Office of Environment, Health, Safety and Security (2020 Presidential transition)

Book 3 - Organization Overview
Entire 2020 DOE Transition book As of October 2020

The Department of Energy (DOE) has a wide portfolio of missions and operations with many unique and significant hazards (e.g., nuclear, chemical, biological, industrial) and security risks (e.g., classified information and nuclear weapon material). The Office of the Associate Under Secretary for the Office of Environment, Health, Safety and Security (AU) plays a key corporate role in enabling DOE to perform its mission in a safe and secure manner in order to protect DOE’s workers, the public, the environment, and national security assets. AU works closely with stakeholders (including DOE Program and Field Office management; subject matter experts; and labor and community representatives) to develop and improve environment, health, safety, and security policy and guidance; foster continuous improvement before incidents occur; and provide corporate technical assistance, coordination, and integration to support all DOE organizations in the resolution of environment, health, safety, and security issues.

AU’s unique position and expertise provides it with an overview of environment, health, safety, and security concerns from across DOE Headquarters, field sites, and contractor organizations. This wide perspective allows AU to provide crosscutting expert advice and implementation assistance for the protection of DOE workers and the public, as well as the Department’s material and information assets. AU also represents the Department in national and international environment, health, safety, and security matters to assure the Department’s interests are represented.

Mission Statement

AU is DOE’s central organization with enterprise level responsibilities for health, safety, environment, and security; providing corporate-level leadership and strategic vision to establish, sustain, coordinate, and integrate these vital programs. AU is responsible for policy development and technical assistance; safety analysis; and corporate safety and security programs. The Associate Under Secretary for Environment, Health, Safety and Security advises DOE elements and senior Departmental leadership, including the Under Secretary of Energy on all matters related to environment, health, safety, and security across the complex.

Budget

Fiscal Year	Budget
FY 2019 enacted	$202,839,000
FY 2020 enacted	$207,839,000
FY 2021 requested	$209,688,000

Human Resources

FY 2020 authorized full-time equivalents (FTEs): 262

History

From the inception of DOE (and its predecessor Agencies, e.g., the Atomic Energy Commission ), DOE has had an organization reporting directly to the Secretary, Deputy Secretary, or an Under Secretary responsible for developing and supporting implementation of policies and requirements to ensure the protection of workers, the public, and the security of DOE assets. This has been and remains a critical function given that DOE operates facilities with significant hazards and significant national security assets. These hazards include high level radioactive waste and toxic chemicals. National security resources include classified information and material related to DOE’s nuclear weapon surety mission. AU was created in May 2014, as part of a broad DOE reorganization. The Department’s environmental, health, safety, and security policy offices, along with the Headquarters Security Operations, were consolidated within the Under Secretary for Management and Performance , reporting to a new Associate Under Secretary for Environment, Health, Safety and Security . AU continues to manage DOE’s longstanding environmental, health, safety, and security programs and provides specialized expertise and support to DOE Program Offices to protect DOE workers, the public, the environment, and DOE national security assets. DOE has an excellent safety record, is a leader in environmental management, and has enhanced its multiple levels of protection to ensure national security. However, significant safety and security challenges remain at DOE, and DOE continues to learn and improve based upon sharing of best practices and lessons learned from events (such as the accident at the Waste Isolation Pilot Plant). AU works closely with the Program Offices to support efforts to improve safety and security performance and to foster improvements throughout the DOE complex.

Functions

AU’s major programmatic activities include:

Policy Development Leads the Department’s development of environment, health, safety, and security policies and requirements, and supports the effective and efficient implementation of policies and requirements to ensure DOE complies with statutory, regulatory, or executive order requirements in accomplishing its mission.

Policy Implementation Assistance Works proactively with DOE Program and Field Offices to provide high-quality, customer-oriented assistance to enable effective implementation of environment, health, safety, and security requirements. Supports the field in resolving environment, health, safety, and security issues. Provides consultations on requests for exemptions from DOE requirements. Supports DOE’s National Training Center in developing and conducting environment, health, safety and security training that is tailored to DOE needs and missions.

Environment, Health and Safety Leadership Provides leadership and support for improvements in environmental, safety, and health performance throughout the DOE Complex through its various corporate roles such as Designated Agency Safety and Health Officer for DOE’s Federal Employee Occupational Safety and Health (FEOSH) program; chair of the Nuclear Safety Committee; Champion for Integrated Safety Management (which is the Departments framework for the safe performance of work and promoting a strong safety culture); co-chair of DOE’s Safety Culture Improvement Panel; and lead for designing programs by which DOE is reducing the environmental footprint of its operations.

Security Program Provides personal protection to the Secretary and Deputy Secretary of Energy (where warranted), and other executive personnel as designated by the Secretary. Manages the DOE Headquarters security program to protect personnel, facilities, property, and classified information. Manages the enterprise-wide effort to help DOE programs deter and detect insider threat actions by federal and contractor employees.

Classified Information Protection Serves as a central focal point for identification of classified information within the Department. Also serves as the single denial authority for classified information under the Freedom of Information Act which prevents inadvertent releases of classified information. AU supports the National Declassification Center and ensures that information protected under the Atomic Energy Act remains protected at the National Archives .

Other key AU activities include:

Corporate Environment and Safety Programs Manages corporate programs that assist the DOE complex with ensuring that environmental and safety requirements are being met, including:

DOE’s Analytical Services Program, which ensures that the analytical environmental laboratories that DOE utilizes to support disposal of low-level radioactive waste meet regulatory requirements.
The DOE Laboratory Accreditation Program, which implements performance standards for DOE contractor radioactive dosimetry and radio bioassay programs.
The DOE Filter Test Facility, which inspects and tests all the high efficiency particulate air filters used at DOE sites to ensure confinement of radioactive material.

Health Studies Manages and conducts studies to increase scientific knowledge on the health effects of exposure to ionizing radiation and other industrial hazards:

Domestic. Studies on health effects to workers and to the public living in communities near DOE sites.
International. Studies, mandated by Congress or required by international agreement, which take place in Japan, Marshall Islands, Russian Federation, and Spain.
United States Transuranic and Uranium Registries. Research on the potential health effects of transuranic elements based on evaluation/ study of DOE workers who volunteered for this program, i.e., “registrants.”

DOE Chief Medical Officer Serves as the Department’s Chief Medical Officer, keeping fully abreast of emerging national and international developments in public and occupational medical issues.

Occupational Illness Compensation Program Supports the implementation of the Energy Employees Occupational Illness Compensation Program Act by providing information regarding employment status; exposures to radiation and toxic substances; and operational history of over 350 DOE facilities to the Department of Labor , the National Institute for Occupational Safety and Health , and the Presidential Advisory Board .

Former Worker Medical Screenings Provides medical screening examinations to former workers who may have been exposed to harmful conditions as a result of working for DOE. As of September 2015, over 110,000 medical examinations have been conducted by the program.

Operating Experience Program Manages DOE’s Corporate Operating Experience Program to identify and disseminate performance indicators, lessons learned, and operating experience to prevent adverse events and improve performance.

Employee Concerns Program Manages DOE’s Employee Concerns Program which encourages the expression of employee concerns and provides DOE federal, contractor, and subcontractor employees with a process to have concerns addressed. Manages DOE’s Differing Professional Opinion Program which addresses the resolution of technical environment, safety, and health concerns that could not be resolved at the local

Voluntary Protection Program Operates DOE’s Voluntary Protection Program (VPP) utilizing the integrated safety management framework that encourages DOE and NNSA contractors to pursue excellence in worker safety and health beyond compliance with rules, orders, and standards. The program parallels the Occupational Safety and Health Administration VPP.

Nuclear Safety Research Manages DOE’s corporate Nuclear Safety Research and Development Program and supports a broad range of projects to enhance nuclear safety in the design, construction, and operation of DOE nuclear facilities.

Liaison to Defense Nuclear Facilities Safety Board (DNFSB or Board) coordinates interactions with the DNFSB to facilitate effective communications between the Board and DOE Senior leadership to address the Board’s nuclear safety concerns.

Security Technology Provides technical security expertise to internal and external organizations to identify opportunities to enhance the security protection programs and develops and promotes deployment of new technologies to improve security.

Medical Disqualifications Provides for and coordinates Independent Reviews of Protective Force Medical Disqualifications pursuant to 10 CFR Part 1046, Medical, Physical Readiness, Training, and Access Authorization Standards for Protective Force Personnel.

Recent Organization Accomplishments

Revised and issued DOE Order 140.1A, Interface with the DNFSB, and the accompanying Desk Reference document of good practices to reflect changes to the DNFSB Enabling Statute Congress enacted in the FY2020 NDAA.
Finalized and issued 10 CFR Part 830, Nuclear Safety Management. The revised 10 CFR Part 830 was part of the Departments’ Regulatory Reform Initiative and culminates a several years, cross Program Office effort to reduce unnecessary burden and provide a more efficient and effective nuclear safety framework.
Led by the Office of Nuclear Safety, the Department evaluated Defense Nuclear Facilities Safety Board (DNFSB) Recommendation 2020-1 and provided a comprehensive, technically defendable response.
Led the development and implementation of DOE’s Pandemic Response Plan providing the framework for DOE’s response to the COVID-19 crisis. Provided the primary staffing and leadership for the COVID-19 Response Team responsible for case management to support contact tracing and data management for Headquarters and field sites. This also included providing senior leadership with ongoing daily updates regarding local and national case information, allowing the Secretary to make critical and timely decisions while managing the phases of the Department’s overall response to the pandemic.
As the champion for DOE’s Integrated Safety Management and Employee Concerns Programs, both focused on improving DOE’s safety culture and safety conscious work environment, AU was instrumental in recognizing and bringing these two initiatives together. Organizing and executing our first virtual annual meeting, bringing together over 100 senior leaders from across DOE, we were able to provide critical insights on how the Department can continue to improve our safety leadership and performance.
In the face of the rapidly emerging pandemic early in the year, AU established the framework and approach that allowed DOE to offer temporary relief from safety and security requirements contained in DOE’s directives and regulations where compliance has been adversely impacted because of this national emergency. This has been critical to safeguarding the health and safety of our workforce while allowing the Department to remain open to serve the American people and conduct mission critical functions.
Transitioned protection services to the new Secretary, conducted 68 protective operations missions (including 16 international), coordinated design and build of CLASSIFIED workspace for the Secretary at his residence, and developed from scratch and implemented COVID-19 cleaning procedures and testing protocols (since adopted by DOC, DOL, and EPA).
Deployed trackable Federal and contractor Insider Threat Awareness online training for cleared personnel, thereby addressing an outstanding Executive Branch annual requirement.
Completed 109 Formal Technical Security Reports, deployed to provide Field support (to include that for the Secretary and Deputy Secretary), and pre planned COMSEC Key Distribution supply-chain and technical support during COVID-19 period of maximum telework to ensure that Departmental mission critical systems and networks remained operational.
AU-11 made significant increases in the number and quality of the Worker Safety and Health forums, with the focus on finding high quality speakers, training the team, increasing our distribution list, promoting, and collecting feedback for improvement. Currently averaging about 250 safety professionals in attendance and offering certificates for CEUs.
Developed a complete overhaul of our policy clarification portal (formerly a response line). The new Portal is significantly more user friendly, making it easier to search and browse previous policy clarifications, as well as submit a new inquiry.
Issued DOE O 426.1B, Federal Technical Capabilities, in March 2020.
Conducted virtual DOE-VPP Participants meeting with over 130 participants. Prior to that, DOE-VPP onsite reviews at the 4 DOE sites were conducted.
Collaborated with the National Council on Radiation Protection and Measurements and the {w or p| Oak Ridge National Laboratory} on the epidemiologic studies of several DOE worker populations, specifically workers at the Rocky Flats Plant (RF), the Tennessee Eastman Corporation (TEC 1943-1947), Middlesex, Fernald, and Hanford, including the transfer of radiochemical assays and other relevant data from the U.S. Transuranium and Uranium Registries (USTUR). One focus was to refine the models for estimating doses associated with DOE worker intakes.
AU worked collaboratively with Department of Labor ; the National Institute for Occupational Safety and Health ; and the DOE Former Worker Screening Programs to adapt joint outreach efforts under the COVID environment to a virtual platform.
Rapidly promulgated and implemented procedures to conduct remote audits of commercial waste disposal facilities under the DOE Consolidated Audit Program (DOECAP) during the pandemic. DOECAP audits support compliance with DOE requirements and also assure stakeholders that the Department is properly handling its radioactive wastes.
Coordinated complex-wide efforts to address per- and polyfluoroalkyl substances (PFAS) at DOE, engaging dozens of Program Offices and sites in a new working group, gathering and synthesizing data to improve understanding of PFAS uses and impacts within DOE, and engaging with external stakeholders focused on this emerging contaminant of concern.
Developed and deployed new ES&H data analysis and visualization tools for Program Offices and Sites, including:

Launching a new Corporate Safety Performance Dashboard, which presents, in a single location and easily understood format, a set of strategic ES&H metrics of high importance and fundamental interest to DOE management.
Developing a Chat Bot tool, successfully adopted by the DOE COVID-19 Hotline, which uses machine learning tools to analyze a question or phrase typed by the user to quickly return prioritized results from a defined data set.
Advancing the development of a suite of machine learning tools to support critical ES&H functions, integrating multiple data sets with advanced algorithms to enable more rapid and robust analysis.

Successfully completed installation and startup of replacement vehicle barriers at the Forrestal facility. Successfully designed and procured replacement access barriers and CCDF equipment and designed and specified replacement radio system. Implemented innovative protective force contract changes and staffing plans to sustain the required Site Security Plan staffing levels while developing a “reserve” of healthy officers that was called upon to staff the DOE HQ during quarantines, resulting in sustained secure operation of HQ facilities.
Collaborated successfully with HQ program offices to conduct Headquarters Security Officer (HSO) program surveys and implement corrective actions. Reconfigured HQ survey inspections into two parts, the data evaluation/interviews and physical inspection. The data evaluation/interviews are being conducting online using WebEx. This effort provided the ability to continue the Survey mission during a time where social distancing was required.
Successfully developed and converted all Classified Matter Protection and Control (CMPC) Training (CMPC Overview, CDCS, Congressional Courier, and CMPC briefings for elected officials) to virtual/ WebEx training. Remote training has increased the speed of the delivery and participation of CMPC training across the board. To date, over 350 participants have received and completed training.
Successfully implemented a continuous evaluation process for HQ personnel security which processed over 60,000 alerts and completed validation of over 1,000 high and medium alerts while completing adjudication of over one third of high and medium alerts referred to adjudication.
Developed and implemented improved HQ management process for Other Government Agency (OGA) security clearances, including obtaining DOE Security Committee and Senior Management approval and successfully implementing the process for 22 other agencies, resulting in the termination of 1,000 security clearances to date.
Updated, revised, staffed, and implemented the AU Continuity of Operations (COOP) program plan. Revitalized AU emergency notifications by developing and implementing a process which engaged all AU senior management, simplified interface with DOE Emergency Operations, and eliminated redundancy.
Initiated the review, revision, and update to 6 DOE Orders: DOE O 474.2 A, Materials Control and Accountability (MC&A); DOE O 472.2, Personnel Security; DOE O 473.1A, Physical Protection; DOE O 473.2A, Protective Force; DOE O 142.3A, Foreign Visits and Assignments; with DOE O 470.3C Change 1, Design Basis Threat (DBT), approved in September 2020.
Completed over 30 field assistance requests to facilitate implementation of the DOE Directives thru innovative use of virtual communication methods and professional involvement. The assistance focused on implementation of the DBT; Personnel Security; Protective Force; Physical Security Systems; Foreign Ownership, Control or Influence (FOCI); and technical advice and assistance.
The Office of Security initiated and championed the Secretary’s COVID-19 Security 180-day Regulatory Relief mechanisms.
Published new and updated classification guidance on denuclearization activities, isotope separation, and counter unmanned aircraft systems (CUAS).

Denuclearization classification guidance helps nuclear non-proliferation activities as they may occur around the world and provides DOE needed guidance on how to identify and protect information generated by those activities.
Isotope separation guidance provided detailed instructions to different programs engaged to produce enriched uranium or staple isotopes.
CUAS guidance was needed in order to consistently identify and protect information regarding the security posture of the DOE against this new threat as both DOE activities and the threat itself evolve over time.

Managed execution of FY20 budget, formulated FY21 budget and developed an execution plan, and initiated formulation of FY22 budget.
Provided advice and guidance on multiple new procurement actions such as the competitive procurement acquisitions for the Filter Test Facility; TSCM/TSP program; Protective Force services; Environment, Health, and Safety crosscutting support services; Security support services; and Headquarters Security Access and Alarm system services.
Recruited and filled over 20 critical hires and 14 promotions, and off boarded 14 staff.

Leadership Challenges

Onboarding and organizational integration of new personnel during the Pandemic is a challenge. Onboarding is the first, and sometimes most lasting impression of the Organization, and we should consider a holistic approach. Once onboard, substituting virtual interaction for in-person interaction and conducting a fair and meaningful evaluation during the year probationary period would be challenges. Use of consensus standards is required by law. The DOE role in helping to ensure that Consensus Standards, when issued, are timely and useful for the Department is an ongoing challenge. There is a cost-benefit that needs to be carefully considered. The value to DOE, Consensus organizations, and the commercial industry will be enhanced by a more focused and coherent approach to Standards development, particularly in the area of advanced reactors.

Critical Events and Action Items

Meet with DNFSB

The DNFSB is led by five presidential appointees who provide oversight advice and recommendations to the Secretary on nuclear safety issues that could impact adequate protection of public health and safety at defense nuclear facilities. It has proven beneficial for the incoming Secretary to have a short meeting with DNSFB within the first 3-6 months of taking office. There are several current DNFSB Recommendations being implemented by DOE which impact DOE missions.^[1]