Display Related Directives to this directive.
Display Reference Documents to this directive.

U.S. Department of Energy ORDER
Washington, D.C. DOE O 231.1A

Approved: 08-19-03
Review Date: 08-19-05

SUBJECT: ENVIRONMENT, SAFETY, AND HEALTH REPORTING

1. OBJECTIVES. To ensure timely collection, reporting, analysis, and dissemination of
information on environment, safety, and health issues as required by law or regulations or
as needed to ensure that the Department of Energy (DOE) and National Nuclear Security
Administration (NNSA) are kept fully informed on a timely basis about events that could
adversely affect the health and safety of the public or the workers, the environment, the
intended purpose of DOE facilities, or the credibility of the Department.

2. CANCELLATIONS. The directives listed below are cancelled. Cancellation of a
directive or paragraph of a directive does not, by itself, modify or otherwise affect any
contractual obligation to comply with such a directive or paragraph. Cancelled directives
incorporated by reference into a contract will remain in effect until the contract is
modified to delete the references to the requirements in the cancelled directives.

a. DOE O 232.1A, Occurrence Reporting and Processing of Operations
Information, dated 7-21-97.

b. DOE O 210.1, Performance Indicator and Analysis of Operations Information,
dated 9-27-95.

c. DOE O 231.1, Environment, Safety and Health Reporting, dated 9-30-95.

3. APPLICABILITY.
a. DOE Elements. Except for the exclusions in paragraph 3c, this Order applies to
the DOE elements listed in Attachment 1, including NNSA.
b. Site/Facility Management Contractors. This Order does not apply to site/facility
management contractors.
c. Exclusions.
(1) Activities conducted under the authority of the Director, Naval Nuclear
Propulsion Program, pursuant to Executive Order 12344, as set forth in
Public Law 98-525 and Public Law 106-65, with the exception of
reporting required by 29 CFR 1960.
(2) Power Marketing Administration reporting of major electrical power
outages, disturbances, and fuel shortages subject to the emergency power
system reporting requirements prescribed in 10 CFR 205, "Administrative
Procedures and Sanctions," and 350 354, "Report of Major Electric
Utility Systems Emergencies."
4. REQUIREMENTS. Unless otherwise indicated, the reports listed below will be
submitted in accordance with DOE M 231.1-1 and DOE M 231.1-2. These Manuals,
which are mandatory for ensuring compliance with parts of this Order, specify in detail
the reports that must be filed, the persons or organizations responsible for filing the
reports, the recipients of the reports, the formats in which the reports must be prepared,
and the time schedules for filing the reports. The following reports and information are
required.
Occupational injury and illness reports
Fatality and catastrophe reports
Work hours reports
Occupational radiation exposure data to individuals (and visitors)
Annual individual occupational radiation exposure data to the Radiation Exposure
Monitoring System (REMS)
National Environmental Policy Act (NEPA) reporting
Annual Site Environmental Reports
Excess injury and illness reports
Information requested by external organizations for epidemiological studies
Annual fire protection summaries
Occurrence reports
Environmental Protection Program reports

5. RESPONSIBILITIES.

a. Heads of Departmental Elements (those organizations which report directly to the
Secretary, Under Secretaries, or Deputy Secretary) must meet all the reporting
requirements in the referenced directives, including the following.

(1) Occupational Injury and Illness Reports. In accordance with DOE
N 231.1, Environment, Safety and Health Reporting Notice, dated
01-15-02, implement a record keeping and reporting program to ensure the
use of common definitions, consistent recording procedures, and timely
reporting practices for DOE employee and all contractor and subcontractor
occupational fatalities, injuries, and illnesses.
(2) Fatality and Catastrophe Notification. Report accidents that involve
fatalities or multiple hospitalizations of DOE employees to the Assistant
Secretary for Environment, Safety and Health. (See requirements in
29 CFR 1960.70.)
(3) Environmental Protection Program Reporting. In accordance with DOE M
231.1-1,Chapter I, ensure that the reporting requirements of DOE O 450.1,
"Environmental Protection Program," dated 01-15-03; Executive Order
13148, "Greening the Government Through Leadership in Environmental
Management"; and Executive Order 13101, "Greening the Government
Through Waste Prevention, Recycling and Federal Acquisition" are
achieved.
(4) Occupational Radiation Exposure Reports to Individuals. Prepare and
provide reports of occupational radiation exposures to individuals in
accordance with 10 CFR 835.801, "Reports to Individuals."
(5) Annual Individual Radiation Exposure Records. Report new and revised
radiation exposure records required by 10 CFR 835.702 (a) and (b),
"Individual Monitoring Records," to the REMS repository. (See DOE
M 231.1-1, Chapter III)
(6) Excess Injury and Illness. Notify the Assistant Secretary of Environment,
Safety and Health and the Deputy Assistant Secretary for Health of
suspected excess illnesses/injuries that may require epidemiologic
investigations to determine whether the injuries/illnesses are work related.
(See DOE M 231.1-1, Chapter II.)
(7) Epidemiological Studies by External Organizations. Submit requested
information to designated Department of Health and Human Services
(DHHS) officials and contractors and DHHS grantees conducting
epidemiological studies. (See DOE M 231.1-1, Chapter II.)
(8) Annual Fire Protection Summary. Submit an annual report of the previous
year's fire damage to the DOE fire protection authority having jurisdiction
on April 30 each year. (See DOE M 231.1-1, Chapter II.)

(9) Work hours. Prepare total quarterly work hours reports on a calendar year
basis in accordance with DOE M 231.1-1.

(10) Occurrence Reports. Implement an occurrence reporting program to
ensure appropriate and timely identification, categorization, response,
notification, investigation, reporting, and analysis of abnormal conditions
and events in accordance with DOE M 231.1-2 and DOE O 151.1A,
Comprehensive Emergency Management System, dated 11-01-00.

b. Heads of Field Elements, including NNSA, unless otherwise indicated, must
meet reporting requirements listed in DOE M 231.1-1 and DOE M 231.1-2,
including the following.

(1) National Environmental Policy Act Reporting.

(a) Report annually on progress made in implementing, and the
effectiveness of, any commitment for environmental impact
mitigation that is essential to render the impact of a proposed
action not significant or that is made in a record of decision.

(b) Prepare an annual NEPA planning summary.

(2) Environmental Protection Program Reporting. Ensure that the reporting
requirements of DOE O 450.1, Executive Order 13148, and Executive
Order 13101 are achieved. (See DOE M 231.1-1, Chapter I.)

(3) Annual Site Environmental Reports. Prepare summaries of environmental
data annually to characterize site environmental management performance.
(See DOE M 231.1-1,Chapter I.)

(4) Fatality and Catastrophe Notification. Report information on accidents
that result in DOE employee fatalities or multiple hospitalizations to the
Assistant Secretary for Environment, Safety and Health. (See
requirements in 29 CFR 1960.70, "Reporting of Serious Accidents.")

(5) Occurrence Reports.

(a) Ensure that occurrence reporting requirements listed in the CRD
for DOE M 231.1-2 are applied as appropriate to contracts within
3 months after this Order is approved.

(b) Ensure that agreements for carrying out occurrence reporting
requirements of this Order are established with responsible
Secretarial Officers or Deputy Administrators, NNSA.

(c) Assess contractor capability and performance in carrying out the
occurrence reporting requirements of this Order and take actions to
correct any weaknesses.

(d) Provide technical support as necessary to facility representatives or
line management staff responding to reportable occurrences.

(e) Direct facility representatives and/or line management designees to
fulfill the occurrence reporting responsibilities required by this
Order.

c. Secretarial Officers/Deputy Administrators, NNSA with responsibilities for field
facilities must do the following.

(1) National Environmental Policy Act Reporting. In accordance with DOE
M 231.1-1, Chapter I

(a) report annually on the progress made in implementing, and the
effectiveness of, any commitment for environmental impact
mitigation that is essential to render the impact of a proposed
action not significant or that is made in a record of decision and

(b) prepare an annual NEPA planning summary.

(2) Environmental Protection Program Reporting. In accordance with DOE M
231.1-1, ensure that the reporting requirements of DOE O 450.1,
Executive Order 13148, and Executive Order 13101 are achieved.

(3) Occurrence Reports. (See DOE M 231.1-2.)

(a) Delegate responsibility and authority for implementing the
occurrence reporting requirements stated in this Order.

(b) Ensure that the occurrence reporting requirements in the CRD for
DOE M 231.1-2 are applied to applicable contracts within
3 months after approval of this Order.

(d) Review occurrence reports for indications of deteriorating or poor
performance.

d. Director, Office of Management, Budget and Evaluation. In accordance with
DOE M 231.1-1, prepares reports on DOE/NNSA Headquarters employees' work-
related injuries and illnesses and submits them to the Assistant Secretary for
Environment, Safety and Health as required by this Order.

e. Assistant Secretary, Office of Environment, Safety and Health

(1) Reporting Fatalities and Multiple Hospitalization Incidents. Reports DOE
employees' accidents that result in fatalities or multiple hospitalizations to
the Occupational Safety and Health Administration, U.S. Department of
Labor. (See requirements in 29 CFR 1960.70.)

(2) Periodic Summary of Accident Data. In accordance with DOE M 231.1-1,
Chapter II, ensures that the following reporting requirements are met.

(a) Prepare and submit an annual report to the Secretary describing the
status and adequacy of DOE and contractor performance of
environment, safety and health responsibilities.

(b) Maintain an accident database, currently in the Computerized
Accident/Incident Reporting System, which compiles reports and
provides quarterly DOE-wide summary reports of injury and illness
accident cases recorded in accordance with the requirements
contained in DOE N 231.1.

(3) Occupational Radiation Exposure Information.

(a) Informs the cognizant Secretarial Officer when a Headquarters
employee's ionizing radiation exposure for a given period
approaches 70 percent of an administrative or regulatory limit.

(b) Approves the use of alternate media for submitting information to
the REMS repository as required by DOE M 231.1-1.

(4) Occurrence Reports. Establishes and maintains policies and guidance for
the Occurrence Reporting Program and assesses implementation of
occurrence reporting requirements to identify needed improvements,
especially as related to the Office of Environment, Safety and Health
functional areas of responsibility. (See DOE M 231.1-2.)

f. Director, Office of Security.

(1) Formulates Department-wide policy regarding the protection and control
of both classified matter and unclassified controlled information which
includes Official Use Only and Unclassified Controlled Nuclear
Information.

(2) Resolves any security issues with respect to occurrence reporting.

(3) Director, Office of Operations Support. Ensures that the Headquarters
Operations Center is prepared to receive and record initial notifications of
significant occurrences and to disseminate these reports to appropriate
Headquarters organizations. (See DOE M 231.1-2.)

6. REFERENCES. The following references provide additional requirements for
environment, safety, and health reporting.

a. DOE M 231.1-1, Environment, Safety and Health Reporting Manual, dated
09-30-95, establishes DOE management objectives and requirements for reporting
environment, safety, and health information.

b. DOE M 231.1-2, Occurrence Reporting and Processing of Operations
Information, dated 08-19-03, which establishes the specific requirements for
implementing an occurrence reporting program.

c. DOE O 151.1A, Comprehensive Emergency Management System, dated 11-01-00,
which establishes the roles and responsibilities for the DOE Emergency
Management System.

d. 10 CFR 835, "Occupational Radiation Protection," which establishes radiation
protection standards, limits, and program requirements for protecting individuals
from ionizing radiation resulting from the conduct of DOE activities.

e. DOE O 450.1, Environmental Protection Program, dated 01-15-03, which
provides for the implementation of sound stewardship practices that are protective
of the air, water, land, and other natural and cultural resources affected by DOE
operations and by which DOE cost-effectively meets or exceeds compliance with
applicable environmental, public health, and resource protection laws, regulations,
and DOE requirements.

f. DOE O 451.1B, National Environmental Policy Act Compliance Program, dated
10-26-00, which established DOE internal requirements and responsibilities for
implementing NEPA, Council on Environmental Quality regulations
implementing the procedural provisions of NEPA (40 CFR Parts 1500 1508), and
DOE NEPA implementing procedures (10 CFR Part 1021).

7. CONTACT. Questions concerning this Order should be addressed to the Office of
Environment, Safety and Health at 301-903-6096 or, for Occurrence Reporting
requirements only, at 301-903-3393.

BY ORDER OF THE SECRETARY OF ENERGY:

KYLE E. McSLARROW
Deputy Secretary

DEPARTMENT OF ENERGY ORGANIZATIONS TO WHICH
DOE O 231.1A IS APPLICABLE
Office of the Secretary
Chief Information Officer
Office of Civilian Radioactive Waste Management
Office of Congressional and Intergovernmental Affairs
Office of Counterintelligence
Departmental Representative to the Defense Nuclear Facilities Safety Board
Office of Economic Impact and Diversity
Office of Electric Transmission and Distribution
Office of Energy Efficiency and Renewable Energy
Energy Information Administration
Office of Environment, Safety and Health
Office of Environmental Management
Office of Fossil Energy
Office of General Counsel
Office of Hearings and Appeals
Office of Independent Oversight and Performance Assurance
Office of the Inspector General
Office of Intelligence
Office of Management, Budget and Evaluation and Chief Financial Officer
National Nuclear Security Administration
Office of Nuclear Energy, Science and Technology
Office of Policy and International Affairs
Office of Public Affairs
Office of Science
Secretary of Energy Advisory Board
Office of Security
Office of Worker and Community Transition
Office of Energy Assurance
Southeastern Power Administration
Southwestern Power Administration
Western Area Power Administration

DEPARTMENT OF ENERGY ORGANIZATION TO WHICH
DOE O 231.1A IS NOT APPLICABLE

Bonneville Power Administration