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U.S. Department of Energy ORDER
Washington, D.C. DOE O 151.1C
Approved: 11-2-05
SUBJECT: COMPREHENSIVE EMERGENCY MANAGEMENT SYSTEM
1. OBJECTIVES.
a. To establish policy and to assign and describe roles and
responsibilities for the Department of Energy (DOE) Emergency
Management System. The Emergency Management System provides the
framework for development, coordination, control, and direction
of all emergency planning, preparedness, readiness assurance,
response, and recovery actions. The Emergency Management System
applies to DOE and to the National Nuclear Security
Administration (NNSA).
b. To establish requirements for comprehensive planning,
preparedness, response, and recovery activities of emergency
management programs or for organizations requiring DOE/NNSA
assistance.
c. To describe an approach to effectively integrate planning,
preparedness, response, and recovery activities for a
comprehensive, all-emergency management concept.
d. To integrate public information and emergency planning to
provide accurate, candid, and timely information to site workers
and the public during all emergencies.
e. To promote more efficient use of resources through greater
flexibility (i.e., the graded approach) in addressing emergency
management needs consistent with the changing missions of the
Department and its facilities.
f. To ensure that the DOE Emergency Management System is ready
to respond promptly, efficiently, and effectively to any
emergency involving DOE/NNSA facilities, activities, or
operations, or requiring DOE/NNSA assistance.
g. To integrate applicable policies and requirements, including
those promulgated by other Federal agencies (e.g., stockpiling
stable iodine for possible distribution as a radiological
protective prophylaxis) and interagency emergency plans into the
Department's Emergency Management System. In compliance with the
statutory requirements in 42 USC 7274k, DOE hereby finds that
this Order is necessary for the fulfillment of current legal
requirements and conduct of critical administrative functions.
h. To eliminate duplication of emergency management effort
within the Department.
2. CANCELLATIONS. The following Order is canceled:
DOE O 151.1B, Comprehensive Emergency Management System, of
10-29-03. Cancellation of an Order does not, by itself, modify
or otherwise affect any contractual obligation to comply with
such an Order. Canceled Orders incorporated by reference in a
contract will remain in effect until the contract is modified to
delete the reference to the requirements in the canceled Orders.
3. APPLICABILITY.
a. DOE Elements. Except for the exclusions listed in paragraph
3c, this Order applies to all DOE/NNSA elements listed in
Attachment 1.
The NNSA Administrator must assure that NNSA employees
comply with their respective responsibilities under
this Order.
b. DOE Contractors. Except for the exclusions listed in paragraph 3c, the
Contractor Requirements Document (CRD), Attachment 2, sets forth
requirements of this Order that will apply to contracts that
include the CRD.
c. Exclusions.
(1) Generally accepted standards may be substituted for this
Directive in accordance with the modified directives process
described in the Secretarial Action Memorandum of 12-03-02 or
appropriate successor documents. The Cognizant Field Element
must coordinate a proposed alternative standard for emergency
management with the Office of Emergency Operations. After this
coordination, the proposed alternative standard, including any
conditions added, must be approved by the Cognizant Field Element
and then submitted to the Office of Emergency Operations and the
Program Secretarial Officer(s) (PSO) for approval. If the
Director, Office of Emergency Operations and the PSO(s) jointly
approve the proposal, the alternative standard may be
substituted. If the Director, Office of Emergency Operations and
the PSO(s) disagree, the conflict must be elevated to the Deputy
Secretary or designated Departmental Chief Operating Officer for
resolution.
(2) The facilities and activities of the Naval Nuclear
Propulsion Program and the Power Marketing Administrations are
exempt from the requirements of this Order.
(3) All DOE/NNSA facilities subject to Nuclear Regulatory
Commission (NRC) license requirements are specifically exempted
from the requirements of this Order.
(4) If a DOE/NNSA element or contractor can demonstrate that it
is subject to emergency management program requirements under the
authority of other Federal regulatory agencies, and those
requirements are at least as stringent as the requirements of
this Order, then an exemption may be requested.
(5) Requests for exemptions are approved jointly by Program
Secretarial Officers and the Director, Office of Emergency
Operations, with conflicts resolved by the Deputy Secretary or
designated Departmental Chief Operating Officer. Requests for
exemptions must be submitted from the Cognizant Field Element
manager to the appropriate Program Secretarial Officer(s) and the
Director, Office of Emergency Operations.
4. REQUIREMENTS.
a. General.
(1) DOE/NNSA sites/facilities, including DOE/NNSA transportation
activities, DOE/NNSA offices in the field, and DOE Headquarters
offices, must develop and participate in an integrated and
comprehensive Emergency Management System to ensure that—
(a) the Department can respond effectively and efficiently to
Operational Emergencies and Energy Emergencies and can provide
Emergency Assistance so that appropriate response measures are
taken to protect workers, the public, the environment, and the
national security;
(b) emergencies are recognized, categorized and, as necessary,
classified (determine the emergency class) promptly, and
parameters associated with the emergency are monitored to detect
changed or degraded conditions;
(c) emergencies are reported and notifications are made; and
(d) reentry activities are properly and safely accomplished, and
recovery and post-emergency activities commence properly.
(2) Emergency planning must include identification of hazards
and threats, hazard mitigation, development and preparation of
emergency plans and procedures, and identification of personnel
and resources needed for an effective response.
(3) Emergency preparedness must include acquisition and
maintenance of resources, training, drills, and exercises.
(4) Emergency response must include the application of resources
to mitigate consequences to workers, the public, the environment,
and the national security, and the initiation of recovery from an
emergency.
(5) Recovery must include planning for and actions taken
following termination of the emergency to return the
facility/operations to normal.
(6) Readiness assurance must include assessments and
documentation to ensure that stated emergency capabilities are
sufficient to implement emergency plans.
(7) The Headquarters Operations Center must serve as the point
of contact for receipt of all emergency notifications and
reports. Accordingly, the Headquarters Operations Center
receives, coordinates, and disseminates emergency information to
Headquarters elements and program office emergency points of
contact, the White House Situation Room, and other Federal
agencies.
(8) The Cognizant Field Element, as designated by the Lead
Program Secretarial Officer, provides first (lowest) level of
line management oversight of DOE/NNSA
facilities/sites/activities.
(9) The Office of Security and Safety Performance Assurance
provides independent oversight of the Comprehensive Emergency
Management System.
(10) Implementation of a comprehensive emergency management
program at a DOE/NNSA site/facility/activity must be commensurate
with the hazards present at that site/facility/activity (i.e., it
must be developed consistent with a graded approach).
(11) Responsibilities must be established in accordance with
Chapter I of this Order.
(12) A Headquarters Emergency Management Team must be
established, as necessary, for Operational Emergencies, Energy
Emergencies, and Emergency Assistance. The Headquarters
Emergency Management Team Plan describes the activation, mission
and functions of the Headquarters Emergency Management Team.
(13) Each DOE/NNSA site/facility must have an Operational
Emergency Base Program that implements the requirements of
applicable Federal, State, and local laws/regulations/ordinances
for fundamental worker safety programs (e.g., fire, safety, and
security). These requirements are not unique to DOE/NNSA
operations. See Chapter III.
(14) In addition to the Operational Emergency Base Program, each
DOE/NNSA site/facility with hazardous materials (radioactive,
chemical, biological agents and toxins) in sufficient quantities
(radioactive or chemical materials) or representing specific
biological agents/toxins, which pose a serious threat to workers,
the public, or the environment, must develop and maintain a
quantitative Emergency Planning Hazards Assessment (EPHA) and
meet more detailed emergency planning requirements. See
Chapter IV for specific requirements pertaining to Operational
Emergency Hazardous Material Programs.
(a) Hazardous materials are any solid, liquid, or gaseous
material that is toxic, flammable, radioactive, infectious,
corrosive, chemically reactive, or unstable upon prolonged
storage in quantities that could pose a threat to life, property,
or the environment. Oil, as defined in 33 USC 1321, is “oil of
any kind or in any form, including, but not limited to,
petroleum, fuel oil, sludge, oil refuse, and oil mixed with
wastes other than dredged spoil.” Consistent with Federal law,
oil is not included in the definition of hazardous materials used
in this Order.
(b) Significant quantities of radioactive and chemical materials
are quantities that exceed the thresholds outlined in Chapter
III, paragraph 3b.
(c) At a minimum, specific hazardous biological agents and
toxins must include Federally regulated agents and toxins
identified in lists published by the Department of Health and
Human Services (HHS) in 42 CFR 73 and the Department of
Agriculture (USDA) in 7 CFR 331 and 9 CFR 121. Toxins listed in
42 CFR 73 and 9 CFR 121 must exceed the minimum quantities
specified to be Federally regulated.
(d) The protective action criteria for releases of hazardous
materials are listed below.
1 For radioactive material - the Protective Action Guides
(PAGs) promulgated by the Environmental Protection Agency (EPA)
must be used.
2 For chemicals, the protective action criteria, listed in
order of preference, must be used: Acute Exposure Guideline
Levels (AEGLs) promulgated by the EPA; Emergency Response
Planning Guidelines (ERPGs) published by the American Industrial
Hygiene Association; and Temporary Emergency Exposure Limits
(TEELs) developed by DOE. For these criteria, the exposure level
to be used represents no irreversible health effects.
3 For hazardous biological materials identified in Base Order,
paragraph 4a (14) (c), protective action criteria are considered
exceeded and immediate protective actions are required for any
actual or potential release of agents or toxins outside of
secondary containment barriers. Long-term protective action
criteria are specified by State or local public health officials.
(15) To ensure protection of onsite worker health and safety and
ensure consistent interfaces with offsite Emergency Response
Organizations (EROs) during an emergency involving or affecting a
leased facility owned by DOE/NNSA, arrangements with lessees must
effectively integrate the activities of a leased facility into
the DOE/NNSA site-wide emergency management program. These
arrangements also pertain to Nuclear Regulatory Commission
licensed facilities and must include-
(a) a description of how each of the lessee’s emergency
management program elements are integrated into the sitewide
program; and
(b) a requirement that the tenant’s hazardous material
inventories be reported to the site emergency management
organization annually. The tenant must also report prior to
significant changes to the facility or to hazardous material
inventories. For example, significant changes are those changes,
which would result in an unreviewed safety question for nuclear
facilities, as defined in 10 CFR 830, or in an unreviewed safety
issue for accelerator facilities, as defined in DOE O 420.2B.
(16) Each DOE closure site/facility must adjust its Operational
Emergency Hazardous Material Program to be commensurate with the
hazards that remain.
(17) Each DOE/NNSA site/facility must declare an Operational
Emergency when a major unplanned or abnormal event or condition
occurs that: involves or affects DOE/NNSA facilities and
activities by causing or having the potential to cause serious
health and safety or environmental impacts; requires resources
from outside the immediate/affected area or local event scene to
supplement the initial response; and, requires time-urgent
notifications to initiate response activities at locations beyond
the event scene. In general, to be considered an Operational
Emergency, an event or condition involving the uncontrolled
release of a hazardous material must: 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. Each
DOE/NNSA site/facility must classify Operational Emergencies
involving the uncontrolled airborne release of hazardous
materials as an Alert, Site Area Emergency, or General Emergency,
in order of increasing severity. See Chapter V.
(18) The Department's Energy Emergency Program must encompass
events or conditions representing, causing, or having the
potential to cause, a substantial impact on energy supply or
infrastructure in a limited local area, region of the country, or
the nation as a whole. See Chapter VI.
(19) As directed by Executive Order or other binding agreements,
the Department's Emergency Assistance Program must encompass a
DOE response to national security threats or other events or
conditions requiring DOE assistance, expertise, resources, or
assets, and including Continuity of Government and Continuity of
Operations Programs. Accordingly, the Emergency Assistance
Program must include all activities whereby Departmental
resources, emergency response assets, personnel, and/or
facilities are used to support Federal Plans, Presidential
directions, and State, local, or Tribal agreements of mutual aid.
See Chapter VII.
(20) Each DOE/NNSA site/facility must notify DOE/NNSA (as
appropriate), and offsite officials when emergencies occur. The
notification and reporting requirements within this Order have
been coordinated with DOE requirements for non-emergency
occurrence reporting. See Chapter VIII.
(21) Each DOE/NNSA site/facility must provide accurate, candid,
and timely information about emergencies to workers and the
public. See Chapter IX.
(22) Each DOE/NNSA site/facility must establish a readiness
assurance program to ensure that stated emergency capabilities
are sufficient to implement emergency plans. See Chapter X.
(23) Each DOE/NNSA site/facility, along with other DOE/NNSA
offices, must document the emergency management program in an
Emergency Plan. See Chapter XI.
(24) To develop an effective and efficient emergency management
organization that meets the requirements of this Order and best
meets local conditions, the Cognizant Field Element Manager may
approve a written request from the contractor at a site with
multiple facilities to place facility-specific requirements in
the CRD of this Order on a site-/contractor-level organization
(such as a single, site-wide public information organization
rather than separate organizations at each facility.) The
Cognizant Field Element Manager may also decide to place facility-
specific requirements on the Cognizant Field Element
organization. Placing facility-specific requirements on the
Cognizant Field Element or on a site-/contractor-level
organization does not require an exemption from this Order.
(a) Requirements placed on the Cognizant Field Element or a site-
/contractor-level organization must meet the requirements of the
Operational Emergency Hazardous Material Program if the site
contains both Operational Emergency Base Program and Operational
Emergency Hazardous Material Program facilities.
(b) The Cognizant Field Element Manager must notify the Program
Secretarial Officer(s) and the Director, Office of Emergency
Operations, in writing of any such variations. The Cognizant
Field Element Manager must ensure that the changes are noted in
the emergency plan at the facility, site/contractor, and
Cognizant Field Element levels, as appropriate, as well as in the
program description in the Emergency Readiness Assurance Plan
(ERAP).
b. Planning and Preparedness. Each site/facility and DOE/NNSA
element must assess its emergency management needs to plan and
implement a comprehensive emergency management program
commensurate with the hazards present (i.e., consistent with a
graded approach).
(1) Operational Emergencies.
(a) Sites/Facilities/Activities. All Departmental elements and
contractors with responsibilities for site/facility operations
and activities must participate in the development of
comprehensive emergency management programs. Such programs must
contribute to the Department's Comprehensive Emergency Management
System by promoting effective and efficient integration of all
applicable requirements, including those promulgated by other
agencies.
(b) Cognizant Field Elements. Cognizant Field Elements must
have trained emergency response staff and must provide
sites/facilities/activities under their cognizance with the
following:
1 direction to implement emergency management policy and
requirements;
2 direction in emergency planning and preparedness activities;
3 support and assistance during emergencies; and
4 support and assistance in resolving issues in
site/facility/activity emergency management programs, as well as
assessments of site/facility/activity emergency management
programs.
(2) Energy Emergencies. The Energy Emergency Program must be
planned to ensure that the Department is capable of assisting in
the prevention and mitigation of energy supply crises and their
associated economic impacts. The program also must provide for
DOE assistance for Presidentially declared emergencies invoking
the Stafford Act (Public Law 93-288, as amended) and as
implemented through the National Response Plan. The Energy
Emergency Program may be implemented along with Emergency
Assistance.
(3) Emergency Assistance. Emergency Assistance planning and
preparedness must include preparation to deploy Departmental
resources, emergency response assets, and personnel, and/or use
of facilities to support Federal interagency plans and
agreements, Presidential direction, and State, local, or Tribal
agreements of mutual aid. Emergency Assistance may be
implemented along with an Energy Emergency response.
(4) Headquarters.
(a) The Director, Office of Emergency Operations, is the single
point of contact and control for all emergency management
activities, and issues all policy, requirements, and guidance for
the Department's Emergency Management System.
(b) Program Secretarial Officers ensure implementation of policy
and requirements for activities conducted by sites/facilities
and/or Cognizant Field Elements under their authority.
(c) The Administrator, NNSA, provides programmatic direction for
the Department's radiological emergency response assets. The
Assistant Secretary for Environmental Management provides
programmatic direction for the Transportation Emergency
Preparedness Program (TEPP). The Director of Nuclear Energy,
Science, and Technology provides programmatic direction for space
nuclear system applications, including space launch and space
flight aborts. Programmatic direction for these programs must be
provided in coordination with the Director, Office of Emergency
Operations.
c. Response.
(1) Operational Emergency Response.
(a) Site/Facility. Personnel and resources at the site/facility
level comprise the primary response capability for an Operational
Emergency.
1 Sites/facilities must direct appropriate emergency response
within the area under their control and at the scene of the
emergency, including effective coordination between the incident
commander at the event scene and the individual in charge of
overall management and coordination of site/facility response
activities.
2 Sites/facilities must promptly notify local, State, Tribal,
DOE/NNSA (as appropriate), and other regional Federal agencies
when events categorized as Operational Emergencies occur.
(b) Cognizant Field Elements.
1 Cognizant Field Elements must monitor the facility response,
provide support, and assist with issue resolution.
2 Cognizant Field Elements must monitor the notification
process at the site/facility and make notifications of applicable
DOE/NNSA emergency events as necessary or appropriate.
3 Cognizant Field Elements must coordinate interagency and
public information activities at the regional level and
coordinate directly with Headquarters.
4 The specific structure of Cognizant Field Element Emergency
Management Teams depends on the relationship (contractual and
geographic) to the site/facility. All Cognizant Field Element
Emergency Management Teams must have a senior official who serves
as an emergency manager with decision-making authority and
responsibilities. Such individuals must be supported by
personnel with communications, technical, liaison, and public
affairs expertise.
5 The Cognizant Field Element Emergency Management Team may be
activated for any emergency declaration.
(2) Energy Emergency Response. Response activities for Energy
Emergencies are normally concentrated at DOE Headquarters. DOE
responsibilities for Energy Emergencies are delineated within
interagency Federal response and recovery plans, Executive
Orders, and international agreements. DOE Headquarters must
monitor Energy Emergencies for changing requirements and brief
the White House and congressional offices when requested.
(3) Emergency Assistance Response. Response to events requiring
DOE/NNSA Emergency Assistance must be directed to appropriate
DOE/NNSA Headquarters elements. DOE/NNSA responsibilities for
Emergency Assistance are delineated within interagency Federal
response and recovery plans, Executive Orders, and/or
international agreements. DOE Headquarters must monitor such
events for changing requirements, brief the White House and
congressional offices, and develop options for continuing
Departmental operations and missions.
(4) Headquarters. DOE Headquarters must receive information on
the facility, site, or area response; monitor the Cognizant Field
Element response; provide appropriate support and assistance;
assist with issue resolution; and coordinate interagency,
congressional, and public information activities at the national
level.
(a) The Headquarters Emergency Management Team for Operational
Emergencies, Energy Emergencies, or Emergency Assistance must be
formed and managed in accordance with the provisions of the
Headquarters Emergency Response Plan. The Headquarters Emergency
Management Team is normally activated only for emergencies that
involve serious or potentially serious threats to the health and
safety of workers and the public, the environment, or national
security.
(b) In accordance with the provisions of the Headquarters
Emergency Response Plan, the Emergency Management Team must use a
matrix approach to provide technical and support personnel from
appropriate Headquarters elements. The Headquarters Emergency
Management Team must also coordinate any support needed from
other Federal agencies and prepare Departmental briefings on the
emergency.
(5) Response Termination. In general, response activities are
terminated when the situation has been stabilized. At this
point, potential threats to workers, the public, the environment,
and national security have been characterized; conditions no
longer meet established emergency categorization criteria; and it
appears unlikely that conditions will deteriorate. In
coordination with response organizations, the emergency is then
declared terminated and activities focus on recovery.
d. Recovery. Mitigative, cleanup, and restoration activities
may begin prior to response termination. However, excluding
recovery planning, recovery activities fully begin following
response termination. Recovery activities require the
coordinated efforts of the affected site/facility; its line
management; the Office of Emergency Operations; the Office of
Environment, Safety and Health; the Office of Environmental
Management; General Counsel; and the Office of Congressional and
Intergovernmental Affairs. Specific recovery requirements and
procedures are established on a case-by-case basis.
5. RESPONSIBILITIES. See Chapter I.
6. IMPLEMENTATION.
a. Full compliance with the changes made to this Order must be
accomplished within 1 year of its issuance.
b. If compliance is not or cannot be completed within 1 year
from issuance of this Order, an implementation schedule must be
developed by the Cognizant Field Element and submitted to the
Program Secretarial Officer with the Emergency Readiness
Assurance Plan due October 1, 2006.
c. Non-mandatory implementation guidance for this Order is
published separately in the multi-volume DOE G 151.1-1 series of
Emergency Management Guides (or replacements). DOE G 151.1-1
provides non-mandatory, supplemental information about preferred
methods for implementing requirements, including lessons learned,
suggested practices, instructions, and suggested performance
measures.
7. CONTACT. For assistance regarding this directive, contact
the Director, Office of Emergency Operations, at 202-586-9892.
SAMUEL W. BODMAN
Secretary of Energy
Chapter I. RESPONSIBILITIES
1. DEPUTY SECRETARY. Serves as senior Departmental emergency
management official.
2. NNSA ADMINISTRATOR. Serves as the NNSA senior emergency
management official.
3. DIRECTOR, OFFICE OF EMERGENCY OPERATIONS. Serve as DOE’s
primary point of contact for all emergency management activities.
a. Issues all policy, requirements, and guidance for the
DOE/NNSA Emergency Management System.
b. Coordinates all emergency management activities, including
intra- and inter-Departmental and international activities,
Departmental commitments, and exercise and response activities.
c. Ensures the Emergency Management System provides a
comprehensive and integrated approach to emergency management,
including planning, preparedness, response, and recovery.
d. Ensures emergency management program integrity through
integration of all programs, systems, assets, capabilities,
training, and response.
e. Conducts emergency management program assistance.
f. Establishes, charters, administers, convenes, and chairs the
Standing Emergency Management Coordinating Committee.
g. Establishes, charters, administers, convenes, and chairs the
Emergency Management Advisory Committee.
h. Serves as budget and staffing advocate for emergency
management programs.
i. Prepares and maintains the Headquarters Emergency Management
Team Plan and corresponding implementing procedures for the
Headquarters Emergency Management Team, in coordination with
Program Secretarial Officers, and conducts appropriate
Headquarters Emergency Management Team training.
j. In accordance with the provisions of the Headquarters
Emergency Management Team Plan, serves as the Emergency Manager
or designates the Emergency Manager for all initial activations
of the Headquarters Emergency Management Team.
k. Maintains a trained cadre of experts capable of supporting a
Headquarters response to an Operational Emergency and/or an
emergency requiring Emergency Assistance resources and
capabilities.
l. In coordination with the Program Secretarial Officers and
the Cognizant Field Element managers, supports a readiness
assurance program, consisting of evaluations, improvements, and
ERAPs.
m. Manages the development of implementing policies, plans, and
procedures for emergency response activities worldwide associated
with nuclear weapons programs and facilities, and all
radiological and nuclear emergencies on behalf of the United
States Government.
n. Provides an annual status report on DOE and NNSA readiness
assurance.
o. Ensures that effective communication systems and protocols
are coordinated and maintained between the Headquarters
Operations Center, the Program Secretarial Officer, and the
Cognizant Field Element during emergencies.
4. STANDING EMERGENCY MANAGEMENT COORDINATING COMMITTEE.
a. Members include Deputy Assistant Secretary (DAS) or
Associate Deputy Assistant Secretaries (ADAS) or equivalent level
from Environmental Management; Science; Nuclear Energy, Science
and Technology; Fossil Energy; Energy Efficiency and Renewable
Energy; Civilian Radioactive Waste Management; and the Deputy or
Associate Deputy Administrator of Defense Nuclear
Nonproliferation and Defense Nuclear Programs. DAS or ADAS, or
equivalent level, from Policy and International Affairs; Security
and Safety Performance Assurance; and Environment, Safety and
Health serve as ex officio members.
b. Identifies and resolves emergency management issues, or as
necessary, refers issues to the Executive Committee for
resolution.
5. EMERGENCY MANAGEMENT ADVISORY COMMITTEE.
a. Members include representatives appointed by Headquarters
Program Secretarial Officers and Cognizant Field Element
managers.
b. Provides support to the Director, Office of Emergency
Operations, in identifying and resolving Department-wide
emergency management issues.
6. HEADQUARTERS EMERGENCY MANAGER.
a. Leads the Headquarters Emergency Management Team and, in
conjunction with Cognizant Secretarial Officer organizations,
designates the membership of the Team.
b. Activates the Headquarters Emergency Management Team at the
direction of the Deputy Secretary.
c. Recommends to the Deputy Secretary when the Headquarters
Emergency Management Team should be deactivated and if a recovery
team is needed.
7. HEADQUARTERS EMERGENCY MANAGEMENT TEAM.
a. Provide strategic direction for the overall Departmental
response.
b. Support the field response, if appropriate.
c. Serve as the Departmental point-of-contact for national
level coordination.
d. Collect and analyze information about the emergency and
response operations.
e. Brief senior Departmental management about the emergency.
f. Identify and address HQ-level concerns resulting from the
emergency and its impacts.
g. Coordinate HQ-level Public Affairs and Congressional Affairs-
elated activities.
h. Provide advice and strategic level direction on both
technical and programmatic issues.
8. PROGRAM SECRETARIAL OFFICERS.
a. Ensure implementation of emergency management policy and
requirements; maintain programs and systems consistent with
policy and requirements.
b. Ensure that budget submissions for facilities and activities
(including transportation activities) are adequate for the
effective implementation and maintenance of emergency management
programs, emergency response assets and capabilities.
c. In coordination with the Director, Office of Emergency
Operations, and the Cognizant Field Elements, support a readiness
assurance program, consisting of evaluations, improvements, and
ERAPs.
d. Ensure full coordination with the Director, Office of
Emergency Operations, and, when necessary, the Lead Program
Secretarial Officer and the Cognizant Secretarial Officer, on all
emergency management activities.
e. Within areas of programmatic responsibility, ensure the
following.
(1) Readiness assurance activities are performed, and emergency
preparedness activities, including emergency response exercises,
are fully coordinated with the Director, Office of Emergency
Operations.
(2) A system/program is established and maintained for 24-hour
initial receipt and further dissemination of emergency
notifications, and a current listing of personnel designated to
perform the function is maintained and routinely provided to the
Headquarters Operations Center.
(3) Specialized technical representatives and subject matter
experts are provided when a Headquarters Emergency Management
Team is convened.
(4) Training and response is adequate in Cognizant Field Element
programs.
f. Conduct line management reviews of program-specific
emergency management activities in coordination with the
Director, Office of Emergency Operations.
g. Coordinate with the Director of Public Affairs and the
Director, Office of Emergency Operations, to provide for the
handling and control of information on emergency situations.
h. Assign the following:
(1) Deputy Assistant Secretary or Associate Deputy Assistant
Secretary or equivalent level to serve on the Standing Emergency
Management Coordinating Committee.
(2) Deputy Assistant Secretary or Associate Deputy Assistant
Secretary or equivalent to serve as the senior Program Office
representative on the Headquarters Emergency Management Team.
(3) Senior representatives for the Emergency Management Advisory
Committee.
9. COGNIZANT FIELD ELEMENT MANAGERS. Function as the first
(lowest) DOE/NNSA line management level.
a. Implement emergency management policy and requirements and
maintain programs and systems consistent with policy and
requirements.
b. Establish and maintain an effective, integrated emergency
management program.
c. In coordination with the Director, Office of Emergency
Operations, and the Program Secretarial Officers, support a
readiness assurance program, consisting of evaluations,
improvements, and ERAPs. Ensure appropriate measures of the
effectiveness of contractor site/facility emergency management
programs are incorporated in contractual arrangements.
(1) Approve site Emergency Plans, including annual updates, and
submit approved site Emergency Plans to the Director, Office of
Emergency Operations and the Program Secretarial Officer(s).
(2) Approve and submit approved Emergency Planning Zones to the
Director, Office of Emergency Operations, and the Program
Secretarial Officer(s).
(3) Assess the Cognizant Field Element emergency management
program annually and record the results of the self-assessment in
the Cognizant Field Element portion of the ERAP.
d. Coordinate with the Program Secretarial Officer(s) to ensure
resources are available to implement this Order for facilities
and activities under their cognizance.
e. Ensure development of appropriate emergency plan
implementing procedures for timely and accurate emergency
classification, notification, and reporting of emergency events
for facilities under their cognizance. Establish pre-
authorization criteria when possible.
f. Ensure emergency public information planning is integrated
with the development and maintenance of Emergency Plans.
g. Ensure effective communication systems and protocols are
coordinated and maintained with the Headquarters Operations
Center regarding emergencies involving or affecting facilities or
materials under DOE/NNSA jurisdiction or requiring DOE/NNSA
assistance.
h. Review and approve Emergency Readiness Assurance Plans
(ERAPs) that cover facilities under their supervision; prepare
the Cognizant Field Element annual ERAP; submit it to the Program
Secretarial Officer and the Director, Office of Emergency
Operations, for inclusion in the annual report on the status of
the Emergency Management System.
i. Where applicable, pre-designate a DOE/NNSA employee as—
(1) the On Scene Coordinator when DOE/NNSA is the lead agency
for Federal responses under the National Contingency Plan or its
replacement,
(2) the Senior Federal Official when DOE/NNSA is the
Coordinating Agency under the Nuclear/Radiological Incident Annex
of the National Response Plan (NRP) or its replacement, and/or
(3) the Senior Energy Official to coordinate Departmental
activities under appropriate Federal plans.
j. Participate in the development and implementation of mutual
assistance agreements with State, Tribal, and local authorities.
k. Ensure that Emergency Planning Hazards Assessments (EPHAs)
and Hazards Surveys for emergency planning purposes are
adequately performed and documented. Ensure EPHAs and Hazards
Surveys are updated every three years, and prior to significant
changes to the site/facility or to hazardous material
inventories. For example, significant changes are those changes
which would result in an unreviewed safety question for nuclear
facilities, as defined in 10 CFR 830, or in an unreviewed safety
issue for accelerator facilities, as defined in DOE O 420.2B.
Review and approve EPHAs and Hazards Surveys and forward the
approved EPHAs and/or Hazards Surveys to the Program Secretarial
Officer(s) and the Director, Office of Emergency Operations.
l. Ensure Cognizant Field Element personnel and contractors
participate in a continuing emergency preparedness program of
training, drills, and exercises.
m. Conduct assessments of facility emergency management
programs at least once every three years and review contractor
self-assessment programs annually to ensure compliance with DOE
directives and policy; provide the results/conclusions to the
Program Secretarial Officer(s) and the Director, Office of
Emergency Operations.
n. During an emergency, conduct appropriate and necessary
emergency actions.
o. Implement corrective actions lessons learned from actual
emergency responses and based on findings from evaluations,
assessments, and appraisals.
p. Establish and maintain an Emergency Operations Center (EOC)
to respond to emergency events if not collocated with the
contractor’s command center. To maintain continuous operations,
an alternate facility must be available to replace the EOC.
q. Ensure that emergency plans and procedures are prepared,
reviewed annually, and updated, as necessary, for all facilities
under their purview and are integrated within the overall
Cognizant Field Element emergency preparedness program.
r. Assign senior representatives to the Emergency Management
Advisory Committee.
s. Comply with the requirements of the DOE 5530-series Orders
or their replacements, which establish requirements for the
radiological emergency response assets programs.
t. Integrate applicable policies and requirements, including
those promulgated by other Federal agencies (e.g., stockpiling
stable iodine for possible distribution as a radiological
protective prophylaxis) and interagency emergency plans into
appropriate DOE/NNSA emergency plans.
u. Notify contracting officers of affected contracts to
incorporate the CRD of this Order into those contracts.
v. Effectively integrate the activities of a leased facility
and Nuclear Regulatory Commission licensed facilities into the
DOE/NNSA sitewide emergency management program, and ensure that
lease arrangements include: a description of how each of the
lessee’s emergency management program elements is integrated into
the sitewide program; and, a requirement that tenant hazardous
material inventories are reported to the site emergency
management organization annually or when inventories change.
w. Approve site exercise packages prior to the exercise.
10. SITE/FACILITY MANAGERS. The manager of a government-owned,
government-operated site/facility must:
a. Develop, implement, maintain, and update, as necessary, an
emergency management program, commensurate with the facility-
specific hazards and consistent with Departmental directives and
standards of performance.
b. Prepare and maintain emergency plans, procedures, and
technical resource capabilities that address emergency
classification, notification, reporting, response actions,
training and drills, exercises, emergency public information,
outreach and coordination, accident investigation, and applicable
Federal statutes, State and local laws, DOE Orders, and
implementing regulations and guidance.
c. Prepare and submit the following to the Cognizant Field
Element manager for approval: Hazards Surveys and EPHAs,
documentation to establish Emergency Planning Zones, Emergency
Plans, and ERAPs.
d. Direct and/or support appropriate emergency response actions
within the area under their control and at the scene of the
emergency.
e. Participate in the development of mutual assistance
agreements with State, Tribal, and local authorities.
f. Ensure the effectiveness of a continuing emergency
preparedness program.
g. Establish and maintain an internal assessment program to
ensure the readiness of emergency response capabilities,
including developing and conducting a self-assessment program, as
well as establishing systems and measures to monitor and evaluate
line performance.
11. INITIATORS OF PROCUREMENT REQUESTS must specify in
procurement requests if the requirements in the Contractor
Requirements Document for this Order are to be applied to the
award or subaward resulting from the procurement request.
12. DIRECTOR, OFFICE OF ENERGY ASSURANCE develops and maintains
the DOE Energy Emergency Program and necessary plans and
implementing procedures. Provide copies of the plans to the
Director, Office of Emergency Operations.
13. DIRECTOR, HEADQUARTERS OFFICE OF MANAGEMENT, BUDGET AND
EVALUATION develops and maintains the DOE (and NNSA) Headquarters
Occupant Emergency Program and necessary plans and implementing
procedures.
14. DIRECTOR, HEADQUARTERS OFFICE OF PUBLIC AFFAIRS. In
coordination with the NNSA Assistant Administrator for Public
Affairs, develop and maintain the DOE Headquarters Emergency
Public Information Plan and necessary implementing procedures.
Provide copies of the plan to the Program Secretarial Officers
and the Director, Office of Emergency Operations.
Chapter II - [Reserved]
Chapter III. OPERATIONAL EMERGENCY BASE PROGRAM
1. GENERAL REQUIREMENTS. Each DOE/NNSA site/facility must have
an Operational Emergency Base Program that provides the framework
for response to serious events involving health and safety, the
environment, safeguards, and security. These events are not
unique to DOE/NNSA operations. Any event involving the release
of oil is within the scope of the Operational Emergency Base
Program.
2. RELATED REGULATIONS AND PLANS. The Operational Emergency
Base Program must provide for compliance with the following
regulations and plans developed by other Federal Agencies and
DOE/NNSA Offices, and with those State and local planning and
preparedness requirements that apply.
a. Occupational Safety and Health Administration requirements
for employee evacuation plans (29 CFR 1910.38) and notification
systems (29 CFR 1910.165).
b. Federal property management regulations for occupant
emergency programs (41 CFR 102-74.235 to 102-74.260) and accident
and fire prevention (41 CFR 102-74-360).
c. Federal Emergency Management Agency requirements for
emergency operations plans for State and local governments
(44 CFR 302) that address similar hazards.
d. Federal Energy Regulatory Commission requirements for
emergency plans (18 CFR 12.20) to protect the health and safety
of members of the public upstream and downstream of water
projects (dams).
e. Environmental Protection Agency requirements implementing
the Clean Water Act through the National Pollution Discharge
Elimination System (40 CFR 104 through 129). (Of particular note
are requirements for contingency planning for oil spills through
the 40 CFR 112 series, which mandates preparation of Spill
Prevention Control and Countermeasure Plans).
f. Environmental Protection Agency requirements implementing
the provisions of the Safe Drinking Water Act (40 CFR 141-142).
g. Environmental Protection Agency requirements implementing
the Comprehensive Environmental Response, Compensation, and
Liability Act, embodied in the 40 CFR 300 series, including Title
III, the Emergency Planning and Community Right-to-Know Act,
embodied at 40 CFR 355.
h. Department of Transportation requirements for emergency
response information (49 CFR 172.600 series) and hazardous
materials training (49 CFR 172.700 series).
i. DOE O 420.1A, Facility Safety, dated 5-20-02, which
addresses requirements for fire protection programs. Some
requirements must be incorporated into the facility emergency
plan, including response by DOE/NNSA or local community fire
departments.
j. DOE O 440.1A, Worker Protection for DOE Federal and
Contractor Employees, dated 3-27-98, which addresses requirements
for planning for treatment of the injured during emergency or
disaster situations.
k. DOE O 470.1, Safeguards and Security Program, Chg 1, dated
6-21-96, which addresses requirements for appropriate protection
levels for DOE interests and documentation in facility-specific
Site Safeguards and Security Plans.
l. DOE N 473.9, Security Conditions, dated 7-8-04, which
ensures that the Department uniformly meets the protection
requirements specified in Presidential Decision Directive 39,
U.S. Policy on Counterterrorism (U).
m. The Health Insurance Portability and Accountability Act of
1996 (HIPAA), which restricts access to individual medical
information.
3. PLANNING PHASE.
a. Hazards Survey. A Hazards Survey must be used to identify
the conditions to be addressed by the comprehensive emergency
management program. Much of the Hazards Survey should already
have been done in the course of meeting other DOE and Federal
agency requirements.
(1) Each Hazards Survey must—
(a) identify (e.g., in matrix or tabular form) the emergency
conditions (e.g., fires, work place accidents, natural phenomena,
etc.);
(b) describe the potential health, safety, or environmental
impacts;
(c) indicate the need for further analyses of hazardous
materials in an EPHA, based on the results of the hazardous
material screening process described in paragraph 3b below; and
(d) identify the planning and preparedness requirements that
apply to each type of hazard.
(2) A Hazards Survey may cover multiple facilities. One Hazards
Survey may be prepared to cover an entire site.
(3) Hazards surveys must be updated every three years, and prior
to significant changes to the site/facility or to hazardous
material inventories. For example, significant changes are those
changes which would result in an unreviewed safety question for
nuclear facilities, as defined in 10 CFR 830, or in an unreviewed
safety issue for accelerator facilities, as defined in
DOE O 420.2B. Changes that result in a reduction of hazards with
no adverse effect on safety or emergency preparedness or response
may be included in the next scheduled review and update.
b. A Hazardous Material Screening Process must identify
specific hazardous materials and quantities that, if released,
could produce impacts consistent with the definition of an
Operational Emergency. The potential release of these materials
to the environment requires further analysis in an EPHA. The
release of hazardous materials less than the quantities listed
below does not require quantitative analysis in an EPHA.
(1) In general, to meet the definition of an Operational
Emergency [See Chapter V], the release of a hazardous material
must: immediately threaten or endanger personnel and emergency
responders 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.
(2) The hazardous material screening process must identify all
hazardous materials in a facility/activity that require further
analysis in an EPHA.
(a) Radioactive Materials:
1 All radioactive materials in a facility/activity must be
subjected to a hazardous material screening process.
2 Radioactive materials that may be excluded from further
analysis in an EPHA include: sealed radioactive sources that are
engineered to pass the special form testing specified by the
Department of Transportation (DOT) or the American National
Standards Institute (ANSI); materials in solid form for which
there is no plausible dispersal mechanism; materials stored in
DOT Type B shipping containers with overpack, if the Certificates
of Compliance are current and the materials stored are authorized
by the Certificate; and, materials used in exempt, commercially
available products.
3 Radioactive hazardous materials that require further
analysis in an EPHA include the radioactive materials listed in
DOE-STD-1027-92 in quantities greater than the Category 3 values
given in Attachment 1, Table A.1 of that Standard.
(b) Chemicals:
1 All chemicals in a facility/activity with known or suspected
toxic properties must be subjected to a hazardous material
screening process.
2 Chemicals that may be excluded from further analysis in an
EPHA include: materials used in the same form, quantity, and
concentration as a product packaged for distribution and use by
the general public; materials that have a Health Hazard rating of
0, 1 or 2 based on NFPA 704; or solid or liquid materials that,
because of their physical form or other factors (e.g., plausible
dispersal mechanisms), do not present an airborne exposure
hazard.
3 Chemical hazardous materials that require further analysis
in an EPHA include chemicals with an assigned Health Hazard
rating of 3 or 4 based on National Fire Protection Association
(NFPA) 704 in quantities greater than a quantity that can be
“easily and safely manipulated by one person”
[see 29 CFR 1910.1450(b)]. Chemicals without an assigned Health
Hazard rating require further analysis in an EPHA if the quantity
is greater than a quantity that can be “easily and safely
manipulated by one person.” Quantities of chemical hazardous
materials considered to be "easily and safely manipulated by one
person" can be locally-determined in accordance with the
provisions of 29 CFR 1910.1450(b).
(c) Biological Hazardous Agents and Toxins. Hazardous
biological agents and toxins identified in Base Order
paragraph 4a (14) (c) require an EPHA and a Hazardous Material
Program.
(d) The possibility that excluded materials could initiate,
through fires or explosions, the release of other hazardous
materials must be considered.
(3) If the screening process identifies at least one hazardous
material requiring further analysis, the Hazards Survey must
indicate that an EPHA is needed for that facility or activity.
(4) A description of the screening process and the results of
its application to the hazardous materials in the
facility/activity must be included in the Hazards Survey or
incorporated by reference into supporting documentation.
(a) For facilities/activities requiring an EPHA, this
documentation must be referenced or included in the EPHA.
(b) If the quantitative analysis indicates that all events would
be classified as less than an Alert, an EPHA is not required to
be maintained. The results of the hazardous material screening
process and the quantitative analysis may be incorporated
directly into the Hazards Survey or may be incorporated by
reference in the Hazards Survey.
c. Existing Plans. 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 Operational Emergency Base Program or invoked by
reference.
d. Planning Requirements. The Operational Emergency Base
Program must provide for integrated planning to meet the response
requirements identified in the Hazards Survey. At a minimum, the
Operational Emergency Base Program must address the following:
(1) Emergency Response Organization. Assignment of an
individual (e.g., building or facility manager or similar
position) to manage and control all aspects of the site/facility
response.
(2) Offsite Response Interfaces. Coordination with State,
Tribal, 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.
(3) Emergency Categorization.
(a) Establishment of criteria for determining quickly if an
event is an Operational Emergency. See Chapter V.
(b) An event must be categorized as an Operational Emergency as
promptly as possible, but no later than 15 minutes after event
recognition/identification/discovery.
(4) Communications. Prompt initial notification of workers,
emergency response personnel, and response organizations,
including DOE/NNSA elements and State, Tribal, and local
organizations, and continuing effective communication among
response organizations throughout an emergency. See
Chapter VIII.
(5) Protective Actions. Evacuation or sheltering of employees,
along with provisions to account for employees after emergency
evacuation has been completed; protection of workers involved in
response and clean-up covered by 29 CFR 1910.120.
(6) Medical Support. In accordance with DOE O 440.1A, provision
of medical treatment and planning for mass casualty situations.
Sharing patient information between onsite and offsite health
care providers during emergencies must be coordinated in advance
and consistent with the requirements of HIPAA.
(7) Public Information. See Chapter IX.
(8) Emergency Facilities and Equipment. 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.
(9) Program Administration. See Chapter XI.
4. PREPAREDNESS PHASE.
a. Training and Drills.
(1) Initial training and periodic drills must be provided to all
workers who may be required to take protective actions (e.g.,
shelter-in-place; assembly, evacuation). This training is
required when they are employed, when their expected actions
change, or when the emergency plan changes.
(2) Refresher training must be provided annually to certified
operators and supervisors and those workers who are likely to
witness a hazardous material release and who are required to
notify proper authorities of the release.
(3) Emergency-related information and training on site-specific
conditions and hazards must be made available to offsite
personnel who may be required to participate in response to an
emergency at the DOE/NNSA site/facility.
b. Exercises.
(1) At a minimum, each site/facility must conduct building
evacuation exercises consistent with Federal regulations [e.g.,
(41 CFR 102-74-360)], local ordinances, or National Fire
Protection Association Standards. Exercises must be conducted at
least annually to ensure that employees are able to safely
evacuate their work area.
(2) For each site or facility, as applicable, the organization
responsible for communications with DOE Headquarters, the
Cognizant Field Element, and offsite agencies must test
communications systems at least annually or as often as needed to
ensure that communications systems are operational.
5. RESPONSE PHASE.
a. Response.
(1) Each site/facility must conduct activities to resolve the
emergency situation.
(2) Reentry planning must include contingency planning to ensure
the safety of reentry personnel, such as planning for the rescue
of reentry teams. All individuals involved in reentry must
receive a hazards/safety briefing prior to emergency response
activities consistent with Federal, State, and local laws and
regulations.
(3) Events exceeding the threshold levels for Operational
Emergencies as detailed in Chapter V require notification in
accordance with Chapter VIII.
b. Termination and Recovery. Termination must be coordinated
with State, Tribal, and local agencies and organizations
responsible for offsite emergency response and notification.
Recovery must include establishment of criteria for resumption of
normal operations. Recovery must also include investigation of
the root cause(s) of the emergency and corrective action(s) to
prevent recurrence in accordance with Departmental requirements
(e.g., see DOE O 225.1A, Accident Investigations, dated 11-26-97,
DOE O 231.1A, Environment, Safety, and Health Reporting, with
Change 1dated 6-3-04, and DOE 5480.19, Conduct of Operations
Requirements for DOE Facilities, with Change 2, dated 10-23-01).
Chapter IV. OPERATIONAL EMERGENCY HAZARDOUS MATERIAL PROGRAM
1. GENERAL REQUIREMENTS. The Operational Emergency Hazardous
Material Program adds to the Operational Emergency Base Program.
If required based on the findings of the Hazards Survey (see
Chapter III), DOE/NNSA sites/facilities and activities must
establish and maintain a quantitative EPHA. The EPHA must be
used to define the provisions of the Operational Emergency
Hazardous Material Program, ensuring that the program is
commensurate with the hazards identified. The EPHA provides the
basis for establishing a graded approach that will meet the
program requirements outlined in this chapter.
2. RELATED REGULATIONS AND PLANS. The following regulations
and plans have been developed by Congress, other Federal
agencies, and DOE/NNSA offices. They establish requirements
similar to those required within 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 regulations and plans should be
incorporated in accordance with corresponding implementation
requirements or as soon as reasonably achievable (e.g., during
the performance of the Emergency Planning Hazards Assessment
review/update).
a. Congress has directed that emergency planning and
preparedness be improved for hazardous material releases through
provisions of the Resource Conservation and Recovery Act of 1976,
the Oil Pollution Act of 1990, and the Clean Air Act Amendments
of 1990. Implementing regulations have been issued or are
forthcoming.
b. The Environmental Protection Agency has published emergency
planning requirements in the 40 CFR 68 series for industries
using hazardous materials.
c. The Environmental Protection Agency has published
regulations regarding emergency planning for hazardous material
waste sites through the 40 CFR 260 and 265 series. These
requirements are generally implemented at DOE/NNSA sites as part
of the Resource Conservation and Recovery Act Part B permit
process, with an emergency plan being part of the permit
submission.
d. The Environmental Protection Agency has established
requirements in 40 CFR 116 and 117 for limiting discharge of
hazardous chemicals through the National Pollution Discharge
Elimination System permits.
e. The Occupational Safety and Health Administration has
established requirements for preventing or minimizing the
consequences of catastrophic release of toxic, reactive,
flammable, or explosive chemicals in 29 CFR 1910.119.
f. The Occupational Safety and Health Administration has
established requirements for emergency planning, preparedness,
and response in 29 CFR 1910.120.
g. The Nuclear Regulatory Commission (NRC) has established
emergency planning and preparedness requirements as part of its
licensing process for reactors, in 10 CFR 50, in particular
Appendix E, and for other facilities using special nuclear
materials, in 10 CFR 70. This applies only to those facilities
licensed by the NRC.
h. The Federal Radiological Emergency Response Plan has been
replaced by the Nuclear/Radiological Incident Annex of the
National Response Plan (NRP), to guide Federal response to a
peacetime radiological accident.
i. The National Oil and Hazardous Substances Pollution
Contingency Plan, or National Contingency Plan, is published in
40 CFR 300 to provide the organizational structure and procedures
for Federal preparation for and response to discharges of oil and
releases of hazardous substances.
j. The Environmental Protection Agency has published Protective
Action Guides to which the exposure level resulting from
radiological releases is compared for determining whether
protective actions should be implemented.
k. The American Industrial Hygiene Association has published
Emergency Response Planning Guidelines to which the exposure
level resulting from the release of non-radiological material is
compared for determining whether protective actions should be
implemented.
3. PLANNING PHASE.
a. Emergency Planning Hazards Assessment.
(1) The release of or loss of control of hazardous materials
must be quantitatively analyzed in an Emergency Planning Hazards
Assessment (EPHA).
(a) If the EPHA indicates the potential for an Alert, Site Area
Emergency, or General Emergency, as defined in Chapter V, the
results of the analysis must be used to determine the necessary
personnel, resources, and equipment for the Operational Emergency
Hazardous Material Program.
(b) If the quantitative analysis indicates that all events would
be classified as less than an Alert, an EPHA is not required to
be maintained. The results of the hazardous material screening
process and the quantitative analysis may be incorporated
directly into the Hazards Survey or may be incorporated by
reference in the Hazards Survey. The minimum program
requirements must encompass the requirements for Hazardous Waste
Operations and Emergency Response found in 29 CFR 1910.120 and
the requirements specified in Chapter III of this Order.
(2) An accurate and timely method for tracking changes in
operations processes, or accident analyses that involve hazardous
materials (e.g., introduction of new materials, new uses,
significant changes in inventories, modification of material
environments) must be established and maintained for each
facility/activity. The method must allow sufficient time for
emergency management personnel to review the EPHA and modify
plans and procedures, as necessary. For example, significant
changes are those changes which would result in an unreviewed
safety question for nuclear facilities, as defined in 10 CFR 830,
or in an unreviewed safety issue for accelerator facilities, as
defined in DOE O 420.2B.
(3) The EPHA must be reviewed at least every three years and
updated prior to significant changes to the site/facility or
hazardous material inventories. Changes that result in a
reduction of hazards with no adverse effect on safety or
emergency preparedness and response may be included in the next
scheduled review and update.
(4) The EPHA must include a determination of the size of the
Emergency Planning Zone (EPZ). The EPZ is the geographic area
surrounding the site/facility for which special planning and
preparedness actions are taken or need to be taken to reduce or
minimize the impact to onsite personnel and public health and
safety in the event of an Operational Emergency involving
hazardous materials. Assumptions, methodology, models, and
evaluation techniques used in the Emergency Planning Hazards
Assessment must be documented.
(5) The Office of Secure Transportation (OST) must develop an
EPHA for OST shipments to provide the technical planning basis
for the OST Operational Emergency Hazardous Material Program.
(6) An EPHA must be developed for shipments that do not satisfy
governing DOT regulations and specifications for commercial
hazardous materials transport. However, if a shipment satisfies
DOT regulations and specifications, then an EPHA is not required.
b. Planning Requirements.
(1) Emergency Response Organization. This organization must be
established and maintained for each site/facility with overall
responsibility for the initial and ongoing response to and
mitigation of an emergency. Control at the event/incident scene
must be consistent with the National Incident Management System’s
Incident Command System, which integrates local agencies and
organizations that provide onsite response services.
(2) Offsite Response Interfaces. Offsite response interfaces
have the same requirements as for the Operational Emergency Base
Program although additional offsite organizations may be
involved.
(3) Emergency Classification. Provisions must be established to
categorize and classify (determine the emergency class) emergency
events.
(a) Hazardous material emergencies involving DOE/NNSA facilities
must be classified in accordance with Chapter V.
(b) Site/facility-specific Emergency Action Levels must be
developed for the spectrum of potential Operational Emergencies
identified by the Emergency Planning Hazards Assessment and must
include protective actions corresponding to each Emergency Action
Level (EAL).
(4) Communications. See Chapter VIII.
(5) Consequence Assessment. Provisions must be established to
adequately assess the potential or actual onsite and offsite
consequences of an emergency.
(a) Consequence assessments must—
1 be timely throughout the emergency;
2 be integrated with the event classification and protective
action process;
3 incorporate monitoring of specific indicators and field
measurements; and
4 be coordinated with Federal, State, local, and Tribal
organizations.
(b) The National Atmospheric Release Advisory Center (NARAC)
capability must be used as the primary source of consequence
assessment information, the backup to a primary source of
consequence assessment, the primary source for consequence
assessment at distances beyond the scope of local consequence
assessment capability, or as a source for corroborating or
confirming consequence assessment information.
1 If the facility has the potential for an Operational
Emergency classified as a General Emergency, the facility/site
must have connectivity to NARAC capabilities and procedures to
use the NARAC capability effectively as part of near real-time
consequence assessment activities for the mode (primary, backup,
corroborating) selected by the facility.
2 If the facility has the potential for an Operational
Emergency classified as a Site Area Emergency, the facility/site
must have procedures in place to activate or request NARAC
capabilities and must be able to use those capabilities as part
of near real-time consequence assessment activities.
3 All DOE/NNSA facilities/sites that have access to NARAC or
have procedures in place to activate or request NARAC
capabilities must ensure that facility/site meteorological data
and information on source terms for actual or potential releases
of hazardous materials to the atmosphere are available or can be
made available to NARAC in a timely manner to facilitate near
real-time computations.
(6) Protective Actions. Protective actions must be
predetermined for onsite personnel and the public and must
include—
(a) methods for controlling, monitoring, and maintaining records
of personnel exposures to hazardous materials;
(b) procedures to implement the separate protective actions of
evacuation and sheltering of employees;
(c) methods for controlling access to contaminated areas and for
decontaminating personnel or equipment exiting the area;
(d) actions that may be taken to increase the effectiveness of
protective actions [i.e., heating, ventilation, and air
conditioning (HVAC) shutdown during sheltering];
(e) methods for providing timely recommendations to appropriate
State, Tribal, or local authorities of protective actions, such
as sheltering, evacuation, relocation, and food control; and
(f) specific protective action criteria, based on the Base
Order, paragraph 4a(14), for use in protective action decision
making.
(7) Medical Support. Medical support must be planned in
accordance with DOE O 440.1A for workers contaminated by
hazardous material. Medical support must include documented
arrangements with onsite and offsite medical facilities to accept
and treat contaminated, injured personnel.
(8) Public Information. See Chapter IX.
(9) Emergency Facilities and Equipment. Facilities and
equipment adequate to support emergency response must be
available and maintained as follows.
(a) A facility must be available for use as a command center.
(b) Provisions must be established for use of an alternate
location if the primary command center is not available.
(c) Adequate personal protective equipment and other equipment
and supplies must be available and operable to meet the needs
determined by the results of the Emergency Planning Hazards
Assessment.
(10) Program Administration. See Chapter XI.
4. PREPAREDNESS PHASE.
a. Training and Drills. A coordinated program of training and
drills for developing and/or maintaining specific emergency
response capabilities must be an integral part of the emergency
management program. The program must apply to emergency response
personnel and organizations that the site/facility expects to
respond to onsite emergencies. Emergency-related information
must be available to offsite response organizations. The program
must consist of self-study/homework, training, and drills.
(1) Training. Both initial training and annual refresher
training must be provided for the instruction of and
demonstration of proficiency by all personnel (i.e., primary and
alternate) comprising the emergency response organization.
(2) Drills. Drills must provide supervised, "hands-on" training
for members of emergency response organizations.
b. Exercises. A formal exercise program must be established to
validate all elements of the emergency management program over a
five-year period. Each exercise must have specific objectives
and must be fully documented (e.g., by scenario packages that
include objectives, scope, timelines, injects, controller
instructions, and evaluation criteria). Exercises must be
evaluated. A critique process, which includes gathering and
documenting observations of the participants, must be
established. Corrective action items identified as a result of
the critique process must be incorporated into the emergency
management program.
(1) Sites/Facilities.
(a) Each DOE/NNSA facility subject to this chapter must exercise
its emergency response capability annually and include at least
facility-level evaluation and critique. Evaluations of annual
facility exercises by Departmental entities (e.g., Cognizant
Field Element, Program Secretarial Officer or Headquarters Office
of Security and Safety Performance Assurance) must be performed
periodically so that each facility has an external Departmental
evaluation at least every three years.
(b) Site-level emergency response organization elements and
resources must participate in a minimum of one exercise annually.
This site exercise must be designed to test and demonstrate the
site's integrated emergency response capability. For multiple-
facility sites, the basis for the exercise must be rotated among
facilities.
(c) Offsite response organizations must be invited to
participate in site-wide exercises at least once every three
years.
(d) Annual emergency response exercises must be supported by
documentation that contains, but is not limited to, the exercise
scope, its objectives and corresponding evaluation criteria, a
narrative description of the scenario, timeline, and a list of
participants. Documentation for site exercises must be approved
by the Cognizant Field Element. After approval, the Cognizant
Field Element submits the approved exercise package to the
Program Secretarial Officer(s), and the Director, Office of
Emergency Operations for information, preferably 30 days prior to
the conduct of the exercise.
(e) Evaluation reports for facility and site exercises must be
completed within 30-working days and submitted to the Cognizant
Field Element, the Program Secretarial Officer(s), and the
Director, Office of Emergency Operations.
(f) Corrective action plans must be completed within 30-working
days of receipt of the final facility and site exercise
evaluation report.
(g) Completion of corrective actions for all facility and site
exercises must include a verification and validation process,
independent of those who performed the corrective action, that
verifies that the corrective action has been put in place and
that validates that the corrective action has been effective in
resolving the original finding. Corrective actions involving
revision of procedures or training of personnel should be
completed before the next exercise.
(2) Emergency Response Assets. Exercises of each of the
Department's radiological emergency response assets must be
conducted at least once every three years. These assets include
the Accident Response Group (ARG), Nuclear Emergency Support Team
(NEST), Federal Radiological Monitoring and Assessment Center
(FRMAC), Aerial Measuring System (AMS), National Atmospheric
Release Advisory Center (NARAC), Radiation Emergency Assistance
Center/Training Site (REAC/TS), and Radiological Assistance
Program (RAP).
5. RESPONSE PHASE.
a. Response. Emergencies involving hazardous materials require
time-urgent response actions to minimize or prevent unacceptable
consequences. Events must be classified on the basis of
potential severity of the consequences as detailed in Chapter V.
Response actions must be implemented accordingly.
(1) Declaration of an Alert does not necessarily require the
activation of response centers, but does require availability of
personnel and resources to—
(a) continuously assess pertinent information for DOE/NNSA
decision makers, offsite authorities, the public, and other
appropriate entities;
(b) conduct appropriate assessments, investigations, or
preliminary sampling and monitoring;
(c) mitigate the severity of the occurrence or its consequences;
and
(d) prepare for other response actions should the situation
become more serious, requiring emergency response organizations
to mobilize or activate resources.
(2) Declaration of a Site Area Emergency requires the same
response as for an Alert plus—
(a) initiation of predetermined protective actions for onsite
personnel;
(b) notification and assembly of emergency response personnel
and equipment to activate response centers and to establish
communications, consultation, and liaison with offsite
authorities;
(c) provision of information to the public and the media;
(d) implementation of or assistance in any evacuations and
sheltering; and
(e) mobilization of appropriate emergency response groups or
protective/security forces for immediate dispatch should the
situation become more serious.
(3) Declaration of a General Emergency requires the same
response as for a Site Area Emergency, plus the notification,
mobilization, and dispatch of all appropriate emergency response
personnel and equipment, including appropriate DOE emergency
response assets, and liaison with offsite authorities for the
recommendation of predetermined public protective actions.
b. Termination and Recovery.
(1) Predetermined criteria for termination of emergencies must
be established/developed.
(2) The means must exist for estimating exposure to hazardous
materials and for protecting workers and the general public from
exposure during reentry and recovery activities.
(3) Recovery procedures must include: dissemination of
information to Federal, State, Tribal, and local organizations
regarding the emergency and possible relaxation of public
protective actions; planning for decontamination actions;
establishment of a recovery organization; development of
reporting requirements; and establishment of criteria for
resumption of normal operations.
(4) Emergencies, once categorized, must not be downgraded to a
lower significance category unless the original categorization
was incorrect. An event determined to be an emergency will
remain so until the emergency response is terminated. In
general, the emergency classification (i.e., Alert, Site Area
Emergency, General Emergency) should not be downgraded until
termination of the event. However, emergency classification must
be reviewed periodically to ensure the classification is
commensurate with response activities.
Chapter V. OPERATIONAL EMERGENCY EVENTS AND CONDITIONS
1. GENERAL. Operational Emergencies are major unplanned or
abnormal events or conditions that: involve or affect DOE/NNSA
facilities and 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 event scene. Such emergencies represent, cause, or
have the potential to cause the events or conditions described
below.
Incidents that can be controlled by employees or maintenance
personnel in the immediate/affected facility or area are not
Operational Emergencies. Incidents that do not pose a
significant hazard to safety, health, and/or the environment
and that do not require a time-urgent response are not
Operational Emergencies.
Note that the initiating events described below are not all-
inclusive. Other initiating events that warrant
categorization as Operational Emergencies must be included
in site/facility-specific procedures. Less severe events
are reported through the process described in DOE O 231.1A,
Environment, Safety, and Health Reporting, dated 8-19-03.
2. EVENTS THAT DO NOT REQUIRE CLASSIFICATION. An Operational
Emergency must be declared when events occur that represent a
significant degradation in the level of safety at a site/facility
and that require time-urgent response efforts from outside the
site/facility. These events do not require classification (i.e.,
as Alert, Site Area Emergency, or General Emergency). Such
events include the following.
a. Health and Safety. The following events or conditions
represent, cause, or have the potential to cause serious health
and safety impacts to workers or members of the public.
(1) The discovery of radioactive or other hazardous material
contamination from past DOE/NNSA operations that may have caused,
is causing, or may reasonably be expected to cause uncontrolled
personnel exposures exceeding protective action criteria.
(2) An offsite hazardous material event not associated with
DOE/NNSA operations that is observed to have or is predicted to
have an impact on a DOE/NNSA site, such that protective actions
are required for onsite DOE/NNSA workers.
(3) An occurrence (e.g., earthquake, tornado, aircraft crash,
fire, explosion) that causes or can reasonably be expected to
cause significant structural damage to DOE/NNSA facilities, with
confirmed or suspected personnel injury or death.
(4) Any facility evacuation in response to an actual occurrence
that requires time-urgent response by specialist personnel, such
as hazardous material responders or mutual aid groups not
normally assigned to the affected facility.
(5) An unplanned nuclear criticality.
(6) Any mass casualty event.
b. Environment. The following events or conditions represent,
cause, or have the potential to cause serious detrimental effects
on the environment.
(1) Any actual or potential release of hazardous material or
regulated pollutant to the environment, in a quantity greater
than five times the Reportable Quantity (RQ) specified for such
material in 40 CFR 302, that could result in significant offsite
consequences, such as major wildlife kills, wetland degradation,
aquifer contamination, or the need to secure downstream water
supply intakes.
(2) Any release of greater than 1,000 gallons (24 barrels) of
oil to inland waters; greater than 10,000 gallons (238 barrels)
of oil to coastal waters; or a quantity of oil that could result
in significant off-site consequences (e.g., need to relocate
people, major wildlife kills, wet-land degradation, aquifer
contamination, need to secure downstream water supply intakes,
etc.) [Oil as defined by the Clean Water Act (33 U.S.C. 1321)
means any kind of oil and includes petroleum.]
c. Security and Safeguards. (Security incidents are also
subject to reporting in accordance with DOE O 471.4, Incidents of
Security Concern. Per this Order, foreign involvement in
security incidents must be reported to the Office of
Counterintelligence.) The following events or conditions
represent, cause, or have the potential to cause degradation of
security or safeguards conditions with actual or potential direct
harm to people or the environment.
(1) Actual unplanned detonation of an explosive device or a
credible threat of detonation resulting from the location of a
confirmed or suspicious explosive device.
(2) An actual terrorist attack or sabotage event involving a
DOE/NNSA site/facility or operation.
(3) Kidnapping or taking hostage(s) involving a DOE/NNSA
site/facility or operation.
d. Offsite DOE Transportation Activities. The following events
or conditions represent an actual or potential release of
hazardous materials from a DOE/NNSA shipment.
(1) Any accident/incident involving an offsite DOE/NNSA shipment
containing hazardous materials that causes the initial responders
to initiate protective actions at locations beyond the
immediate/affected area. .
(2) Failures in safety systems threaten the integrity of a
nuclear weapon, component, or test device.
(3) A transportation accident results in damage to a nuclear
explosive, nuclear explosive-like assembly, or Category I/II
quantity of Special Nuclear Materials.
e. Hazardous Biological Agent or Toxins. The following events
or conditions involving the release of a hazardous biological
agent or toxin [identified in Base Order, paragraph 4a(14)(c)]
represent major failure of safety systems, protocols, and/or
practices with the potential to have a serious impact on health
and safety of workers, collocated workers, emergency responders,
members of the public, or the environment:
(1) Any actual or potential release of a hazardous biological
agent or toxin outside of the secondary barriers of the
biocontainment area.
3. EVENTS REQUIRING CLASSIFICATION. Operational Emergencies
must be classified as either an Alert, Site Area Emergency, or
General Emergency, in order of increasing severity, when events
occur that represent a specific threat to workers and the public
due to the release or potential release of significant quantities
of hazardous materials from DOE/NNSA
facilities/activities/operations, as described below.
Classification aids in the rapid communication of critical
information and the initiation of appropriate time-urgent
emergency response actions. Events listed in paragraph 2, this
chapter, that serve as initiating events for the release of
hazardous materials must be classified under the provisions of
this section.
a. Alert. An Alert must be declared when events are predicted,
are in progress, or have occurred that result in one or more of
the following.
(1) An actual or potential substantial degradation in the level
of control over hazardous materials.
(a) The radiation dose from any release to the environment of
radioactive material or a concentration in air of other hazardous
material is expected to exceed either—
1 a site-specific criterion corresponding to 10 percent of the
applicable Protective Action Criterion [see Base Order,
paragraph 4a(14)] at or beyond the facility boundary, or
2 the applicable Protective Action Criterion [see Base Order,
paragraph 4a(14)] at or beyond 30 meters from the point of
release to the environment.
(b) It is not expected that the applicable Protective Action
Criterion [see Base Order, paragraph 4a(14)] will be exceeded at
or beyond the facility boundary.
(2) An actual or potential substantial degradation in the level
of safety or security of a nuclear weapon, component, or test
device that would not pose an immediate threat to workers or the
public.
(3) An actual or potential substantial degradation in the level
of safety or security of a facility or process that could, with
further degradation, produce a Site Area Emergency or General
Emergency.
b. Site Area Emergency. A Site Area Emergency must be declared
when events are predicted, in progress, or have occurred that
result in one or more of the following situations.
(1) An actual or potential major failure of functions necessary
for the protection of workers or the public. The radiation dose
from any release of radioactive material or concentration in air
from any release of other hazardous material is expected to
exceed the applicable Protective Action Criterion [see Base
Order, paragraph 4a(14)] at or beyond the facility boundary. The
Protective Action Criterion is not expected to be exceeded at or
beyond the site boundary.
(2) An actual or potential threat to the integrity of a nuclear
weapon, component, or test device that may adversely impact the
health and safety of workers in the immediate area, but not the
public.
(3) Actual or potential major degradation in the level of safety
or security of a facility or process that could, with further
degradation, produce a General Emergency.
c. General Emergency. A General Emergency must be declared
when events are predicted, in progress, or have occurred that
result in one or more of the following situations.
(1) Actual or imminent catastrophic reduction of facility safety
or security systems with potential for the release of large
quantities of hazardous
materials to the environment. The radiation dose
from any release of radioactive material or a
concentration in air from any release of other
hazardous material is expected to exceed the
applicable Protective Action Criterion [see Base
Order, paragraph 4a(14)] at or beyond the site
boundary.
(2) Actual or likely catastrophic failures in safety or security
systems threatening the integrity of a nuclear weapon, component,
or test device that may adversely impact the health and safety of
workers and the public.
Chapter VI. ENERGY EMERGENCY PROGRAM
1. GENERAL REQUIREMENTS. The Energy Emergency Program must
ensure that the Department is capable of providing analysis and
recommendations on mitigating potential energy supply crises,
economic impacts, widespread energy distribution interruptions,
and/or energy infrastructure recovery advice. The program
recognizes that resources and expertise within the Department may
be requested to support an energy emergency response. The
program also recognizes that DOE assistance may be required in
support of a Presidentially-declared emergency invoking the
Stafford Act, as amended, and implemented through the National
Response Plan. The Energy Emergency Program may be implemented
coincident with implementation of the Emergency Assistance
Program (Chapter VII).
2. RELATED REGULATIONS AND PLANS.
a. DOE has established requirements in 10 CFR 205.350 for
maintaining current information regarding the status of
electrical energy supply systems.
b. The Department of Homeland Security has published the
National Response Plan, which meets requirements established in
Public Law 93-288, as amended. The National Response Plan
provides the framework for a coordinated Federal response in
support of State and local governments.
3. PLANNING PHASE.
a. Hazards Assessment. Hazards assessments for energy
emergencies are routinely conducted by the Energy Information
Administration and the Assistant Secretary of Policy and
International Affairs through short- and long-range forecasts.
b. Planning Requirements. The Headquarters Energy Emergency
Management Plan and Implementing Procedures must include the
following:
(1) plan for supply crises due to, but not limited to,
international political situations, defense mobilization, natural
or technological disasters, energy system sabotage, major
accidents involving energy systems, and labor strikes or
lockouts;
(2) Emergency Management Team procedures for energy emergencies,
including activation and staffing;
(3) the definition of potential emergencies for which the
program is responsible and for which procedures will be
developed;
(4) Energy Emergency Management Plan activation thresholds for
plan implementation;
(5) the process for developing, maintaining, and activating
procedures related to the National Response Plan Emergency
Support Function #12 (Energy) and other Emergency Support
Functions (ESFs) where DOE is a support agency;
(6) specific planned roles and resources from Headquarters
offices or DOE/NNSA offices in the field required in response to
energy emergency scenarios;
(7) reporting formats for documenting the situation and the DOE
response;
(8) processes for monitoring and analyzing the energy situation
and for responding to an energy emergency, including recovery.
4. PREPAREDNESS PHASE. The Headquarters Energy Emergency
Management Plan must establish a readiness assurance program,
including training, drills, exercises, and evaluation of
readiness for energy emergencies.
5. RESPONSE PHASE.
a. An energy emergency must be declared after events of
significant magnitude have occurred, activation of ESF #12
(Energy) or other ESFs involving DOE as a support agency for
energy-related activities, or as directed by the Deputy
Secretary. See Chapter VIII.
b. Declaration of an energy emergency requires the availability
of appropriate DOE personnel and resources to continuously assess
pertinent information for DOE decision makers and to provide
recommendations or coordination to other Federal agencies or
industries to mitigate the severity of the occurrence or its
consequences.
c. At the request of the Deputy Secretary or as events warrant,
appropriate members of the Emergency Management Team must convene
in the Headquarters Operations Center to—
(1) provide timely assessments of the dimensions of the energy
emergency as required under interagency plans or as requested by
the Secretary;
(2) establish communications, consultation, and liaison with
appropriate energy industry entities and other Federal agencies,
as appropriate; and
(3) notify appropriate energy emergency response assets,
experts, and resources to respond according to the severity of
the situation.
Chapter VII. EMERGENCY ASSISTANCE PROGRAM
1. GENERAL REQUIREMENTS. The Emergency Assistance Program
includes all activities whereby Departmental resources, emergency
response assets, personnel, and/or facilities are deployed in
support of Federal interagency plans; international agreements;
Presidential direction; and State, local, or Tribal agreements of
mutual aid. The Emergency Assistance Program may be implemented
along with the Energy Emergency Program (Chapter VI).
2. RELATED REGULATIONS AND PLANS.
a. Homeland Security Presidential Directive 5 (HSPD-5) directs
measures to enhance the ability of the United States to manage
domestic incidents, including development of a National Response
Plan (NRP) that integrates Federal Government domestic
prevention, preparedness, response, and recovery plans into one
all-discipline, all-hazards plan.
b. The Federal Radiological Emergency Response Plan has been
National Response Plan (NRP), to guide Federal response to a
peacetime radiological accident
.
c. The National Oil and Hazardous Substances Pollution
Contingency Plan (also called the National Contingency Plan) is
published in 40 CFR 300 to provide the organizational structure
and procedures for Federal responses to discharges of oil and
releases of hazardous substances. This plan will be integrated
into or replaced by the NRP described above.
d. The Continuity of Government Operations Plan provides the
capability to maintain essential Government services and
emergency functions in the most serious of events affecting
national security.
e. The Continuity of Operations Plan provides a capability to
ensure that essential Departmental missions and functions can be
performed without disruption during an emergency or other
situation.
f. The DOE 5530-series Orders describe the programmatic
requirements of the Department's radiological emergency response
assets.
3. PLANNING PHASE.
a. Emergency Assistance planning must encompass, but not be
limited to, the capability to provide—
(1) support and direction as prescribed in the National Response
Plan (NRP), the Nuclear/Radiological Incident Annex to the NRP,
and the National Contingency Plan (until superceded by a
rulemaking based on the NRP);
(2) the means to support Presidential direction to continue
operations of critical Departmental functions in the event that
Headquarters facilities are inoperable;
(3) direction and support as prescribed in the Presidentially-
mandated National Security Emergency Planning requirements and
Continuity of Government concept of operations; and
(4) technical and response assistance to organizations and
agencies with which the Department has entered into mutual aid
agreements.
b. The Headquarters Emergency Assistance Plan and Implementing
Procedures must—
(1) document Emergency Management Team procedures for Emergency
Assistance including activation and staffing;
(2) define potential emergencies for which the program is
responsible and for which procedures must be developed;
(3) identify specific planned roles and resources from
Headquarters offices or DOE/NNSA offices in the field required in
response to Emergency Assistance scenarios; and
(4) establish reporting formats to document the situation and
DOE/NNSA response activities.
c. Plans and procedures developed in accordance with the DOE
5530-series Orders for the Department's radiological emergency
response assets must be cross-referenced in the Headquarters
Emergency Assistance Plan and implementing procedures.
4. PREPAREDNESS PHASE. The Headquarters Emergency Assistance
Plan must establish a readiness assurance program, including
training and drills, exercises, and evaluation of readiness for
emergencies.
5. RESPONSE PHASE. The Administrator, NNSA, has responsibility
for the deployment of the radiological emergency response assets.
The Headquarters Emergency Manager must coordinate with
appropriate response teams (e.g., Defense Nuclear Programs,
Energy Information Administration, Cognizant Field Element) and
ensure deployment of radiological emergency response asset
personnel and energy emergency response personnel.
Coordination with the Executive Branch, other Federal
agencies, or other governments will be accomplished by
Headquarters.
Chapter VIII. COMMUNICATIONS REQUIREMENTS
1. GENERAL. Requirements in this chapter pertaining to
notification and reporting apply to Operational Emergencies,
Energy Emergencies, and Emergency Assistance. This section
emphasizes Operational Emergencies because of the criticality of
timely notification and reporting during such emergencies.
Communications requirements for emergencies do not supplant other
required notifications and reporting delineated under other
legislation, implementing regulations, and DOE Orders.
2. PLANNING PHASE.
a. For Operational Emergencies, provisions must be established
for prompt initial notification of workers and emergency response
personnel and organizations, including appropriate DOE/NNSA
elements and other Federal, State, Tribal, and local
organizations. Provisions must also be established for
continuing effective communication among the response
organizations throughout an emergency.
b. Notification and reporting responsibilities for Energy
Emergencies and Emergency Assistance must be established to
support appropriate plans and agreements.
3. PREPAREDNESS PHASE. Adherence to Operational Emergency
notification and reporting requirements must be demonstrated in
all emergency management exercises. Preparedness
responsibilities for Energy Emergencies and Emergency Assistance
must be established to support appropriate plans and agreements.
4. RESPONSE PHASE.
a. Initial Emergency Notifications. For Operational
Emergencies, initial emergency notifications must be made to
workers, emergency response personnel, and organizations,
including DOE/NNSA elements and other local, State, Tribal, and
Federal organizations.
(1) The Manager/Administrator of each DOE-/NNSA- or contractor-
operated site/facility must—
(a) notify State and local officials and the Cognizant Field
Element Emergency Operation Center and Headquarters Operations
Center within 15 minutes and all other organizations within
30 minutes of the declaration of an Alert, Site Area Emergency,
or General Emergency [Chapter V, paragraph 3];
(b) notify the Cognizant Field Element Emergency Operation
Center and Headquarters Operations Center within 30 minutes of
the declaration of an Operational Emergency not requiring
classification [Chapter V, paragraph 2]; and
(c) notify local, State, and Tribal organizations within
30 minutes or as established in mutual agreements for declaration
of an Operational Emergency not requiring classification [Chapter
V, paragraph 2].
(2) Headquarters Watch Office staff in the Headquarters
Operations Center and Headquarters Emergency Management Team
personnel must be responsible for the following.
(a) Receive notifications of Operational Emergencies and
disseminate such information to Program Secretarial Officer
representatives and, where appropriate, to Headquarters
organizations of other Federal agencies. The Headquarters
Operations Center must disseminate notifications involving Energy
Emergencies and Emergency Assistance to the appropriate
Headquarters Cognizant Secretarial Offices and affected DOE/NNSA
offices in the field.
(b) Facilitate communications among Headquarters organizations,
DOE/NNSA field organizations, and contractor personnel.
(3) At a minimum, emergency notification to the Headquarters
Operations Center must consist of a phone call providing as much
information as is known at the time. The same information must
be provided by e-mail or a fax either immediately prior to or
following the phone call. Information for initial notification
includes as much as possible of the following:
(a) that an Operational Emergency has been declared and, if
appropriate, the classification of the emergency;
(b) the description of the emergency;
(b) the date and time the emergency was discovered;
(c) the damage and casualties;
(d) whether the emergency has stopped other facility/site
operations or program activities;
(e) the protective actions taken and/or recommended;
(f) the notifications made;
(g) the weather conditions at the scene of the emergency;
(h) the level of any media interest at the scene of the
emergency or at the facility/site; and
(i) the contact information of the DOE or NNSA on-scene point of
contact.
b. Emergency Status Updates. Emergency status reports must be
forwarded to the next-higher Emergency Management Team on a
continuing basis until the emergency is terminated.
c. Responder Communications. Effective communications methods
must be established between event scene responders, emergency
managers, and response facilities.
d. Final Emergency Report. Following termination of emergency
response, and in conjunction with the Final Occurrence Report
(see DOE M 231.1-2), each activated Emergency Management Team
must submit a final report on the emergency response to the
Emergency Manager for submission to the Director, Office of
Emergency Operations.
e. Recovery Reporting. Reporting requirements must be
specified during recovery planning.
f. Review for Classified and Unclassified Controlled
Information. All reports and releases must be reviewed for
classified or unclassified controlled information (e.g.,
Unclassified Controlled Nuclear Information) prior to being
provided to personnel not authorized access to such information,
entered into databases not authorized for such information, or
transmitted using non-secure communications equipment.
g. Energy Emergencies and Emergency Assistance Response.
Responsibilities for Energy Emergencies and Emergency Assistance
must be established to support appropriate plans and agreements.
Chapter IX. PUBLIC AFFAIRS POLICY AND PLANNING REQUIREMENTS
1. GENERAL. The Department must provide accurate, candid, and
timely information, consistent with requirements of the Freedom
of Information Act and the Privacy Act, to site workers and the
public during all emergencies, so as to establish facts and avoid
speculation.
2. PLANNING PHASE.
a. Public affairs policy and planning requirements apply for
all emergencies or when the Department is obligated by law,
Executive Order, interagency agreement, or other accord to
provide technical support and assistance in accidents, defense
mobilization, war, or other emergencies, including those
involving another government agency, private organization, or
nation.
b. These policies and planning requirements must apply in
conjunction with the United States' international commitments to
the International Energy Program, the International Energy
Agency, the North Atlantic Treaty Organization, and the
International Atomic Energy Agency, or through the Department's
commitments under the Defense Production Act.
c. The Department must establish an Emergency Public
Information Program that includes adequate plans for all
emergencies at DOE/NNSA, or contractor facilities, as well as
potential offsite emergencies that may involve DOE/NNSA resources
or personnel.
d. Each Cognizant Field Element and site/facility must prepare
an Emergency Public Information Plan. The same plan can cover
multiple facilities on a site. The plans must provide the
following.
(1) identification of personnel, resources, facilities, and
coordination procedures necessary to provide emergency public
information;
(2) training and exercises for personnel who will interact with
the media;
(3) a methodology for informing workers and the public of
DOE/NNSA emergency plans and protective actions, before and
during emergencies;
(4) coordination of public information efforts with State,
local, and Tribal governments, and Federal emergency response
plans, as appropriate.
e. The Director, Headquarters Office of Public Affairs, in
coordination with the NNSA Assistant Administrator for Public
Affairs, must prepare an Emergency Public Information Plan.
(1) This plan must:
(a) Identify the personnel, resources, and facilities necessary
to support the Headquarters Emergency Manager and provide
emergency public information to the national media, the White
House Situation Room, the Department of Homeland Security (DHS)
National Homeland Security Operations Center (HSOC); and
Congress; and
(b) Specify the coordination procedures between public
information efforts at the Headquarters and those conducted at
the Cognizant Field Element and site/facility level, as well as
with State, local, and Tribal governments, and other Federal
agencies, as appropriate.
(2) Copies of the Headquarters Emergency Public Information Plan
must be provided to the Cognizant Field Element Managers, the
Program Secretarial Officers and the Director, Office of
Emergency Operations.
3. PREPAREDNESS PHASE. Adherence to emergency public
information policies and requirements must be demonstrated during
exercise evaluations, appraisals, and approved training programs.
4. RESPONSE PHASE.
a. The Emergency Public Information Plan must be applied during
deployment of the following Departmental emergency response
assets: the Aerial Measuring System (AMS), the Accident Response
Group (ARG), the National Atmospheric Release Advisory Center
(NARAC), the Federal Radiological Monitoring and Assessment
Center (FRMAC), the Nuclear Emergency Support Team (NEST), the
Radiological Assistance Program (RAP), and the Radiation
Emergency Assistance Center/Training Site (REAC/TS).
b. The Cognizant Field Element and contractor personnel must
cooperatively ensure that an adequate public information program
is established and maintained, commensurate with site hazards, to
ensure that information can be provided to the public and the
media during an emergency.
(1) For Operational Emergency Base Program facilities, the
emergency public information program must have provisions in
place to establish a media center. A media center is a
designated location where Cognizant Field Element and contractor
personnel can conduct the necessary briefings and press
conferences regarding an Operational Emergency at the facility.
(2) For Operational Emergency Hazardous Material Program
facilities, the emergency public information program must have
provisions in place to establish a Joint Information Center
(JIC). A JIC is a working location, where multiple jurisdictions
gather, process and disseminate public information during an
emergency. The JIC must be adequately staffed with personnel
trained to serve as spokesperson and newswriter. Personnel must
be assigned to the JIC to provide support in media services,
public inquiry, media inquiry, JIC management and administrative
activities, and media monitoring. Persons with technical
expertise related to the emergency and with spokesperson training
must also be assigned to the JIC. The JIC must be established,
directed, and coordinated by the senior Cognizant Field Element
public affairs manager or a designee.
c. In situations involving classified or unclassified
controlled information, the Department must provide sufficient
publicly releasable information to explain the emergency response
and protective actions required for the health and safety of
workers and the public.
d. Public announcements in areas involving classified or
unclassified controlled information must be reviewed by the
appropriate official before release to ensure that no classified
or unclassified controlled information is contained in the
announcement.
e. The Cognizant Field Element must assign a DOE, NNSA, or
contractor public information officer to the emergency public
information response team involved in a significant offsite
response deployment.
f. A Headquarters official or team must provide support to the
affected Program Offices/Emergency Management Team and/or
requesting Cognizant Field Element, as appropriate.
g. The DOE/NNSA (as appropriate) Director of Public Affairs and
the Headquarters Emergency Manager must be informed of all
DOE/NNSA emergency public information actions. These
notifications must be made as soon as practicable.
h. Initial news releases or public statements must be approved
by the Cognizant Field Element official responsible for emergency
public information review and dissemination. Following initial
news releases and public statements, updates must be coordinated
with the DOE/NNSA (as appropriate) Director of Public Affairs and
the Headquarters Emergency Manager.
i. An emergency public information communications system must
be established among Headquarters, Cognizant Field Element, and
on-scene locations.
Chapter X. READINESS ASSURANCE
1. GENERAL. A readiness assurance program provides assurances
that emergency plans, implementing procedures, and resources are
adequate and sufficiently maintained, exercised, and evaluated,
and that improvements are made in response to identified needs.
Each DOE/NNSA emergency management program must implement a
readiness assurance program consisting of the following
components:
a. Evaluations (including appraisals and assessments).
Identify findings (i.e., weaknesses or deficiencies) in emergency
management programs and/or provide assurances that emergency
capabilities are sufficient to implement emergency plans.
Readiness assurance evaluation activities can include: program
and exercise evaluations, tracking performance indicators, and no-
notice exercises;
b. Improvements. Ensure that appropriate and timely
improvements are made in response to needs identified through
coordinated emergency planning, resource allocation, program
assistance activities, evaluations, training, drills, and
exercises; and,
c. Emergency Readiness Assurance Plans (ERAPs). Document the
readiness of the emergency management program based on emergency
planning and preparedness activities and the results of the
readiness assurance program, including evaluations and
improvements. The ERAP is a planning tool to identify and
develop needed resources and improvements, and to highlight
changes and achievements in the program.
2. EVALUATIONS. Program Secretarial Officers and Cognizant
Field Elements must periodically review and evaluate the ability
of DOE/NNSA facilities and/or DOE/NNSA contractor-operated
facilities to meet requirements of the Emergency Management
System. Program and exercise evaluations (including appraisals
and assessments) must be based on specific standards and
criteria, issued by the Director, Office of Emergency Operations.
Tracking performance indicators and conducting no-notice
exercises can provide useful information about program readiness.
a. Program Evaluations
(1) DOE/NNSA facilities and DOE/NNSA contractor-operated
facilities must conduct an annual self-assessment of their
emergency management programs. Self-assessment results must be
documented in the ERAP submitted to the Cognizant Field Element.
(2) The Cognizant Field Element must:
(a) consolidate facility self-assessment results in the
Cognizant Field Element ERAP; and
(b) assess the Cognizant Field Element emergency management
program annually and record the results of the self-assessment in
the Cognizant Field Element portion of the ERAP.
(3) Each DOE/NNSA Cognizant Field Element must evaluate the
emergency management program at each site/facility under its
supervision. Each site/facility must be evaluated at least once
every three years. The Cognizant Field Element must notify the
Program Secretarial Officer of its evaluation schedule.
(4) Program Secretarial Officers must schedule and perform
periodic evaluations of emergency management programs every three
years.
b. Exercise Evaluations. See Chapter IV, paragraph 4b.
c. Performance Indicators. Contractor facilities/sites must
participate in a program of performance indicators (including
performance measures and metrics) to capture and track objective
data regarding the performance of emergency management programs
in key functional areas.
d. No-Notice Exercises. Contractor facilities/sites must
participate in a program of No-Notice Exercises, conducted at the
discretion of the Director, Office of Emergency Operations, to
determine if the facility/site ERO accomplishes selected
objectives based on applicable plans, procedures, and/or other
established requirements. Facility/site involvement is limited
to providing trusted agents and responding when the exercise is
conducted.
3. IMPROVEMENTS.
a. Program Assistance. Upon request, the Director, Office of
Emergency Operations will schedule and conduct emergency
management program assistance to Headquarters Program Offices,
Cognizant Field Elements, DOE/NNSA offices in the field, and
DOE/NNSA sites/facilities and activities, including NNSA
radiological emergency response assets, as needed. To ensure
consistent guidance, the Director, Office of Emergency Operations
must request participation from Cognizant Secretarial Officer(s)
and the Cognizant Field Elements.
b. Corrective Actions. These requirements supplement those in
DOE O 414.1A, Quality Assurance. Continuous improvement in the
emergency management program results from implementation of
corrective actions for findings (e.g., deficiencies, weaknesses)
in all types of evaluations, including both internal and external
evaluations.
(1) Reports of Cognizant Field Element evaluations (assessments)
conducted in accordance with Chapter X, paragraph 2a(3) above
must be submitted to the Program Secretarial Officer(s) and the
Director, Office of Emergency Operations. Evaluation reports
must be completed within 30-working days.
(2) Corrective action plans must be developed within 30-working
days of receipt of the final evaluation report. Corrective
actions must be completed as soon as possible. Corrective
actions addressing revision of procedures or training of
personnel should be completed before the next annual self-
assessment of the program.
(3) Completion of corrective actions must include a verification
and validation process, independent of those who performed the
corrective action, that verifies that the corrective action has
been put in place, and validates that the corrective action has
been effective in resolving the original finding.
(4) See Chapter IV, paragraph 4b, for corrective actions related
to findings from exercise evaluations.
c. Lessons Learned. The readiness assurance program must
include a system for incorporating and tracking lessons learned
from training, drills, actual responses, and a site-wide lessons
learned program. Program Secretarial Officers, Cognizant Field
Elements and DOE- /NNSA- and/or DOE/NNSA contractor-operated
facilities must participate in the DOE/NNSA Corporate Lessons
Learned Program. DOE–STD–7501–99, The DOE Corporate Lessons
Learned Program, provides guidance on use of the system.
4. EMERGENCY READINESS ASSURANCE PLANS (ERAPs).
a. Facilities and Activities. Facilities and offsite
transportation activities must submit an ERAP to the Cognizant
Field Element by September 30 of each year. In keeping with 31
U.S.C. 1115 and 1116, this report must identify what the goals
were for the fiscal year that ended coincident with the due date
for this report (e.g., September 30) and the degree to which
these goals were accomplished. This report must also identify
the goals for the next fiscal year (e.g., which starts on
October 1).
b. Cognizant Field Element. Each Cognizant Field Element must
submit an ERAP, summarizing its programs and its facility and
activity submissions, to the Program Secretarial Officer and the
Director, Office of Emergency Operations, by November 30 of each
year. In keeping with 31 U.S.C. 1115 and 1116, this report must
identify what the goals were for the fiscal year that just ended
(on September 30) and the degree to which these goals were
accomplished. This report must also identify the goals for the
current fiscal year (which started on October 1).
c. ERAP Submittal and Approval.
(1) The Cognizant Field Element manager must review and approve
ERAPs that cover facilities under their supervision and submit a
consolidated ERAP to the Director, Office of Emergency Operations
and the Cognizant Secretarial Officer by November 30.
(2) The Director, Office of Emergency Operations must prepare,
in coordination with the Cognizant Secretarial Officers, an
annual status report that summarizes the Cognizant Field Element
ERAPs by April 30.
Chapter XI. PROGRAM ADMINISTRATION
1. PERSONNEL REQUIREMENTS. Each Cognizant Field Element
manager, and each manager/administrator of a DOE-, NNSA- and/or
DOE/NNSA contractor-operated site/facility subject to this Order
must designate an individual to administer emergency management.
This individual must develop and maintain the emergency plan,
develop the Emergency Readiness Assurance Plan and annual
updates, develop and conduct training and exercise programs,
coordinate assessment activities, develop related documentation,
and coordinate emergency resources.
2. REVIEW FOR CLASSIFIED OR UNCLASSIFIED CONTROLLED
INFORMATION. If the relevant site/facility/activity is
generating classified information or Unclassified Controlled
Nuclear Information (UCNI), or is conducting classified or UCNI
operations, then all emergency preparedness documents, such as
plans, procedures, scenarios, and assessments, must be reviewed
for classified information and UCNI by the appropriate official
using current guidance. If the EPHAs do not contain classified
information or UCNI, they must be reviewed by the emergency
management program administrator to determine if they contain
potentially exploitable information. EPHAs containing
potentially exploitable information must be protected as Official
Use Only under exemption 2 of the Freedom of Information Act.
3. EMERGENCY PLANS. The emergency plan must document the
emergency management program and describe the provisions for
response to an Operational Emergency.
4. EMERGENCY PLAN IMPLEMENTING PROCEDURES. Emergency Plan
Implementing Procedures must describe how emergency plans must be
implemented.
5. EMERGENCY OPERATING RECORDS PROTECTION PROGRAM. A program
must be established to ensure that vital records, regardless of
media, essential to the continued functioning or reconstitution
of an organization during and after an emergency, are available,
per 36 CFR 1236.
DOE ELEMENTS TO WHICH DOE O 151.1C IS APPLICABLE
Office of the Secretary
Departmental Representative to the Defense Nuclear Facilities
Safety Board
Energy Information Administration
National Nuclear Security Administration
Office of the Chief Information Officer
Office of the Chief Financial Officer
Office of Civilian Radioactive Waste Management
Office of Congressional and Intergovernmental Affairs
Office of Counterintelligence
Office of Electric Transmission and Distribution
Office of Energy Assurance
Office of Energy Efficiency and Renewable Energy
Office of Environment, Safety and Health
Office of Environmental Management
Office of Fossil Energy
Office of General Counsel
Office of Human Capital Management
Office of Intelligence
Office of Legacy Management
Office of Management
Office of Nuclear Energy, Science and Technology
Office of Policy and International Affairs
Office of Public Affairs
Office of Science
Office of Security
Office of Security and Safety Performance Assurance
CONTRACTOR REQUIREMENTS DOCUMENT
DOE O 151.1C, Comprehensive Emergency Management System
Regardless of the performer of the work, the contractor is
responsible for compliance with the requirements of this
Contractor Requirements Document (CRD). The contractor is
responsible for flowing down the requirements of this CRD to
subcontracts at any tier to the extent necessary to ensure the
contractor’s compliance with the requirements. That is, the
contractor must (1) ensure that it and its subcontractors comply
with the requirements of this CRD to the extent necessary to
ensure the contractor’s compliance and (2) only incur costs that
would be incurred by a prudent person in the conduct of
competitive business.
This CRD requires that contractors integrate numerous
requirements including this CRD to DOE O 151.1C, Comprehensive
Emergency Management System, dated 11-2-05, and existing statutes
and regulations into a comprehensive emergency management system.
Other sources for related requirements which must be integrated
include 29 U.S.C. 654(a), 42 U.S.C. 7412(r), regulations
developed by DOE and other Federal agencies, State and local
requirements, Federal interagency emergency plan requirements,
and the requirements of other DOE directives addressing emergency
issues. Regulatory topics related to emergency management issues
include fire; safety; hazardous wastes; community right-to-know;
hazardous material transport; and security, fundamental worker
safety, and environmental protection programs.
1. GENERAL REQUIREMENTS. Contractors must develop and
implement a Comprehensive Emergency Management System designed
to—
a. minimize the consequences of all emergencies involving or
affecting Departmental facilities, and activities (including
transportation operations/activities);
b. protect the health and safety of all workers and the public
from hazards associated with DOE/NNSA operations and those
associated with decontamination, decommissioning, and
environmental restoration;
c. prevent damage to the environment; and
d. promote effective and efficient integration of all
applicable policies, recommendations, and requirements, including
Federal interagency emergency plans.
2. OPERATIONAL EMERGENCY BASE PROGRAM. Contractors must
implement and document an integrated Operational Emergency Base
Program (see also DOE O 151.1C, Chapter III) for each facility
and activity.
a. The Operational Emergency Base Program must be based on a
Hazards Survey. A Hazards Survey is an examination of the
features and characteristics of the facility or activity to
identify the generic emergency events and conditions (including
natural phenomena such as earthquakes and tornadoes; wild land
fires; and other serious events involving or affecting health and
safety, the environment, safeguards, and security at the
facility) and the potential impacts of such emergencies. [See
also DOE O 151.1C, Chapter III, paragraph 3a.]
(1) Each Hazards Survey must—
(a) identify (e.g., in matrix or tabular form) the emergency
conditions (e.g., fires, work place accidents, natural phenomena,
etc.);
(b) describe the potential health, safety, or environmental
impacts;
(c) indicate the need for further analyses of hazardous
materials in an Emergency Planning Hazards Assessment (EPHA),
based on the results of the hazardous material screening process
described in paragraph 2b below; and
(d) identify the planning and preparedness requirements that
apply to each type of hazard.
(2) Each Hazards Survey may cover multiple facilities. One
Hazards Survey may be prepared to cover an entire site.
(3) Hazards surveys must be updated every three years and prior
to significant changes to the site/facility or to hazardous
material inventories. For example, significant changes are those
changes which would result in an unreviewed safety question for
nuclear facilities, as defined in 10 CFR 830, or in an unreviewed
safety issue for accelerator facilities, as defined in
DOE O 420.2B. Changes that result in a reduction of hazards with
no adverse effect on safety or emergency preparedness or response
may be included in the next scheduled review and update.
b. A Hazardous Material Screening Process must identify
specific hazardous materials and quantities that, if released,
could produce impacts consistent with the definition of an
Operational Emergency. The potential release of these materials
to the environment requires further analysis in an EPHA. The
release of hazardous materials less than the quantities listed
below does not require quantitative analysis in an EPHA.
(1) In general, to meet the definition of an Operational
Emergency [CRD paragraph 11], the release of a hazardous material
must: immediately threaten or endanger personnel and emergency
responders 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 healt