This directive was reviewed and certified as current and necessary by (Enter Name),
(Enter Title) Director, Office of Management, Budget and Evaluation/Chief Financial Officer, XX-XX-XXXX. |
| U. S. Department of Energy |
MANUAL
|
|
DOE M 251.1-1A
|
|
Approved:
1-30-98
|
|
| SUBJECT: DIRECTIVES SYSTEM MANUAL | |
1. PURPOSE. This Manual provides detailed requirements to supplement DOE O 251.1A,
DIRECTIVES SYSTEM, dated 1-30-98. This Manual does not apply to the development
and issuance of Regulations or Technical Standards and related documents or to the
process for obtaining exemptions from Regulations. This Manual also does not apply to
classified directives.
2. SUMMARY. This Manual is composed of six chapters that provide the requirements for
implementing the Department of Energy Directives System. Chapter I describes the
general directives structure. Chapters II and III address the development, coordination,
and issue resolution processes for directives. Chapters IV through VII discuss
supplemental directives, the process for handling unauthorized directives, the directives
review process, and the process for requesting exemptions from directives requirements.
Appendix A describes the approved system for the numbering and subject classification
of directives.
3. REFERENCE. DOE O 251.1A, DIRECTIVES SYSTEM, dated 1-30-98.
4. CONTACT. Questions concerning this Manual should be addressed to the Office of
Information Management, (202) 586-4716.
BY ORDER OF THE SECRETARY OF ENERGY:
ARCHER L. DURHAM
Assistant Secretary for
Human Resources and Administration
CONTENTS
Page
CHAPTER I - GENERAL DIRECTIVES STRUCTURE
1. PROCESS OVERVIEW. . . . . . . . . . . . . . . . . . . . .I-1
2. BACKGROUND. . . . . . . . . . . . . . . . . . . . . . . .I-1
3. DESCRIPTION . . . . . . . . . . . . . . . . . . . . . . .I-1
a. Directives Establishing Requirements . . . . . . . .I-1
(1) Policies. . . . . . . . . . . . . . . . . . . .I-1
(2) Regulations . . . . . . . . . . . . . . . . . .I-1
(3) Orders. . . . . . . . . . . . . . . . . . . . .I-1
(4) Notices . . . . . . . . . . . . . . . . . . . .I-1
(5) Manuals . . . . . . . . . . . . . . . . . . . .I-2
b. Directives Providing Guidance. . . . . . . . . . . .I-2
(1) Guides. . . . . . . . . . . . . . . . . . . . .I-2
(2) Technical Standards and Related Documents . . .I-2
4. DIRECTIVE MANAGEMENT DOCUMENTS. . . . . . . . . . . . . .I-2
Figure 1 - Flow Diagram of Directives Process .I-3
CHAPTER II - DIRECTIVES DEVELOPMENT
1. RESPONSIBILITIES. . . . . . . . . . . . . . . . . . . . II-1
a. Secretary of Energy. . . . . . . . . . . . . . . . II-1
b. Directives Management Board. . . . . . . . . . . . II-1
c. Assistant Secretary for Human Resources and AdministrationII-1
d. Offices of Primary Interest. . . . . . . . . . . . II-1
e. Directives System Manager. . . . . . . . . . . . . II-1
f. Heads of Departmental Elements and Contractors . . II-2
2. DIRECTIVES DEVELOPMENT PROCESS. . . . . . . . . . . . . II-2
a. Policies . . . . . . . . . . . . . . . . . . . . . II-2
b. Orders and Manuals . . . . . . . . . . . . . . . . II-2
c. Notices. . . . . . . . . . . . . . . . . . . . . . II-4
d. Guides . . . . . . . . . . . . . . . . . . . . . . II-4
3. CONTENT AND FORMAT REQUIREMENTS FOR DIRECTIVES. . . . . II-4
a. Policies . . . . . . . . . . . . . . . . . . . . . II-4
b. Orders and Notices . . . . . . . . . . . . . . . . II-4
(1) Objectives. . . . . . . . . . . . . . . . . . II-4
(2) Cancellation. . . . . . . . . . . . . . . . . II-4
(3) Applicability . . . . . . . . . . . . . . . . II-4
(4) Requirements. . . . . . . . . . . . . . . . . II-5
(5) Responsibilities. . . . . . . . . . . . . . . II-5
(6) References. . . . . . . . . . . . . . . . . . II-5
(7) Contact . . . . . . . . . . . . . . . . . . . II-5
(8) Contractor Requirements Document. . . . . . . II-5
(9) Definitions . . . . . . . . . . . . . . . . . II-6
c. Manuals. . . . . . . . . . . . . . . . . . . . . . II-6
d. Guides . . . . . . . . . . . . . . . . . . . . . . II-6
4. REVISIONS . . . . . . . . . . . . . . . . . . . . . . . II-6
5. CANCELLATIONS . . . . . . . . . . . . . . . . . . . . . II-7
Attachment II-1 - Directives Management Document . II-9
CHAPTER III - DRAFT DIRECTIVES COORDINATION AND ISSUE RESOLUTION
1. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . .III-1
2. RESPONSIBILITIES. . . . . . . . . . . . . . . . . . . .III-1
a. Offices of Primary Interest. . . . . . . . . . . .III-1
b. Directives Management Board. . . . . . . . . . . .III-1
c. Directives System Manager. . . . . . . . . . . . .III-1
d. Departmental Elements and Applicable Contractors .III-1
3. COORDINATION AND ISSUE RESOLUTION PROCESS . . . . . . .III-1
CHAPTER IV - SUPPLEMENTAL DIRECTIVES . . . . . . . . . . . . IV-1
CHAPTER V - UNAUTHORIZED DIRECTIVES
1. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . .V-1
2. RESPONSIBILITIES. . . . . . . . . . . . . . . . . . . . .V-1
a. Departmental Elements and Contractors. . . . . . . .V-1
b. Directives System Manager. . . . . . . . . . . . . .V-1
3. HANDLING UNAUTHORIZED DIRECTIVES. . . . . . . . . . . . .V-1
CHAPTER VI - DIRECTIVES REVIEW
1. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . VI-1
2. RESPONSIBILITIES. . . . . . . . . . . . . . . . . . . . VI-1
a. Directives System Manager. . . . . . . . . . . . . VI-1
b. Offices of Primary Interest. . . . . . . . . . . . VI-1
3. REVIEW AND SUNSET PROCESS . . . . . . . . . . . . . . . VI-1
a. 2-Year Review. . . . . . . . . . . . . . . . . . . VI-1
b. Sunset/Expiration. . . . . . . . . . . . . . . . . VI-2
4. EXCLUSIONS. . . . . . . . . . . . . . . . . . . . . . . VI-2
CHAPTER VII - EXEMPTIONS
1. GENERAL PROVISIONS. . . . . . . . . . . . . . . . . . .VII-1
2. REQUIREMENTS FOR FEDERAL EMPLOYEES. . . . . . . . . . .VII-1
3. INTENDED REQUIREMENTS FOR CONTRACTORS . . . . . . . . .VII-1
4. EXEMPTION PROCESS . . . . . . . . . . . . . . . . . . .VII-1
a. Approving Official . . . . . . . . . . . . . . . .VII-1
b. Approval Process . . . . . . . . . . . . . . . . .VII-2
c. Preparation of Exemption Requests. . . . . . . . .VII-2
d. Approval Criteria. . . . . . . . . . . . . . . . .VII-3
APPENDIX A - DIRECTIVES NUMBERING SYSTEM AND SUBJECT CLASSIFICATION CHAPTER I
DIRECTIVES STRUCTURE
1. PROCESS OVERVIEW. Figure 1 provides a flowchart of the directives development
process.
2. BACKGROUND. The Directives System is the means by which DOE policies,
requirements, and responsibilities are developed and communicated throughout the
Department. Directives include Policies, Orders, Notices, Manuals, Regulations,
Technical Standards and related documents, and Guides. This Manual sets forth
requirements for internal Directives System documents (Policies, Orders, Notices,
Manuals, and Guides).
3. DESCRIPTION.
a. Directives Establishing Requirements.
(1) Policies describe the philosophies and fundamental values of the
Department. Other documents in the Directives System flow from
Policies and must be consistent with them. Because Policies are general in
nature, they may require more specific requirements established in
Regulations, Orders, Notices, and Manuals.
(2) Regulations establish enforceable requirements pursuant to the
Department's authority under law and in accordance with the
Administrative Procedure Act. Their development is managed by the
Office of General Counsel.
(3) Orders establish management objectives, requirements, and assignment of
responsibilities for Federal employees; they also establish intended
requirements for contractors.
(4) Notices, like Orders, establish management objectives and requirements,
and assign responsibilities for Federal employees and intended
requirements for contractors. Notices are also used to communicate
general information throughout the Department. However, Notices are
issued for immediate or short-term use and expire no later than 1 year from
issuance. Where appropriate, an extension is granted through the issuance
of an additional Notice or the requirements may be incorporated into a
revised Order or Manual.
(5) Manuals identify procedural requirements for Federal employees and
intended requirements for contractors that may supplement other directives
and provide more instruction about how the provisions of those directives
shall be carried out.
NOTE: Provisions contained in an Order, Manual, Notice, or a source other than
a Regulation are made requirements applicable to contractors when identified in a
Contractor Requirements Document and incorporated in the relevant contract.
See DOE O 251.1A, Paragraph 4h, and DOE M 251.1-1A, Chapter II, Paragraph
3b(8).
b. Directives Providing Guidance.
(1) Guides provide nonmandatory, supplemental information about acceptable
methods for implementing requirements, including lessons learned,
suggested practices, instructions, and suggested performance measures.
Guides may identify acceptable ways to implement requirements by
referencing appropriate Technical Standards, but they shall not impose
additional requirements.
(2) Technical Standards and Related Documents are nonmandatory criteria
managed under the Technical Standards Program to provide guidance to
contractors and DOE personnel on acceptable methods for meeting
requirements.
4. DIRECTIVE MANAGEMENT DOCUMENTS. Directive Management Documents
(DMDs) solicit information that helps to determine the need for, and scope of, a new
Order or Manual or the major revision of an existing one. They are required for all
proposed new or significantly revised Orders and Manuals. Attachment II-1 provides the
DMD format.
CHAPTER II
DIRECTIVES DEVELOPMENT
1. RESPONSIBILITIES.
a. Secretary of Energy approves all Policies.
b. Directives Management Board sets overall directives policy for the Department,
including the relationship between Rules, Technical Standards, and other
directives. The Board is chaired by the Deputy Secretary and consists of heads of
selected Departmental Headquarters and Field Elements.
c. Assistant Secretary for Human Resources and Administration.
(1) Approves Orders, Notices, Manuals, and Guides.
(2) Appoints the Directives System Manager.
d. Offices of Primary Interest.
(1) Develop and maintain directives within their functional areas that conform
to the requirements of this Manual and are responsible for the technical
content of directives.
(2) Prepare DMDs (Attachment II-1) for new directives and major revisions.
The DMD shall reflect preliminary cost documentation.
(3) Prepare an initial and final cost impact estimate for each Order, Notice, or
Manual with new, modified, or canceled requirements that are likely to
increase or decrease implementation costs. (Note: This requirement will
not be implemented until approval and issuance of DOE G 251.1-2.)
(4) The Office of Primary Interest shall, for all directives affecting health and
safety at defense nuclear facilities, coordinate with the Departmental
Representative to the Defense Nuclear Facilities Safety Board (DNFSB).
The Departmental Representative, working with the Office of Primary
Interest, will ensure that the DNFSB has been provided an opportunity to
comment on directives prior to issuance.
e. Directives System Manager.
(1) Issues DMDs for coordination.
(2) Determines that Policies, Orders, Notices, Manuals, and Guides conform
to the requirements of DOE O 251.1A and this Manual prior to
coordination and approval.
(3) Assists Offices of Primary Interest in developing Policies, Orders, Notices,
Manuals, and Guides. This includes participating in development teams,
assigning directives numbers, and providing editorial assistance.
(4) Reviews and approves requests for deviations from the format for Orders,
Notices, and Manuals.
(5) Establishes and updates systems and procedures affecting the Directives
System.
f. Heads of Departmental Elements and Contractors provide comments on directives
systems documents as requested.
2. DIRECTIVES DEVELOPMENT PROCESS.
a. Policies are issued at the discretion of the Secretary. The Office of Primary
Interest shall work with the Directives System Manager to determine the schedule
for issuance and the appropriate level of coordination and review.
b. Orders and Manuals. The steps below must be followed for each new Order or
Manual or major revision.
(1) The Office of Primary Interest shall identify the need for a directive. This
may result from new legislation or Regulation, a change or development in
Departmental policy, a change in technology, lessons learned, etc.
(2) The head of the Office of Primary Interest shall appoint a Directive
Development Manager, who shall determine the type of directive that is
appropriate as well as the Departmental Elements and contractors to
participate in development of the directive.
(3) The Directive Development Manager and Directives System Manager
shall develop a schedule for completion of major tasks; for example,
preparation of the DMD and draft directive, review of each by
Departmental Elements and contractors, preparation of cost impact
estimates (if required), resolution of comments, and preparation, approval,
and distribution of final directive.
(4) The Directive Development Manager shall develop the DMD for a new or
revised Order or Manual using the format and outline provided in
Attachment II-1. The DMD shall then be submitted to the Directives
System Manager for editorial review in advance of coordination. Any
changes made as a result of this review must be concurred in by the Office
of Primary Interest.
(5) Departmental Elements and contractors shall review the DMD to identify
significant issues, comment on the need for and feasibility of
implementing the proposed directive, suggest alternate approaches, and
comment on the preliminary cost documentation. See Chapter III for
details on the coordination and issue resolution process.
(6) The Office of Primary Interest shall provide preliminary cost
documentation on the DMD for each Order, Notice, or Manual with new,
modified, or canceled requirements. This documentation shall contain the
following:
(a) assumptions, cost drivers, cost methodology, and identification of
requirements changes;
(b) a description of assumptions and rationale for no additional costs
or insignificant costs on the DMD, which also constitutes a cost
estimate. If no objections are raised during coordination of the
DMD, no further action is required.
Note: This requirement will not be implemented until approval and
issuance of DOE G 251.1-2, COST ESTIMATING GUIDE.
(7) The Directive Development Manager, with editorial assistance provided
by the Directives System Manager, shall prepare a draft directive and the
initial cost impact estimate using input generated by the DMD. The
Directive Development Manager shall solicit participation in development
of these documents from Departmental Elements and contractors where
appropriate.
(8) The Directives System Manager's editorial review, conducted in
cooperation with appropriate Departmental Elements (General Counsel,
Program Offices, etc.), shall include examining the document organization
and internal consistency, determining its compatibility with other
directives and external Regulations, and ensuring that its provisions are
clearly and succinctly stated. Prior to coordination, the Directive
Development Manager from the Office of Primary Interest will review and
agree upon changes made as a result of the editorial review. It shall then
be distributed to Department Elements and contractors for review. (See
Chapter III.)
(9) Departmental Elements and contractors shall review the draft directive and
provide comments to the Office of Primary Interest, which shall prepare
the final draft for approval and provide feedback to the reviewers in
accordance with Chapter III of this Manual.
(10) The Office of Primary Interest is responsible for identifying requirements
added, deleted, or modified by any new or revised Order, Manual, or
Notice. This information will be issued along with the final directive to
help implementing organizations understand the impact of the directive.
For directives of interest to the DNFSB, this information shall be
presented as a crosswalk showing the disposition of existing requirements.
c. Notices. The process used for Orders and Manuals shall be used for Notices
where feasible. However, since Notices may deal with transitory issues or may
need to be issued more quickly, some or all of the requirements in Paragraphs
2b(4) through (8) above may be omitted, subject to approval by the Directives
System Manager.
d. Guides. The process used for Orders and Manuals shall be used for Guides, with
the exception that DMDs, cost impact information, and estimates are not
developed for Guides.
3. CONTENT AND FORMAT REQUIREMENTS FOR DIRECTIVES.
a. Policies. Policies shall address broad issues within the area of responsibility of
the originator and should not contain specific requirements. Policies set the
framework under which requirements are established. The format of Policies is at
the discretion of the originator of the document, but should address the purpose,
scope, and policy as a minimum. Advice on formatting a Policy statement is
available from the Directives System Manager.
b. Orders and Notices. These documents shall contain objectives, requirements, and
responsibilities. The sections specified below shall be used unless a deviation is
authorized by the Directives System Manager.
(1) Objectives. The products or other benefits expected to be achieved by
implementation of the directive shall be identified. Refer to Paragraph 1
of DOE O 251.1A, DIRECTIVES SYSTEM, dated 1-30-98, for an
example.
(2) Cancellation. All directives canceled by the new directive shall be
identified by number, title, and date.
(3) Applicability.
(a) The Departmental Elements and contractors to which the directive
applies shall be identified. Exclusions shall also be identified. If
requirements are intended to be applied to contractors, the universe
of these contractors and subcontractors shall be described such that
it is as small as possible.
In some situations, individual Departmental Elements may
determine that exemption from requirements of a DOE Order,
Notice, or Manual is appropriate. A description of the process for
obtaining exemptions is included at Chapter VII.
(b) Intended requirements for contractors shall be set forth in a
Contractor Requirements Document (CRD), which shall be
referred to in the Applicability paragraph. Contractor compliance
with a CRD is contingent upon incorporation or reference in a
contract. If intended requirements apply to specific functions or
facilities, the directive should identify the function or facility.
When the term "facility" is used, this paragraph must indicate if the
term is intended to include contractors; if it does, the paragraph
must describe the universe of these contractors.
(4) Requirements. Matters that must be completed to achieve the directive's
purpose shall be written as requirements. Requirements must
(a) have measurable or verifiable outcomes whenever possible and be
focused on outcomes rather than methodology or procedures;
(b) allow for flexibility in implementation whenever possible to
encourage the most cost-effective means of compliance;
(c) add value commensurate with the cost of their implementation;
(d) not repeat voluminous information from other sources (such as
laws, Regulations, or other Orders) that can easily be referenced;
and
(e) not be stated as responsibilities.
(5) Responsibilities. Accountability shall be assigned for requirements within
DOE. Responsibilities should be described in terms of outcome rather
than methodology or procedures.
(6) References. This section is optional and shall describe additional sources
of information to assist in the implementation of the directive.
(7) Contact. The appropriate organization and telephone number shall be
provided.
(8) Contractor Requirements Document. The CRD is the portion of an Order
or Manual that identifies requirements that are intended to apply to
contractors. The CRD may be incorporated into contracts without
alteration and must be written with this in mind. Provisions of the CRD
become actual contract requirements only upon incorporation into a
contract. Accordingly, it must not set forth instructions for DOE staff or
describe the universe of prime contracts to which it is to be applied.
Special instructions for application of the CRD to a contractor shall be set
forth in the Applicability paragraph. It is, however, appropriate to describe
the universe of subcontractors to which the prime contractor is to flow
down requirements.
(9) Definitions. The Directives System Glossary of Terms contains the terms
and definitions as used in the internal Directives System documents. A
definition section in an Order, Notice, or Manual is permissible when
additional definitions are needed to understand requirements or
communicate terms of art unique to the technical discipline of the
directive. These additional definitions shall be included in the directive's
definition section. The Office of Primary Interest is required to include all
additional terms and definitions in the draft directive to facilitate
coordination and meaningful notice and comment.
Critical terms and definitions for a health and safety Order, Notice, and
Manual must be included in a directives definition section. Critical terms
are those terms required for a common understanding of the directive. The
Office of Primary Interest must include all critical terms and definitions in
the draft directive to facilitate coordination and meaningful notice and
comment. Glossary terms to be used in establishing safety or health
requirements must be incorporated in the contract explicitly or by
reference.
Additions and amendments to the Directives System Glossary of Terms
must be coordinated with the Directives System Manager, who will update
the Glossary as required. Management of the Directives System Glossary
of Terms, final approval of technical content, and issue resolution shall be
in accord with the provisions of DOE O 251.1A and this Manual for the
development, review, coordination, and issuance of internal Directives
System documents.
c. Manuals. Manuals supplement other DOE directives and are used to provide
details or required procedures where necessary to enable fulfillment of
requirements. This Manual serves as an example of an acceptable format.
Manuals may include some guidance, but they are primarily a means of providing
requirements more detailed than those appropriate to an Order. Intended
contractor requirements from the Manual can be included in the CRD of the
associated Order that the Manual supplements. Another option is to develop a
CRD for the Manual.
d. Guides. Guides may follow a more flexible format than that prescribed for other
directives; the format should be designed to accommodate the content.
4. REVISIONS. Changes shall be made to a directive through complete revision or page
changes, and those changes will be reflected in the draft directive. For ease of review and
use, full-text changes are encouraged. However, in all cases a transmittal sheet must
summarize content changes and include filing instructions as necessary.
a. When a directive is substantially changed, it must be reissued. Each revision shall
be assigned the original number and identified by a suffix capital letter.
b. Minor changes to a directive may be issued as page changes. The directive's
number shall not be changed, but on each changed page, the change number shall
be shown at the right of the directive's number and the date of the page change
shall be shown beneath the directive's number. On the front page of the directive,
the change number and date of the page change shall be shown beneath the
approved and review dates. If necessary, pagination is adjusted by adding letters
to the page numbers (e.g., 11, 12, 12a, 12b) or by adding a blank page that lists
page numbers that have been deleted.
c. If a Notice is changed, it must be reissued in its entirety or replaced by an Order, a
Manual, or a Policy.
d. Where feasible, changes to a directive will be identified by the use of side bars.
e. The Directives System Manager, with input from the Office of Primary Interest,
will determine the degree and extent of coordination required for page changes.
5. CANCELLATIONS. The Office of Primary Interest in coordination with the Directives
System Manager must approve the cancellation of a directive. A directive shall be
canceled by citation in the cancellation section of another directive or in a Notice issued
for the purpose of canceling one or more directives. The clause should incorporate the
following language:
The directives listed below are canceled. Cancellation of a directive does
not, by itself, modify or otherwise affect any contractual obligation to
comply with such a directive. Canceled directives that are incorporated
by reference in a contract shall remain in effect until the contract is
modified to delete the reference to the requirements in the canceled
directives. ACCEPTABLE FORMAT FOR DIRECTIVE MANAGEMENT DOCUMENTSANNOUNCEMENT OF
INTENT TO ISSUE A PROPOSED
NEW (REVISED) DIRECTIVE
DIRECTIVE MANAGEMENT DOCUMENT FOR
(PROPOSED NUMBER AND TITLE OF DIRECTIVE)
PURPOSE OF PROPOSED DIRECTIVE. Briefly describe the scope, state why the directive is being
issued, and describe its intended benefits.
APPLICABILITY. Identify Departmental Elements and categories of contractors and contracts to
which the directive is intended to apply. [Categories of contractors include management and operating
(M&O), management and integrating (M&I), support service, environmental restoration, etc.; types of
contracts include cost-type, fixed price, architect-engineer, contracts involving access to or performance
of classified work, etc.] Applicability may also be defined in terms of functions or types of facilities.
Indicate whether the directive is intended to apply to existing contracts/facilities or only to future
contracts/facilities.
OPERATIONAL IMPACT. Summarize principal anticipated effects of the proposed directive on DOE
Elements and contractors. Identify requirements, activities, reporting requirements, etc., that will be
created or abolished and the anticipated implementation date.
COST IMPACT. Include preliminary cost documentation (e.g., assumptions, potential cost drivers).
State that reviewers are encouraged to provide comments on the cost documentation and to suggest
alternative means that are more cost effective. (Note: This requirement will not be implemented
until DOE G 251.1-2 is formally issued.)
RELATED DIRECTIVES. Identify any other directives that will be prepared for this directive (e.g.,
Manuals, Guides, or Technical Standards and related documents).
DIRECTIVE MANAGEMENT ISSUES. Identify a schedule for development, coordination, and
issuance of the directive. State whether a process improvement team will be established and solicit
participation, if appropriate.
REFERENCES. List related directives as references as needed.
CHAPTER III
COORDINATION AND ISSUE RESOLUTION PROCESS
1. INTRODUCTION. This chapter provides instructions on the coordination and issue
resolution process for DMDs and draft directives.
2. RESPONSIBILITIES.
a. Offices of Primary Interest. Prepare DMDs and directives, resolve comments
received from reviewers, and provide feedback to them prior to submitting a final
draft directive to the Directives System Manager for issuance. Prior to the
issuance of a directive, Offices of Primary Interest must concur in the final
language (including proposed editorial changes and specific language
implementing Directives Management Board decisions) contained in directives
under their purview.
b. Directives Management Board resolves issues that cannot be resolved by the
Office of Primary Interest or the Directives System Manager. The Board may
appoint ad hoc working groups from among its membership to resolve issues
concerning particular directives.
c. Directives System Manager.
(1) Coordinates the directives review process, provides editorial assistance,
distributes draft directives for review, and transmits directives for final
approval.
(2) Facilitates issue resolution between the Office of Primary Interest and
reviewers.
d. Departmental Elements and Applicable Contractors review DMDs and draft
directives and provide comments within established schedules.
3. COORDINATION AND ISSUE RESOLUTION PROCESS.
a. The Office of Primary Interest shall prepare the DMD or the draft directive as
described in Chapter II and shall submit it to the Directives System Manager for
coordination.
b. The Directives System Manager shall assign an editor to perform a quality review,
checking for editorial standards, conformance with Directives System
requirements. Any proposed changes made as a result of this review must be
concurred in by the Office of Primary Interest.
c. The Office of Primary Interest and the Directives System Manager shall identify
the coordination distribution lists. The Directives System Manager shall establish
goals of 60 days for review and comment and 60 days for issue resolution for draft
directives. Normally, DMD goals are set for 30 days for review and comment and
30 days for issue resolution.
d. The Directives System Manager shall distribute the DMD or the draft directive to
Departmental Elements and appropriate contractors for comment. Comments will
be categorized as "major issues" and "suggested comments." A major issue
concerns requirements or other provisions of the DMD or draft directive that
would have a serious, adverse effect on mission accomplishment, economy,
efficiency, policy, objectives, or other management concerns that should preclude
issuance.
e. Contractors shall return their comments to the cognizant Field Element.
Departmental Elements shall submit their comments and those from their
contractors to the Office of Primary Interest with an additional copy to the
Directives System Manager. Operations Offices should highlight disagreements
with issues raised by a contractor and must include all contractor comments as an
attachment. Operations Offices shall send copies of major issues to the Associate
Deputy Secretary for Field Management. Issues and comments received after the
due date may not be considered until the next revision.
f. The Directive Development Manager shall attempt to resolve all major issues with
commenting organizations. To ensure that proposed changes do not raise new
issues for other organizations, the Directive Development Manager shall provide
the proposed changes to the draft to all organizations on the original coordination
list. If a major issue cannot be resolved, the head of the Departmental Element
that raised the issue shall forward that issue to the Directives System Manager for
presentation to the Directives Management Board. Upon resolution of major
issues, the Directive Development Manager shall verify resolution by providing a
memo or resolution matrix to the Directives System Manager.
g. The Directives System Manager shall attempt to resolve all issues related to
Directives System operations. Major issues that cannot be resolved shall be
referred to the Directives Management Board.
h. For each issue on the Directives Management Board agenda, the Office of Primary
Interest and the commenting organization shall prepare a paper in support of its
position and present it to the Directives Management Board, which will render a
decision.
i. Before the directive is issued, the Directives System Manager shall determine the
need for a final editorial review and provide the edited document to the Office of
Primary Interest for final concurrence prior to transmittal to the Assistant
Secretary for Human Resources and Administration for approval. CHAPTER IV
SUPPLEMENTAL DIRECTIVES
When supplemental directives are needed, they are issued by a Headquarters or Field
Element for use by that organization and its contractors. Such directives assign
responsibilities or establish procedures at the local level. The supplement may correlate
to a DOE directive or cover other topics. If significant additional resources are required,
the implementing organizations, including applicable contractors, must have the
opportunity to assess implementation costs and value added before the supplemental
directive is finalized and may appeal imposition of the directive to the Directives
Management Board. Supplemental directives must not contradict or delete provisions in
any applicable Policy, Regulation, Order, Notice, or Manual.
CHAPTER V
UNAUTHORIZED DIRECTIVES
1. INTRODUCTION.
a. This chapter describes a process for handling information that should be within
the Directives System but is issued outside that System. Specifically,
requirements that cross organizational lines but are not issued within the
Directives System are considered unauthorized directives.
b. The concern with unauthorized directives is that they
(1) fail to receive appropriate evaluation by affected parties;
(2) often are not distributed to all affected or interested parties; thus they do
not receive full evaluation, nor is there an adequate assessment of the
effect of directives;
(3) over time, are ignored or forgotten because they are not in a structured
system under which they may be retrieved; and
(4) may cause unintended technical, financial, or legal consequences.
2. RESPONSIBILITIES.
a. Departmental Elements and Contractors notify the Directives System Manager of
documents that may improperly distribute information outside the Directives
System.
b. Directives System Manager reviews the document, determines if it contains
material that should be included in the Directives System, and takes action as
necessary to bring the document into the Directives System, as appropriate.
3. HANDLING UNAUTHORIZED DIRECTIVES.
a. If the document does not belong within the Directives System, the Directives
System Manager shall take no further action other than to inform the reporting
organization.
b. If the document transmits information that should be included within the
Directives System, the Directives System Manager shall work with the
appropriate Office of Primary Interest to dispose of the document in one of three
ways:
(1) The Office of Primary Interest may withdraw or modify the document.
(2) The document may be proposed for conversion to a directive, following
the process described in this Manual. If the subject of the directive is
time-critical, the Office of Primary Interest may request that the Directives
System Manager issue a Notice until a permanent directive is developed,
coordinated, and issued.
(3) If the reporting organization is dissatisfied with the proposed disposition,
it may petition the Directives Management Board for resolution.
CHAPTER VI
DIRECTIVES REVIEW
1. INTRODUCTION. Each Policy, Order, and Manual shall be reviewed every 2 years to
determine what action (i.e., cancellation, revision, or continuation) is appropriate. Each
Policy, Order, and Manual will sunset/expire 4 years from date of issuance, except as
provided in Paragraph 4 below, unless revised or continued by the Office of Primary
Interest. Guides, which are not requirements documents, will not automatically expire,
but will be reviewed if the Order, Manual, or Regulation they support is revised.
2. RESPONSIBILITIES.
a. Directives System Manager.
(1) Manages the Department's directives review process.
(2) Advises the Office of Primary Interest that a directive is scheduled for
review prior to the 2-year review date, makes a user survey available to
Departmental Elements and applicable contractors, and processes all
revisions, cancellations, and extensions.
(3) Advises the Office of Primary Interest that a directive is scheduled to
sunset/expire.
(4) Distributes a quarterly report to all Departmental Elements listing
directives that have been reviewed, revised, continued without revision,
canceled, or allowed to sunset/expire.
b. Offices of Primary Interest.
(1) Determine, based on the survey mentioned above, whether the directive is
to be revised.
(2) Revise the directive, if necessary, prior to sunset/expiration.
3. REVIEW AND SUNSET PROCESS.
a. 2-Year Review. Policies, Orders, and Manuals will identify a review date on the
cover page of the directive. This date is 2 years from issuance of the directive.
The need to continue or revise the directive will be determined through a survey
that will be conducted on or about the review date. After the survey is conducted,
the Office of Primary Interest and the Directives System Manager shall review the
results and determine whether the directive needs to be revised, canceled,
continued without revision, or allowed to expire on its expiration date. If the
survey indicates that revisions are required, the Office of Primary Interest shall
proceed with the revision, including development of a DMD and cost impact
estimate.
b. Sunset/Expiration. Except as provided in Paragraph 4 below, the cover page of
Policies, Orders, and Manuals will also identify an expiration date. This date is 4
years from the date of issuance. Directives will be canceled on that date unless
revised or continued by the Office of Primary Interest.
4. EXCLUSIONS.
a. Policies, Orders, and Manuals related to safety and health shall not automatically
be reviewed or revised after two years or sunset/expire. These directives are
identified by an asterisk (*) on the DOE Checklist and do not contain a
sunset/expiration date.
b. DOE O 251.1A and DOE M 251.1-1A shall not automatically expire after the
given 4-year period but shall remain in effect until superseded or replaced. CHAPTER VII
EXEMPTIONS
1. GENERAL PROVISIONS. An exemption under the Directives System is a release from
a requirement(s) included in a DOE Order, Notice, or Manual that has been granted to a
Departmental Element by the appropriate DOE official. The process outlined below is
used in cases when a DOE official determines that a specific requirement(s) in a directive
is not appropriate for an individual office or a facility under the responsibility of the
office, and where that directive does not specify an alternative exemption process. This
process is intended to provide a means to communicate, provide feedback, and receive
any necessary approvals in cases where a requirement contained in an Order, Notice, or
Manual is not appropriate.
2. REQUIREMENTS FOR FEDERAL EMPLOYEES. Exemption requests from a
requirement(s) applicable to Federal employees can be prepared using the process
described in Paragraph 4 below, at any point following approval of an Order, Notice, or
Manual.
3. INTENDED REQUIREMENTS FOR CONTRACTORS. Requirements contained in
DOE directives (e.g., Orders, Notices, and Manuals) are made applicable to contractors
by incorporation in contracts as requirements. Contractual requirements based on
directives, and any modifications to those requirements, are governed by specific contract
terms and conditions. When a contractor or DOE official determines that an exemption,
deviation, or variance ("exemption") from one or more specific requirements is needed,
the exemption process established for that contract shall be followed. When the
exemption is from a directives-based contract requirement, the process shall include the
following directives exemption process unless superseded by an exemption process in a
specific directive.
4. EXEMPTION PROCESS.
a. Approving Official. Unless otherwise stated in a directive, exemptions from DOE
Orders, Notices, and Manuals are approved by the following:
(1) Heads of Departmental Elements (which include Operations and Field
Office Managers) for activities and facilities under their direction except
as provided in Paragraph 4a(2).
(2) For environment, safety and health requirements for Category 1 Hazard
Nuclear Facilities, exemptions are approved by the Cognizant Secretarial
Officer. This authority may be delegated to other heads of Departmental
Elements.
b. Approval Process. The Approving Official shall
(1) provide notification of a proposed exemption approval to the Cognizant
Secretarial Officer (unless the Cognizant Secretarial Officer is the
Approving Official) and the Office of Primary Interest at least 30 calendar
days prior to final approval to ensure consistency with Departmental
policy and identification of any significant concerns;
(2) not issue a final approval granting an exemption unless
(a) the Cognizant Secretarial Officer and the Office of Primary Interest
concur with the proposed exemption decision or
(b) the 30-calendar-day review period passes without objection or
request for additional information from the Cognizant Secretarial
Officer and the Office of Primary Interest.
c. Preparation of Exemption Requests. Requests for exemptions should address the
following information, as appropriate:
(1) Site or facility for which an exemption is being requested.
(2) Reference to the requirements for which exemption is sought.
(3) Identification and justification of the acceptance of any additional risks
that will be incurred if the exemption is granted.
(4) Benefits to be realized by providing the exemption.
(5) Indication of whether the exemption being requested is temporary or
permanent, and for temporary exemptions, indication of when compliance
will be achieved.
(6) Identification of other pertinent data or information used as a basis for
obtaining an exemption.
(7) Requests for exemptions to environment, safety, and health requirements
shall also address the following:
(a) A description of any special circumstances that warrant the
granting of an exemption, including whether
1 application of the requirement in the particular
circumstances would conflict with another requirement;
2 application of the requirement in the particular
circumstances would not achieve, or is not necessary to
achieve, the underlying purpose of the requirement;
3 application of the requirement in the particular
circumstances would not be justified by any safety and
health benefit;
4 the exemption would result in a health and safety benefit
that compensates for any detriment that would result from
granting the exemption, or
5 there exists any other material circumstances not
considered when the requirement was adopted for which it
is in the public interest to grant an exemption.
(b) Steps to be taken to provide adequate protection of health, safety,
and the environment, and a statement that adequate protection will
be provided.
(c) A description of any alternative or mitigating actions that have or
will be taken to ensure adequate safety and health and protection of
the public, the workers, and the environment for the period the
exemption will be effective.
d. Approval Criteria. For all exemption decisions, the approving official may grant
an exemption only if the exemption
(1) is not prohibited by law;
(2) would not present an undue risk to public health and safety, the
environment, or facility workers; and
(3) is warranted under the circumstances. DIRECTIVES NUMBERING SYSTEM AND SUBJECT CLASSIFICATION
1. DIRECTIVES NUMBERING SYSTEM.
a. Numbering Directives. All Policies, Orders, Notices, Manuals, and Guides have a
letter identifying the type of document, a three-digit number identifying the
subject matter category, and a suffix showing the sequence within that subject
matter category and the revision level.
There are two types of Notices:
(1) those Notices that stand alone and have a three-digit number of their own
(e.g., DOE N 510.1, CONFLICTING FINANCIAL INTERESTS) and
(2) those Notices that are associated with an Order (e.g., DOE N 251.28,
CANCELLATION OF DIRECTIVES).
b. Examples. The following examples show how the numbering system works for
various documents.
(1) Policies. In DOE P 141.1, GUIDANCE ON IMPLEMENTATION OF
DEPARTMENT PUBLIC PARTICIPATION POLICY, "P" stands for
Policy, "141" is the subject matter category (Public Relations), and ".1"
indicates the first policy document in this category. Subsequent revisions
will be ".1A," ".1B," etc.
(2) Orders. In DOE O 151.1, COMPREHENSIVE EMERGENCY
MANAGEMENT SYSTEM, "O" stands for Order, "151" is the subject
matter category (Public Affairs in Emergencies), and ".1" indicates that
this is the first Order in this category. Subsequent revisions will be ".1A,"
".1B," etc.
(3) Notices. In DOE N 251.1, CANCELLATION OF DIRECTIVES, "N"
stands for Notice, "251" is the subject matter category (Directives System),
".1" indicates that this is the first of subsequential extensions to the Notice
supplementing that particular Order.
(4) Manuals. In DOE M 251.1-1A, DIRECTIVES SYSTEM MANUAL, "M"
stands for Manual, "251" is the subject matter category (Directives
System), ".1" indicates that this Manual supplements DOE O 251.1, "-1"
indicates that this is the first Manual supplementing that particular Order,
and A indicates a revision to that Manual. If the Order is revised to be
DOE O 251.1A, there is no change in the number of the Manual. If the
Manual is revised, its number would become DOE M 251.1-1B.
(5) Guides. Guides are numbered the same as Manuals, but the initial letter
designator is "G." To accommodate circumstances in which Regulations,
rather than Orders, contain the requirements, the primary three-digit code
would be used. For example, a Quality Assurance Guide might be labeled
DOE G 414.1-1 because it is based on a Regulation rather than an Order.
2. SUBJECT CLASSIFICATION. Departmental directives are numbered as described
below. The Directives System Manager will assign a number for each individual
directive.
100 LEADERSHIP/MANAGEMENT PLANNING
110 Organization and Structure. Includes directives on authorities, functions,
and internal relationships.
120 Planning. Includes processes for determining how best to do work,
including strategic planning, institutional and program planning,
implementation planning, and economic analysis and forecasting.
120 General
121 Strategic Planning
122 Institutional Planning
123 Economic Forecasting
124 Implementation Planning
130 Budget. Includes the financial budgeting process. Staffing budgets are
covered under the Human Resources category (300).
130 General
131 Field Budget Process
132 Headquarters Consolidation Process
133 Office of Management and Budget Process
134 Congressional Budget Review
135 Budget Execution
136 Allotments and Reprogramming
140 External Relationships. Includes overall process for public relations,
Congressional relations, and intergovernmental affairs and agreements.
140 General
141 Public Relations
142 International Relations
143 Congressional and Intragovernmental Affairs
150 Emergency Management and Planning. Includes succession planning and
planning for operational emergencies.
150 General
151 Public Affairs in Emergencies
152 Governmental Emergencies
153 Operational, Energy, and External Emergencies
200 INFORMATION AND ANALYSIS
200 Information Management. Includes information management.
210 Performance Measures and Analyses. Includes establishment of contractor
milestones and incentives, performance indicators, and tracking/trending.
220 Assessments. Includes all types of audits, oversight, appraisal programs,
and accident investigations.
220 General
221 Inspector General Relations
222 General Accounting Office Assessments
223 Special Program Assessments
224 Audits and Appraisals
225 Accident Investigation
230 Reporting. Includes all cross-cutting reporting programs such as
occurrence reporting. Reporting requirements associated with a single
subject matter, such as Budget, are covered in that category.
230 General
231 Safety and Health Reporting Requirements
232 Occurrence Reporting
233 Interagency Reporting Requirements
240 Records Management. Includes forms management, records disposition,
and records management.
240 General
241 Scientific and Technical Information Management
242 Forms Management
243 Records Management
250 Directives System. Includes all aspects of how DOE implements its
Directives System.
250 General
251 Directives System
252 Technical Standards
300 HUMAN RESOURCES
310 Human Resources Planning and Management. Includes staffing planning
and budgeting, equal employment opportunity, and affirmative action
programs.
310 General
311 Equal Employment Opportunity
312 Staff Budgeting
320 Federal Employment. Includes employee recruitment, selection,
placement, pay-setting, and reductions-in-force for various types of
employment.
320 General
321 Employment
322 Pay Administration and Hours of Duty
323 Promotion
324 Priority Placement
325 Position Classification
326 Employee Suitability and Position Sensitivity
327 Employment Reductions in Senior Executive Service
330 Federal Employee Performance and Recognition. Includes performance
appraisals, awards, disciplinary actions, and removals for poor
performance or cause.
330 General
331 Performance Appraisal
332 Incentive Awards
333 Work Force Discipline
340 Federal Employee Well-Being and Satisfaction. Includes insurance and
retirement, employee counseling and medical programs, drug testing,
employee participation campaigns, labor relations, grievances, and
appeals.
340 General
341 Leave Administration
342 Grievances
343 Substance Abuse and Employee Assistance
344 Parking
350 Contractor Human Resource Programs. Covers management of contractor
personnel policies and programs in all areas including employment,
performance and recognition, and well-being and satisfaction.
350 General
351 Pension and Insurance Programs
352 Equal Employment Opportunity
353 Reductions in Employment
354 Federal Labor Standards
355 Reports
360 Federal and Contractor Employee Education and Training. Includes
education and training activities for DOE and contractor employees.
360 General
361 Federal Employee Training
362 Contractor Employee Training
400 WORK PROCESSES
410 Management. Includes major management systems such as project
management, configuration management, program management, quality
assurance and total quality management, and commitment tracking.
410 General
411 Assignments and Responsibilities
412 Management Systems
413 Program Management
414 Quality Management
420 Facility Authorization. Includes safety analyses, technical safety
requirements, unreviewed safety questions, and other issues related to the
authorization basis of nuclear and nonnuclear facilities.
420 General
421 Safety Analyses
422 Joint DOE/DOD Nuclear Weapon System Safety
423 Technical Safety Requirements
424 Unreviewed Safety Questions
425 Startup and Restart of Nuclear Facilities
430 Life-Cycle Facility Operations. Includes design/engineering, construction,
maintenance, operations, waste management, decontamination and
decommissioning (D&D), and environmental restoration (ER).
430 General
431 Design/Engineering
432 Construction
433 Maintenance
434 Operations
435 Waste Management/D&D/ER
440 Worker Protection. Includes Office of Safety and Health Administration
(OSHA), aviation safety, radiation protection for workers, and other safety
programs that relate to the protection of workers and others entering DOE
sites.
440 General
441 Radiation Protection
442 OSHA-type Issues
450 Protection of the Public and Environment. Includes programs for ensuring
public health and safety and protection of the environment.
450 General
451 National Environmental Policy Act
452 Nuclear Explosive and Weapon Surety
460 Packaging and Transportation. Includes transportation of hazardous and
nonhazardous goods and materials, except for household goods.
460 General
461 Hazardous Material Packaging and Transportation
470 Safeguards and Security. Includes physical and personnel security,
information security, security classification, and nuclear materials control
and accountability.
470 General
471 Information Security
472 Personnel Security
473 Physical Security
474 Materials Control and Accountability
480 Work for Others and Technology Transfer. Includes work performed for
other Government agencies and private industry, and programs for
transferring technology to the private sector.
480 General
481 Work for Others
482 Technology Transfer
500 BUSINESS AND SUPPORT SERVICES
510 Legal. Includes Freedom of Information Act (FOIA) and Privacy Act
directives, and any directives related to legal and patent/copyright
processes.
510 General
511 Hearings and Appeals
512 Data Integrity Board
513 FOIA/Privacy Act
514 Participation in Political Activities
520 Finances. Includes special methods of financing programs.
520 General
521 Financial Incentives Program
522 Pricing of DOE Materials and Services
530 Accounting. Includes all types of accounting except accounting for special
nuclear materials.
530 General
531 Transfer of Contracts Between Departmental Elements
532 Interagency Sharing of Costs
533 Employee Indebtedness
534 Accounting
535 Time and Attendance Reporting
540 Procurement and Grants Management. Includes contractual arrangements
for procurement of goods and services and for grants to organizations. It
does not include procurement of utilities, laundry, and other similar
commercial services, nor does it include procurement of automated
information systems and telecommunications equipment.
540 General
541 Contracting Officials and Conflicts of Interest
542 Competitive Requirements in Contracting
543 Indirect Cost Rate Responsibilities
544 Priorities and Allocations Program
545 Funds-Out Interagency Agreements
546 Civil Rights Compliance in Federally Assisted Programs
550 Travel and Transportation. Includes policies and reimbursement
procedures for local travel, temporary duty travel, permanent change of
station, and transportation of household goods. Also includes motor pool
management.
550 General
551 Travel Policy and Procedures
552 Foreign Travel Authorization
553 Travel Charge Card Program
560 Telecommunications and Data Systems. Includes procurement
management of telecommunications, telephone services, automated
information systems, software, maintenance, and services.
560 General
561 Telecommunications
562 Management of Computer Systems
563 Information Technology
564 Telephone Systems
565 Unclassified Computer Security Program
570 Administrative Services. Includes mail, filing, and office space
management and reproduction, printing, library, and general office
services.
570 General
571 Library Services
572 Audiovisual and Exhibits Management
573 Mail Management
580 Property Management. Includes personal and real property management,
acquisition, and disposition.
<>