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U.S. Department of Energy ORDER
Washington, D.C. O 210.1 Chg 2

SUBJECT: PERFORMANCE INDICATORS AND ANALYSIS Approved: 09-27-95
OF OPERATIONS INFORMATION Review Date: 09-27-97
Change 1: 10-26-95
Change 2: 05-01-96

1. OBJECTIVES. To identify, monitor, and analyze data that measures the Environment,
Safety and Health (ES&H) performance of facilities, programs, and organizations. These
data are to be used to demonstrate improving or deteriorating performance relative to
identified goals and, in conjunction with a program to analyze and correlate data, as a
means to suggest further improvement through the identification of good practices and
lessons learned.

2. CANCELLATION. Cancellation of an Order does not, by itself, modify or otherwise
affect any contractual obligation to comply with such an Order. Canceled Orders that are
incorporated by reference in a contract shall remain in effect until the contract is modified
to delete the reference to the requirements in the canceled Orders. The following Order has
been canceled by this Order: DOE 5480.26, TRENDING AND ANALYSIS OF
OPERATIONS INFORMATION USING PERFORMANCE INDICATORS, of 1-15-93.

3. APPLICABILITY.

a. DOE Elements. Except for the exclusion in paragraph c, this Order applies to all DOE
elements.

b. Contractors. The attached Contractor Requirements Document (CRD) sets forth
requirements that are to be applied to contractors awarded contracts for the operation
and management of DOE-owned and leased facilities. Contractor compliance with the
CRD will be required to the extent set forth in the contract. Contractors shall be
directed to continue to comply with the requirements of the Order canceled by this
Order until their contracts are modified to delete the reference to the requirements of
the canceled Order.

c. Exclusions. Activities conducted under the authority of the Director, Naval Nuclear
Propulsion Program, as described in Public Law 98-525 are exempt from the
provisions of this Order.

4. REQUIREMENTS. All DOE Elements shall do the following:

a. Establish a program that identifies, gathers, verifies, analyzes, trends, disseminates,
and makes use of ES&H performance indicators to improve the performance of DOE
facilities, programs, and organizations.

Vertical line denotes change.

DISTRIBUTION: INITIATED BY:
All Departmental Elements Office of Environment, Safety
and Health

2 DOE O 210.1 Chg 2
05-01-96

b. Gather, verify, analyze, trend, and disseminate ES&H performance indicator data,
including narrative data, which can help assess performance; where appropriate,
perform root cause analyses.

c. Implement feedback mechanisms for identification and communication of ES&H
good practices, lessons learned, and corrective actions.

d. Maintain a management information system containing appropriate ES&H
performance indicator data for historical reference.

e. Periodically assess ES&H performance indicator programs to verify that indicators are
accurately measuring performance and are resulting in improved performance.

5. RESPONSIBILITIES.

a. DOE shall use analytical ES&H data to base decisions, establish goals, identify
performance trends, provide early identification of potential problems, and apply
lessons learned and good practices.

b. DOE shall develop incentives to encourage contractors in the achievement of desired
levels of ES&H performance in critical areas through the use of ES&H performance
indicators.

c. Field Elements are responsible for determining whether adequate protection can most
effectively be achieved by continuing to operate under the terms of existing contracts
requiring compliance with old Orders or by modifying the contract to incorporate the
requirements of revised Orders.

d. Field Elements are responsible for determining that implementation of new rule or
Order requirements will provide adequate protection prior to requesting contract
modification to drop old Order requirements from the contract.

6. REFERENCE. TRADE publication "How to Measure Performance: A Handbook of
Techniques and Tools" is available electronically through the PBB SIG Home Page at the
following address: http://www.llnl.gov/PBM/handbook (case sensitive). A hardcopy may
be obtained by contacting Lawrence Livermore National Laboratory on (510) 423-3710.
This handbook provides non-mandatory supplemental information which may be used to
fulfill the requirements of this Order.

7. CONTACT. Office of Operating Experience Analysis and Feedback (EH-33), (301) 903-
8371.

BY ORDER OF THE SECRETARY OF ENERGY:

ARCHER L. DURHAM
Assistant Secretary for
Human Resources and Administration

Vertical line denotes changes.

DOE O 210.1 Attachment 1
9-27-95 Page 1 (and Page 2)

CONTRACTOR REQUIREMENTS DOCUMENT

PERFORMANCE INDICATORS AND ANALYSIS OF OPERATIONS INFORMATION

In the performance of this contract, the contractor shall
identify, monitor, and analyze data that measure the Environment,
Safety and Health (ES&H) performance of facilities, programs, and
organizations. These data are to be used to demonstrate
improving or deteriorating performance relative to identified
goals and in conjunction with a program to analyze and correlate
data, as a means to suggest further improvement through the
identification of good practices and lessons learned.

The contractor shall do the following:

1. Establish a program that identifies, gathers, verifies,
analyzes, trends, disseminates, and makes use of ES&H
performance indicators to improve the performance of DOE
facilities, programs, and organizations.

2. Gather, verify, analyze, trend, and disseminate ES&H
performance indicator data, including narrative data, which
can help assess performance; where appropriate, perform root
cause analyses.

3. Use analytical ES&H data to base decisions, establish goals,
identify performance trends, provide early identification of
potential problems, and apply lessons learned and good
practices.

4. Implement a feedback mechanism for the identification and
communication of ES&H lessons learned, good practices, and
corrective actions.

5. Maintain a management information system containing
appropriate ES&H performance indicator data for historical
reference.

6. Periodically assess ES&H performance indicator programs to
verify that indicators are accurately measuring performance
and are resulting in improvements to performance.

7. Prepare and submit an implementation plan to the approving
organization within 180 days of the effective date of this
Order, unless an extension is granted. If the contract
between the DOE and the contractor contains agreed upon
requirements for performance indicators/measures, then the
implementation plan requirement is fulfilled and an
implementation plan is not required.

The contractor shall direct compliance with these requirements to
the extent incorporated into contract.