Procedure 6. Exemption and Equivalency Request Process from DOE Directives Requirements

Per DOE O 251.1D or current version, the requesting organization (normally Program or Site Office) will work with the Laboratory contractor or applicable organization to provide the required information as noted below.

The organization seeking the equivalency or exemption must include the  required information in the exemption/equivalency request memorandum and obtain advice from the Office of Primary Interest (OPI) and their relevant General Counsel (GC) office before submitting the request to the Head of the Departmental Element for approval.

The content of the request memorandum must:

1. identify the requirement(s) for which the equivalency/exemption is being
   sought,
2. explain the equivalency/exemption,
3. justify the reasons for the equivalency/exemption,
4. identify the offices or sites for which the equivalency/exemption is being sought,
5. confirm that the application of the exemption or equivalency does not conflict with applicable federal law or regulations,
6. indicate when compliance will be achieved in cases of an equivalency,
7. describe any alternative or mitigating actions, to include associated risks, that have been or will be taken to ensure adequate protection of the public, workers, and the environment for the period during which the exemption will be effective, when applicable, and
8. describe conclusions and recommendations from the OPI review of the exemption/equivalency and resolution of recommendations.

The Director for the Office of Science (SC-1) or designee may grant an exemption only if the exemption:

1. is not contrary to law or regulations,
2. ensures adequate protection of the public, workers, and the environment, and
3. remains consistent with the primary goal and purpose of the directive.

The Site Office/Program Manager will solicit input on the exemption/equivalency request from the OPI and GC in accordance with the requirements described in DOE O 251.1D (current version) to receive advice from those organizations and inclusion in the package, prior to submittal.

The Site Office/Program Manager will provide the complete package including the information described in Step 3 above, any advice received from the OPI and GC, and their evaluation of the original Laboratory request (if submitted by a Laboratory) and submit to the Director, Office of Field Operations Safety, Security, and Infrastructure (SC-41) for processing.

The Deputy Director for Field Operations (DDFO, SC-4) will complete the following actions:

1. Determine if the exemption/equivalency requires review by the Central Technical Authority and direct completion of the review.
2. Determine if the exemption or equivalency request warrants an independent review and, if appropriate,
1. assign an independent management agent with requisite technical and topical expertise to,
2. review the request and provide an evaluation of the request along with,
3. any recommended conditions of approval to the DDFO, SC-4,
4. for inclusion in the submittal to the Head of the Departmental Element for exemption/equivalency approval.

The Central Technical Authority completes review of exemption and equivalency request to determine:

1. if concurrence is warranted,
2. for nuclear safety directives identified in the current version of DOE O 410.1, Central Technical Authority Responsibilities Regarding Nuclear Safety Requirements, and
3. passes this recommendation along to the DDFO.

The Independent Management Agent (if assigned) will:

1. review the exemption or equivalency request package,
2. ensure that all elements of the DOE O 251.1D requirements have been included and the request is reasonable, and
3. provides a risk-based proposal for the exemption or equivalency that should be considered for approval by the Approval Authority and passes this recommendation along to the DDFO.

The Director, Office of Field Operations Safety, Security, and Infrastructure will:

1. ensure the package is complete,
2. enter it into the HQ correspondence system for processing and consideration by the Director for the Office of Science, if related to a ESHQ and S requirement,
3. if related to another type of requirement, will consult with the DDFO for guidance on assignment of the action to ensure the action is processed appropriately.