedback from those offices for which the Office of Continuity Programs develops COOP plans (i.e., the Deputy Secretary and Under Secretaries). (3) Provide subject matter expertise, consultation, mentoring, and/or plan reviews to any Departmental Element requesting assistance in developing their COOP plan. (4) Develop templates for Headquarters Offices and Field Elements to use as guides in developing their respective COOP plans and other applicable continuity-related documentation. 3. COMMUNICATIONS AND INFORMATION SYSTEMS REQUIREMENTS FOR THE OFFICE OF CONTINUITY PROGRAMS. a. Coordinating with DOE/NNSA offices to plan, implement, and administer the logistics of the communications requirements established by OSTP/OMB D-16-1. b. Overseeing compliance with the Department's continuity testing of communications systems supporting PMEFs, MEFs, and other continuity requirements. DOE O 150.1B Appendix C – Federal Employees Only 12-1-2021 C-11 c. Providing annual training for communications and information systems planning necessary to support or sustain continuity operations. d. Identifying and coordinating procurement of the minimum continuity communications capabilities at officially designated DOE alternate locations and IT disaster recovery sites, with DOE IM. e. Participating in established monthly DOE/NNSA intra-agency communications testing from primary, alternate, and devolution locations.

f. Conducting and documenting operational tests of communications systems to ensure availability at primary and alternate facilities, to include devolution locations as required. g. Coordinating all DOE ERG and DERG members testing of Government Emergency Telecommunications Service (GETS) and Wireless Priority Service (WPS) on a quarterly basis. h. Validating the operation of continuity communication capabilities during continuity exercises. i. Coordinating with owners of Top Secret/Sensitive Compartmented Information (TS/SCI) communications systems to facilitate access for designated personnel to utilize classified communications capabilities, as necessary. 4. ROLES AND RESPONSIBILITIES FOR THE OFFICE OF EMERGENCY OPERATIONS. a. Associate Administrator and Deputy Under Secretary for Emergency Operations. The Associate Administrator and Deputy Under Secretary for Emergency Operations is responsible for: (1) Serving as the Department’s Continuity Coordinator. (2) Maintaining all policy, requirements, and guidance for the COOP program. (3) Appointing a Continuity Program Manager (Director, Office of Continuity Programs). (4) Serving as a budget and staffing advocate for the Continuity program. (5) Ensuring the Continuity Program provides a comprehensive and integrated approach to continuity planning, preparedness, response, and reconstitution. (6) Reviewing and concurring on the NNSA Continuity of Operations Plan. Appendix C – Federal Employees Only DOE O 150.1B C-12 12-1-2021 (7) Reviewing and concurring on the DOE Continuity Plan. (8) Reviewing and adjudicating requests from Headquarters Offices, Field Elements, and contractors to be exempt from quarterly personnel accountability drills. (9) Serving as a member of the ERG. b. Director, Office of Emergency Management Policy. The Director, Office of Emergency Management Policy is responsible for: (1) Providing policy development information and guidance to the Office of Continuity Programs, as requested. (2) Maintaining a trained cadre capable of supporting continuity of operations functions in order to provide required technical planning assistance and capabilities. (3) Serving as a member of the ERG. c. Director, Office of Emergency Management Programs. The Director, Office of Emergency Management Programs is responsible for: (1) Providing assistance in development of COOP related exercises, such as Eagle Horizon. (2) Maintaining a trained cadre capable of supporting continuity of operations functions in order to provide required technical planning assistance and capabilities. (3) Serving as a member of the ERG. d. Director, Office of Continuity Programs. The Director, Office of Continuity Programs is responsible for: (1) Serving as the Continuity Program Manager. (2) Managing day-to-day operation of the Office of Continuity Programs. (3) Developing and maintaining the Department’s Continuity Program Strategy. (4) Coordinating all continuity intra- and inter-Departmental commitments, exercise, and activation activities. (5) Developing and implementing a Continuity of Government (COG) program, as delineated in Presidential Policy Directive 40 (PPD-40), National Continuity Policy. DOE O 150.1B Appendix C – Federal Employees Only 12-1-2021 C-13 (6) Managing all Departmental COG planning, preparedness, training, and exercises. (7) Implementing OPSEC and other risk management procedures. (8) Developing and implementing the Departmental Continuity Program:

(a) Documenting the COOP program in the DOE Continuity Plan. (b) Performing a documented review of the DOE Continuity Plan annually. (c) Submitting substantive changes to the DOE Continuity Plan for the Secretary’s approval, as deemed necessary. (d) Complying with PPD-40, FCD-1, FCD-2, Federal Mission Resilience Strategy (FMRS), Executive Order 13961, Governance and Integration of Federal Mission Resilience, and this Order. (9) Developing and coordinating all DOE and NNSA continuity policy, requirements, and guidance. (10) Ensuring all COOP Coordinators are aware of the key tenets of the FMRS, including the “assess, distribute, sustain planning model” in order to incorporate it in COOP Plans. (11) Representing the Department to the interagency continuity community and applicable working groups. (12) Keeping all COOP Coordinators apprised of Department and interagency continuity activities. (13) Incorporating NA-MB guidance on continuity as provided when developing the Department’s continuity budget. (14) Ensuring the DOE Continuity Plan and procedures are coordinated with the Headquarters Occupant Emergency Plan, the Director, Office of Emergency Operations Policy, who is responsible for emergency management policy, and the Director, CEOC, who is responsible for emergency operations. (15) Ensuring activation of the ERG if the CEOC/Alternate Operations Center (AOC) is unable to send alert and notification message. (16) Submitting QL/CSRs to FEMA NCP each month, in response to a COGCON change, during continuity events, or as otherwise directed. (17) Submitting FCAT reports to FEMA quarterly. Appendix C – Federal Employees Only DOE O 150.1B C-14 12-1-2021 (18) Ensuring the Office of Continuity Programs audits each Headquarters Office COOP Plan once every 5 years. (19) Ensuring the Office of Continuity Programs, or another technically qualified entity knowledgeable in the areas to be assessed and not directly involved with the development of that continuity program, reviews each Field Element Continuity Program once every 3 years, in coordination with the cognizant DOE/NNSA Program Office. (20) Providing an annual status report to the Deputy Secretary on Departmental continuity readiness assurance. (21) Establishing and reviewing the Departmental essential functions in accordance with the requirements of FCD-2, based on Headquarters Office/ Field Element input, as applicable. (22) Ensuring Headquarters Office COOP plans are established and maintained for the execution of all essential functions in accordance with Appendix A of this Order. (23) Ensuring maintenance of the Order of Succession to the Secretary of Energy through updates to DOE O 100.1, Secretarial Succession, Threat Level Notification, and Successor Tracking, current version. (24) Ensuring maintenance of the Order of Succession to the Under Secretary for Nuclear Security and Administrator, NNSA through updates to with NNSA Supplemental Directive (SD) 150.1A, Lines of Succession, or the most current version of the Directive. (25) Establishing procedures for notifying personnel upon activation of the DOE Continuity Plan or subordinate Headquarters Office COOP plans if the CEOC/AOC is unable to send alert and notification message. (26) Initiating internal notification to organizational leadership, COOP Coordinators, and others as necessary to provide direction relating to changes in COGCON levels or Continuity plan activation if the CEOC/AOC is unable to send alert and notification message.

(27) Developing COOP, devolution, and communications plans and processes to promote the ability of Headquarters Offices and Field Elements to communicate with one another from their primary, alternate, and devolution locations. (28) Establishing procedures to meet the requirements of continuity communications capabilities established in OSTP/OMB D-16-1 at Headquarters and the NNSA Albuquerque Complex. DOE O 150.1B Appendix C – Federal Employees Only 12-1-2021 C-15 (29) Ensuring other continuity communications requirements are met, including: (a) Coordinating with DOE/NNSA offices to plan, implement, and administer the logistics of the communications requirements established by OSTP/OMB D-16-1. (b) Overseeing compliance with the Department's testing of continuity communications systems supporting PMEFs, MEFs, and other continuity requirements. (c) Providing annual training for communications and information systems planning necessary to support or sustain continuity operations. (d) Identifying and coordinating with DOE IM for procurement of the minimum continuity communications capabilities at all alternate locations, including devolution locations. (e) Participating in established monthly DOE/NNSA intra-agency communications testing from primary, alternate, and devolution locations. (f) Conducting operational tests of communications systems to ensure availability at primary and alternate facilities, to include devolution locations, as required. (g) Coordinating all DOE ERG and DERG members quarterly testing of GETS and WPS. (h) Validating the operation of continuity communication capabilities during continuity exercises. (30) Establishing an essential records program in accordance with DOE O 243.1, Records Management Program, current version. (31) Activating the continuity facility and serving as Continuity Operations Team (COT) Director, as necessary. (32) Coordinating with the Continuity Coordination Group, when activated, to maintain situational awareness of the status of DOE PMEFs, MEFs, and Essential Supporting Activities (ESAs). (33) Ensuring alternate locations are established and maintained, as needed. (34) Providing up-to-date continuity point of contact information to the FEMA Operations Center. Appendix C – Federal Employees Only DOE O 150.1B C-16 12-1-2021 (35) Coordinating quarterly testing of the DOE automated alert and notification system with DOE HC, DOE IM, NA-MB, COOP Coordinators, and APOCs. (36) Reviewing requests from Headquarters Offices, Field Elements, and contractors to be exempt from quarterly personnel accountability drills and making adjudication recommendations to the Associate Administrator and Deputy Under Secretary for Emergency Operations. (37) Coordinating with the Department’s Essential Records Manager and DOE IM to annually test recovery strategies for essential records, critical information systems, services, and data. (38) Coordinating with the Department’s Essential Records Manager and DOE IM to annually test capabilities for protecting essential records and information systems and for providing access to them from alternate locations. (39) Coordinating with the DOE IN and with personnel at the Department’s devolution site to quarterly test internal and external interoperability and viability of primary and contingency communications and information technology systems. (40) Coordinating with DOE IM to annually test telework capabilities, to include IT infrastructure required to support telework options during a continuity activation.

(41) Coordinating with DOE MA to annually test primary and backup infrastructure systems and services, such as power, water, and fuel at alternate operating facilities. (42) Coordinating with Sandia Field Office to document annual testing of primary and backup infrastructure systems and services, such as power, water, and fuel at devolution location. (43) Developing and making COOP awareness training available for the Department’s personnel. (44) Establishing a continuity TT&E program to verify continuity capabilities. (45) Validating Departmental readiness through regularly scheduled internal and interagency tests and exercises. (46) Establishing a CAP to ensure continuous program improvement. (47) Ensuring training of officials in the Secretarial Order of Succession to participate in and carry out their response duties during continuity exercises and real-world events. DOE O 150.1B Appendix C – Federal Employees Only 12-1-2021 C-17 (and C-18) (48) Ensuring training of NNSA officials in the Line of Succession to the Administrator to participate in and carry out their response duties during continuity exercises and real-world events. (49) Assisting DOE MA in maintaining General Services Administration Standard Form (SF) 2050, Reconstitution Questionnaire. e. Director, Office of Consolidated Emergency Operations Center. The Director, CEOC is responsible for: (1) Providing emergency operations support for COOP planning, preparedness, and implementation. (2) Maintaining an AOC capable of assuming the duties of the CEOC in a continuity event. (3) Activating the ERG. (a) The CEOC publishes the notification message via the alert and notification system to designated Headquarters and Field personnel. (b) Only personnel identified by each Headquarters Office or Field Element as having COOP responsibilities receive the notification. (4) Establishing procedures, in coordination with Office of Continuity Programs, for notifying personnel upon activation of the DOE Continuity Plan or subordinate Headquarters Office COOP plans. (5) Tracking Secretarial successors in accordance with DOE O 100.1, Secretarial Succession, Threat Level Notification, and Successor Tracking, current version, and making successor status information available to the Office of Continuity Programs. (6) Tracking successors to the Administrator in accordance with NNSA SD 150.1A, Lines of Succession, or the most current version of the Directive, and making successor status information available to the Office of Continuity Programs. (7) Ensuring quarterly testing of the Headquarters and alternate location communications equipment identified in OSTP/OMB D-16-1 that is under the operational control of the CEOC. (8) Establishing the Transportation and Emergency Control Center (TECC) in Albuquerque, NM, as backup to the Headquarters Watch Office, and training TECC duty personnel to accomplish Headquarters Watch Office tasks. https://www.gsa.gov/forms-library/reconstitution-questionnaire https://www.gsa.gov/forms-library/reconstitution-questionnaire DOE O 150.1B Attachment 1 – CRD, Contractors Only 12-1-2021 Page 1-1 ATTACHMENT 1: CONTRACTOR REQUIREMENTS DOCUMENT DOE O 150.1B, CONTINUITY PROGRAMS

Regardless of the performer of the work, the contractor is responsible for complying with the requirements of this Contractor Requirements Document (CRD). For the purposes of this CRD, the term contractor (unless otherwise noted) includes Management and Operating (M&O) contractors and other than M&O contractors supporting or performing Department of Energy (DOE) and/or National Nuclear Security Administration (NNSA) essential functions. 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. Contractors that do not directly perform or support DOE/NNSA Primary Mission Essential Functions (PMEFs), Mission Essential Functions (MEFs), or associated Essential Supporting Activities (ESAs)—as documented in the biennial PMEF/MEF Revalidation Package or Enterprise-wide Business Process Analysis (BPA)—are subject to a reduced set of requirements. This Attachment 1 notes those requirements that do not apply to contractors that do not directly perform or support DOE/NNSA PMEFs, MEFs, and ESAs. In addition to the requirements set forth in this CRD, contractors are responsible for complying with Attachments 2 and 3 to DOE Order (O) 150.1B, referenced in and made a part of this CRD, which provide information applicable to contracts in which this CRD is inserted. 1. This CRD does not invoke any DOE technical standards or industry standards as required methods. Any technical standard or industry standard that is mentioned in or referenced by this CRD is not invoked by this CRD. Note: DOE O 251.1D, Appendix J provides a definition for “invoked technical standard.” 2. It is DOE policy to maintain a comprehensive and effective continuity capability consisting of Continuity of Operations (COOP) and Continuity of Government (COG) programs, therefore: a. DOE (also referred to as “the Department”) has established the Office of Continuity Programs, an operational entity responsible for developing; documenting; implementing; and executing, on a day-to-day basis, an overarching DOE continuity program. The Office of Continuity Programs supports all levels of the Department, including contractors, prior to, during, and following a continuity event. b. All contractors, regardless of location and function, must maintain documented continuity capabilities commensurate with their role in performing or supporting DOE/NNSA PMEFs, MEFs, and ESAs, as applicable. c. The contractor must avoid creation of new or redundant programs when requirements herein, if applicable, can be satisfied through, or integrated with, existing DOE or contractor programs. Attachment 1 – CRD, Contractors Only DOE O 150.1B Page 1-2 12-1-2021 d. The requirements in this CRD shall be synchronized with applicable requirements found in DOE O 151.1, Comprehensive Emergency Management System, current version, to produce a framework for control, direction, and interoperability of all Departmental activities, including contractor activities, imperative to the continuous performance of MEFs of DOE/NNSA. e. Contractors shall integrate applicable continuity requirements and capabilities to ensure: (1) Readiness, resilience, and alignment of all continuity program elements.

(2) Incorporation of risk management principles, as outlined in Federal Continuity Directive 2 (FCD-2), Federal Executive Branch Mission Essential Functions and Candidate Primary Mission Essential Functions Identification and Submission Process, including identification and assessment of potential threats and hazards and their associated impacts; determination of acceptable risk; and identification of required mitigation resources. (3) Support to DOE/NNSA efforts in the identification of collective or interdependent Federal Government; State, local, territorial, and tribal governments; nongovernmental organizations; and private sector owners and operators of critical infrastructure in order to ensure comprehensive and integrated continuity programs that enhance the integrity of the Nation’s national security posture while enabling a more rapid and effective response to and recovery from a catastrophic emergency. (4) Support for Essential Functions of other Federal Agencies through Strategic Partnership Projects is identified and addressed at the Department's facilities, as applicable. DOE O 481.1, Strategic Partnership Projects [formerly known as Work for Others (Non-Department of Energy Funded Work)], current version, provides additional information regarding Strategic Partnership Projects. 3. This CRD sets forth the requirements associated with continuity programs and COOP planning. However, the Office of Continuity Programs recognizes that each individual contractor may have unique operating realities, which are not universal across all Field Elements and contractors. In order for Field Element Managers to address the operating requirements specific to each contractor’s role in supporting the Department’s PMEFs, MEFs, and ESAs, they may seek an equivalency or exemption that will meet the specific operating realities of their site, so long as the contractor meets the underlying requirements contained in Federal Continuity Directives and this CRD. DOE O 150.1B Attachment 1 – CRD, Contractors Only 12-1-2021 Page 1-3 4. In developing their continuity program, contractors must comply with the following Continuity Program Objectives and Requirements: a. Address the following Program Objectives: (1) Sustain operations and essential functions critical to performance of DOE/NNSA identified PMEFs, MEFs, and ESAs, which are henceforth referred to as DOE/NNSA essential functions. (2) Identify and dedicate the resources required to sustain DOE/NNSA essential functions that the contractor performs or supports. (3) Reduce loss of life and mitigate threats to property. (4) Incorporate risk management principles outlined in FCD-2, including identification and assessment of potential threats and hazards, and their associated impacts; acceptable risk determination; and identification of required mitigation resources. A documented Threat and Hazard Identification and Risk Assessment (THIRA) may also be used to comply with this requirement. (5) Establish any applicable orders of succession and delegations of authority to ensure sequential assumption of legal authorities and responsibilities by holders of other specified positions within the organization. (6) Reduce or mitigate operational disruptions to any DOE/NNSA essential functions that the contractor performs or supports, as feasible. (7) Work with the cognizant Field Element or Headquarters Program Office to identify, maintain, and operate alternate locations from which organizations can perform their DOE/NNSA essential functions, if applicable.

(8) Protect personnel, alternate locations, equipment, essential records, and other assets critical to the performance of any DOE/NNSA essential functions that the contractor performs or supports. (9) Provide for recovery during reconstitution. b. Address the following Program Requirements: (1) Include all applicable Continuity Capability Elements and meet applicable requirements and guidance as listed in FCD-1, Federal Executive Branch National Continuity Program and Requirements, and FCD-2. (2) Provide personnel accountability reports (including initial reports and updates, if applicable) to the Field Element Site Office to transmit to the DOE Office of the Chief Human Capital Officer (HC) upon request. In Attachment 1 – CRD, Contractors Only DOE O 150.1B Page 1-4 12-1-2021 addition, contractors supporting NNSA Elements will also provide the information to the Field Element Site Office to transmit to NNSA’s Management and Budget (NA-MB) office. Additional personnel accountability requirements for contractors include: (a) Provide the Field Element Site Office, HC, and the Office of Continuity Programs with the contractor’s name and contact information for the Accountability Point(s)-of-Contact (APOC). (b) Identify, document, and execute a process to account for all personnel supporting DOE in the following conditions: 1 Contractors will account for continuity personnel and alternates supporting DOE PMEFs, MEFs, ESAs, or other essential functions, within 12 hours of activation during real-world events. 2 Contractors will account for all other employees supporting DOE within the affected area within 5 days after activating an organization’s continuity plan during real-world events. 3 Contractors will account for all employees supporting DOE (not limited to continuity personnel) during accountability drills and other exercises. (c) Work with the Field Element Site Office to address any additional guidance for the accountability process as released by the DOE HC and/or the Office of Continuity Programs. (d) Contractors will participate in quarterly accountability drills conducted by the DOE HC and the Office of Continuity Programs. 1 Contractors can submit a request for an exemption from participating in a quarterly drill on an as needed basis. 2 Requests are to be submitted in writing to the Director, Office of Continuity Programs. Exemptions will be considered and granted, as appropriate, by the Associate Administrator and Deputy Under Secretary for Emergency Operations. (3) Ensure the ability to communicate with relevant Headquarters Offices’ primary, alternate, and devolution locations. (4) Ensure the ability to communicate with Headquarters Offices from the contractor’s primary, alternate, and devolution locations. DOE O 150.1B Attachment 1 – CRD, Contractors Only 12-1-2021 Page 1-5 (5) Designate a primary and alternate COOP Coordinator tasked to administer the COOP program for the contractor. (6) Develop Essential Function Data Sheets for candidate DOE/NNSA MEFs performed/supported at the lab, plant, or site. Contractors will submit Essential Function Data Sheets to the Field Element Site Office for transmittal to the Office of Continuity Programs, who will review the data sheets with the cognizant DOE/NNSA Program Office to determine if they should be incorporated into the biennial revalidation of DOE/NNSA’s MEFs and PMEFs.

(7) Work with the Field Element Site Office and the Office of Continuity Programs biennially to develop a BPA for each DOE/NNSA MEF the contractor performs. In order to promote uniformity of BPA submissions, offices are highly encouraged to use the Business Process Analysis Data Sheet Template found in FCD-2 or the BPA form provided by the Office of Continuity Programs. This requirement does not apply to contractors that do not directly perform or support a DOE/NNSA PMEF, MEF, or ESA. (8) Address how the contractor will identify and transfer organizational command and control, as well as responsibility for performing essential functions, if applicable, to the contractor’s personnel at a geographically dispersed devolution partner unaffected by the incident. At a minimum, each contractor is to consider whether they can identify a suitable devolution partner who can receive management, supervision, and personnel accountability responsibilities related to providing guidance and direction, addressing contracting issues, accounting for all personnel, coordinating with the Field Office Manager (or DOE/NNSA Headquarters Office, if applicable), retrieving essential records, and beginning the process to address reconstitution. Additional devolution requirements, if applicable, necessitate each contractor perform the following: (a) Develop a Memorandum of Agreement or a Memorandum of Understanding (MOA/MOU) between the contractor and the devolution partner, if applicable, to ensure common understanding of what responsibilities are devolving. (a) Share BPAs and any other applicable information regarding essential functions to assist the devolution partner in understanding what functions the contractor performed at the primary location and how to perform any functions transferred. (b) Share information related to contracts, personnel, facilities, essential records, and other material necessary for the devolution partner to effectively execute its role in performing command and control responsibilities. Attachment 1 – CRD, Contractors Only DOE O 150.1B Page 1-6 12-1-2021 (c) Assist in training Devolution Emergency Response Group (DERG) personnel to perform any functions that the contractor will transfer. (9) Submit annual certification memorandum to the Field Element that the contractor maintains a continuity plan and the date the plan was last signed. Subordinate organizations may reference overarching plans that integrate crosscutting continuity/devolution capabilities and responsibilities. The contractor should coordinate with their cognizant Field Element to see whether the annual Continuity Readiness Assurance Report (CRAR) submission will suffice to meet this requirement. (10) Submit annual certification memorandum to the Field Element that the contractor participates in an annual exercise incorporating the deliberate and preplanned movement of continuity personnel to an alternate location, as applicable. The contractor should coor