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U.S. Department of Energy GUIDE
Washington, D.C. DOE G 151.1-1A
7-11-07
EMERGENCY MANAGEMENT FUNDAMENTALS
and the
OPERATIONAL EMERGENCY BASE PROGRAM
Emergency Management Guide
[This Guide describes suggested nonmandatory approaches for meeting requirements.
Guides are not requirements documents and are not to be construed as requirements in
any audit or appraisal for compliance with the parent Policy, Order, Notice, or Manual.]
1. DOE COMPREHENSIVE EMERGENCY MANAGEMENT SYSTEM
1.1 Introduction
The United States Department of Energy (DOE) and the National Nuclear Security
Administration (NNSA) manage a wide variety of sites and activities throughout the
country. These include:
• National Laboratories;
• Nuclear weapons complex;
• Legacies of the Manhattan project and attendant cleanup sites;
• Transportation of hazardous materials:
Office of Secure Transportation
Hazardous waste shipments
• Power Marketing Administrations (PMAs); and
• Strategic Petroleum Reserve (SPR).
The National Laboratories conduct basic and applied research, ranging from high energy
particle physics to the human genome, alternative sources of energy, and applications of
technology to homeland security. Activities at other sites include development,
stockpiling, and dismantling of nuclear weapons, production of nuclear power sources for
space vehicles, environmental cleanup at legacy sites, transportation of waste materials
generated by Departmental operations, and storage and isolation of radioactive waste.
The Department also manages the national SPR, which stores reserves of petroleum
product in case of a national emergency that impacts normal supplies, and is the home of
the PMAs, which function both as distributors of electric power and brokers of regional
energy supplies. Finally, the DOE/NNSA is involved in energy restoration activities
following major disruptions of supply or distribution.
As the diversity of these activities indicates DOE/NNSA sites and facilities store, use,
produce and dispose of many different hazardous substances, including radioactive
materials, toxic chemicals and biological agents and toxins. In managing these hazards,
DOE holds the safety of workers and the public to be paramount. By maintaining high
standards of facility design, conduct of operations, safety oversight, and personnel
training, DOE activities consistently achieve accident and injury rates that compare very
favorably with those of similar operations in the private sector. In addition to the systems
of workplace hazard controls that prevent incidents and ensure worker safety, the DOE
emergency management system superimposes additional protections over all operations
involving dispersible hazardous materials in quantities that could harm people outside the
immediate workplace.
The overall mission of DOE emergency management is to be ready to respond promptly,
efficiently and effectively to any emergency involving or affecting DOE facilities/sites or
activities by applying the necessary resources to mitigate the consequences and protect
workers, the public, the environment, and national security. The DOE “comprehensive”
emergency management system provides a framework within which to address all
hazards, from natural phenomena to terrorist attacks, and all of the components of an
effective emergency management program. The standard components of a DOE
emergency management program are planning, preparedness, readiness assurance,
response, and recovery.
• “Planning” involves determining, in advance, what will be done in response to
specific emergencies.
• “Preparedness” is putting in place procedures, equipment, and personnel capabilities
that will be needed to respond.
• “Readiness Assurance” is the ongoing process of verifying and demonstrating
readiness to respond.
• “Response” is the actual mobilization of people, equipment and resources to take
action during an emergency.
• “Recovery” includes planning for and actions taken following termination of the
emergency to return the facility/operations to normal.
The current DOE emergency management requirements are the result of the evolution
that began after the Three Mile Island reactor accident in 1979. At that time, the
Department was still operating several reactors and producing materials for nuclear
weapons. Accordingly, throughout the early- and mid-1980’s, DOE emergency
management requirements focused heavily on nuclear and radiological hazards. After the
1984 tragedy in Bhopal, India and other accidents turned the world’s attention to
chemical release hazards, the Department expanded its emergency management
requirements in 1991 to include toxic chemicals. After the Occupational Safety and
Health Administration (OSHA) enhanced its worker protection regulations and included
hazardous waste operations, DOE expanded its emergency management requirements to
stipulate a level of basic emergency planning for all facilities/sites or activities, with
more specific and detailed requirements for activities using radioactive materials and
toxic chemicals. Current emergency management requirements also address biological
toxins and infectious agents, since research is ongoing at some DOE/NNSA laboratories
using these materials to develop detectors and support other homeland security-related
programs.
The DOE “comprehensive,” all-hazards approach to emergency management became
firmly established with the issuance of DOE O 151.1 in 1995. The Order established
DOE policy that provides a general structure and framework for response to any
emergency at a DOE facility/site or activity and specific requirements to address
protection of the workers, the public, and the environment from the release of hazardous
materials.
This guide cancels and supersedes DOE G 151.1-1, Volume 1, Introduction to the
Emergency Management Guide, dated 8-21-97.
1.2 Requirements and Guidance
DOE O 151.1C, COMPREHENSIVE EMERGENCY MANAGEMENT SYSTEM (the
Order) establishes policy, assigns roles and responsibilities, and provides the framework
for the development, coordination, control, and direction of the DOE Emergency
Management System. The Order establishes requirements for emergency planning,
preparedness, readiness assurance, response, and recovery activities and describes the
approach for effectively integrating these activities under a comprehensive, all-
emergency concept. DOE facilities/sites or activities, Cognizant Field Elements, and
DOE Headquarters offices are required to develop emergency management programs as
components of an integrated and comprehensive emergency management system.
Together, these elements ensure that DOE emergency management is prepared to respond
promptly, efficiently, and effectively to any emergency involving DOE facilities/sites or
activities to protect workers, the public, the environment, and national security.
The majority of specific requirements related to the release of hazardous materials
promulgated in DOE O 151.1C are intentionally non-prescriptive due to the wide variety
of operations and activities conducted by DOE/NNSA and its contractors, and the broad
range of associated hazards. The Order requires that facility/site or activity emergency
management programs be developed commensurate with the hazards at that particular
facility/site or activity. To assist facilities/sites and activities in implementing the Order
requirements, DOE/NNSA has developed this comprehensive guidance document, the
Emergency Management Guide (EMG). This EMG is applicable to all DOE/NNSA
facilities/sites and activities and generally applicable at DOE/NNSA organizational
levels, including Cognizant Field Elements and Headquarters offices.
If official interpretation of the requirements in DOE O 151.1C or guidance in the
DOE G 151.1-series is needed, the NNSA Associate Administrator for Emergency
Operations serves as DOE’s primary point of contact for all emergency management
activities. Questions or requests should be submitted directly to the Office of Emergency
Operations. Questions and accompanying interpretations will be posted as Frequently
Asked Questions (FAQs) on the Internet at:
http://www.orau.gov/emi/DOEOrder151_1C_Files/view_DOEOrder151.html.
1.3 Conceptual Foundation of DOE Emergency Management
The DOE approach to emergency management is built upon three guiding principles or
conceptual “foundation stones” of emergency management. These key concepts are:
• Effective response is the “last line of defense” against adverse consequences.
Regardless of how sound the fundamental safety programs and controls may be,
events will sometimes happen that have adverse health effects on people and/or the
environment. This principle expresses the DOE position that if controls should fail,
the facility/site or activity must be prepared to take actions to limit or prevent adverse
health and safety impacts to workers and the public. The application of this principle
requires some level of emergency response planning even for those events whose
severity exceeds the design basis for safety controls (i.e., “beyond-design-basis”
events).
• Planning, preparedness, response, and recovery must be specific to and
“commensurate with the hazards.” The Department is responsible for a large
number of different hazards that could threaten the health and safety of workers or the
public if released to the environment. These hazards are very different in the nature
of their impacts on people, their behavior in the environment and the distance at
which adverse impacts would be experienced. While the basic emergency
management framework is the same for all DOE facilities/sites or activities, the
specific planning and response measures for each hazard are to be tailored to the
hazard, such that they are specific (i.e., technically appropriate) to the hazard and
commensurate with (in size, scope, or scale) the magnitude of the hazard and its
potential impacts.
• “Early recognition” is vital to timely, effective, and commensurate response. In
many cases, warning potentially affected workers and the public and directing them
to take actions to prevent or limit their exposure is the only way of mitigating the
adverse health impacts. Hence, the early recognition of an event is essential if
warnings are to be delivered in time to be executed effectively. By developing a full
understanding of possible scenarios and the indications that would point to an actual
or impending event, emergency management will increase the likelihood of
successful warning and intervention to prevent or limit health impacts. This analysis
of scenarios and development of recognition indicators provides the basis for
tailoring the response to the actual or potential hazard (i.e., commensurate response).
1.4 Emergency Management Programs
The DOE comprehensive emergency management system is based on a three-tiered
management structure consisting of facilities/sites or activities, Cognizant Field Element,
and Headquarters, with each tier having specific roles and responsibilities during an
emergency. Each organizational tier provides management, direction, and support of
emergency response activities. The facility/site or activity manages the tactical response
to the emergency by directing the mitigative actions necessary to resolve the problem,
protect the workers, the public, and the environment, and return the facility/site to a safe
condition. The Cognizant Field Elements oversee the facility/site response and provide
local assistance, guidance, and operational direction to the facility/site management; the
Cognizant Field Element also coordinates the tactical response to the event with Tribal,
State, and local governments. DOE Headquarters provides strategic direction to the
response, provides assistance and guidance to the Cognizant Field Elements, and
evaluates the broad impacts of the emergency on the DOE complex. DOE Headquarters
provides strategic direction to the response, provides assistance and guidance to the
Cognizant Field Elements, and evaluates the broad impacts of the emergency on the DOE
complex. DOE Headquarters also coordinates with other Federal agencies on a national
level, provides information to representatives of the executive and legislative branches of
the Federal government, and responds to inquiries from the national media.
DOE O 151.1C requires that emergency management programs are established and
maintained at each organizational level to implement requirements pertaining to the
comprehensive emergency management system. Because DOE and its contractors are
involved in a variety of operations and activities incorporating a broad range of hazards
that must be considered in effective emergency management, the Order requires that the
emergency management program for a specific facility/site or activity be commensurate
with the hazards present at that facility/site or activity (i.e., a tailored approach.)
Each DOE facility/site or activity is required by DOE O 151.1C to have an Operational
Emergency Base Program, which provides the framework for response to serious events
or conditions that involve the health and safety of workers and the public, the
environment, and safeguards and security. Although DOE O 151.1C establishes several
DOE-unique requirements and a minimum set of generic requirements for the Base
Program, the framework for response results mainly from the implementation of the
requirements of DOE regulations, other DOE orders, and applicable non-DOE Federal,
Tribal, State, and local laws/regulations/ordinances. The specific requirements that
constitute the Operational Emergency Base Program are the emergency planning and
preparedness aspects of these Orders and laws/regulations/ordinances. Examples of
emergency response features addressed in other DOE Orders and laws/regulations/
ordinances include: medical support, worker evacuation plans, fire drills, worker
notification systems, hazardous material communication, contingency planning for oil
spills, environmental spill drills and exercises, and DOE security and safeguards
requirements. The objective of the Base Program is to achieve an effective integration
of emergency planning and preparedness requirements into an emergency management
program that provides capabilities for all-emergency response, through communication,
coordination, and an efficient and effective use of resources.
The Hazards Survey, which is required by DOE O 151.1C for each facility/site or
activity, is used to identify the generic emergency events or conditions that define the
scope of the emergency management program. The Hazards Survey is a qualitative
examination of the events or conditions specific to the facility/site or activity that may
require an emergency response. The description of the potential impacts of such events
or conditions (e.g., natural phenomena, wild land fires, hazardous materials releases,
malevolent events, etc.) contained in the Hazards Survey determines the planning and
preparedness requirements that apply. These requirements constitute the Base Program.
The Hazards Survey is the formal mechanism used to determine the scope and extent of
the facility/site or activity Base Program. If hazardous materials are not present at the
facility/site or activity, or are present in quantities less than quantities that are “easily and
safely manipulated by one person” (i.e., threshold screening quantities), then the Base
Program appropriately defines the facility/site or activity emergency management
program that meets the requirements of DOE O 151.1C. General guidance for the Base
Program requirements and Base Program Facilities is presented in DOE G 151.1-1A,
Chapter 3, Operational Emergency Base Program and Base Program Facilities.
A facility/site- or activity-specific Emergency Planning Hazards Assessment (EPHA)
is required by DOE O 151.1C to be conducted for each DOE facility/site or activity
where identified hazardous materials are present in quantities exceeding the quantity that
can be “easily and safely manipulated by one person” and whose potential release would
cause the impacts and require response activities characteristic of an Operational
Emergency. An EPHA is a quantitative analysis that includes the identification and
characterization of hazardous materials specific to a facility/site or activity, analyses of
potential accidents or events, and evaluation of potential consequences. The results of
the EPHA determine whether an Operational Emergency Hazardous Material
Program is required. If the analysis results indicate that no potential accident events and
conditions would be classified as an Alert or higher (as defined in DOE O 151.1C), then
the Base Program (including 29 CFR 1910.120 requirements) constitutes the appropriate
emergency management program for the facility/site or activity. If the analysis results
associated with a facility/site indicate the potential for an Alert, Site Area Emergency
(SAE), or General Emergency (GE) (as defined in DOE O 151.1C), a Hazardous
Material Program is required; the analysis results will also provide the technical
planning basis for the hazardous materials emergency management program. The Base
Program, described above, provides the “base” or “foundation” for the Hazardous
Material Program. The emergency management program that results from the
“seamless” integration and coordination of these sets of requirements (“base” plus
hazardous materials) becomes the emergency management program for the facility/site or
activity.
Not every conceivable situation can be analyzed and, hence, not every response can be
preplanned. However, the development of an adequate Hazards Survey and EPHA, in
combination with effective and integrated emergency planning and preparedness,
provides the framework for response to any emergency event or condition.
1.5 Technical Planning Basis for a Hazardous Material Program
A DOE comprehensive emergency management program is developed for a facility/site
or activity based on a comprehensive understanding of the specific hazards that are
identified through the Hazards Survey and EPHA process. The results of the examination
and analysis of hazards in these processes become the technical planning basis for the
Hazardous Material Program.
1.5.1 Hazards Survey
A hazardous material screening process is an essential component of the Hazards
Survey process. Screening excludes from further consideration any substances that are
not dispersible, non-toxic, or present only in small quantities (i.e., less than specified
threshold screening quantities). The screening process yields a list of substances that are
candidates for quantitative analysis. If it is not clear that a substance should be
eliminated from consideration based on the screening criteria, it is retained for
quantitative analysis in an EPHA. Materials are then characterized to the extent
necessary to analyze their potential health impacts quantitatively.
If hazardous materials are not present at the facility/site or activity, or if hazardous
materials are present in quantities less than the specified threshold screening quantities,
then the Base Program defines the emergency management program that meets the
requirements of DOE O 151.1C. General guidance for the Base Program requirements
and Base Program Facilities is presented in this EMG, DOE G 151.1-1A, Chapter 3.
1.5.2 Hazards Assessment - EPHA Analyses
The EPHA analysis of identified hazardous materials associated with a facility/site or
activity consists of a systematic examination of hazardous materials that identifies
potential release scenarios for each substance in each location where it exists in the
facility/site or activity. A range of different failure modes and initiating events are
considered, including accidents; natural phenomena (e.g., earthquakes, tornadoes);
external events (e.g., aircraft crashes, offsite transportation accidents involving hazardous
materials, pipeline explosions); and, terrorism, sabotage, or other malevolent acts. A
spectrum of potential events ranging from low-consequence, high-probability events to
high-consequence, low-probability events are postulated and realistically analyzed. The
DOE approach requires some planning even for events whose severity exceeds the design
basis for safety controls; the facility/site or activity must be prepared to take actions to
limit or prevent adverse health and safety impacts to workers and the public.
The EPHA analysis determines the amount of the substance that would be released, the
rate of release, the pathway by which it would reach the environment, and observable
indicators associated with the release event. By comparing the features of the different
release scenarios, a number of specific cases are selected to represent the range or
spectrum of possibilities. Using source and atmospheric transport models appropriate to
the substance and the release conditions, the hazardous material concentration (for toxic
chemicals) or dose (for radioactive materials) at several receptor locations is calculated.
Receptor locations are chosen to represent a nearby worker, workers at other facilities on
the same site, and the public. The health impact at each of these receptors is judged by
comparing the dose or concentration to the applicable Protective Action Criteria (PACs)
that are specified in the DOE Order and guidance for each hazardous material.
1.6 Operational Emergencies
DOE O 151.1C requires that an Operational Emergency (OE) be declared when major
unplanned or non-routine abnormal events or conditions occur that:
• Involve or affect DOE or NNSA facilities/sites or activities by causing or having the
potential to cause serious health and safety or environmental impacts;
• Require resources from outside the immediate/affected area or local event scene to
supplement the initial response; and,
• Require time-urgent notifications to initiate response activities at locations beyond the
local event scene.
This is the process of categorizing an event or condition as an OE. Such events or
conditions can cause, or have the potential to cause:
• Serious health and safety impacts to workers or the public;
• Serious detrimental effects on the environment;
• Direct harm to people or the environment as a result of degradation of security or
safeguards conditions;
• Direct harm to people or the environment as a result of a DOE offsite transportation
shipment;
• Direct harm to people or the environment as a result of a major degradation safety
systems, protocols, and/or practices involving hazardous biological agents or toxins;
or
• Loss of control over hazardous materials (i.e., toxic chemicals or radioactive
materials).
OE events or conditions involving the loss of control over hazardous materials, that is
an actual or potential airborne release to the environment (i.e., outside a structure or
enclosure on a DOE facility or site), are referred to as Events Requiring Classification in
DOE O 151.1C. OEs that do not involve the loss of control over hazardous materials
are referred to as Events That Do Not Require Classification.
In general, to be considered an OE, an event or condition involving the uncontrolled
release of a hazardous material should:
• Immediately threaten or endanger personnel who are in close proximity of the event;
• Have the potential for dispersal beyond the immediate vicinity of the release in
quantities that threaten the health and safety of onsite personnel or the public in
collocated facilities, activities, and/or offsite; and
• Have a potential rate of dispersal sufficient to require a time-urgent response to
implement protective actions for workers and the public.
The emergency response to such an event can benefit from a classification scheme that is
based on the severity of potential consequences at specific distances from the source of
the release. The Order requires that these events be classified as Alert, SAE, or GE, in
order of increasing severity. This classification scheme facilitates early decision-making,
particularly with respect to response activities, offsite notifications, and protective
actions, by making initial decisions during planning rather than during actual response.
The release of hazardous biological agents or toxins, although requiring a response
similar in many respects to the response to radioactive or toxic chemical releases, is not
classified.
Note that the criteria specified in the Order for defining various OEs (DOE O 151.1C,
Chapter V) are not entirely sufficient for determining whether an abnormal event or
condition has all of the characteristics of an OE. Each event should be evaluated in the
context of the criteria specified in the Order and the general definition of an OE as given
in the Order and above.
1.7 Early Recognition of Operational Emergencies
The early recognition of an event is essential if warnings are to be delivered in time to be
executed effectively. DOE O 151.1C requires that OEs be recognized, categorized, and,
as necessary, classified (i.e., emergency classification is determined) promptly. These
OEs need to be reported and specific notifications made to local, State, Tribal,
DOE/NNSA (as appropriate), and other regional Federal response agencies. To
accomplish this, the emergency management staff attempts to identify the earliest
possible indications of each identified OE in order to ensure that warnings can be issued
in time to be effective. In addition to indications of actual events (equipment failures,
alarms, human sensory impact, etc.), signs of impending events (indications that barriers
or controls are failing) are identified. Events/conditions that may be precursors to
failures (natural phenomena, loss of utilities, security incidents, etc.) may also be used to
initiate actual warnings or raise the state of readiness for making critical decisions.
Using the identified recognition factors, the emergency management staff works closely
with facility Operations staff to develop clear, unambiguous decision criteria [i.e., non-
classified OE “criteria” and Emergency Action Levels (EALs) for classified OEs] for
categorizing/classifying OEs. The operators and managers should be completely familiar
and comfortable with the criteria and the decision-making process in order to make time-
critical warning decisions with the greatest possible speed and certainty. According to
DOE O 151.1C, an event needs to be categorized as an OE as promptly as possible, but
no later than 15 minutes after event recognition/identification/discovery. Classification
(determining the emergency class) is an integral part of the categorization process. Thus,
for OEs involving hazardous materials, categorization/classification needs to be
completed as promptly as possible, but no later than 15 minutes after event
recognition/identification/discovery.
Every facility/site or activity should assign the responsibility and authority for making
time-critical, categorization/classification decisions to an individual who is:
• On duty or immediately accessible (i.e., on-call), 24-hours per day/7-days per week;
• Knowledgeable of the facility/site or activity hazards and potential emergencies; and,
• Trained in the use of the facility/site or activity OE recognition procedures.
Preventing death or severe injury in the nearest population groups can sometimes be
shown to depend completely on early recognition, warning, and protective actions. Often
the simplest and most effective risk reduction measure is to make sure that the operating
staff is trained to recognize the significance of certain indications that are already
available and observable to them.
Scenarios involving the release of airborne toxic hazards, developed through the EPHA
process, should be carefully examined because the only means for minimizing health
impacts may be to warn workers or the public early enough in the event to allow effective
protective actions to be implemented (e.g., evacuation and sheltering). Specific planning
and preparedness measures are considered necessary for any location where the
calculated consequence impacts exceed the applicable PAC. Rapid, effective response to
initiate planned measures to protect people begins with recognizing the release. In
characterizing the material and identifying release scenarios, the indications that might
signal an actual or impending release are identified in the EPHA process.
From the standpoint of effective response, the most valuable recognition factors are those
that indicate a degrading safety condition or a potential release at some future time (such
as increasing pressure in a storage tank), and not just indications that a release is already
in progress. Recognition factors are an important product of the EPHA, because the
facility staff needs to be aware of indicators for which they must be alert in order to start
the protective action process. These recognition factors are also important to the overall
facility safety program. The indicators can be used for mitigation, taking actions to
reduce the severity or consequences of an emergency. This can include warning of the
potential failure of safety systems so that actions can be taken before the event progresses
in severity to trigger an emergency, as well as identifying opportunities for reducing the
hazards present in the facility.
1.8 Plan, Prepare, and Train for Effective Response to Hazardous Material Release
Operational Emergencies
Using the knowledge and insights gained through the Hazards Survey and EPHA
processes, a DOE facility/site or activity emergency management organization should
develop detailed plans and procedures and train the staff to carry out response actions, in
particular, to reduce the severity of hazardous material release events and to minimize
health impacts. The emergency management program for a facility/site or activity with
hazardous materials will typically include the following measures for the most effective
response to releases:
• Mobilization of response assets. The resources and personnel needed for different
types of emergencies are determined during the planning phase. Their activation or
mobilization is built into the procedures and checklists that guide the very early
response actions for different events or types of emergencies. A number of different
specialized response elements (e.g., spill teams, medical response units, offsite
support organizations) can be called into action with a single decision, reducing the
time required to field the most capable and appropriate “package” of assets.
• Rapid warning and notification of affected population. Minutes lost deciding whom
to warn of an event and how to warn them can be a matter of life and death.
Determining in advance just when (in response to what indications) a warning will be
issued and exactly how it will be done (what method and message) gives the
potentially affected people the most time to protect themselves.
• Planned (predetermined) protective actions. The most effective action to mitigate the
impact of the emergency will not be the same for all events. The properties of the
hazard, type of scenario, and availability and effectiveness of protective equipment or
shelter are all considered during the planning phase. The most effective course of
action for each population group or area is selected, spelled out in the immediate
response procedures and checklists, and practiced during drills and exercises.
• Pre-positioned equipment and supplies. If they are to be effective, equipment and
supplies for mitigating an event must be stored where they will be needed and
maintained in serviceable condition. Personal protective equipment, communications
devices, and materials that can be used to enhance shelter effectiveness are a few
examples of supplies that might be determined necessary for the protection of specific
groups.
• Provisions for personnel decontamination and medical intervention. Timely and
effective decontamination and/or specialized medical treatment can reduce the health
detriment from many events. The planning and preparations (decontamination
methods, antidotes, etc.) for these measures are guided by the results of the EPHA.
Preparations and arrangements for offsite medical support are coordinated by the
emergency management organization.
The emergency management program for a facility/site or activity should include the
following measures to provide assurances of an effective response to hazardous material
releases:
• Structured training/drills program. A comprehensive, coordinated, and documented
program of training and drills is an integral part of the emergency management
program to ensure that preparedness activities for developing and maintaining
program-specific emergency response capabilities are accomplished.
• Formal exercise program. A formal and focused exercise program should validate all
elements of the emergency management program over a multi-year period through a
formal exercise program. Facility- and site-level emergency management program
elements are validated by initiating response to simulated, realistic emergency
events/conditions in a manner that replicates an integrated emergency response to an
actual event as nearly as possible. Lessons-learned are developed, resulting in
corrective actions and improvements.
• Continuous program improvement. A readiness assurance program provides a
framework and associated mechanisms to assure that emergency plans, implementing
procedures, and resources are adequate and sufficiently maintained, exercised, and
evaluated, and that appropriate, timely improvements are made in response to needs
identified through coordinated and comprehensive emergency planning, resource
allocation, training and drills, exercises, and evaluations.
The measures identified above are reflected in the 15 program elements of a DOE
emergency management program. These elements include functions and activities that
can be grouped into three categories: Technical Planning Basis, Programmatic Elements,
and Response elements. The DOE program elements follow:
• TECHNICAL PLANNING BASIS
Hazards Survey/Hazards Assessment
• PROGRAMMATIC (“ongoing” activities)
1. Program Administration
2. Training and Drills
3. Exercises
4. Readiness Assurance
• RESPONSE (“standby” activities)
1. Emergency Response Organization (ERO)
2. Offsite Response Interfaces
3. Emergency Facilities and Equipment
4. Categorization and Classification
5. Communication and Notification
6. Consequence Assessment
7. Protective Actions and Reentry
8. Emergency Medical Support
9. Emergency Public Information
10. Termination and Recovery
These elements are components of a Hazardous Material Program. However, many
aspects of general planning, preparedness, and response functions and activities
(e.g., program administration, exercises, emergency public information) associated with
classified OEs will be applicable to many other types of OEs not requiring classification.
1.9 DOE/NNSA Emergency Management and Integrated Safety Management
As the last line of defense in protecting workers, the public, and the environment, the
comprehensive emergency management program at each DOE/NNSA facility/site or
activity is a key element of work planning and execution in accordance with Integrated
Safety Management (ISM). Emergency management (like quality assurance,
maintenance, personnel training, conduct of operations, fire protection, and waste
management) should be a specific function addressed by the safety management program
necessary to ensure the safe operation of a facility/site or activity. The DOE emergency
management system ensures consistency across the complex through a common
understanding of emergencies and the expected DOE response at all organizational
levels, including the local worker and facility/site or activity level, which are the primary
focus of ISM.
Since 1991, DOE emergency management Orders have incorporated the concept of
“tailoring” requirements to specific hazards through the “commensurate with hazards”
approach. The approach begins with a complete understanding of the emergencies that
could impact DOE facilities/sites or activities followed by analyses of the resultant
hazards to workers, the public, the environment, and national security. Based on the
hazards analyses, the requirements in the Order are tailored to develop an emergency
management program (e.g., plans, tools, training, response, resources) that addresses the
unique hazards and operating environment of each facility/site or activity. The Hazards
Survey and EPHA, which are integral parts of the “commensurate with hazards” or
“tailoring” approach, provide the recognition tools (e.g., EALs) and defines the
appropriate response (e.g., protective actions) to potential releases of hazardous materials.
Such hazard controls are essential components in the last line of defense in protecting
workers, the public, and the environment.
Continuous improvement is a fundamental concept embedded in ISM and the DOE
emergency management system. In DOE emergency management, continuous
improvement is provided through the readiness assurance program required of all
DOE/NNSA facility/site and activity emergency management programs. Readiness
assurance provides the framework and associated mechanisms to assure that planning and
resources are adequate and sufficiently maintained, exercised, and evaluated, and that
appropriate, timely improvements are made in response to needs identified. A structured
and focused program of evaluations (program and exercise evaluations) and a reliable
lessons-learned process ensure that an effective program of continuous improvement
maintains DOE/NNSA emergency management programs.
Thus, the fundamental concepts that characterize DOE emergency management and the
requirements contained in DOE O 151.1C set forth DOE/NNSA expectations for
emergency management and provide effective mechanisms for integrating emergency
management objectives effectively and seamlessly with ISM fundamental concepts and
core safety management functions.
1.10 DOE/NNSA Comprehensive Emergency Management System and the National
Response Plan and the National Incident Management System
1.10.1 National Response Plan
The National Response Plan (NRP) provides a single, comprehensive approach to
domestic incident management. It is an all-hazards plan built on the template of the
National Incident Management System (NIMS). The NRP, using NIMS, provides the
structure and mechanisms for national-level policy and operational direction for incident
management. The NRP can be partially or fully implemented in response to an incident
requiring a coordinated Federal response.
The NRP is based on the premise that incidents are typically handled at the lowest
jurisdictional level, with first responders using existing authorities. Consequently, when
an Operational Emergency occurs at a DOE/NNSA facility/site, the initial response is
conducted by the facility/site using plans and procedures developed commensurate with
the hazards at the facility/site and according to the requirements of the DOE
Comprehensive Emergency Management System. These plans could include use of
response capabilities from the surrounding jurisdictions. Most Operational Emergencies
should be resolved using these plans and capabilities.
There may be situations where the DOE National Radiological Response Assets are
needed to augment the local response. Requests for Radiological Assessment Program
(RAP) teams are generally directed through the appropriate DOE Regional Coordinating
Office to the DOE Headquarters (HQ) Emergency Operations Center (EOC). All other
requests for Federal radiological monitoring and assessment go directly to the DOE HQ
EOC. When other agencies receive requests for Federal radiological monitoring and
assessment assistance, they notify the DOE HQ EOC.
The Nuclear/Radiological Annex of the NRP, which replaced the Federal Radiological
Emergency Response Plan (FRERP), provides planning guidance and outlines
operational concepts for the Federal response to any nuclear/radiological incident
requiring Federal coordination. DOE would serve as the coordinating agency for the
Federal response to radiological incidents involving DOE/NNSA facilities or material
otherwise under its jurisdiction (e.g. transportation of material shipped by or for
DOE/NNSA). The National Oil and Hazardous Substance Pollution Contingency Plan
(NCP), found in 40 CFR 300, provides similar planning guidance and operational
concepts for Federal response to other hazardous material incidents requiring Federal
coordination.
DOE O 151.1C contains requirements for the Cognizant Field Element to pre-designate
personnel to oversee the facility/site response and assign tasks to those Federal assets that
are deployed to support the facility/site, under the authority of the full NRP, the
Nuclear/Radiological Annex of the NRP, or the NCP. As part of the DOE O 151.1C
planning process, DOE/NNSA facilities/sites and Cognizant Field Elements should
identify the scenarios where response capabilities may be exceeded and broader
assistance from the Federal government would be needed. The scenarios requiring these
response capabilities are likely to be limited to the high-consequence end of the spectrum
of potential events. It is possible that, commensurate with the hazards at the DOE/NNSA
facilities/sites, Federal response capabilities or assistance may not be needed.
Implementation of the NRP reveals concepts that are not directly addressed within the
DOE Comprehensive Emergency Management Program. As part of the change to an all-
hazards approach at the Federal level, the NRP broadened concepts related to incident
management and began the process of establishing a common terminology related to
emergency management. Where the DOE emergency management program names the
standard components as planning, preparedness, readiness assurance, response, and
recovery, the NRP includes two other concepts, prevention and mitigation. These are
defined in the NRP as follows:
• “Prevention” includes actions taken to avoid an incident or to intervene to stop an
incident from occurring. It involves applying intelligence and other information to a
range of activities taken to protect lives and property.
• “Mitigation” includes activities designed to reduce or eliminate risks to persons or
property or to lessen the actual or potential effects or consequences of an incident.
Mitigation measures may be implemented prior to, during, or after an incident.
Prevention involves the use of information and data to avoid an incident or to intervene to
stop an incident from occurring. The primary focus of this activity in incident
management involves the use of intelligence data or other types of surveillance activities
to anticipate and stop/avoid the incident. The current DOE emergency management
framework accommodates this activity, but does not explicitly address the concept.
Prevention activities are more closely related to activities undertaken in the security,
safety, or health programs, before the event rises to the seriousness of an emergency.
On the other hand, DOE activities, representing the standard components of a DOE
emergency management program, explicitly incorporate the NRP concept of mitigation.
Examples include:
• The planning analysis associated with a hazards assessment can identify opportunities
to reduce the consequences of a potential hazardous material release event using
hazard mitigation activities such as inventory reduction or inventory dispersal.
• Readiness assurance activities include incorporating lessons-learned from evaluations
and actual emergencies to improve the response and, perhaps, identifying
vulnerabilities in hazardous materials safety procedures and systems.
• Response activities include the execution of incident mitigation activities designed to
limit the loss of life, personal injury, property damage, and other unfavorable
outcomes.
• Recovery includes the evaluation of the incident to identify lessons learned; and
develop initiatives to mitigate the effects of future incidents.
These and other NRP concepts and terminology will be more fully integrated into the
DOE emergency management system in future versions of the Order and this guidance.
1.10.2 National Incident Management System
For years, DOE requirements and guidance have discussed the need to have an incident
command system at the facility/site level that could seamlessly integrate response assets
from the surrounding jurisdictions. The NIMS is designed to achieve the same
integration at all levels of government. The Department of Homeland Security (DHS)
promulgated NIMS in March 2004, under the authority of Homeland Security
Presidential Directive (HSPD)-5. NIMS is the nationwide template enabling Federal,
State, local, and tribal governments and private-sector and nongovernmental
organizations to work together effectively and efficiently to prevent, prepare for, respond
to, and recover from emergencies.
All Federal Departments/Agencies were required to develop a NIMS Implementation
Plan. The DOE NIMS implementation plan was published in February 2005, requiring
all Departmental elements to complete implementation of NIMS by September 30, 2005,
or when their surrounding jurisdictions implemented NIMS. The basic requirement,
without the implementation date, is included in DOE O 151.1C, Chapter IV,
paragraph 3b(1).
The DHS made preparedness grant funding for State, Territorial, Tribal and Local
Governments contingent upon NIMS compliance after Federal Fiscal Year (FY) 2006.
Most local jurisdictions, as well as all DOE/NNSA facilities/sites, should have achieved
NIMS compliance by this time.
2. EMERGENCY MANAGEMENT GUIDANCE
2.1 Application of Guidance
The Emergency Management Guide (EMG) provides acceptable approaches to
emergency planning, preparedness, readiness assurance, and response activities at
DOE/NNSA facilities/sites or activities, including DOE transportation activities,
Cognizant Field Elements, and Headquarters offices. The EMG provides preferred, non-
mandatory, supplemental information about acceptable methods for implementing
requirements of the DOE Comprehensive Emergency Management System. The EMG
“does not impose requirements, but may quote requirements as long as the sources are
adequately cited.” (Cf. DOE M 251.1-1B) Thus, the DOE/NNSA guide is not a
requirements document and may not be construed as requirements in any audit or
assessment of compliance with the associated Order. However, although NOT
mandatory, the guide provides needed clarification regarding the intent of DOE O 151.1C
requirements.
Guidance contained in the EMG is generic in nature because detailed guidance on every
conceivable type of emergency for every type of facility/site or activity cannot be
provided. Other equivalent approaches for meeting the Order requirements may be
acceptable to accommodate the wide range and diversity of DOE operations and
activities, facility types and missions, hazards, and site characteristics. Features such as
local and state political structures, geography, and local demography may also contribute
to unique facility-specific solutions for developing and maintaining an acceptable
emergency management program that complies with the Order requirements.
Using either the guidance contained in the EMG or another acceptable approach to
implement the Order requirements, the resulting emergency management program should
be integrated and coordinated with regulations and plans developed by other Federal
agencies, states, local authorities, and other DOE offices. These regulations and plans
may establish requirements similar to those required within the Operational Emergency
Base Program or the Operational Emergency Hazardous Material Program, and should be
integrated, where applicable, to ensure a standard approach and continuity of effort.
Newly issued or revised DOE Orders, regulations, or plans should be incorporated, in
accordance with corresponding implementation requirements, as soon as reasonably
achievable (e.g., during the performance of hazards survey and EPHA reviews/updates).
2.2 Organization of the EMG
The EMG is organized in functional areas represented by the DOE/NNSA emergency
management Program Elements and associated topics identified in the Order. Each
chapter of each document in the DOE G 151.1-series covers a separate area with direct
application to an emergency management program.
DOE G 151.1-A: EMERGENCY MANAGEMENT FUNDAMENTALS and the
OPERATIONAL EMERGENCY BASE PROGRAM
1. DOE Comprehensive Emergency Management System. Briefly describes the
basic concepts that determine the organization, structure, underlying philosophy, and
content of the DOE comprehensive emergency management system.
2. Emergency Management Guidance. Explains the role of emergency management
guidance and briefly describes the organization and content of the EMG.
3. Operational Emergency Base Program and Base Program Facilities. Provides
selected guidance for the Base Program for all DOE/NNSA facilities. Provides a
single source of guidance for Base Program Facilities.
A. Standard Format and Content of Emergency Plans for Base Program
Facilities.
Describes the recommended standard format that may be used when developing
emergency plans for Base Program Facilities.
4. Leased Facilities. Provides selected factors that should be considered to integrate
leased facilities at DOE/NNSA sites into site-wide emergency management programs.
5. Closure Activities. Addresses important issues that should be considered when
planning changes to an emergency management program based on the projected
closure of a facility/site.
6. Bibliography.
DOE G 151.1-2: TECHNICAL PLANNING BASIS
1. Hazards Survey. A Hazards Survey includes an examination of the features and
characteristics of the facility/site or activity that identifies the generic emergency
events and conditions and the potential impacts of such emergencies to be addressed
by the DOE Comprehensive Emergency Management System. The Hazards Survey
identifies key components of the Operational Emergency Base Program that provide a
foundation of basic emergency management requirements and an integrated
framework for response to serious events involving health and safety, the
environment, safeguards, and security. For facilities/sites or activities involved in
producing, processing, handling, storing, or transporting hazardous materials that
have the potential to pose a serious threat to workers, the public, or the environment,
the Hazards Survey provides a hazardous material screening process for determining
whether further analysis of hazardous materials in an EPHA is required.
A. Hazardous Material Screening Process
Detailed description of a hazardous material screening process.
B. Example Application of the Hazards Survey Guidance to a Hypothetical
DOE Facility
Application of Hazards Survey process to an example facility.
2. Hazards Assessment. An EPHA is performed for each facility/site or activity
involving at least one candidate hazardous material, as identified through the
hazardous material screening process and indicated in the Hazards Survey. EPHAs
involve the application of rigorous hazards analysis techniques that provide sufficient
detail to assess a broad spectrum of postulated events or conditions involving the
potential release of (or loss of control over) onsite hazardous materials and to analyze
the resulting consequences. Each EPHA reflects both the magnitude and the diversity
of the hazards and the complexity of the processes and systems associated with the
hazards, and provides the technical planning basis for determining the necessary
plans/procedures, personnel, resources, equipment, and analyses.
C. Facility and Site Boundary Guidelines
Provides guidance for determining emergency management facility and site
boundaries for use in classification and other response functions.
D. Onsite Transportation Analysis
Addresses Department of Transportation (DOT) requirements and the use of the
DOT Emergency Response Guide (ERG) for response to onsite transportation
accidents. EPHA requirements are also discussed.
E. Malevolent Events
Guidance is provided for addressing the malevolent events and their role in
constructing the spectrum of events and conditions that form the planning basis
for DOE/NNSA emergency management programs.
F. Consequence Thresholds
The definitions and use of PACs for radioactive and toxic chemical releases.
G. Example Hazards Assessment
EPHA methodology applied to an example facility.
H. Combustion Products and Toxicity in Hazards Assessments
Addresses the issue of the treatment of smoke as a hazardous material release in
EPHAs.
3. Emergency Planning Zones. Describes the methodology for determining an
Emergency Planning Zone (EPZ) for the Operational Emergency Hazardous Material
Program.
4. Maintaining Hazards Surveys and Hazards Assessments. Hazards Surveys and
EPHAs should be maintained so that they accurately reflect changes in the facility
design, operations, safety features, inventories of hazardous materials, and features of
the surrounding area.
5. Using Hazards Surveys and Hazards Assessments. Addresses the use of Hazards
Survey and EPHA results to develop emergency management program elements.
DOE G 151.1-3: PROGRAMMATIC ELEMENTS
1. Program Administration. This element promotes effective organizational
management and administrative control of the facility emergency management
program by establishing and maintaining authorities and necessary resources
commensurate with the responsibility to plan, develop, implement, and maintain a
viable, integrated, and coordinated comprehensive emergency management program.
The establishment and maintenance of the emergency management program and
management responsibilities are described. The role and responsibilities of the
designated emergency management administrator are discussed; the documentation
and administrative procedures associated with the position are also described.
A. Standard Format and Content for Emergency Plans for Hazardous Material
Programs
Describes the recommended standard format that can be used when developing
emergency plans and discusses the details of emergency management program
elements that should be included in emergency plans.
2. Training and Drills. Provides guidance for a comprehensive, coordinated, and
documented program of training and drills that is an integral part of the emergency
management program. The program ensures that preparedness activities for
developing and maintaining program-specific emergency response capabilities are
accomplished. The general training that should be provided to all workers about OEs
is discussed. In addition, the specialized training on hazards and response for
workers and all regional Federal, Tribal, State, and local emergency response
organizations expected to provide onsite assistance is addressed. General concepts
related to training programs are reviewed, including the management and
administration of the program, program objectives and guidelines, and contents of the
program plan. The development and implementation of the training program and the
delivery of training and drills and their associated logistics are described. Topics
related to training evaluation, self-assessments, and documentation are also included.
3. Exercises. Describes the role of an exercise program in validating the integrated
emergency response of facility- and site-level emergency management program
elements by initiating response to simulated, realistic emergency events/ conditions.
An effective, structured approach includes documentation of specific objectives,
scope, timelines, injects, controller instructions, and evaluation criteria for realistic
scenarios. Each exercise is conducted, controlled, evaluated, and critiqued effectively
and reliably. The functional aspects of exercise development are addressed, but not
the roles and responsibilities of specific organizations or individuals. Lessons learned
are developed, which result in corrective actions and improvements.
B. Controller and Evaluator Manual
Provides a discussion of the roles of controllers and evaluators in DOE/NNSA
exercises.
4. Readiness Assurance. Describes a readiness assurance program for each facility/site
or activity, which includes evaluations, improvements, and documentation. The
program provides a framework and associated mechanisms to assure that emergency
plans, implementing procedures, and resources are adequate and sufficiently
maintained, exercised, and evaluated and that appropriate, timely improvements are
made in response to needs identified. The Emergency Readiness Assurance Plan
(ERAP) development is reviewed briefly.
C. Emergency Readiness Assurance Plans (ERAPs)
Contains acceptable format and content for ERAPs.
D. Evaluation Criteria
A recommended standard set of performance-based evaluation criteria to be used
for program and exercise evaluations.
E. A Systematic Approach for Performing Self-Assessments of Emergency
Management Programs
An example approach for developing a systematic self-assessment program is
presented.
DOE G 151.1-4: RESPONSE ELEMENTS
1. Emergency Response Organization (ERO). The ERO, which represents the
structured organization with overall responsibility for initial and ongoing emergency
response and mitigation, is discussed. The ERO establishes effective control at the
event/incident scene and integrates local agencies and organizations providing onsite
response services. An adequate number of experienced and trained primary and
alternate response personnel should be available on demand for timely and effective
performance of ERO functions. The organizational structure of the ERO is defined
with clearly specified authorities and responsibilities. The configuration and staffing
of the ERO is discussed in terms of initial response and staff augmentation during an
emergency.
2. Offsite Response Interfaces. The establishment and maintenance of effective
interfaces ensure that emergency response activities are integrated and coordinated
with the Federal, Tribal, State, and local agencies and organizations are discussed.
The interrelationships with Federal, state, tribal, and local organizations should be
prearranged and documented in formal plans, agreements, understandings, and/or
other pre-arrangements for mutual assistance. The content of the documentation for
these formal agreements is discussed.
3. Emergency Facilities and Equipment. Facilities and equipment adequate to support
emergency response should be available, operable, and maintained. The role of the
EPHA in defining facility and equipment requirements for emergency response to
hazardous material releases is described. EOCs, command centers, Joint Information
Centers (JICs), and other types of facilities are addressed. Emergency equipment is
reviewed in terms of general functions, including: command, control, and
communications; consequence assessment; personal protective equipment (PPE);
protective actions; medical care; and emergency public information.
4. Emergency Categorization and Classification. The basic definition of a
DOE/NNSA OE is discussed in term of its practical applications. The process by
which serious events or conditions are recognized and categorized as OEs, involving
or affecting DOE/NNSA facilities/sites or activities, is described. The development
of criteria for quickly categorizing events or conditions is discussed. Also described
are the basic principles of classification of hazardous material OEs, the relative
severity of events that fall into each emergency class [e.g., Alert, SAE, or GE], and
the transition from normal/off-normal operations to event categorization and
classification. The use of PACs to establish hazardous materials emergency
classification for radioactive and toxic chemical releases is addressed. Guidance is
provided for developing criteria, known as EALs, used to detect and recognize
hazardous materials events and assign them to specific emergency classes.
Predetermined conservative onsite protective actions and offsite protective action
recommendations are associated with the classification of these OEs.
A. Integration of Event Categorization and Classification with Normal
Operations
Discusses techniques for integrating categorization/classification functions with
normal operations.
B. Methods and Examples for Implementation of Event Categorization and
Classification
Presents suggestions for the placement of OE categorization criteria within
existing facility/site or activity occurrence reporting and classification
procedures. Discusses the application of the barrier approach to EAL
development and provides examples of EAL organization and format by
presenting EALs developed for the hypothetical facility EPHA.
5. Notifications and Communications. Prompt, accurate, and effective initial
emergency notification is the subject of this guidance. Follow-up notifications are
discussed for changing conditions, for classification upgrade, or for emergency
termination. Recommendations for reliably maintaining continuous, effective, and
accurate communications among response components and/or organizations
throughout an OE are provided. Several aspects of emergency communications are
addressed: notification requirements, report contents, communications equipment,
and effective responder communications. Emergency reporting includes initial
notifications to onsite personnel and offsite authorities and emergency status updates.
The accurate, timely, and useful exchange of information during an emergency
response is emphasized.
C. Emergency Report Form
Example form for providing the types of information that should be included in
emergency reports used in notifying offsite authorities, including local and state
agencies and all three tiers of the emergency response system: facility/site or
activity, Cognizant Field Elements, and DOE or NNSA HQ.
D. Emergency Situation Report
Contains an example situation report that can be used to keep HQ updated on the
progress of an emergency.
6. Consequence Assessment. Focuses on the process of performing timely initial
assessments necessary to support critical first decisions and the continuous process of
refining those initial assessments as more information and resources become
available. The process is discussed in terms of sequential functional areas:
identification of input data/information; calculation of consequences; and the
interpretation and communication of results. Consequence assessments are integrated
with event classification and protective action decision-making, they incorporate
facility and field indications and measurements; and, they are coordinated with offsite
agencies. The importance of coordination of information is stressed.
Recommendations are provided for a systematic quality assurance approach to ensure
that consequence assessment tools conform to established functional, operational, and
technical requirements.
E. Ingestion Pathway Calculations for Radioactive Releases
Provides a brief overview of food and water interdiction calculations and criteria.
F. Field Monitoring
Briefly describes the process for obtaining in situ information about the impact of
an actual or suspected release of radiological or chemical hazardous material by
taking direct measurements in the environment or by sampling environmental
media for subsequent laboratory analysis. The integration of monitoring data and
results of calculations is addressed.
7. Protective Actions and Reentry. Discusses protective actions that can be
implemented individually or in combination, to reduce exposures from a wide range
of hazardous material types; these actions can include evacuation, sheltering,
decontamination of people, medical care, ad hoc respiratory protection, control of
access, shielding, radio protective prophylaxis, control of foodstuffs and water,
relocation, decontamination of land and equipment, and changes in livestock and
agricultural practices. Provisions for specific, predetermined actions to be taken in
response to emergency conditions to protect onsite personnel and the public are
described. The process of protective action decision-making is discussed in terms of
PACs and the determination of affected area. The specific applicability of selected
protective actions (e.g., sheltering and evacuation) is presented. Accountability
methods are described. Reentry activities are addressed in terms of the protection of
response personnel. Planning, decision-making, and operational aspects of reentry
are described. The special case of reentry for “rescue and recovery” is discussed.
Decontamination and the management of personnel exposure are addressed.
8. Emergency Medical Support. Describes medical support provided for workers
contaminated by hazardous materials. Addresses arrangements with offsite medical
facilities to transport, accept, and treat contaminated, injured personnel are
documented. Also discussed are the requirements from DOE O 440.1A, which
provide for the medical treatment and planning for mass casualty situations and
medical response for contaminated workers. Addressed are the medical organization,
facilities and equipment, communications, access and services, and preparedness
activities.
9. Emergency Public Information. Describes an emergency public information
program to provide timely, candid, and accurate information to workers, the news
media, and the public during an emergency, to establish facts, provide health and
safety information, and avoid speculation. Coordination with Tribal, State, and local
governments is essential. Addresses: the identification of the various emergency
response components of the Emergency Public Information (EPI) program and their
roles in the emergency; designation of emergency facilities to be used during an
emergency; establishment of appropriate broadcast and print media interfaces;
establishment of a system to develop and release emergency information;
development of programs for EPI training, drills, and exercises including offsite
organizations; development of an emergency public education program; and
organization of a JIC with representatives of offsite agencies.
10. Termination and Recovery. An OE is terminated only after a predetermined set of
criteria is met and termination has been coordinated with offsite agencies. Explains
difference in concept of termination for OEs not requiring classification versus OEs
requiring classification. Discusses recovery from a terminated OE involving
communication and coordination with local, State, Tribal, and other Federal agencies;
planning, management, and organization of the associated recovery activities; and
ensuring the health and safety of workers and the public. The response functions
related to recovery that need to be included in plans and procedures are discussed,
including the creation of a recovery organization and the conduct of recovery
operations. The resumption of normal operations is also addressed.
DOE G 151.1-5: BIOSAFETY FACILITIES
Describes selected aspects of DOE/NNSA emergency management programs that
reflect the impact of the unique characteristics of biological hazardous materials.
Discussions depend on knowledge of the preceding documents in the
DOE G 151.1-series. Introduces both emergency management personnel and
biosafety facility staff to a DOE/NNSA approach for developing an emergency
management program.
A. Operational Emergency Scenarios for Biosafety Facilities
This appendix provides a number of example biological OE scenarios to illustrate
an approach for developing an integrated description of scenarios for analyzing
biological agent releases. This approach represents a recommended thought
process that may assist analysts in the development of facility-specific release
scenarios in EPHAs, and in the application of EPHA results to develop
categorization criteria and associated initial protective actions.
B. Bibliography
Lists documents used to develop the EMG and provided as references.
Additional, specialized documents in the DOE G 151.1 series may be published in
the future.
3. OPERATIONAL EMERGENCY BASE PROGRAM AND BASE PROGRAM FACILITIES
3.1 Introduction
The objective of an Operational Emergency Base Program is to achieve an effective
integration of emergency planning and preparedness requirements into an emergency
management program that provides capabilities for all-emergency response, through
communication, coordination, and an efficient and effective use of resources.
Each DOE facility/site or activity is required by DOE O 151.1C to have a Base Program
that provides the framework for response to serious events or conditions that involve the
health and safety of workers and the public, the environment, and safeguards and
security. DOE O 151.1C establishes DOE-unique requirements and a minimum set of
generic requirements for the Base Program. The framework for response results from
the implementation of the emergency planning and preparedness requirements of DOE
regulations, other DOE Orders, and applicable non-DOE Federal, Tribal, State, and local
laws/regulations/ordinances. The Base Program should ensure that all the requirements
identified from DOE regulations/directives and external regulations/requirements
addressing emergency issues are seamlessly integrated without duplication.
The objective of this chapter is to provide guidance for the implementation of Base
program requirements in an emergency management program. This guidance is
applicable for both Base Program Facilities and the Base Program that represents the
foundation for a Hazardous Material Program facility. This chapter is organized in
sections according to DOE/NNSA Emergency Management System Program Elements.
Within each section, Order requirements may be specified and related guidance provided,
as necessary. In some instances, the guidance for the element in a Base Program Facility
or the Base Program for a Hazardous Material Program facility will be the same as
provided for the Hazardous Material Program requirements and a reference to the
appropriate chapter in subsequent documents in the DOE G 151.1-series will be given.
The Base Program should provide for integrated planning to meet the response
requirements identified in the Hazards Survey, and, at a minimum, address the
DOE O 151.1C requirements discussed in the following sections.
3.2 Technical Planning Basis
Hazards Survey. The Hazards Survey is required by DOE O 151.1C for each facility/site
or activity and is used to identify the generic emergency events or conditions that define
the scope of the emergency management program at a facility/site or activity. The
Hazards Survey is a qualitative examination of the events or conditions specific to the
facility/site or activity that may require an emergency response. The description of the
potential impacts of such events or conditions contained in the Hazards Survey
determines the planning and preparedness requirements that apply, and these
requirements constitute the Base Program. Thus, the Hazards Survey is the formal
mechanism to determine the scope and extent of the Base Program. The Base Program,
as described above, also provides the “base” or “foundation” for a Hazardous Material
Program.
If the Hazards Survey screening process identifies hazardous materials in a facility/site or
activity that exceed the threshold screening quantities, then these materials require further
analysis in an EPHA. If hazardous materials are not present in sufficient quantities to
produce classified OEs (i.e., Alert, SAE, or GE) at the facility/site, then the Base Program
appropriately defines the emergency management program for a Base Program Facility
that meets the requirements of DOE O 151.1C.
A detailed approach applicable to Base Programs and Base Program Facilities for
developing the Hazards Survey can be found in DOE G 151.1-2, Chapter 1, Hazards
Survey.
3.3 Programmatic Elements
Program Administration. Chapter XI of the Order specifies Program Administration
requirements that are applicable to both Base Program Facilities and Base Programs
for facilities that require a Hazardous Material Program. Each manager/administrator
of a DOE/NNSA facility/site or activity needs to designate an individual to administer
emergency management in accordance with the terms of the Order. This individual has
the responsibility for developing and maintaining the emergency plan, developing the
Emergency Readiness Assurance Plan (or contributions to one) and annual updates,
developing and conducting training and drills (or ensuring their performance in another
program such as General Employee Training), coordinating the exercise program and
evaluation/assessment activities, developing related documentation, and coordinating
emergency resources.
For Base Program Facilities, the requirements provided in Chapter XI of the Order
should be tailored to characterize the less complex duties and responsibilities of the
emergency management administrator, in comparison with duties and responsibilities
associated with Hazardous Material Program administration. For a Base Program
Facility, it is expected that performance of these duties may be assigned as collateral
duty.
Existing plans, such as catastrophic earthquake plans or mass casualty plans detailing
compliance with Federal, State, and local standards, may be incorporated directly into the
Base Program or invoked by reference. A sample format and associated content for the
Base Program Facility Emergency Plan is contained in DOE G 151.1-1A, Appendix A.
Further guidance on the implementation of Chapter XI of the Order can be found in
DOE G 151.1-3, Chapter 1, Program Administration.
Training and Drills. All workers who may be required to take protective actions
(e.g., shelter-in-place, assembly, evacuation) are to participate in initial training and
periodic drills. Training should be provided at the time of employment, when expected
response actions change, or when the emergency plan changes. Initial and annual
refresher training should be provided to certified operators and supervisors, workers who
are likely to witness emergency conditions, those required to notify proper authorities,
and workers required to attain “first responder awareness level,” as described in
29 CFR 1910.120. In addition, emergency-related information and training on site-
specific conditions and hazards should be made available to offsite personnel who may
be requested to respond to an emergency at the DOE site/facility or activity.
DOE G 151.1-3, Chapter 2, Training and Drills provides guidance on the training/drill
program and training methodologies associated with topics to be covered by Base
Program training activities. This chapter will also assist a Base Program Facility that has
a more extensive Emergency Response Organization (ERO), fulfilling requirements from
external or other Federal agencies.
Exercises. At a minimum, the Order requires that each site/facility conduct building
evacuation exercises consistent with Federal regulations [e.g., (41 CFR 102-74-360)],
local ordinances, or National Fire Protection Association (NFPA) Standards. Exercises
are to be conducted as often as needed to ensure that employees are able to evacuate their
work areas safely. The organizations responsible for communications with DOE/NNSA
Headquarters, Cognizant Field Elements, and offsite agencies are to test communications
systems at least annually, or as often as needed to ensure that communications systems
are operational.
The minimum DOE O 151.1C requirements for site and facility exercises associated with
Base Programs are limited to activities such as building evacuations and communications
systems testing. Exercises in this context can be much more limited in scope than
exercises related to hazardous materials. The exception to this might be natural
phenomena emergencies (e.g., earthquake response). For these emergencies or for a
more extensive Base Program Facility, DOE G 151-1-3, Chapter 3, Exercises may be
applicable for developing and conducting exercises. In general, a systematic approach is
recommended for all exercises associated with the Base Program Facility, using the
principles and general approach applicable to hazardous materials exercises.
Readiness Assurance. Requirements for Readiness Assurance are found in Chapter X of
the Order. The general requirements for a readiness assurance program contain the
following three components: Evaluations, Lessons Learned, and Documentation. The
guidance contained in DOE G 151.1-3, Chapter 4, Readiness Assurance should be
tailored to a Base Program Facility or a Hazardous Material Program.
Of particular importance for Base Program Facilities are self-assessment activities. The
major focus of most external evaluations of necessity will be concentrated on programs
that have the potential for substantive hazardous materials releases or releases of large
quantities of materials that may cause severe environmental damage. Hence, most Base
Program Facilities will depend on internal evaluations and/or comprehensive self-
assessments to maintain the readiness of their programs through continuous
improvement.
3.4 Response Elements
Emergency Response Organization (ERO). The minimum Base Program requirement
for an ERO is the assignment of an individual to manage and control all aspects of the
facility/site response. For a Base Program Facility (e.g., office building), the individual
could be the building or facility manager or similar position and it is expected that
performance of these duties may be assigned as a collateral duty. In most cases, a Base
Program Facility will not maintain its own response assets, but will depend upon initial
response elements from the surrounding local governments [e.g., fire, emergency
medical, and hazardous materials (HAZMAT)]. However, DOE/NNSA retains the
responsibility to ensure the health and safety of its personnel and to protect its
facilities/sites and activities. The individual assigned responsibility for managing and
controlling all aspects of the facility/site or activity response works with the responding
Incident Commander and, as necessary, establishes a Unified Command under the
provisions of the NIMS Incident Command System (ICS) (or other ICS system used by
the local government).
For some Base Program Facilities, compliance with other regulations may require that
several individuals possess more comprehensive emergency management skills, such as
coordinating emergency response with an ICS. DOE G 151.1-4, Chapter 1, Emergency
Response Organization (ERO), may be useful for establishing an ERO that fulfills more
extensive Base Program Facility requirements from external or Federal agencies.
Offsite Response Interfaces. DOE O 151.1C requires coordination with Tribal, State,
and local agencies and organizations responsible for offsite emergency response
(e.g., "911" emergencies), and for protection of the health and safety of the public. The
level of offsite coordination that is required to support a Base Program is not unique to a
DOE facility/site. The requirements for offsite interfaces with fire, HAZMAT, medical,
and law enforcement services are essentially the same as would apply to a non-DOE
facility. As a result, even though DOE G 151.1-4, Chapter 2, Offsite Response Interfaces
is focused on the more extensive needs of the Hazardous Material Program, the general
guidance provided is also applicable to a Base Program Facility.
Emergency Facilities and Equipment. The Base Program requires the provision of
facilities and equipment adequate to support emergency response, including the
capability to notify employees of an emergency to facilitate the safe evacuation of
employees from the work place, immediate work area, or both. Requirements in these
areas mandate that facilities/sites have the ability to properly notify, take protective
actions, and maintain accountability of affected employees in the event of an emergency.
The results of the Hazards Survey are used to tailor Base Program requirements.
Although the guidance provided in DOE G 151.1-4, Chapter 3, Emergency Facilities and
Equipment, is aimed at the needs of the Hazardous Material Program, the information
may be useful in addressing the a Base Program Facility.
Emergency Categorization. Each DOE/NNSA site/facility or activity is required to
produce a Hazards Survey to identify the generic emergency events and conditions to be
addressed by the DOE Comprehensive Emergency Management System. This survey is
used to define those events and conditions that should be categorized as OEs. Base
Program Facilities are required to identify these OEs and develop criteria for categorizing
them quickly.
An event must be categorized as an OE as promptly as possible, but no later than
15 minutes after event recognition/identification/discovery. This process of categorizing
OEs and developing associated criteria is addressed in DOE G 151.1-4, Chapter 4,
Emergency Categorization and Classification. The two associated appendices provide
additional guidance for the Base Program Facility in developing the criteria and
integrating categorization with normal operating procedures.
Notifications and Communications. At a minimum, the Order requires that a Base
Program be capable of prompt initial notification of workers, emergency response
personnel, and response organizations, including DOE elements and state, tribal, and
local organizations in the event of an emergency. In addition, the Order also requires the
continuing effective communication among response organizations throughout an
emergency. For the Base Program Facility, most of these capabilities would be similar to
a non-DOE facility/site; the most obvious exceptions are the requirements for
notifications to DOE and, possibly, offsite authorities in the case of an OE. For a more
extensive Base Program, established notification and communications systems may be
comparable to a Hazardous Material Program. General guidance that may be useful for
Base Program Facilities can be found in DOE G 151.1-4, Chapter 5, Notifications and
Communications.
Consequence Assessment. There are no minimum requirements specified for the Base
Program in Consequence Assessment. Consequence assessment capabilities for the Base
Program Facilities will be derived from other DOE Orders, Federal laws/regulations, or
local ordinances. The guidance presented in DOE G 151.1-4, Chapter 6, Consequence
Assessment could be useful in developing such a capability.
Protective Actions and Reentry. The minimum protective action requirements for Base
Programs specified in the Order include plans for evacuation or sheltering of employees,
along with provisions to account for employees after emergency evacuation has been
completed. If a Base Program Facility has hazardous materials, though not in significant
quantities, the protection of workers involved in response and clean-up is covered by
29 CFR 1910.120. Reentry planning includes contingency planning to ensure the safety
of reentry personnel, such as planning for the rescue of reentry teams. All individuals
involved in reentry are to receive a hazards/safety briefing prior to emergency response
activities, consistent with Federal, state, and local laws and regulations. Further guidance
related to evacuation, sheltering, and accountability can be found in DOE G 151.1-4,
Chapter 7, Protective Actions and Reentry.
Emergency Medical Support. DOE O 440.1A establishes requirements for facility and
site medical programs within Section 18 of the Contractor Requirements Document
(CRD). Contractor requirements are in transition to the provisions of 10 CFR 851.210,
Occupational Medicine. Most medical situations will fall within the scope of the
program established to meet these requirements. The Accreditation Manual of the Joint
Commission on Accreditation of Healthcare Organizations, Federal Ambulance
Specifications, 29 CFR 1910.151, and NFPA 99-2005 will likely be used, in addition to
DOE O 440.1A (10 CFR 851.210), to define facility/site medical programs.
DOE O 440.1A (10 CFR 851.210) directs the physician responsible for providing
medical services to develop the medical portion of the “site emergency and disaster
plan.” DOE O 151.1C defined the interface between the medical plan and the emergency
plan as situations with mass casualties. Mass casualty situations were chosen as the
interface point because they are characterized by the marshaling of resources from a
variety of sources. In order to ensure the health and safety of the injured, these actions
must be well planned, practiced, and controlled. The Base Program provides the
framework to coordinate planning, preparedness, and response actions.
Sharing patient information between onsite and offsite health care providers during
emergencies must be coordinated in advance and be consistent with the requirements of
42 USC 300, Health Insurance Portability and Accountability Act (HIPAA) of 1996.
DOE G 151.1-4, Chapter 8, Emergency Medical Support discusses the characteristics of
mass casualty incidents and identifies areas that should be addressed by medical and
emergency planners working in concert.
Emergency Public Information. Emergency Public Information (EPI) requirements are
found in Chapter IX of DOE O 151.1C. This chapter applies to Base Programs and Base
Program Facilities, since all emergencies will require a level of EPI response. The extent
of the EPI program and organization for Base Program Facilities depends on the types of
OEs identified and the potential consequences.
For all Base Programs, the EPI program needs to have provisions in place to establish a
media center, which is a designated location where Cognizant Field Element and
contractor personnel can conduct the necessary briefings and press conferences regarding
an OE at the facility/site. For a Hazardous Material Program, the media center becomes
the JIC, as required. Other requirements specified in Chapter IX of the Order, such as an
EPI communications system and review of national security information prior to release
of materials, are common to all EPI programs.
The detailed structure of EPI described in DOE G 151.1-4, Chapter 9, Emergency Public
Information, is most appropriate for Hazardous Material Programs or Base Program
Facilities that potentially affect more than the facility/site itself (e.g., a substantial oil
spill), but it is useful as general guidance for other Base Program Facilities.
Termination and Recovery. Termination of an OE must be coordinated with State,
Tribal, and local agencies and organizations responsible for offsite emergency response
and notification. The guidance contained in DOE G 151.1-4, Chapter 10, Termination
and Recovery addresses the termination of OEs that do not require classification, which
are associated with both Base Program Facilities and Hazardous Material Programs. The
guidance covers the establishment of criteria necessary for prompt categorization.
The Order requires that, at a minimum, recovery shall include notifications associated
with termination of an emergency and establishment of criteria for resumption of normal
operations. Recovery must include establishment of criteria for resumption of normal
operations. A required recovery activity is the investigation of the root cause(s) of the
emergency and development of corrective action(s) to prevent recurrence in accordance
with Departmental requirements (e.g., DOE O 225.1A, DOE O 231.1A Chg. 1, and
DOE 5480.19 Chg. 2).
APPENDIX A. Standard Format and Content of Emergency Plans for Base Program Facilities
A.1 Introduction
Emergency management programs for each DOE/NNSA facility/site are documented in
an emergency plan. The plan describes provisions for response to OEs and activities for
maintaining the emergency management program. The recommended emergency plan
format and content for Base Program Facilities is provided in this chapter. A
Departmental facility/site with no additional requirements of a Hazardous Material
Program must develop and implement an emergency plan for a Base Program.
Section A.2 contains a recommended format and content for a Base Program emergency
plan. The Base Program plan explicitly addresses the minimum requirements specified in
DOE O 151.1C. Base Programs with substantial response requirements (i.e., those
having organizational structures and functions similar to a hazardous material program)
may use the more detailed plan structure presented in DOE G 151.1-3, Chapter 1,
Appendix A. The appendices are recommended, but not required. As long as the
necessary information is contained in the plan, an equivalent format, such as one based
on State emergency plans, may be used to ensure local compatibility.
A.2 Emergency Plan
This section provides a candidate format and associated content for the Base Program
Facility Emergency Plan. Figure A-1 contains a recommended format for the emergency
plan. Specific content for each section in the plan follows.
EXECUTIVE SUMMARY
Summarize the Emergency Plan by briefly stating its purpose and a description of
what is included in each chapter.
TABLE OF CONTENTS
See Figure A-1.
EXECUTIVE SUMMARY
TABLE OF CONTENTS
1. INTRODUCTION
2. EMERGENCY RESPONSE ORGANIZATION (INTERNAL)
3. OFFSITE RESPONSE INTERFACES
4. EMERGENCY FACILITIES AND EQUIPMENT
5. EMERGENCY CATEGORIZATION
6. NOTIFICATIONS AND COMMUNICATIONS
7. CONSEQUENCE ASSESSMENT
8. PROTECTIVE ACTIONS AND REENTRY
9. EMERGENCY MEDICAL SUPPORT
10. PUBLIC INFORMATION
11. TERMINATION AND RECOVERY
12. PROGRAM ADMINISTRATION
13. TRAINING AND DRILLS
14. EXERCISES
15. READINESS ASSURANCE
Appendixes
List of Figures
List of Tables
List of Acronyms
List of Definitions
Agreements
Maps
Listing of Emergency Management Personnel
References
Figure A-1. Recommended Emergency Plan Format for an
Operational Emergency Base Program Facility
1. INTRODUCTION
State the overall function and mission of the facility and/or site. Broadly describe the
facility and/or site; for a site, this includes the buildings and facilities within the site.
The Hazards Survey establishes the scope of the Operational Emergency Base
Program required at a facility and/or site by identifying potential hazards and
associated emergencies, possible impacts, and the applicable emergency planning and
preparedness requirements. Include or summarize the results of the Hazards Survey.
Describe known hazards originating outside the Departmental facility and/or site that
could affect the health and safety of onsite personnel or other Departmental interests.
2. EMERGENCY RESPONSE ORGANIZATION (ERO) – Internal
List the individual (e.g., building manager, facility manager, or similar position) who
has been assigned to manage and control all aspects of the facility/site response.
Indicate how the individual will fit into the responding Incident Command System
(ICS).
3. OFFSITE RESPONSE INTERFACES
Outline all coordination with Tribal, State, and local agencies and organizations
responsible for emergency response and/or protection of the health and safety of the
public. If there is no offsite coordination, provide a brief justification statement.
4. EMERGENCY FACILITIES AND EQUIPMENT
Identify the facility/site capabilities and specific equipment in place that is used to
support an emergency response, including systems and equipment used to notify and
evacuate employees.
5. EMERGENCY CATEGORIZATION
This section should provide criteria for determining quickly if an event is an
Operational Emergency (OE) and how categorization is accomplished within
15 minutes.
6. NOTIFICATIONS AND COMMUNICATIONS
Discuss the required and proceduralized notification process for onsite and offsite
notifications for all OEs. Specify time limits in which notifications are required and
the authority for the time limit. Identify personnel (positions) responsible for both
initiating and receiving notifications. Discuss the method of notification
(e.g., beepers, telephone). Discuss notification procedure for termination of an
incident. Include copies of all notification forms; particularly those used in response
to DOE O 231.1A Chg 1 and its successors.
Describe the communications systems and equipment that would be employed by
emergency personnel at the site or any specific facility for any notifications, sirens, or
warnings to the public, including a description of primary and alternate systems.
Discuss communications interface with onsite and offsite organizations. Identify
what portions of the system are dedicated to emergency management. Describe the
equipment, back-up equipment, quality assurance, and testing procedures.
7. CONSEQUENCE ASSESSMENT
Since there are no minimum requirements specified for this area, this section would
contain only references to types of consequence assessment functional areas required
by other Departmental Orders or Federal regulations.
8. PROTECTIVE ACTIONS AND REENTRY
Describe the procedures to determine personnel accountability and evacuation.
Discuss the method and procedures for accountability of onsite personnel and visitors,
locations of shelters, and other conditions. Describe access control procedures for
evacuated areas. Describe the system to ensure safe shutdown of operations
following the declaration of an emergency. Describe the plan and criteria for reentry
at each facility and, where applicable, for the entire site; identify all reentry plans.
9. EMERGENCY MEDICAL SUPPORT
Identify onsite medical support, if applicable, as well as offsite medical response
agencies and facilities responsible for providing support in normal and mass casualty
situations.
10. EMERGENCY PUBLIC INFORMATION
List the organization and personnel responsible for providing information to the
media during an emergency event.
11. TERMINATION AND RECOVERY
Detail notifications associated with termination of an OE and the criteria for
resumption of normal operations.
12. PROGRAM ADMINISTRATION
State the name, position, mailing address, and telephone number of the emergency
management program administrator at the facility and/or site level. (This information
should also be in the appendix that lists Emergency Management Personnel).
13. TRAINING AND DRILLS
List all drills and training programs (including fire drills and other building
evacuation drills) that are provided to all employees. Indicate refresher training for
employees who are certified operators or supervisors and those workers who are
likely to witness a hazardous material release.
14. EXERCISES
Describe the exercise program. Describe how exercises will be controlled and
evaluated and how lessons learned from exercises, improvements, and/or corrective
actions are incorporated into emergency planning. List all offsite agencies involved
in the exercise program (i.e., Headquarters, other Federal agencies, and local
agencies). List annual testing of all emergency notification equipment.
15. READINESS ASSURANCE
Ensure that the procedure for annual self-assessments is listed in this section. The
formal improvement program consisting of lessons learned from evaluations and
drills/ exercises should be described. Describe the process for identifying and
implementing relevant lessons learned from external sources.
Appendixes
List of Figures
List of Tables
List of Acronyms
List of Definitions
Agreements (MOU, MOA, etc)
Maps (site, offsite, buildings, floor plans, etc)
List of Emergency Management Personnel (phone number, position, etc)
References
4. LEASED FACILITIES
4.1 Introduction
Leasing facilities within DOE/NNSA sites for non-DOE/NNSA work presents some
unique difficulties for those responsible for implementing site-wide emergency
management programs. In accordance with the “Guidance on Protection of Workers
Utilizing DOE Leased Facilities,” issued through the Department’s Safety Council on
August 6, 1999, each Cognizant Field Element, in consultation with the Lead Program
Secretarial Officer (LPSO), should:
• Develop evaluation criteria which result in leasing conditions that provide protection
to workers at leased facilities from radioactive, chemical, and biological hazardous
materials; and,
• Determine the appropriate level of protection by grading facilities being leased by
hazard to worker safety and health. Prior to leasing a facility for private use, each
Cognizant Field Element Manager is required to make a determination that the
facility is suitable for re-use and that worker safety and health will be protected.
To ensure protection of worker health and safety in the event of an emergency involving
or affecting the leased facility, arrangements with lessees should effectively integrate the
activities of the leased facilities into the DOE/NNSA site-wide emergency management
program. These arrangements should ensure consistent interfaces with offsite emergency
response organizations and establish and sustain an effective working partnership for
emergency planning, preparedness, readiness assurance, and response activities.
Arrangements with lessees should include:
• Integration of each of the lessee’s emergency management program elements into the
site-wide program;
• Annual reporting of the tenant’s hazardous materials inventories to the site
emergency management organization; and
• Means for reporting significant changes to the facility or to hazardous materials
inventories to the site emergency management organization prior to implementing the
changes.
Incorporating leased facilities into site-wide emergency management programs should be
addressed consistently across the DOE/NNSA complex. To promote this consistency,
emergency management factors that should be considered by DOE/NNSA elements with
responsibility for leasing facilities at DOE/NNSA sites for non-DOE or non-NNSA work
are presented in Section 4.2.
4.2 Application of Emergency Management Guidance
Leased facilities at DOE/NNSA sites should be included in site-wide emergency
management programs using criteria from DOE O 151.1C, whether the leased facility
utilizes significant quantities of hazardous materials or not. Specifically, the following
factors should be considered for selected elements of the emergency management
program.
4.2.1 Technical Planning Basis Hazards Surveys and EPHAs
• DOE/NNSA should ensure that:
– Security vulnerability assessments are changed as appropriate to reflect leased
facility conditions.
– Emergency responders and medical treatment providers have appropriate
information to plan and respond to an emergency event involving or affecting the
leased facility.
• DOE/NNSA should provide to the lessee:
– An assessment of potential hazards to the leased facility from DOE/NNSA
facilities and activities, and from DOE/NNSA onsite transportation activities,
with periodic updates.
– Information on hazards and medical concerns that DOE/NNSA, other emergency
responders, and/or medical treatment providers may encounter.
• The lessee should provide to DOE/NNSA:
– Information on hazards and activities that could impact DOE/NNSA facilities and
activities, with periodic updates.
4.2.2 Programmatic Elements Training, Drills, and Exercises
• DOE/NNSA should provide to the lessee:
– Initial and refresher training on the site emergency plan for personnel at the leased
facility.
– Opportunity for personnel at the leased facility to participate as appropriate in site
drills and exercises for postulated emergency events affecting the leased facility.
– Opportunity for personnel at the leased facility to participate as appropriate in the
planning and critique processes for emergency response exercises involving
events that affect the leased facility.
• DOE/NNSA should ensure:
– Site responders and decision-makers receive training on all hazards associated
with the leased facility and all facets of emergency response associated with
events involving or affecting the leased facility, and that these factors are
practiced during drills and tested during exercises.
– Leased facilities and personnel are incorporated in site emergency response drills
and exercises as appropriate.
• The lessee should ensure:
– Personnel at the leased facility attend initial and refresher training on the site
emergency plan.
– Personnel at the leased facility participate as appropriate in site drills and
exercises for postulated emergency events involving or affecting the leased
facility.
4.2.3 Response Elements Emergency Response Organization
• DOE/NNSA should ensure:
– Designated Incident Commanders (ICs) have access to and understand hazards
related to or impacting leased facilities.
– Lessee emergency response resources are effectively integrated through plans,
procedures, drills, and exercises with site and other emergency response
resources.
– The emergency management plan and implementing procedures contain
provisions for personnel from the leased facility to be integrated into the site ERO
as appropriate during emergency events involving or affecting the leased facility.
• The lessee should ensure:
– The scope of emergency services provided through the site-wide emergency
management program and associated incident command is fully understood and
effectively integrated in the emergency response plan and implementing
procedures, practiced during drills, and tested through exercises for the leased
facility.
– The emergency management plan and implementing procedures contain
provisions for a representative to interact with site emergency management
personnel during emergency events involving or affecting the leased facility.
Offsite Response Interfaces
• DOE/NNSA should ensure:
– Local agencies, law enforcement officials, and offsite mutual aid and support
organizations are aware of the relationship and the respective emergency
management roles and responsibilities between the site and the leased facility for
response and notifications to hazardous material and security events. This
includes information on hazards and medical concerns that offsite emergency
responders and/or medical treatment providers may encounter.
• The lessee should ensure:
– Information concerning unique facility-specific hazards is made available to
offsite emergency responders and emergency medical personnel.
Communication/Notifications
• DOE/NNSA should ensure:
– Site-wide plans and procedures contain provisions and assignment of
responsibilities to contact representatives of the lessee in event of a site
emergency affecting the leased facility, and that these provisions are practiced
during drills and tested during exercises.
– Site-wide plans and procedures, and those of potentially affected DOE/NNSA
facilities, contain provisions for receipt of notification of an emergency at the
leased facility.
– Coordination with the lessee on communication equipment and protocols and
messages for timely and effective notifications of emergency events.
• The lessee should ensure:
– Plans and procedures contain provisions to notify and protect personnel in
accordance with OSHA requirements for hazards at the leased facility.
Consequence Assessment
• DOE/NNSA should ensure:
– Site-wide consequence assessment models include the leased facility locations for
emergency management decision makers.
– Site-wide consequence assessment models include appropriate hazards
information specific to the leased facility.
– Site-wide field monitoring (radiological, chemical, and biological) plans,
personnel, equipment, and resources appropriately consider leased facility hazards
and site hazard impacts on the leased facility.
• The lessee should ensure:
– Facility-specific consequence assessment models and field monitoring plans,
personnel, equipment, and resources are available to DOE/NNSA for integration
into the site-wide consequence assessment capability.
Protective Actions and Reentry
• DOE/NNSA should ensure that:
– Pre-determined protective actions are identified for the leased facility based on
site hazards that could impact the leased facility, and that these actions are
coordinated with the lessee.
– Pre-determined protective actions are identified for site facilities that could be
impacted by hazards at the leased facility.
– Provisions for protection (e.g., appropriate protective equipment, monitoring
equipment, hazard information, potential exposure information, safe routes of
entry/egress) of site and other emergency responders and security personnel are
incorporated into plans and procedures, practiced during drills, and tested during
exercises involving leased facility hazards.
– Site evacuation planning includes consideration of personnel at the leased facility.
– Plans and procedures for site medical facilities appropriately consider hazards and
personnel at the leased facility.
– Lessee plans for personnel accountability in event of emergency involving or
affecting the leased facility are understood and integrated into site plans and
procedures, practiced during drills, and tested during exercises involving the
leased facility.
– Potential responders have access to leased facility hazard information and
building layout for safe search and rescue and emergency mitigation.
• The lessee should ensure:
– Pre-determined protective actions are identified for the leased facility based on
site hazards that could impact the leased facility, and that these actions are
coordinated with the lessee.
– Protective actions are identified in accordance with OSHA requirements for
hazards at the leased facility.
• The lessee should provide to DOE/NNSA:
– Hazard information and building layout to permit safe search and rescue and
emergency mitigation.
– Plans for personnel accountability in the event of an emergency involving or
affecting the leased facility.
Emergency Public Information
• DOE/NNSA should provide to the lessee:
– Access to the JIC for emergencies at the leased facility.
• DOE/NNSA should ensure:
– Ongoing and coordinated planning between public information officers of the site
and leased facilities.
– Emergency information released through news releases and statements to the
press is coordinated with leased facility representatives when the emergency
directly impacts the lessee.
– Site public information officers are aware of designated lessee emergency
contacts as well as hazards specific to leased facilities.
• The lessee should ensure:
– News releases and statements to the press regarding an emergency event at the
l eased facility are coordinated with the site public information officer.
– Complete and accurate information concerning emergencies at the leased facility
is made available in a timely manner to support DOE/NNSA response to public
inquiries.
5. CLOSURE ACTIVITIES
5.1 Introduction
Closure activities and conditions can pose significant challenges to emergency planners.
Often, the changes inherent in facility/site closure impact the planning basis for
emergency response as well as response itself. The critical problem is to ensure that
inevitable reductions in response capabilities (e.g., fire, medical, ERO staffing) do not
overtake the decrease in hazards posed by the facility/site processes and materials,
resulting in an inadequate emergency response capability. The planner should recognize
that the resolution of issues included in this chapter should be in total concert with a basic
tenant of the DOE emergency management systems, namely: Planning, preparedness,
and response must be specific to and “commensurate with the hazards.”
The purpose of this chapter is to address some important issues that should be considered
when planning changes to an emergency management program based on the projected
closure of the facility/site. The approach for addressing closure’s impact on emergency
management is to provide “precautionary” statements that give emergency planners
thought provoking considerations that may apply for specific elements of emergency
management at their “closure” facilities/sites. The following sections present a number
of these important reminders related to the impact of closure activities on DOE
emergency management program elements.
Note that there is a different impact on the emergency management program between the
closure of an entire site and closure of a single facility or group of facilities on a site that
will continue to operate. The closure of an entire site will affect both site-level and
facility-level programs and assets, whereas the closure of a facility on a site may leave
site-level programs intact, since they would likely support Hazardous Material Programs
at other facilities on the site. When necessary, this distinction will be specifically
addressed in the following sections.
5.2 Technical Planning Bases
Hazards Surveys and EPHAs. Frequent and often dramatic physical changes at closure
facilities/sites challenge the efforts of emergency planners to keep hazards survey
information current. It is imperative, therefore, that emergency planning be a priority
consideration for managing change at a closure facility/site. Examples of physical
changes that may impact emergency planning and preparedness include:
• Dismantling any item that will alter process unit safety, facilities, or information;
• Change in a critical instrumentation device or alarm;
• Dismantling that may reopen closed/sealed systems or components containing
contamination;
• Addition or deletion of piping connections, drains;
• Change in fire fighting equipment and/or capacity; and
• Temporary use of equipment not covered by existing procedures.
The introduction of short-term hazards during the Decontamination and
Decommissioning (D&D) process can add to the planning basis for the program,
requiring temporary response measures. Facility/site changes can result in the
introduction of common usage hazardous materials (e.g., propane, fuel, solvents) that
pose a new threat as an initiator for a hazardous material release.
Since changing inventories of toxic chemicals may occur frequently at closure
facilities/sites, administrative systems should be in place to ensure that emergency
managers are informed of these changes in a timely manner. The importance of reliable
and comprehensive methods of hazardous material identification during closure activities
cannot be overemphasized. Past methods or systems may not be reliable for identifying
changes in hazardous material inventories when a facility/site is involved in D&D.
Communication of changes in hazards to emergency response personnel is critical and
can only be ensured if a reliable system is in place to communicate change to those
responsible for the technical planning basis for the program. One method for tracking
progress is to have an emergency planner attend the periodic production planning
meetings, which address the hazards that will be encountered with the next dismantling
activities.
Changes may be subtle or can occur quickly at a closure facility/site. Barriers to release
of hazardous materials, storage locations and mixes, engineering controls, administrative
controls, and safeguards and inventory systems may change. A production facility may
be closed and process equipment removed, but hazards may still reside as holdup in
ductwork or piping. The release of those hazards becomes a potential emergency when
piping is cut during final dismantlement. The EPHA that applies for a production facility
does not apply when the same building is empty. If hazards still exist, based on a revised
Hazards Survey, then a new EPHA may be needed. Similarly, the EPHA that applies
when the building is empty would likely not apply after it is demolished. During the
dynamic progression of D&D activities, a facility should not be expected to update the
EPHA document constantly. However, the emergency management program must
remain prepared to respond to whatever emergency current hazards present. Hence, as
hazards are removed during closure, facilities/sites should develop and implement a
timely, efficient, and effective process that facilitates the modification of the emergency
management program utilizing associated criteria for initiating changes.
A possible approach for tracking changes associated with the closure activities is to
ensure that emergency management is integrated with the safety hazards analysis and
work order processes used by facility management [e.g., Integrated Safety Management
System (ISMS)]. Before closure begins at a facility/site, a generic hazards analysis is
required to identify potential hazards to be encountered. Additionally, at each step in the
process of D&D, there should be a work order that includes a specific safety hazard
analysis for the work to be performed. For example, safety analyses of many
DOE/NNSA facilities/sites, which use or store radioactive materials, will include
criticality analyses to address accumulation and movement of nuclear materials in
piping. If emergency planners at the closure facility/site are involved in review of these
work orders and hazards analyses and are prepared to use this information to ensure
readiness to respond to emergencies, then it is reasonable that they take credit for the
safety management processes used during D&D.
5.3 Programmatic Elements
Program Administration. An emergency management administrator at a closure
facility/site needs to ensure that changes taking place will not adversely impact the ability
of the program to respond effectively to an emergency. Emergency administrators need
to have access to the appropriate level of management to make decision makers aware, on
an ongoing basis, of facility, equipment, materials, personnel and resource issues that
may impact facility/site ability to respond to an emergency.
Also, emergency management administrators at closure facilities/sites may be tasked with
collateral duties that could interfere with and impact responsibilities to ensure that the
emergency management program readiness is maintained. Efficient planning by the
program administrator becomes critically important. Administrators should ensure that
provisions are in place for rapid development, approval, and issuance of changes to
response procedures, and timely scheduling of training to ensure these changes are
implemented. Maintaining plans and procedures can become a significant task when
frequent change is occurring involving people, facilities, materials, and expertise at a
facility/site.
Training and Drills. Emergency response training programs should be reviewed and
updated periodically, based on the frequent changes characteristic of such facilities/sites.
Emergency management administrators should have frequent input to General Employee
Training (GET) for changes in basic emergency response. Drill programs should be
dynamic to address the possibility of frequent changes at closure facilities/sites. For
example, aggressive milestones may not allow time for a regular drill schedule. As a
result, shorter drills that are focused on changes to areas and materials may provide a
solution for some facilities/sites.
Facility and organizational experience and knowledge may be lost when a facility/site
transitions from production to closure. Facilities/sites may need to put in place a means
to capture critical knowledge before the transition is made and to incorporate some of this
knowledge in training for emergency managers and responders.
Training of offsite emergency responders may become more critical as site resources for
emergency response are reduced. Offsite responders may be expected to have an
increased role in response to facility/site OEs.
Exercises. As a site undergoes changes from an operational site to a site focused on
demolition and closure processes, the exercise requirements and community expectations
will change. However, exercises do help reassure the community that the site can still
respond and mitigate the hazards in an emergency. Hence, participation in the annual
site-level exercise should be maintained at an acceptable level to provide assurances that
response will be adequate in the event of an emergency. This level of participation might
be ensured by tracking a performance measure or as an explicit inclusion as part of
contractual agreements.
The demolition and closure of an individual or group of facilities on an operating site
should have no impact on the site-wide programs. However, closure facilities will, at
some point, be excluded from being the source of the hazards but should still participate
(as appropriate) in the exercise as a collocated facility responding (e.g., implementing
protective actions) to an Operational Emergency event elsewhere on the site.
Readiness Assurance. Maintaining, updating, and testing/validating plans and
procedures can become a virtually continuous task at a closure facility/site because the
nature of closure activities may mean frequent changes in hazards, physical facilities,
organizational expertise, management, number of personnel at the site, and ERO
resources available to support response. Evaluation and improvement programs at
closure facility/sites need to be vigilant in adjusting to change and its impact on the
readiness of the facility/site to respond to emergencies, as well as on new vulnerabilities
that require adjustments in resources. These programs will by necessity be driven by
short-term objectives to ensure readiness through careful attention to focused evaluations
of the modified aspects of the planned response. Improvements and lessons learned
would be implemented on a schedule that should coincide with the schedule of changes
caused by the closure activities.
5.4 Response Elements
Emergency Response Organization. Ensuring that an adequate number of primary and
alternate response personnel are available, prepared, and qualified becomes a challenge
for closure facilities/sites emergency management programs. Responsive and creative
programs are needed in the ERO organizational structure when a site transitions from
production to closure. For example, some programs may need to consider moving to a
dedicated and specialized emergency response brigade when organizational changes
create conditions in which the usual volunteer ERO is not available or reliable.
Reduction in hazards may drive a facility/site to tailor its cadre of emergency responders.
For example, management may decide to reduce the site fire department. These types of
changes should be considered as part of the site “Closure Plan,” and emergency
management professionals should have an active role in site closure planning.
Responsibility for control of operations, monitoring and repair teams should be vested
with a single individual; however, at a closure facility/site, it is possible that personnel
who would staff these teams will be subcontractors. In this case, organizational changes
or provisions would need to be made to ensure resource availability and adequate
organizational controls in an emergency.
The dynamic nature of closure facilities/sites may also create conditions in which tools,
parts, and even PPE needed by repair and maintenance teams are not readily available for
mitigating an emergency. There should be ongoing dialog with operations and
maintenance managers on these types of issues. Emergency planners should be
particularly cognizant of possible changes in the effectiveness of emergency fire response
on closure sites. Changes in site/facility hazards due to closure activities should be
communicated to the Fire Department. Physical facility and site changes may impact
timely fire response (e.g., location and access to fire hydrants; the need for high angle
rescue), as well as security. Facility/site changes could also impact the usability and
reliability of pre-arranged fire preplans for facilities undergoing D&D.
Offsite Response Interfaces. Sites that are transitioning toward closure generally
experience changes in the contracting process, budgeting for emergency management,
management priorities and the nature of site hazards. These changes can result in
significant changes in the relationship with local and state offsite emergency response
organizations. If resources for emergency management are reduced overall, there may be
an impact on agreements for mutual assistance and a site’s ability to supplement offsite
emergency response programs. However, during closure, Memorandums of
Understanding (MOUs) for offsite resources, such as emergency medical support, often
become even more critical as onsite resources diminish. These impacts may not result
from the closure of a single facility or a group of facilities, since offsite interfaces may be
implemented and maintained at the site-level.
In any closure situation, if facility/site hazards change significantly, there may be a need
to inform offsite agencies. Similarly, the ultimate impact of closure on offsite
communities may be significant and impact offsite relations that are important to
emergency preparedness. Discussing these issues with offsite agency contacts early
during the closure planning process will help preserve relationships that still must be
maintained for effective response.
Emergency Facilities and Equipment. Within the D&D environment of a closure
facility/site, there is still the need to maintain operational capability, staffing and support
systems for communications, protection, and utilities at emergency operations facilities.
Facility reference materials at the EOC, such as site maps and facility drawings, must be
kept current and available to responders. The operability of public address systems and
alarm systems need to be maintained and not allowed to become vulnerable in a
deconstruction environment. Similarly, storage locations for response equipment may
change. Emergency management staff must stay aware of such changes. Surveillance of
emergency response facilities, communication systems, and equipment may be needed
more frequently. Ultimately, as the site-wide hazards on a closure site are significantly
reduced, the need to maintain a state-of-the-art EOC (if one exists) may not be warranted
and a simple command center location (e.g., a conference room) may be adequate.
Categorization and Classification. At a closure facility/site, the readily available
indications or observable conditions that provide decision-makers criteria for
categorization of Operational Emergencies may change. Facility/site-specific criteria
must be kept up to date and responsible persons kept informed and trained on the
changes. Site- /facility-specific EALs may also require updating and decision-makers
must be knowledgeable of these changes.
Emergency planners may need to intensify programs for reviewing and testing criteria for
categorization of Operational Emergencies and EALs for classification for closure
facilities/sites, since initiating conditions and emergency scenarios may change.
Notification and Communications. Impacts on communication and notification
systems can result from a D&D modified environment. This could involve changes to
the effectiveness of facility/site public address systems, facility alarm systems, or offsite
communications. Lines of communication and notification are essential for timely
notifications. On a site where selected facilities are undergoing D&D, it is essential that
workers at a closure facility not be isolated from the rest of the site, even if the closure
facility emergency management program is no longer required for its own hazards. A
release at a nearby operating facility can still impact the closure facility.
Consequence Assessment. Because of the potential dynamic conditions at closure
facilities/sites, indicators necessary to assess emergency consequences continually may
change, or at least the ability of responders to monitor the indicators may be impacted.
Emergency planners should also be alert to the need for changes to input data
requirements for the consequence assessment process (e.g., source term estimates) when
hazards change. Emergency planners should ensure that the Consequence Assessment
Team (CAT) has access to the most current planning basis documents (i.e., Hazards