Interface Manual    DOE M 140.1-1B Interface with the DNFSB

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This attachment provides the activities and schedule milestones of a systematic process for responding to Board recommendations. It may be used as a checklist to ensure response development is on target (schedule targets are from publication of the Board recommendation in the Federal Register). The target dates and durations establish an appropriate pace to complete the necessary activities within the required time frames.

Within 2 Days of Receipt

Following receipt of a Board recommendation, the Departmental Representative will notify the affected Secretarial Offices and their Points of Contact and will initiate the response process described below. The Departmental Representative's staff will distribute the Board recommendation to Secretarial Officers, their Points of Contact, Operations/Area Offices, and other affected Departmental elements, as appropriate. The Departmental Representative will identify a member of his/her staff as Issue Lead to support coordination of the recommendation response.

Days 1-14

These activities are necessary to initiate the evaluation process:

• identify the Responsible Manager;

• identify the response team;

• assign preliminary team tasks and responsibilities;

• identify significant safety issues associated with the recommendation;

• identify underlying causes and implications of these safety issues;

• develop alternatives for resolving the safety issues; and

• establish recommended courses of action.

The cognizant Secretarial Officer must identify the Responsible Manager who will manage the response as well as manage development and implementation of the associated implementation plan. The Departmental Representative should inform the Executive Secretariat of the cognizant Secretarial Officer and designated Responsible Manager within 14 days of receipt of the recommendation.

The Responsible Manager, assisted by the Issue Lead, will develop an agenda and call a meeting with the designated representatives of the affected Departmental elements. These individuals (the response team) must be empowered to represent their management throughout the evaluation of the recommendation, the development of the Department's response and implementation plan, and the actual plan implementation, if necessary.

The Responsible Manager, the Issue Lead, and the response team should ensure the following features that the Board considers key are demonstrated in the Department's response: (1) an understanding of what is being asked or recommended; (2) a commitment by the Department to take action to meet the recommendation; (3) the name of the Responsible Manager; and (4) specifications of what the Department intends to do so that the Board can determine whether material terms of the recommendation will be met.

Throughout the evaluation process, the Issue Lead should provide guidance and support to the Responsible Manager and the cognizant Secretarial Officer, including performance of the following actions:

• coordinate actions agreed to by the affected parties;

• distribute key documents, comments, and agendas;

• disseminate requests pertaining to the recommendation; and

• facilitate communications between the Department and the Board staff.

Day 14

The Responsible Manager and the Issue Lead should work together to document the Departmental strategy and identify significant issues, actions, milestones, and responsibilities necessary to develop an acceptable response. The Issue Lead should distribute this information to affected organizations. The Responsible Manager should also make an initial assessment of the need for a 45 day extension request.

Days 14-25

The response team should complete a detailed evaluation of the Board recommendation, which includes consideration of the following:

• applicability and substantive strategic input;

• schedule, cost, and funding for implementation; and

• need and availability of specialized resources for implementation.

Affected organizations should transmit their evaluations and strategic input to the Responsible Manager within the time frame requested. Response team members and points of contact should coordinate these inputs from within their respective organizations. To develop the best response, affected Departmental line managers should consider contractor/laboratory comments, but should validate this input, ensuring its applicability, and verifying cost and time estimates.

The Responsible Manager should work with the Issue Lead to ensure plans and actions are responsive to the Board's recommendation. For clarification or guidance on the meaning or intent of any part of the recommendation, the Issue Lead should provide the necessary liaison with the Board staff, and the Departmental Representative should provide liaison with the Board.

Day 25

In conjunction with the Departmental Representative, the Responsible Manager should develop an agenda and schedule a meeting with the senior management team (affected Secretarial Officers) to present the recommended Departmental position. The agenda should include discussion of the Responsible Manager's estimate of the associated costs and contribution to safety.

The senior management team, chaired by the Deputy Secretary, is composed of organizations that have direct line responsibility or significant involvement in activities encompassed by the Department's response, and typically includes the following Senior Managers:

• Under Secretary for Nuclear Security (NA-1),

• Deputy Administrator for Defense Programs (DP-1),

• Assistant Secretary for Environment, Safety and Health (EH-1),

• Assistant Secretary for Environmental Management (EM-1),

• General Counsel (GC-1), and

• Appropriate field managers.

Some recommendations may require one or more of the following additional individuals to participate with the senior management team:

• Chief Financial Officer (CR-1),

• Assistant Secretary for Energy Efficiency and Renewable Energy (EE-1),

• Assistant Secretary for Fossil Energy (FE-1),

• Director, Management and Administration (MA-1),

• Director, Office of Nuclear Energy, Science and Technology (NE-1),

• Deputy Administrator for Defense Nuclear Nonproliferation (NN-1),

• Assistant Secretary for Policy and International Affairs (PO-1), and

• Director, Office of Science (SC-1).

If consensus is not expected within 5 days of the senior management team meeting, the senior management team should consider requesting from the Board up to a 45-day extension to submit the Department's response. The Responsible Manager, supported by the Issue Lead, must prepare and coordinate this request.

Follow-up actions for the two possible outcomes from the senior management team meeting (i.e., consensus or not consensus) are described below.

Outcome 1: Senior Team Reaches Consensus on Agency Position

Day 28

The Responsible Manager finalizes the response and with the assistance of the Issue Lead delivers the response to the affected Departmental elements for concurrence. Response team members and points of contact should assist in acquiring the appropriate concurrence within their respective organizations.

Day 32

The Responsible Manager submits the response to the cognizant Secretarial Officer for approval and ensures that it is delivered to the Executive Secretariat for processing.

Day 39

Secretary approves the response to the Board. This completes the response actions. Follow-up actions are described at the end of this attachment.

Outcome 2: Senior Team Does Not Reach Consensus on Agency Position

Day 26

The Deputy Secretary should provide guidance and direction to the cognizant Secretarial Officer and Departmental Representative relative to resolution of the issues and conflicts.

Days 27-31

Affected Departmental elements will negotiate and attempt to agree on a position.

Day 32

The senior management team should meet a second time for the purpose of arriving at an agency position.

If the Senior Team Agrees On An Agency Position

Day 35

With the assistance of the Issue Lead, the Responsible Manager prepares and delivers the response to the affected Departmental elements for concurrence. Response team members and points of contact should assist in acquiring the appropriate concurrence within their respective organizations.

Day 38

The Responsible Manager will submit the response to the cognizant Secretarial Officer for approval and ensure that it is delivered to Executive Secretariat for processing.

Day 45

Secretary approves the response to the Board. This completes the response actions. Follow-up actions are described at the end of this attachment.

In Rare Cases When The Senior Team Still Does Not Agree On An Agency Position

Day 33

The Departmental Representative should contact the Executive Secretariat to advise of the need to escalate the response for Departmental senior management decision. The senior management team should brief the Deputy Secretary on the remaining material facts preventing development of a unified Departmental position. The Deputy Secretary will then render a decision.

Day 36

In extraordinary cases requiring the Secretary's participation to achieve consensus, the Deputy Secretary should brief the Secretary on the material facts preventing development of a unified Departmental position. The Assistant Secretary for Environment, Safety and Health, the cognizant Secretarial Officer, and the Departmental Representative should support this briefing, as appropriate. The Secretary will then render a decision.

Day 39

The cognizant Secretarial Officer prepares the response and delivers the response to the Executive Secretariat for processing.

Day 45

Secretary approves the response to the Board. This completes the response actions. Follow-up actions are described below.

Follow-up Actions

These follow-up actions described below should be taken based on the response:

1. If the response accepts all or part of the recommendation, the Responsible Manager, supported by the Issue Lead, should complete development of the associated implementation plan (in accordance with Chapter III, paragraph 1 of this Manual).

2. If the response rejects all or part of the recommendation, the Board may revise or reaffirm its recommendation. Following receipt of the Board's response, the Responsible Manager, supported by the Issue Lead, should prepare the Department's final decision (in accordance with Chapter II, paragraph 5 of this Manual).

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