SD 251.1B, Directives Management

CONTROLLED DOCUMENT OFFICE OF PRIMARY INTEREST (OPI): AVAILABLE ONLINE AT: NNSA Directives Team https://directives.nnsa.doe.gov printed copies are uncontrolled SUPPLEMENTAL DIRECTIVE Approved: 10-26-20 Expires: 10-26-23 DIRECTIVES MANAGEMENT NATIONAL NUCLEAR SECURITY ADMINISTRATION Office of Policy and Strategic Planning NNSA SD 251.1B https://directives.nnsa.doe.gov/ THIS PAGE INTENTIONALLY LEFT BLANK NNSA SD 251.1B 1 10-26-20 DIRECTIVES MANAGEMENT 1. PURPOSE. The purpose of this Supplemental Directive (SD) is to implement Department of Energy (DOE) Order (O) 251.1D, Departmental Directives Program, and to define the formal system to set, communicate, and institutionalize directives (requirements, responsibilities, and procedures) specific to the National Nuclear Security Administration (NNSA). This SD establishes processes which describe: a. Developing, revising, certifying, and cancelling NNSA directives; b. Obtaining equivalencies or exemptions to DOE and NNSA directives; c. Interfacing with DOE’s Departmental Directives Program, processing DOE directives, and developing corporate positions on DOE directives; and d. Handling directives that have not been issued through either the DOE or NNSA formal directives processes. NNSA directives must not duplicate, contradict, delete, or be inconsistent with provisions in any statute, regulation, other NNSA directives, or DOE directives. 2. AUTHORITY. a. NNSA’s directive program is established pursuant to 50 United States Code (U.S.C.) 2402(d). This law gives the Administrator authority to establish NNSA-specific policies, unless disapproved by the Secretary. b. DOE Order 251.1D authorizes headquarters organizations to publish SDs for use by those organizations and their contractors. 3. CANCELLATIONS. NNSA SD 251.1A, Directives Management, issued 01/17/18. Cancellation of a directive does not modify or otherwise affect any contractual obligation to comply with the directive. Contractor Requirements Documents (CRDs) that have been incorporated into a contract remain in effect throughout the term of the contract until the contract or regulatory commitment is modified to either eliminate outdated requirements or substitute new requirements. 2 NNSA SD 251.1B 10-26-20 4. APPLICABILITY. a. Federal. This SD applies to all NNSA federal organizations. b. Contractors. The CRD, provided as Attachments 1-3, sets forth requirements of this directive that apply to contractors. The CRD must be included in contracts of Management and Operating (M&O) contractors performing work for NNSA. c. Equivalencies/Exemptions: Equivalency: In accordance with the responsibilities and authorities assigned by Executive Order 12344, codified at 50 U.S.C. sections 2406 and 2511, and to ensure consistency throughout 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. Exemptions: None. 5. SUMMARY OF CHANGES. a. Changes the Office of Primary Interest (OPI) responsible for this SD to the Office of Policy and Strategic Planning. b. Expands applicability of Advance Change Directives (ACDs) to contractors. c. Made administrative changes.

6. BACKGROUND. NNSA directives [SDs, Policies (NAPs), ACDs, and Business Operating Procedures (BOPs)] establish, communicate, and institutionalize mandatory policies, requirements, responsibilities, and procedures specific to NNSA federal organizations. SDs, NAPs, and ACDs can apply to contractors through Contractor Requirements Documents. Standard Operating Procedures (SOPs) document internal work processes for federal employees within a single NNSA organization and are mandatory within the organization for which the SOPs are written. See Appendix A, Types of NNSA Directives, for additional information. 7. REQUIREMENTS. a. General. The types of directives defined in Appendix A must be used as NNSA’s primary means to establish, communicate, and institutionalize policies, NNSA SD 251.1B 3 10-26-20 requirements, responsibilities, and procedures affecting multiple NNSA organizations. The requirements for developing or revising NNSA directives in Appendix B must be followed. The requirements for writing Standard Operating Procedures in Appendix C must be followed. The requirements for performing Administrative Changes in Appendix D must be followed. The requirements for developing an Advance Change Directive in Appendix E must be followed. The requirements for certifying an NNSA directive in Appendix F must be followed. The requirements for cancelling an NNSA directive in Appendix G must be followed. Directives must not duplicate, contradict, delete, or be inconsistent with provisions in any statute, regulation, other NNSA directives, or DOE directives. The requirements in this SD must take precedence over all other NNSA directives with respect to the development, approval, revision, or cancellation of directives. Directives must be written using the standardized format and content provided on the Directives website (see Directives website link in Appendix K). Directives must be written to specify requirements without mandating the way to fulfill them; the emphasis of the requirements must be placed on the desired results whenever possible. In instances where the directive must specify the way to fulfill requirements (e.g., to provide adequate protection to workers, the public, or the environment) processes must be documented as attachments, or as stand-alone BOPs when a corresponding SD or NAP does not exist. SDs, NAPs, ACDs, and BOPs must trace to parent requirements defined in laws, regulations, DOE Orders, Memoranda of Understanding (MOU), or Interagency Agreements (IAs), with the exception of requirements established by the Administrator under the authorities provided by the NNSA Act. Traceability must be documented in the Authorities section of the directive. 4 NNSA SD 251.1B 10-26-20 All requirements for contractors must be provided in a CRD. The CRD must contain all requirements that apply to the contractor and must not refer contractors back to the SD, NAP, or ACD. Directives must be reviewed every 3 years to confirm relevancy and accuracy (see Appendix F). The annual schedule listing directives requiring review can be found on the Directives website (see the Directives website link in Appendix K). Unauthorized directives must be reported to the NNSA Directives Team, Office of Policy and Strategic Planning. The NNSA Directives Team will initiate the decision process described in Attachment 2. b. Implementation of NNSA Directives.

Requirements in new or revised directives must begin upon issuance within federal organizations, unless otherwise stated in the directive. CRDs attached to NNSA directives must be incorporated into the appropriate contract(s) by the cognizant Contracting Officer(s) in accordance with Department of Energy Acquisition Regulation (DEAR) clause 970.5204-2, Laws, Regulations, and DOE Directives, (Dec. 2000). Equivalencies must be requested, when appropriate, to substitute an alternative process for implementing a requirement (see Attachment 3). Exemptions must be requested when not implementing a requirement (see Attachment 3). 8. RESPONSIBILITIES. a. Administrator. Approves or cancels SDs, NAPs, and ACDs. Approves equivalencies and exemptions unless the directive identifies an approval authority. b. Principal Deputy Administrator. Through the Management Council, renders decisions on impasse issues related to directives that cannot be resolved by the Authorizing Officials of the Office of Primary Interest and NNSA organizations. NNSA SD 251.1B 5 10-26-20 c. Chief of Staff. Determines if an unauthorized policy should be converted to an NNSA directive or rescinded. d. Management Council. Discusses impasse issues and recommends resolutions to the Chair of the Management Council (Principal Deputy Administrator). e. Head of NNSA Element. The responsibilities below cannot be delegated: Serves as the Authorizing Official (AO) of the NNSA Element. Approves organization’s major comments. Represents the organization’s position when impasses occur. Provides resources to draft, revise, or comment on directives within prescribed timeframes. Implements new or revised directives. Co-signs memoranda with the Director, Office of Policy and Strategic Planning, requesting approval from the Administrator to publish SDs, NAPs, and ACDs for which the AO is the OPI. Approves the creation, revision, and cancellation of BOPs. The AO responsibilities below can be delegated to a senior-level direct report to either the AO or the (e.g., Chief of Staff, Executive Director, Executive Officer). Initiates development or revision of directives for which the organization is responsible in accordance with the requirements in Appendix B. Approves the draft directive before the formal review process is initiated. Appoints primary and alternate Authorization Coordinators (ACs) capable of representing the interests of the organization. Approves subject matter experts proposed by the AC to comment on directives prepared by other NNSA and DOE organizations. Authorizes the AC to transmit the organization’s comments. 6 NNSA SD 251.1B 10-26-20 f. Director, Office of Policy and Strategic Planning (NA-1.1). Provides executive-level leadership to, and oversight of, NNSA’s system for documenting directives unique to NNSA. Provides executive-level leadership to, and oversight of, the DOE directive development process for NNSA. Establishes policy for developing, revising, and processing NNSA directives. Cosigns memoranda with the Office of Primary Interest’s AO requesting approval from the Administrator to publish SDs, NAPs, and ACDs. g. NNSA Directives Program Manager, NA-1.1 (1) General. Approves administrative changes to SDs, NAPs, and BOPs. Serves as the subject matter expert (SME) on DOE and NNSA directive development for the NNSA nuclear security enterprise. Determines when a submitted policy document is an SD, NAP, ACD, BOP, or SOP.

Manages all aspects of NNSA’s system for documenting directives. Establishes procedures for developing, revising, and processing NNSA directives. Manages an automated, electronic tool (RevCom) for coordinating the review and comment process on directives throughout the nuclear security enterprise. Determines the type of revision needed (major revision or administrative change) when existing directives require updating. Coordinates review of draft NNSA directives with DOE, the Defense Nuclear Facilities Safety Board Representative, and NNSA’s Central Technical Authority. Initiates and manages the impasse process for resolving major comments. Initiates and manages the process for converting unauthorized directives to NNSA directives, when appropriate. NNSA SD 251.1B 7 10-26-20 Maintains NNSA’s official directives records. Provides training to AOs and ACs. Executes responsibilities assigned in SD 410.1A, Implementation of National Nuclear Security Administration Central Technical Authority Responsibilities Regarding Nuclear Safety Requirements, Chapter 1, Section 5 “NNSA Headquarters Directives Point of Contact,” or successor document. Executes responsibilities assigned in SD 450.2 Admin Change 1, Functions, Responsibilities, and Authorities (FRA) Document for Safety Management, Section 5, “Change Control,” or successor document. Manages the DOE Directives development process for NNSA. Manages the process to obtain equivalencies and exemptions to NNSA and DOE directives (see Attachment 3). h. Office of Primary Interest (OPI). Consults with the NNSA Directives Team to determine the type of proposed changes (major revision or administrative change) when updating existing directives. Adheres to the prescribed formats when developing or revising directives. Assembles and chairs the writing team. Grants extensions for draft directives during the review and comment period at the request of the NNSA Directives Team. Completes directives on schedule. Documents the basis for resolution of all major comments. Notifies the NNSA Directives Team when an impasse occurs. Works with the NNSA Office of General Counsel and the NNSA Office of Acquisition and Project Management to develop CRDs for NNSA contractors, when necessary. Reviews directives every 3 years to verify continuing relevance or determine what action (i.e., certification, revision, or cancellation) is necessary (see Appendixes F and G). 8 NNSA SD 251.1B 10-26-20 Executes responsibilities in Attachment 2 (Unauthorized Directives) when necessary. i. Authorization Coordinator (AC). Acknowledges responsibilities by signing the appointment memorandum issued by the AO. Completes required directives training. Serves as the organization’s administrative liaison to the NNSA Directives Team on directives issues. In consultation with the AO or AO Delegate, assigns SMEs to review draft directives. Disseminates draft directives; sets internal deadlines for receiving SME comments. Solicits comments on draft directives from SMEs. Requests due date extensions from the NNSA Directives Team when needed. Reviews SME’s comments for clarity and relativity to the directive and checks that each comment is labeled as major or suggested. Downgrades major comments that do not meet the major comment definition. Informs the SME of the change; refers disagreements with the SME to the AO or AO Delegate for decision.

Refers conflicting comments to the AO or AO Delegate for determining the organization’s official position. Obtains approval of major comments from the AO prior to transmission. Transmits the organization’s approved comments in RevCom by the established deadline. j. Subject Matter Expert (SME). Reviews assigned directives; drafts comments for inclusion in the organization’s official comment package. Proposes language to resolve concerns raised in major comments. mailto:NNSADirectives@nnsa.doe.gov NNSA SD 251.1B Attachment 1 10-26-20 AT1-1 ATTACHMENT 1: CONTRACTOR REQUIREMENTS DOCUMENT SD 251.1A, DIRECTIVES MANAGEMENT 1. INTRODUCTION. This Contractor Requirements Document (CRD) establishes the requirements for National Nuclear Security Administration (NNSA) Management and Operating (M&O) contractors for commenting on NNSA and Department of Energy (DOE) directives and reporting unauthorized directives. M&O contractors are responsible for complying with the requirements of this CRD and for flowing down the requirements of this CRD to subcontractors at any level, to the extent necessary, to certify the contractor’s compliance with the requirements. 2. REQUIREMENTS. a. Commenting on NNSA Directives. M&O contractors must review and comment on the CRD attached to any NNSA directive that applies to contractors. Comments must be limited to the CRD; comments will not be accepted on the body of the directive (Supplemental Directive, NNSA Policy, or Advance Change Directive). Major comments must describe the issue, reason for the major issue, and proposed resolution (i.e., the rationale for concerns raised and suggestions for addressing those concerns). Comments must be sent to the NNSA Directives Team, Office of Policy and Strategic Planning (NA-1.1). b. Commenting on DOE Directives. M&O contractors must review and comment on the entire body of DOE directives. Major comments must describe the issue, reason for the major issue, and proposed resolution (i.e., the rationale for concerns raised and suggestions for addressing those concerns). Comments must be sent to the NNSA Directives Team. c. Unauthorized Directives. See Attachment 2. Attachment 1 NNSA SD 251.1B AT1-2 10-26-20 3. RESPONSIBILITIES. a. Authorizing Official (AO). Responsibilities that cannot be delegated: Approves organization’s major comments on NNSA CRDs and DOE directives. Represents the organization’s position when impasses occur. Provides resources to comment on NNSA CRDs and DOE directives within prescribed timeframes. Implements new or revised directives. Responsibilities that can be delegated to a senior-level direct report to either the AO or the AO’s Deputy (e.g., Chief of Staff, Executive Director, Executive Officer). Appoints primary and alternate Authorization Coordinators (ACs) capable of representing the interests of the organization. Approves subject matter experts proposed by the AC to comment on NNSA CRDs and DOE directives. Authorizes the AC to transmit the organization’s comments. Authorizes the AC to transmit the organization’s recommendations for DOE directives actions. b. Authorization Coordinator (AC). Acknowledges responsibilities by signing the appointment memorandum issued by the AO. Completes required directives training. Serves as the organization’s liaison to the NNSA Directives Team on directives issues. Assigns subject matter experts (SMEs) to review draft directives, in consultation with the AO or AO Delegate.

Disseminates draft directives. Establishes the deadline for receiving SMEs’ comments. Solicits comments on draft directives from SMEs. NNSA SD 251.1B Attachment 1 10-26-20 AT1-3 Obtains due date extensions from the NNSA Directives Team, when needed. Reviews SMEs’ comments for clarity and relativity to the directive and checks that each comment is labeled as major or suggested. Downgrades major comments that do not meet the major comment definition. Informs the SMEs of the change; refers disagreements with SMEs to the AO or AO Delegate. Refers conflicting comments to the AO or AO Delegate for decision. Obtains the AO’s approval of major comments before transmitting the organization’s comments. The AO’s approval must be documented in RevCom. If this step is not completed, the organization’s comments will not be accepted. Transmits organization’s approved comments in RevCom. c. Subject Matter Expert (SME). Reviews the NNSA CRD or DOE directive assigned; drafts comments for inclusion in the organization’s official comment package. Proposes language to resolve concerns raised in major comments. Provides comments to the AC. NNSA SD 251.1B Attachment 2 10-26-20 AT2-1 ATTACHMENT 2: UNAUTHORIZED DOE AND NNSA DIRECTIVES Note: This attachment applies to NNSA contractor and federal organizations. 1. BACKGROUND. Unauthorized directives are documents that apply recurring or long- term requirements to NNSA federal or contractor organizations that have not been reviewed and issued through the DOE or NNSA formal directives processes (e.g., emails and memos, etc.). Unauthorized directives do not include communications from Contracting Officers and Contracting Officer’s Representatives to contractors or to communications from DOE or NNSA attorneys. Unauthorized directives also do not include documents that provide direction for individual or short-term tasks. 2. REQUIREMENTS. a. Federal and contractor organizations must send unauthorized NNSA- and DOE- originated directives to the NNSA Directives Team, Office of Policy and Strategic Planning for action. b. Unauthorized NNSA-originated directives approved for retention must complete the process described in Section 4.c. below. 3. RESPONSIBILITIES. a. NNSA Directives Team, Office of Policy and Strategic Planning. Forwards unauthorized DOE-originated directives to DOE’s Departmental Directives Program. Executes responsibilities defined in Section 8.h. (Responsibilities), as required. b. NNSA Chief of Staff. Determines if an NNSA-originated unauthorized directive should be converted to a directive or rescinded. c. NNSA Office of Primary Interest (OPI). Rescinds or converts the unauthorized directive. Executes responsibilities described in Section 8.i. (Responsibilities) as required. 4. PROCESS. a. Federal and contractor organizations must send unauthorized NNSA- and DOE- originated directives to the NNSA Directives Team via one of the following options: Email to the NNSA Directives Mailbox; or mailto:NNSADirectives@nnsa.doe.gov Attachment 2 NNSA SD 251.1B AT2-2 10-26-20 Mail anonymously to: U.S. Department of Energy/NNSA 1000 Independence Avenue, SW Office of Policy and Strategic Planning, NA-1.1 NNSA Directives Team Washington, DC 20585 b. The NNSA Directives Team forwards unauthorized DOE-originated directives to DOE’s Departmental Directives Program for action. c. Disposition of NNSA-originated unauthorized directives:

The NNSA Directives Team notifies NNSA’s Chief of Staff when an unauthorized NNSA directive is identified. The Chief of Staff consults with the Authorizing Official whose organization issued the unauthorized directive, and determines whether to convert to an NNSA directive or rescind. If the determination is to convert into a directive, the AO has 10 days to convert the unauthorized directive into an ACD or 60 days to convert the unauthorized directive into an official directive. NNSA SD 251.1B Attachment 3 10-26-20 AT3-1 ATTACHMENT 3: EQUIVALENCIES AND EXEMPTIONS FOR NNSA AND DOE DIRECTIVES Note: This attachment applies to NNSA contractor and federal organizations. 1. BACKGROUND. An equivalency is a proposed alternative to meeting a requirement in a directive; it is a proposed alternative approach to achieving the goal of the directive. An exemption is the release from one or more requirements in a directive. This attachment describes the process for requesting equivalencies and exemptions when a Department of Energy (DOE) or National Nuclear Security Administration (NNSA) directive [Supplemental Directive (SD), Policy, Advance Change Directive and Business Operating Procedure] does not assign approving authority. When a DOE or NNSA directive assigns a process for granting an equivalency or exemption, that process must be followed. If the directive is silent on granting an equivalency or exemption, the process described below, where the Administrator is the approving authority, must be followed. 2. REQUIREMENTS. a. Equivalencies and exemptions must not be used to circumvent decisions reached by the Secretary, Deputy Secretary, Administrator, or the other Under Secretaries. b. Exemptions or equivalencies must: Be consistent with laws and regulations; Provide adequate protection of the public, workers, and the environment; and, Remain consistent with the primary goal and purpose of the directive. c. The process in Section 4 must be followed to request exemptions and equivalencies to DOE and NNSA directives unless otherwise specified in the directive. 3. RESPONSIBILITIES. a. Under Secretary for Nuclear Security; Administrator, NNSA. Approves exemptions and equivalencies to DOE directives for NNSA, unless the DOE directive otherwise specifies approval authority. Approves exemptions and equivalencies to NNSA directives unless the NNSA directive otherwise specifies approval authority. Attachment 3 NNSA SD 251.1B AT3-2 10-26-20 b. Authorizing Official (AO) of NNSA Office of Primary Interest (OPI) (NNSA Directives). Concurs or non-concurs on exemptions and equivalencies for NNSA directives. c. AO of NNSA Functional Organization (DOE Directives). Concurs or non- concurs on exemptions and equivalencies for DOE directives. d. AO of NNSA Organization Requesting the Equivalency or Exemption. Initiates the request for, and obtains approval of, exemptions or equivalencies. e. Field Office Manager. Recommends if contractor requests to obtain equivalencies or exemptions should be granted or denied. f. Central Technical Authority (CTA). Concurs or non-concurs on exemptions and equivalencies as required by NNSA SD 410.1, Implementation of National Nuclear Security Administration Central Technical Authority Responsibilities Regarding Nuclear Safety Requirements. g. NNSA Directives Program Manager, Office of Policy and Strategic Planning. Forwards approvals of exemptions or equivalencies to DOE directives to DOE’s Departmental Directives Program.

Executes responsibilities defined in Section 8.h. (Responsibilities), as required. 4. PROCESS. a. Use the templates for exemption and equivalency memoranda (see the Directives website link in Appendix K). b. The NNSA organization proposing the exemption or equivalency produces a memorandum documenting the basis for the exemption or equivalency that must: Identify the requirement(s) for which the equivalency or exemption is being sought; Explain the equivalency or exemption; Identify the offices or sites for which the equivalency or exemption is being sought; Justify the reason(s) for the equivalency or exemption; Explain why the equivalency or exemption is adequate and in the best interests of the Government; NNSA SD 251.1B Attachment 3 10-26-20 AT3-3 Discuss any increase in risk to health, safety, environment, or security; In the case of an exemption, describe any mitigating actions that have been, or will be, taken to provide adequate protection of the public, workers, and the environment for the period during which the exemption will be effective; In the case of an equivalency, indicate when compliance will be achieved; and, Confirm applicable laws or regulations are not violated. c. Contractor organizations requesting an exemption or equivalency for DOE and NNSA directives obtain the responsible Field Office Manager’s recommendation if the equivalency or exemption should be granted. d. The NNSA organization proposing an exemption or equivalency for an NNSA directive obtains the concurrence of the NNSA OPI AO, NNSA General Counsel, and the NNSA CTA (when required). e. The NNSA organization proposing the exemption or equivalency for a DOE directive consults with the DOE OPI and the DOE General Counsel and obtains concurrence of the NNSA Functional AO and the NNSA CTA (when required). Obtaining concurrence from the DOE OPI AO and the DOE General Counsel is not necessary (DOE O 251.1D, Departmental Directives Program, Appendix E). f. If concurrence within NNSA cannot be obtained, the impasse process described in Section 4.j. is used. g. The requesting organization and the NNSA Directives Team collaborate to write the memorandum that transmits the equivalency or exemption request for approval (see the Directives website link in Appendix K). h. NNSA Directives Team: Assembles the signature package, which includes the transmittal memorandum, the equivalency or exemption memorandum, the Field Office Manager’s recommendation (when appropriate), the directive, and any additional background documentation required. For equivalencies and exemptions approved by the Administrator for DOE and NNSA directives: Obtains concurrences from the NNSA Functional AO and the NNSA CTA (when required) on the signature package. Attachment 3 NNSA SD 251.1B AT3-4 10-26-20 Obtains the signature of the requesting organization’s AO on the transmittal memo to the Administrator. Delivers the signature package to NNSA’s Executive Secretariat for transmittal to the Administrator. After the Executive Secretariat returns the package, notifies the NNSA OPI, Functional Organization, the requesting organization, and the CTA (when required) that the exemption or equivalency has been approved or denied. Forwards approvals of exemptions or equivalencies for DOE directives to the Departmental Directives Program and provides copies to the requesting organization and the NNSA Functional Organization. Proceed to step (3)(d).

For equivalencies and exemptions approved by the NNSA OPI AO: Obtains concurrence from the NNSA CTA, when required. Obtains the signature of the requesting organization’s AO on the transmittal memo to the OPI AO. Delivers the signature package to the OPI AO for approval. Processes an administrative change (see Appendix D) to add the equivalency or exemption to the directive. Posts the approval memorandum and the revised directive on the Directives website. Notifies all Authorizing Officials, AO Delegates, and Authorization Coordinators that the memorandum and directive are available on the Directives website. i. When an NNSA or DOE directive for which NNSA is the OPI is revised, the OPI must consult with the requesting organizations to determine if existing exemptions or equivalencies should remain in the directive. If an equivalency or exemption is still valid, the OPI updates the equivalency and exemption section when revising the directive. j. Impasse Process for Equivalencies and Exemptions (if needed). The organization requesting the exemption or equivalency notifies the NNSA Directives Team that agreement cannot be reached with the NNSA OPI AO, NNSA Functional AO, or the CTA (when required). NNSA SD 251.1B Attachment 3 10-26-20 AT3-5 The requesting organization, NNSA Directives Team, OPI or Functional Organization, and the responsible Field Office (when appropriate) collaborate to prepare a brief summary of the impasse issues. The NNSA Directives Team requests a meeting with the Principal Deputy Administrator and the AOs of the OPI or NNSA Functional organization, the requesting organization, responsible Field Office Manager (when appropriate), and the CTA (if required). The NNSA Directives Team sends the summary and the memorandum requesting the equivalency or exemption to the Principal Deputy Administrator’s office prior to the meeting. The requesting organization and the NNSA Directives Team collaborate to develop a record of decision, which documents the results of the meeting with the Principal Deputy Administrator. The NNSA Directives Team provides a copy of the record of decision to the OPI or Functional Organization, the requesting organization, the Field Office Manager (when appropriate), and the CTA (when required). NNSA SD 251.1B Appendix A 10-26-20 APA-1 APPENDIX A: TYPES OF NNSA DIRECTIVES 1. BACKGROUND. National Nuclear Security Administration (NNSA) directives consist of Supplemental Directives (SDs), Policies (NAPs), Advance Change Directives (ACDs), and Business Operating Procedures (BOPs). Directives are used to establish, communicate, and institutionalize policies, requirements, responsibilities, and procedures specific to NNSA federal organizations and Management and Operating (M&O) contractors. SDs, NAPs, ACDs, and BOPs are mandatory, carry equal weight, and affect more than one NNSA organization. Standard Operating Procedures (SOPs) document internal work processes within a single NNSA organization. SOPs are often referred to as process descriptions, office procedures, work instructions, procedural notes, etc. SOPs are used within individual organizations. The processes for developing NNSA directives are covered in this SD’s Appendix B (SDs, NAPs, BOPs) and Appendix E (ACDs). A flowchart depicting the decision process of selecting between an SD, NAP, ACD, BOP, or SOP follows this appendix. 2. REQUIREMENTS. a. General.

NNSA directives must not duplicate, contradict, delete, or be inconsistent with provisions in any statute, regulation, other NNSA directives, or DOE directives. SDs, NAPs, ACDs, and BOPs apply to two or more NNSA federal organizations. SDs, NAPs, and BOPs must be reviewed by the OPI every 3 years to determine continued relevance or if revision or cancellation is necessary (see Appendix F, Certification of NNSA Directives or Appendix G, Cancellation of NNSA Directives). b. Supplemental Directive (SD): Is signed by the Administrator. Augments policies, requirements, and responsibilities covered in a DOE directive or technical standard. Tailors requirements and responsibilities to NNSA. (NNSA can add requirements and responsibilities without DOE approval. If lessening requirements, the process in Attachment 3 must be followed before initiating DOE’s equivalency and exemption process.) Appendix A NNSA SD 251.1B APA-2 10-26-20 Traces to parent requirements in DOE directives or technical standards. In addition, may also trace to requirements in laws, regulations, Memoranda of Understanding (MOU), or Interagency Agreements (IAs). Addresses requirements or requirements and the process for accomplishing those requirements. It is suggested that flowcharts be included as an appendix for process descriptions. Applies requirements and responsibilities to M&O contractor organizations through an attachment [Contractor Requirements Document (CRD)] that is placed on the M&O contract. c. NNSA Policy (NAP): Is signed by the Administrator. Establishes policies, requirements, and responsibilities unique to NNSA that are traceable to parent requirements in laws, regulations, MOUs, or IAs, with the exception of requirements established by the Administrator under the authorities provided by the NNSA Act. Focuses on a subject area not covered by a DOE directive or technical standard. Addresses requirements or requirements and the process for accomplishing those requirements. It is suggested that flowcharts be included as an appendix for process descriptions. Applies requirements and responsibilities to M&O contractor organizations through an attachment (CRD) that is placed on the M&O contract. d. Advance Change Directive (ACD): Is signed by the Administrator. Issues policy of a continuing nature affecting two or more NNSA organizations. Conveys urgent direction needed to meet statutory, regulatory, or programmatic requirements, or deadlines. Disseminates policy in a shorter timeframe than it takes to write, review, and approve an NNSA directive. Applies requirements and responsibilities to M&O contractor organizations through a CRD. NNSA SD 251.1B Appendix A 10-26-20 APA-3 Expires upon the effective date of the permanent directive or 12 months after the effective date of the ACD, whichever is earlier. e. Business Operating Procedure (BOP): Is signed by the OPI’s Head of Element/Authorizing Official in the programmatic, functional, or field areas issuing the BOP. Addresses a process to accomplish requirements in subject areas not covered by an SD or NAP. Establishes business procedures that are traceable to a law, regulation, MOU, or IA, with the exception of requirements established by the Administrator under the authorities provided by the NNSA Act. It is suggested that flowcharts be included as an appendix. f. Standard Operating Procedure (SOP): Cannot be used to circumvent the equivalency and exemption process.

Establishes business procedures that apply to a single NNSA federal organization. Addresses a process within a single NNSA federal organization. Is approved by the program, functional, or field manager at the lowest level possible within an organization. Appendix A NNSA SD 251.1B APA-4 10-26-20 Appendix A – Directives Decision Process N N S A D ir e c ti v e s T e a m O P I Start Establishes requirements and responsibilities unique to NNSA? Policy document not needed Applies to only a single NNSA organization? Conveys urgently needed direction? Subject area is covered by a DOE Directive or tech std? Addresses only requirements or requirements and process? Addresses: requirements and process, only requirements, or only process? Develop an organization- specific SOP Develop an Advance Change Directive Develop an SD with an appendix Develop an SD Develop a NAP with an appendix Develop a BOP Develop a NAP requirements No requirements and process requirements process requirements and process Yes No No No Yes Yes NNSA SD 251.1B Appendix B 10-26-20 APB-1 APPENDIX B: DEVELOPMENT OR REVISION OF NNSA DIRECTIVES (SDs, NAPs, BOPs) 1. BACKGROUND. National Nuclear Security Administration (NNSA) directives consist of Supplemental Directives (SDs), Policies (NAPs), Advance Change Directives (ACDs), and Business Operating Procedures (BOPs). Directives are used to establish, communicate, and institutionalize policies, requirements, responsibilities, and procedures specific to NNSA federal organizations and contractors. SDs, NAPs, and BOPs are mandatory, carry equal weight, and affect more than one NNSA organization. Although each of these directives has different levels of approval, all have the same review and comment process described in this appendix. ACDs are also mandatory; carry the same weight as an SD, NAP, or BOP; and affect more than one NNSA organization. Appendix E describes the process for developing an ACD. High level flowcharts depicting the processes described herein follow this appendix. 2. REQUIREMENTS. a. The process described in Appendix D must be followed when administrative changes are made to SDs, NAPs, and BOPs. b. NAPs and BOPs must be numbered according to Department of Energy’s (DOE) numbering system as described in the Crosswalk of Directives Numbering System (see the Directives website link in Appendix K). SDs must be numbered according to the DOE Order being supplemented. c. SDs, NAPs, ACDs, and BOPs must trace to parent requirements defined in laws, regulations, DOE Orders, Memoranda of Understanding, or Interagency Agreements, with the exception of requirements established by the Administrator under the authorities provided by the NNSA Act. d. SDs and NAPs that impose requirements on contractors must contain a Contractor Requirements Document (CRD) as Attachment 1 to the directive. ACDs apply requirements and responsibilities to M&O contractor organizations through the applicability statement and attaching the ACD to the M&O contract. e. The following Naval Reactors equivalency must be added to all NNSA directives: 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 throughout the joint Navy/DOE Naval Nuclear Propulsion Program, the Deputy Administrator for Naval Reactors (Director) will implement and oversee requirements and practices

Appendix B NNSA SD 251.1B APB-2 10-26-20 pertaining to this directive for activities under the Director's cognizance, as deemed appropriate. 3. PROCESS. a. Development of Review and Comment Draft. OPI consults with the NNSA Directives Team, Office of Policy and Strategic Planning, after the need to develop or revise a directive is identified. NNSA Directives Team: Confirms there is no overlap or conflict with existing directives; Determines whether the proposed directive is an SD, NAP, ACD, or BOP; and Determines if the proposed revision of an existing directive is administrative in nature. 1 Administrative changes (e.g., typographical errors, organizational name changes, reference changes, and the addition of minimal content, as determined by the NNSA Directives Program Manager) do not alter the directive’s requirements or responsibilities and do not need to be distributed for review (see Appendix D). 2 Non-administrative changes must be distributed for full review because changes alter the directive’s requirements or responsibilities or add substantial content. This process is described in the steps below. OPI must establish a writing team: Exemptions to the writing team requirement can be requested from the NNSA Directives Team. The writing team is chaired by the OPI. Writing team members must represent a cross-section of subject matter experts (SMEs) and senior management with representatives from at least half of the program offices affected, one field office employee, and the appropriate NNSA counsel. Contractor subject matter experts (SMEs) may be part of the writing team at the discretion of the OPI, but must not be involved in final policy decisions. NNSA SD 251.1B Appendix B 10-26-20 APB-3 The OPI must consult with NNSA Directives Team to refine the initial draft of the directive. The OPI sends the following items to the NNSA Directives Mailbox for review when the OPI and NNSA Directives Team agree that the draft is ready for distribution: Microsoft Word file of the draft directive, including appropriate attachments, appendixes, etc. Justification for creating the directive. The justification must include statutory or other drivers, identify any known significant costs, and list the organizations and individuals that were involved in the directive’s development. Approval from the OPI’s Authorizing Official (AO) that the draft is ready to be distributed for review. b. Review and Comment. The NNSA Directives Team establishes the due date for receiving comments. The draft is distributed via RevCom to NNSA’s AOs, AO Delegates, and Authorization Coordinators (ACs), the Department’s Representative to the Defense Nuclear Facilities Safety Board (DNFSB), and the NNSA Central Technical Authority (CTA). SDs, NAPs, and ACDs are also distributed to DOE for review. ACs and the respective AO or AO Delegate must identify SMEs within the organization to review the draft directive. ACs and the AOs or AO Delegates have discretion to ask M&O contractor SMEs to review the entire body of a directive. Contractor- originated comments that are accepted by AOs must be entered and defended by the federal organizations. ACs distribute the draft directive to SMEs for review and comment. SMEs provide comments by the due date set by the AC. If needed, ACs can request a due date extension from the NNSA Directives Team via the NNSA Directives Mailbox. SMEs must categorize comments as either major or suggested.

SMEs must contact the OPI to clarify any questions the SMEs have related to potential major comments. mailto:NNSADirectives@nnsa.doe.gov mailto:NNSADirectives@nnsa.doe.gov Appendix B NNSA SD 251.1B APB-4 10-26-20 Major comments from SMEs must contain the following information: a description of the issue, reason for the major issue, and proposed resolution (i.e., the rationale for concerns raised and suggestions for addressing those concerns). ACs must review SMEs’ comments for clarity and relativity to the directive and must also check that each comment is labeled as major or suggested. When SMEs’ comments do not meet the definition of a major comment, the AC must change the comment to suggested. When comments are changed, the AC must inform the SME. If the SME disagrees with the change, the issue is raised to the AO or AO Delegate for decision. ACs must obtain approval from the AO before transmitting the organization’s official comments. The AO’s approval must be documented in RevCom. If this step is not completed, the organization’s comments will not be accepted. c. Comment Resolution. The NNSA Directives Team must return major comments from SMEs which do not contain the justification information required in the Review and Comment Section to the SME and the SME’s AO, AO Delegate, and AC for action. The OPI is not obligated to address the SME’s major comments if the comments are re-sent without the required information. The OPI reviews the comments received from all NNSA organizations. The OPI must respond to major comments that include language to improve the directive. The OPI must address suggested comments in one of the following ways: Note: Classified directives must not be entered into RevCom or be transmitted by unclassified email systems. Classified directives must be distributed as paper copies that are marked and controlled, or transmitted through classified email systems. The NNSA Directives Team instructs the intended recipients on securing a copy of the draft when it cannot be transmitted through or posted on classified messaging or collaborative portal systems. The OPI can post an unclassified version of the directive in RevCom. NNSA SD 251.1B Appendix B 10-26-20 APB-5 Accept the comment without change, Accept the comment with modification, or Reject the comment. The OPI is not obligated to obtain the SME’s concurrence on the resolution of suggested comments. The OPI must address major comments in one of the following ways: Accept the comment without change, Accept the comment with modification, or Reject the comment. In the latter two cases, the OPI must obtain concurrence from the SME. The OPI must document in RevCom the SME’s concurrence on the resolution of major comments. Proceed to the Post-Comment Resolution Review section (10) after major comments have been resolved to the satisfaction of both the OPI and SME. Proceed to the Impasse Process section below if major comments cannot be resolved. Impasse Process for Comment Resolution (if needed). The NNSA Directives Team facilitates discussions between the OPI and the SME when a major comment cannot be resolved. If this effort fails, the NNSA Directives Team facilitates a meeting between the OPI’s Office Director and the SME’s Office Director. If resolution cannot be achieved at the Office Director level, the NNSA Directives Team elevates discussions up the OPI’s and SME’s executive management chains until agreement is achieved. Elevating discussions continues until the disagreement reaches the OPI’s and SME’s AO.

In the event that the AOs cannot reach resolution, the impasse is elevated to the Management Council for discussion and decision by the Principal Deputy Administrator (as chair of the Management Council). Appendix B NNSA SD 251.1B APB-6 10-26-20 The OPI collaborates with the NNSA Directives Team to prepare a brief summary of the impasse that describes the OPI’s and SME’s positions; the summary must be signed by the OPI’s AO. The OPI must also obtain concurrence from the SME’s AO on the summary. The NNSA Directives Team requests a meeting with the Management Council for the OPI’s and SME’s AOs. The OPI sends the summary and any required paperwork to the NNSA Directives Team for transmittal to the Management Council prior to the meeting. The OPI collaborates with the NNSA Directives Team to develop a record of decision (a simple memo to file) which documents the Management Council’s discussion and the Principal Deputy Administrator’s decision. The NNSA Directives Team provides a copy of the record of decision to the SME’s AO, AO Delegate, AC, and the SME. The OPI revises the directive to reflect the record of decision. Post-Comment Resolution Review (Concurrence Review) The NNSA Directives Team determines, in consultation with the OPI, if changes made to the directive resulting from the comment resolution stage were administrative or substantive in nature. Proceed to Appendix D when the changes are administrative. The directive is distributed via RevCom to each NNSA organization’s AC, AO, and AO Delegate for a concurrence review if significant changes were made to the directive to address comments received. The review period is 2 weeks; only major comments will be accepted. Return to the Review and Comment and Comment Resolution sections. d. Development of the Final Draft. After the comment resolution step and the impasse step (if needed) are complete, the OPI sends the following documents to the NNSA Directives Mailbox: Comment resolution matrix from RevCom, which documents the resolution of major comments. Documentation confirming SMEs concurred on how major comments were resolved. mailto:NNSADirectives@nnsa.doe.gov mailto:NNSADirectives@nnsa.doe.gov NNSA SD 251.1B Appendix B 10-26-20 APB-7 Redlined Microsoft Word version of the draft directive (including appropriate attachments, appendixes, etc.). Record of decision documenting the Management Council Meeting and the resulting Principal Deputy’s decision. The NNSA Directives Team reviews the documents for completeness. If any information is missing, the NNSA Directives Team works with the OPI to finalize the directive package for signature. e. Signature. SDs and NAPs: The OPI and the NNSA Directives Team collaborate to write the memo that transmits the directive to the Administrator. NNSA Directives Team: 1 Assembles the signature package, which includes the transmittal memo, a clean copy of the final draft directive, the comment resolution report, a concurrence page, and any background documentation in eDocs. 2 Obtains the signature of OPI’s AO and the Director, Office of Policy and Strategic Planning, on the transmittal memo. 3 Delivers the signature package to NNSA’s Executive Secretariat for transmittal to the Administrator. The Executive Secretariat returns the signed package to the NNSA Directives Team for processing. The NNSA Directives Team notifies the OPI that the directive has been signed and proceeds to publish the directive. The NNSA Directives Team works with the OPI to determine the path forward to address the Administrator’s concerns if the directive is not approved.

BOPs: the NNSA Directives Team obtains the signature of the responsible AO for the finalized directive. f. Publish. The NNSA Directives Team places an expiration date on the title page of the directive prior to posting it. Appendix B NNSA SD 251.1B APB-8 10-26-20 The NNSA Directives Team posts the current directive and archives the cancelled directive on the NNSA Directives website (see the Directives website link in Appendix K). The OPI and NNSA’s ACs, AOs, and AO Delegates are notified through RevCom that the directive has been published and is available on the Directives website (see the Directives website link in Appendix K). The NNSA Directives Team will inform the NNSA workforce upon directive issuance on new, revised, and cancelled directives. NNSA SD 251.1B Appendix B 10-26-20 APB-9 Appendix B – Process for New or Revised Policies A d m in is tr a to r H e a d o f N N S A E le m e n t/ A O A C N N S A D ir e c tiv e s T e a m O P I E x e c u ti v e S e c re ta ri a t Consults with NNSA Directives Team Forms writing team Works with technical writer/ editor to finalize draft Reviews package for completeness; works with OPI to complete package if necessary Distributes draft for review and comment Review and comment subprocess Comment resolution subprocess Concurrence review subprocess Prepares final documents Reviews documents and prepares signature package Is it a BOP, NAP, or SD? NAP SD Signs memo to Administrator Prepares package and carries to Administrator Approves and signs? No Are requested changes editorial? No Revises policy Yes Makes changes Takes package back to Administrator Signs policy Publishes document BOP Head of NNSA Element/AO signs BOP Development of Review and Comment Draft Review and Comment Process Comment Resolution and Concurrence Review Impasse Development of Final Draft Signature Stage Publish Stage Yes Confirms no overlap with existing directives; decides if NAP, SD, BOP; determines nature of changes Assembles review package Reviews comments and sends to OPI for comment resolution Significant changes made? Yes Draft prepared for concurrence review No Appendix B NNSA SD 251.1B APB-10 10-26-20 Appendix B – Review and Comment Subprocess A u th o ri z in g O ff ic ia l A C S M E N N S A D ir e c ti v e s T e a m Development of Review and Comment Draft Review and Comment Process Comment Resolution and Concurrence Review Impasse Development of Final Draft Signature Stage Publish Stage Establishes due date for comments Distributes directive through RevCom Identify SMEs to review directive Distributes draft within organization for review Prepares comments Reviews comments; confirms validity of comments Downgrades comments that do not meet the criteria of major Agrees with change? No Make final determination on comment label Sends all comments to AO for approval Yes Approved? Make necessary changes Submits comments through RevCom No Yes NNSA SD 251.1B Appendix B 10-26-20 APB-11 Appendix B – Comment Resolution and Impasse Sub-Process P ri n c ip a l D e p u ty A d m in is tr a to r N N S A D ir e c tiv e s T e a m O P I C o m m e n te r OPI works with commenter to resolve comments* Return to originating process OPI s Office Director works with Commenter s Office Director to resolve comments* Comments Resolved?

OPI s next level mgt works with Commenter s next level mgt to resolve comments* No Comments Resolved? OPI s DA/AA works with commenter s AO to resolve comments* No Comments Resolved? Instructs OPI to prepare impasse package No Prepares impasse package Resolves impasse No Comments Resolved? Yes Yes Yes *NNSA Directives Team assists OPI with brokering resolution for major comments Development of Review and Comment Draft Review and Comment Process Comment Resolution and Concurrence Review Impasse Development of Final Draft Signature Stage Publish Stage Yes NNSA SD 251.1B Appendix C 10-26-20 APC-1 APPENDIX C: STANDARD OPERATING PROCEDURES 1. BACKGROUND. Standard Operating Procedures (SOPs) document internal work processes within a single National Nuclear Security Administration (NNSA) federal organization. SOPs are often referred to as process descriptions, office procedures, work instructions, procedural notes, etc. SOPs cannot be used to contradict or delete provisions in any statute, regulation, DOE directive, or NNSA directive (i.e., higher level policy). SOPs cannot be used to circumvent the equivalency and exemption process. Questions regarding SOPs should be directed to Management and Budget’s Quality Management Staff, Business Services (NA-MB-20). A sample format is located on the Directives website (see the Directives website link in Appendix K). 2. REQUIREMENTS. a. Each NNSA organization must develop a written methodology for issuing SOPs. b. Minimum elements that must be included in NNSA SOPs are: Number Title Effective date Review date (effective date plus 3 years) Revision history Process owner Overview (purpose, scope, metrics) Requirements (laws, regulations, directives, policies, operational plans, etc., that drive the requirement for this SOP) Steps of the procedure, who performs them, and when Quality Records (records to be maintained in accordance with NNSA Supplemental Directive 243.1, Records Management Program) Approval (signature of approving official) Appendix C NNSA SD 251.1B APC-2 10-26-20 c. Organization employees must be able to access approved, unclassified SOPs. Appropriate organization employees must be able to access approved, restricted SOPs. d. Each NNSA organization must maintain records of their SOPs. 3. RESPONSIBILITIES. Authorizing Official. Establishes a process for approving and implementing SOPs within the organization. Selects the format for the organization’s SOPs. Makes SOPs available electronically to employees, as appropriate. Reviews SOPs on a periodic basis, not to exceed every 3 years. Delegates the responsibilities above (1-4), as appropriate. NNSA SD 251.1B Appendix D 10-26-20 APD-1 APPENDIX D: ADMINISTRATIVE CHANGES 1. BACKGROUND. Administrative changes are edits that add minimal content and do not alter requirements or responsibilities in the affected directive, as determined by the NNSA Directives Program Manager, Office of Policy and Strategic Planning. Examples are (a) typographical errors; (b) changes to organization names or titles of officials; (c) clarifications of intent in response to feedback received; or (d) changes in law, regulations, or legal citations. To illustrate the process described in this appendix, a flowchart is included as the last page. 2. PROCESS. a. Final Draft. The Office of Primary Interest (OPI) must consult with the NNSA Directives Team to refine the draft directive that incorporates the administrative change.

The OPI sends the following items to the NNSA Directives Mailbox when the OPI and NNSA Directives Team agree that the draft National Nuclear Security Administration (NNSA) directive is ready for publication. Redlined Microsoft Word file of the draft NNSA directive (including appropriate attachments, appendixes, etc.). Approval from the OPI’s Authorizing Official (AO) that the draft is ready for publication. The NNSA Directives Team reviews the documents for completeness. If any information is missing, the NNSA Directives Team works with the OPI to finalize the package for publication. b. Publish. The NNSA Directives Team places the NNSA seal on the signature page in lieu of a signature. The NNSA Directives Team places an expiration date on the title page of the directive prior to posting it. The NNSA Directives Team posts the current directive and archives the cancelled directive on the NNSA Directives website (see the Directives website link in Appendix K). mailto:NNSADirectives@nnsa.doe.gov Appendix D NNSA SD 251.1B APD-2 10-26-20 The OPI, NNSA’s ACs, AOs, and AO Delegates are notified through RevCom that the directive has been published and is available on the Directives website (see the Directives website link in Appendix K). NNSA SD 251.1B Appendix D 10-26-20 APD-3 Appendix D – Administrative Change Process N N S A D ir e c ti v e s T e a m O P I Consults with NNSA Directives Team Obtains final draft approval from AO Assembles publication package to NNSA Directives Team Reviews package for completeness; works with OPI to complete package, if necessary Publish Document Development of Review and Comment Draft Review and Comment Process Comment Resolution and Concurrence Review Impasse Development of Final Draft Signature Stage Publish Stage NNSA SD 251.1B Appendix E 10-26-20 APE-1 APPENDIX E: ADVANCE CHANGE DIRECTIVES 1. BACKGROUND. Advance Change Directives (ACDs) are temporary directives the Administrator uses to issue urgent or immediate direction to more than one National Nuclear Security Administration (NNSA) federal or contractor organization. To illustrate the process described in this appendix, a flowchart is included as the last page. 2. REQUIREMENTS. a. ACDs must be used only to convey direction needed to meet statutory, regulatory, or programmatic requirements that are exigent in nature. b. Issuing directives through ACDs must be the exception, not the rule. c. The responsible Office of Primary Interest (OPI) must either incorporate the ACD into an existing NNSA directive [Supplemental Directive (SD), Policy (NAP), or Business Operating Procedure (BOP)] or convert it to a new directive as soon as possible and no later than 12 months after the ACD is issued. d. ACDs must expire on the date the replacement directive is issued or 12 months after the effective date of the ACD, whichever is earlier. e. The process described below must be followed for developing and issuing ACDs. 3. PROCESS. a. Development of First Draft. The OPI consults with the NNSA Directives Team, Office of Policy and Strategic Planning after the need to develop an ACD is identified. The OPI drafts the ACD that will be signed by the Administrator. The OPI must consult with the NNSA Directives Team to refine the initial draft. The OPI sends the following items to the NNSA Directives Mailbox for review after the OPI and NNSA Directives Team agree that the draft ACD is ready for the Administrator’s signature:

Microsoft Word file of the draft ACD. Approval from the OPI’s Authorizing Official (AO) that the draft is ready for the Administrator’s signature. mailto:NNSADirectives@nnsa.doe.gov Appendix E NNSA SD 251.1B APE-2 10-26-20 The NNSA Directives Team reviews the draft ACD for completeness. If any information is missing, the NNSA Directives Team works with the OPI to finalize the ACD for the Administrator’s signature. b. Signature. The NNSA Directives Team assembles the signature package, which includes a memo to the Administrator requesting approval of the ACD. The OPI collaborates with the NNSA Directives Team to write the memo. The NNSA Directives Team obtains concurrences from the AOs of affected NNSA organizations and the Office of General Counsel on the memo requesting the Administrator’s signature on the ACD. The NNSA Directives Team also obtains the OPI AO’s signature on the transmittal memo to the Administrator. The NNSA Directives Team delivers the signature package to the NNSA Executive Secretariat for transmittal to the Administrator. The Executive Secretariat returns the signed ACD to the NNSA Directives Team for processing. The NNSA Directives Team notifies the OPI that the ACD has been approved and sets an expiration date 12 months from the date of signature. If the Administrator does not approve the ACD, the NNSA Directives Team works with the OPI to determine the path forward to address the Administrator’s concerns. c. Publish. The NNSA Directives Team posts the ACD on the NNSA Directives website (see the Directives website link in Appendix K). The OPI and NNSA’s Authorization Coordinators, AOs, and AO Delegates are notified that the ACD has been published and is available on the Directives website (see the Directives website link in Appendix K). d. Conversion to Formal NNSA Directive. See Appendix B. NNSA SD 251.1B Appendix E 10-26-20 APE-3 Appendix E – Advance Change Directive (ACD) Process A d m in is tr a to r E x e c u ti v e S e c re ta ri a t N N S A D ir e c tiv e s T e a m O P I Consults with NNSA Directives Team Assembles signature package Obtains concurrences Delivers signature package to NNSA Executive Secretariat Yes Sends package to NNSA Directives Team for processing Works with OPI to determine a path forward No Development of Review and Comment Draft Review and Comment Process Comment Resolution and Concurrence Review Impasse Development of Final Draft Signature Stage Publish Stage Drafts Advance Change Directive Consults with NNSA Directives Team Reviews documents for completeness; works with OPI to complete package, if necessary Notifies OPI of approval Publish Consult with OPI on conversion to a new or existing NNSA Directive Convert ACD to new or existing NNSA Directive using process in Appendix C Obtains AO approval Sends draft ACD and accompanying documents to NNSA Directives Team Transmits package to Administrator for signature Approves and signs? NNSA SD 251.1B Appendix F 10-26-20 APF-1 APPENDIX F: CERTIFICATION OF NNSA DIRECTIVES 1. BACKGROUND. This appendix describes the process for verifying continuing relevance of existing National Nuclear Security Administration (NNSA) directives (certification) and determining if revision or cancellation is necessary. The certification process described below applies to Supplemental Directives (SDs), NNSA Policies (NAPs), and Business Operating Procedures (BOPs).

2. REQUIREMENTS. NNSA directives must be reviewed every 3 years by the Office of Primary Interest (OPI) as determined by date of approval. 3. PROCESS. a. The NNSA Directives Team, Office of Policy and Strategic Planning, distributes a checklist annually to each OPI’s Authorization Coordinator, Authorizing Official (AO), and AO Delegate that lists the directives due to be reviewed. b. The OPI completes the checklist and returns it to the NNSA Directives Mailbox. c. The NNSA Directives Team consults with the OPI after the OPI determines the directive is still relevant to determine if any proposed revisions are administrative or substantive in nature. The process steps in Appendix B, Section 3.a. (Development of the Review and Comment Draft) through Section 3.f. (Publish) must be followed for substantive changes. The process described in Appendix D (Administrative Changes) must be followed for administrative changes. The process steps in Appendix G, (Cancellation of NNSA Directives) Section 3. (Process) must be followed when the OPI’s AO recommends a directive is no longer relevant or when the OPI fails to take action to certify, cancel, or revise the directive. mailto:NNSADirectives@nnsa.doe.gov NNSA SD 251.1B Appendix G 10-26-20 APG-1 APPENDIX G: CANCELLATION OF NNSA DIRECTIVES 1. BACKGROUND. This appendix describes the process for cancelling National Nuclear Security Administration (NNSA) Supplemental Directives (SDs), Policies (NAPs), and Business Operating Procedures (BOPs). 2. REQUIREMENTS. a. The cancellation process must be followed when a directive is no longer needed or when the Office of Primary Interest (OPI) has not taken action to certify, cancel, or revise the directive. b. NNSA directives must be reviewed every 3 years by the OPI. c. The NNSA Directives Team, Office of Policy and Strategic Planning, must initiate the cancellation process when the OPI has not taken action to certify, cancel, or revise the directive after certification was due. Directives scheduled to expire must undergo a concurrence review (only major comments will be accepted). The current directive must remain in effect until the results of the concurrence review are resolved. 3. PROCESS. a. OPI: Consults with the NNSA Directives Team after the need to cancel a directive is identified. Provides the following information on the cancellation memo template for distribution with the directive (see the Directives website link in Appendix K): Original intent of the directive and its revision history. Justification for cancelling the directive and, if applicable, why it is not being replaced and why the requirements are no longer needed. The cancellation’s effect on the NNSA nuclear security enterprise and any cost savings, if applicable. Concurrence from the OPI’s Authorizing Official (AO) that the directive should be cancelled. Appendix G NNSA SD 251.1B APG-2 10-26-20 b. The process steps in Appendix B, Sections 3.b. (Review and Comment) and 3.c. (Comment Resolution) are followed with the exception that the directive is posted in RevCom for a concurrence review and only major comments will be accepted. c. The OPI documents the results of the concurrence review in the draft cancellation memorandum prepared in Step 3.a.(2) above. After the OPI and the NNSA Directives Team agree the draft cancellation memorandum is ready for signature, the OPI sends a Microsoft Word file of the memorandum to the NNSA Directives Mailbox.

d. The NNSA Directives Team obtains approval of the cancellation memorandum: The process in Appendix B, Section 3.e.(1) (Signature) is followed for SDs and NAPs. The signature of the responsible AO is obtained for BOPs on the cancellation memorandum. e. The NNSA Directives Team posts the cancelled directive and the memo approving the cancellation in the archives section of the Directives website and notifies Authorization Coordinators, AOs, and AO Delegates that the directive is no longer in effect. mailto:NNSADirectives@nnsa.doe.gov NNSA SD 251.1B Appendix H 10-26-20 APH-1 APPENDIX H: DEVELOPMENT OR REVISION OF DOE DIRECTIVES (RESERVED) NNSA SD 251.1B Appendix I 10-26-20 API-1 APPENDIX I: ACRONYMS/ABBREVIATONS a. AC Authorization Coordinator b. ACD Advance Change Directive c. AO Authorizing Official d. BOP Business Operating Procedure e. CFR Code of Federal Regulations f. CRD Contractor Requirements Document g. CTA Central Technical Authority h. DOE Department of Energy i. DOE O Department of Energy Order j. DRB Directives Review Board k. IA Interagency Agreement l. MOU Memorandum of Understanding m. NA-1.1 Office of Policy and Strategic Planning n. NAP NNSA Policy o. NNSA National Nuclear Security Administration p. OPI Office of Primary Interest q. RevCom Automated Review & Comment Tool r. SAC Senior Authorization Coordinator s. SD Supplemental Directive t. SME Subject Matter Expert u. SOP Standard Operating Procedure v. U.S.C. United States Code NNSA SD 251.1B Appendix J 10-26-20 APJ-1 APPENDIX J: DEFINITIONS a. Administrative Changes. Edits that add minimal content and do not alter requirements or responsibilities in the affected directive, as determined by the NNSA Directives Program Manager. Examples are (a) typographical errors; (b) changes to organization names or titles of officials; (c) clarifications of intent in response to feedback received; or (d) changes in law, regulations, or legal citations. b. Advance Change Directive. Temporary directive the Administrator uses to issue urgent or immediate direction to more than one NNSA organization. c. Authorization Coordinator (AC). An NNSA organization’s staff member who provides administrative support to Authorizing Officials (AOs) and AO Delegates. Duties include assigning subject matter experts to review directives, collecting and consolidating comments, entering the organization’s official comments into RevCom, and serving as the organization’s liaison to the NNSA Directives Team, Office of Policy and Strategic Planning, on directives issues. Appointed by memorandum by the Authorizing Official; acknowledges responsibilities in writing. d. Authorizing Official (AO). The Head of an NNSA Element or the most senior executive of a contractor organization. e. Authorizing Official (AO) Delegate. Senior-level direct report to either the AO or the AO’s Deputy (Chief of Staff, Executive Director, Executive Officer) chosen by the AO to execute the AO’s delegable responsibilities. f. Business Operating Procedure (BOP). Establishes business procedures not covered in a Supplemental Directive or NNSA Policy (see Appendix A, Types of NNSA Directives). g. Certification. Process for reviewing directives that have been in effect for 3 years for accuracy and continued relevance (see Appendix F, Certification of NNSA Directives). h. Central Technical Authority (CTA). Executes responsibilities related to the directives process as established in DOE O 410.1, Central Technical Authority Responsibilities

Regarding Nuclear Safety Requirements, and SD 410.1A, NNSA CTA Responsibilities Regarding Nuclear Safety Requirements. i. Comment Resolution, NNSA. Process in which the OPI responds to comments received during the review of draft directives. Major comments not resolved go through the impasse process described in Appendix B, Development or Revision of NNSA Directives. j. Concurrence Review: A directive is issued to NNSA organizations for a second review post Appendix B’s comment resolution stage when the directive’s requirements or responsibilities were changed or if comment resolution took several months (as determined by the NNSA Directives Team, Office of Policy and Strategic Planning on a Appendix J NNSA SD 251.1B APJ-2 10-26-20 case-by-case basis). Only major comments are accepted. Major comments that were resolved during the initial comment resolution cannot be re-negotiated. k. Contractor Requirements Document (CRD). An attachment to an SD or NAP that states the parts of the directive that apply to contractors. When required, a CRD is included as Attachment 1 to a directive. l. Coordination. Process by which all affected or interested NNSA federal organizations review and comment on draft directives and all affected NNSA Management and Operating contractors comment on Contractor Requirements Documents. (NNSA federal organizations have discretion to ask contractor subject matter experts to review entire directives. Contractor-originated comments that are accepted by AOs must be sent in and defended by the federal organization.) m. Departmental Elements. DOE Headquarters elements and first-tier organizations. n. Deputy Heads of NNSA Elements. Principal Assistant Deputy Administrators, Deputy Associate Administrators, Deputy Field Office Managers, General Counsel Deputies, the Deputy Director of the Office of Policy and Strategic Planning, and the Deputy Director of the Office of Cost Estimating and Program Evaluation. o. Directives, DOE. Official communications of policies, requirements, and procedures used to inform, direct, and guide employees in the performance of their duties, and to enable employees to work effectively within the Department and with other Government agencies, contractors, and the public. DOE directives include Policies, Orders, Notices, Manuals, and Guides. p. Directives, NNSA. Documents used to establish, communicate, and institutionalize policies, requirements, responsibilities, and procedures specific to NNSA federal organizations and contractors. NNSA directives consist of Supplemental Directives (SDs), Policies (NAPs), Advance Change Directives (ACDs), Business Operating Procedures (BOPs), and Standard Operating Procedures (SOPs). SDs, NAPS, ACDs, and BOPs are mandatory, carry equal weight, and affect more than one NNSA organization. q. Directives, NNSA-owned. DOE Directives for which NNSA is the Office of Primary Interest. r. Directives Review Board (DRB). Established by DOE O 251.1D, and chaired by the Director of DOE’s Office of Management, the Board advises and concurs on DOE directives before their release DOE-wide for comment and final issuance. Board membership is comprised of senior representatives from each of the three Under Secretarial Offices, the Office of General Counsel, and the Office of Environment, Health, Safety and Security. Advisory members include senior representatives from the National Laboratory Directors Council and the Field Management Council.

NNSA SD 251.1B Appendix J 10-26-20 APJ-3 s. Editorial Comment. Term used in DOE Order 251.1D, Departmental Directives Program, to refer to suggested comments. t. Equivalencies. Alternatives to meeting a requirement in a DOE or NNSA directive. Equivalencies represent an alternative approach to achieving the goal of the directive. Unless otherwise defined in a specific NNSA directive, equivalencies are granted by the Administrator. u. Exemptions. The release from one or more requirements in a DOE or NNSA directive. Unless otherwise defined in a specific NNSA directive, exemptions are granted by the Administrator. v. Expiration Date. Date assigned by the NNSA Directives Team, Office of Policy and Strategic Planning, to a directive which is 3 calendar years from the date the directive was last certified by the directive’s Office of Primary Interest. w. Functional Organization. NNSA Headquarters organization who has responsibility for the subject area covered by a DOE directive when NNSA is not the OPI for the directive. Alternatively, a DOE Headquarters organization who has Departmental responsibility for a subject area covered by an NNSA SD, NAP, or ACD. x. Guides. Used by DOE to provide acceptable, but not mandatory, means for complying with requirements included in DOE Orders or Manuals that have not yet been phased out. Guides must be associated with a directive or a rule. Guides do not impose requirements, but may quote requirements if the sources are adequately cited. y. Heads of NNSA Elements. Deputy Administrators, Associate Administrators, Field Office Managers, General Counsel, the Director of the Office of Policy and Strategic Planning, and the Director of the Office of Cost Estimating and Program Evaluation. z. Impasse. When a resolution of major comments or other directives-related issues cannot be agreed on between NNSA organizations or between NNSA and DOE organizations and the issue is raised to the Principal Deputy Administrator or Deputy Secretary for decision. aa. Interagency Agreement (IA). An interagency agreement is a document that defines cooperative work between government agencies and departments. The agreement defines the parties involved, the work performed, and the transfer of technologies and funds. bb. Major Comment. Comments that identify serious consequences that may result from implementing the directive. Examples include concerns that raise health, safety, or environmental issues; preclude or hamper mission accomplishment; hinder compliance with applicable laws, rules, or regulations; hamper fulfilling contractual obligations or formal commitments; create costly inefficiencies with no corresponding benefit; or identify important missing or conflicting information that prevents successful implementation of the directive. (DOE uses Substantive Comment and Significant Appendix J NNSA SD 251.1B APJ-4 10-26-20 Comment instead of Major Comment to refer to the examples provided in this definition.) cc. Manuals. Used by DOE to dictate how federal and contractor employees are to implement requirements. Manuals are being phased out and canceled or converted to or incorporated into directives, as appropriate. Manuals will not be revised and no new Manuals will be created. dd. Memorandum of Understanding (MOU). A nonbinding agreement between two or more parties outlining the terms and details of an understanding, including each parties' requirements and responsibilities. An MOU is often the first stage in the formation of a formal contract.

ee. NNSA Organizations. Headquarters elements and sub-elements that report directly to the Administrator, and NNSA Management and Operating (M&O) contractors. ff. NNSA-owned Directive. A DOE Directive for which NNSA is the Office of Primary Interest. gg. NNSA Policy (NAP). Establishes policies, requirements, and responsibilities unique to NNSA that are traceable to parent requirements in laws, regulations, MOUs, or IAs with the exception of requirements established by the Administrator under the authorities of the NNSA Act. Focuses on a subject area not covered by a DOE directive or technical standard (see Appendix A, Types of NNSA Directives). hh. Nuclear Security Enterprise. Collective term for NNSA’s Headquarters program and mission support offices, field offices, laboratories (Sandia, Los Alamos, and Lawrence Livermore National Laboratories), production plants (Y-12 Plant, Pantex Plant, Kansas City National Security Campus, Savannah River Site), and the Nevada National Security Site. ii. Office of Primary Interest (OPI). The office responsible for originating and writing a directive and maintaining its accuracy and currency. jj. Revision. Edits to a directive that change requirements or responsibilities, or add a substantial amount of content. kk. Requirements. Actions that must be completed or processes that must be followed in order to achieve a directive’s purpose. ll. Responsibilities. Duties and authorities assigned to a position or office to implement, manage, or oversee directives. mm. Signature Package for NNSA Directives. The approval memo, a clean copy of the final draft directive, the comment resolution report, a concurrence page, and background documentation relevant to the directive. NNSA SD 251.1B Appendix J 10-26-20 APJ-5 nn. Significant or Substantive Comment. Terms used in DOE O 251.1D, Departmental Directives Program, to refer to major comments. oo. Suggested Comment. Comments that are editorial or grammatical in nature or identify issues that will not produce serious consequences from implementing the directive. (DOE uses Editorial Comment instead of Suggested Comment to refer to the examples provided in this definition.) pp. Supplemental Directive (SD). Augments policies, requirements, and responsibilities covered in a DOE directive or technical standard (see Appendix A, Types of NNSA Directives). qq. Unauthorized Directives. Term used in DOE Order 251.1D, Departmental Directives Program, to refer to unauthorized directives. rr. Unauthorized Directives. Unauthorized directives are documents that apply recurring or long-term requirements to NNSA federal or contractor organizations that have not been reviewed and issued through the DOE or NNSA formal directives processes (e.g., emails and memos, etc.). Unauthorized directives do not include communications from Contracting Officers and Contracting Officer’s Representatives to contractors or to communications from DOE or NNSA attorneys. APPENDIX K: REFERENCES a. 50 U.S.C. 2401 et seq., National Nuclear Security Administration Act. b. Title 41, Code of Federal Regulations (CFR), 102-193, Creation, Maintenance, and Use of Records. c. DOE O 251.1D, Departmental Directives Program, dated 1-17-17. d. DOE O 410.1, Central Technical Authority Responsibilities Regarding Nuclear Safety Requirements, dated 08-28-07 e. Department of Energy Acquisition Regulation (DEAR) clause 970.5204-2, Laws, Regulations, and DOE Directives, (Dec. 2000).

f. DOE, Crosswalk of Directives Numbering System, https://www.directives.doe.gov/development-and-review-of-directives/crosswalk- directive-numbering-system g. NNSA SD 410.1A, Implementation of National Nuclear Security Administration Central Technical Authority Responsibilities Regarding Nuclear Safety Requirements, dated 6-2-11. h. NNSA SD 450.2A, Functions, Responsibilities, and Authorities (FRA) Document for Safety Management, dated 7-4-18. i. NNSA SD 243.1 Admin Change 1, Records Management Program, dated 3-21-16 j. U.S. Government Publishing Office, Style Manual, 2016 k. U.S. Department of Energy Executive Secretariat Style Guidelines. l. Federal Plain Language Guidelines, March 2011. m. NNSA Directives Website: https://directives.nnsa.doe.gov/ (Location of directives, templates, delegations, designations, directive archives, other general helpful information.) https://www.directives.doe.gov/development-and-review-of-directives/crosswalk-directive-numbering-system https://www.directives.doe.gov/development-and-review-of-directives/crosswalk-directive-numbering-system https://www.govinfo.gov/content/pkg/GPO-STYLEMANUAL-2016/pdf/GPO-STYLEMANUAL-2016.pdf https://powerpedia.energy.gov/wiki/Style_guidelines_(Executive_Secretariat) https://www.plainlanguage.gov/media/FederalPLGuidelines.pdf https://directives.nnsa.doe.gov/ DIRECTIVES MANAGEMENT 1.PURPOSE 2.AUTHORITY. 3.CANCELLATIONS. 4. APPLICABILITY. 5. SUMMARY OF CHANGES. 6. BACKGROUND 7. REQUIREMENTS. 8. RESPONSIBILITIES. ATTACHMENT 1: CONTRACTOR REQUIREMENTS DOCUMENT 1. INTRODUCTION. 2. REQUIREMENTS. 3. RESPONSIBILITIES. ATTACHMENT 2: UNAUTHORIZED DOE AND NNSA DIRECTIVES 1. BACKGROUND 2. REQUIREMENTS. 3. RESPONSIBILITIES. 4. PROCESS. ATTACHMENT 3: EQUIVALENCIES AND EXEMPTIONS FOR NNSA AND DOE DIRECTIVES 1. BACKGROUND 2. REQUIREMENTS. 3. RESPONSIBILITIES. 4. PROCESS. APPENDIX A: TYPES OF NNSA DIRECTIVES 1. BACKGROUND 2. REQUIREMENTS. APPENDIX B: DEVELOPMENT OR REVISION OF NNSA DIRECTIVES 1. BACKGROUND 2. REQUIREMENTS. 3. PROCESS. APPENDIX C: STANDARD OPERATING PROCEDURES 1. BACKGROUND 2. REQUIREMENTS. 3. RESPONSIBILITIES. APPENDIX D: ADMINISTRATIVE CHANGES 1. BACKGROUND 2. PROCESS. APPENDIX E: ADVANCE CHANGE DIRECTIVES 1. BACKGROUND 2. REQUIREMENTS. 3. PROCESS. APPENDIX F: CERTIFICATION OF NNSA DIRECTIVES 1. BACKGROUND 2. REQUIREMENTS 3. PROCESS. APPENDIX G: CANCELLATION OF NNSA DIRECTIVES 1. BACKGROUND 2. REQUIREMENTS. 3. PROCESS. APPENDIX H: DEVELOPMENT OR REVISION OF DOE DIRECTIVES (RESERVED) APPENDIX I: ACRONYMS/ABBREVIATONS APPENDIX J: DEFINITIONS APPENDIX K: REFERENCES