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U.S. Department of Energy ORDER
Washington, D.C. DOE O 232.1A
Approved: 07-21-97
Effective Date: 08-01-97
Review Date: 07-21-99
SUBJECT: OCCURRENCE REPORTING AND PROCESSING OF OPERATIONS
INFORMATION
1. OBJECTIVES. It is Department of Energy (DOE) policy to ensure
that the Office of the
Secretary and both DOE and DOE contractor line management are
kept fully informed on a
timely basis of events that could adversely affect national
security or the safeguards and
security interests of DOE; the health and safety of the public
or the workers; the
environment; the intended purpose of DOE facilities; or the
credibility of the Department.
This information is analyzed for generic implications and for
opportunities to improve
operations. The following objectives are established in
support of this policy.
a. To establish and maintain a system for reporting operations
information related to
DOE-owned and -leased facilities and processing that
information to identify the root
causes of Unusual, Off-Normal, and Emergency Occurrences
and provide for
appropriate corrective action.
b. To perform the following:
(1) Timely identification, categorization, notification,
and reporting to DOE
management of reportable occurrences at DOE-owned and
-leased facilities.
(2) Review of reportable occurrences to assess the
significance, root causes, generic
implications, and the need for corrective actions.
(3) Timely evaluation and implementation of appropriate
corrective actions.
(4) Dissemination of Occurrence Reports to DOE operations
and facilities to prevent
similar occurrences and facilitate analyses.
(5) Maintenance of a central DOE system for reporting,
processing, retrieving and
analyzing unclassified, nonsensitive Occurrence
Reports.
2. CANCELLATION. DOE O 232.1, OCCURRENCE REPORTING AND
PROCESSING
OF OPERATIONS INFORMATION, of 9-25-95 is canceled.
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 requirements in the CRD for this Order
are applied to applicable contracts.
3. APPLICABILITY.
a. DOE Elements. Except for the exclusions in
paragraph 3.c, this order applies to all
DOE Elements.
b. Contractors. Except for the exclusions in
paragraph 3.c, the Contractor Requirements
Document (CRD), Attachment 1, sets forth
requirements that are to be applied to the
universe of DOE contractors and subcontractors
thereunder who are awarded contracts
for the management and operation of DOE-owned and
-leased facilities.
c. Exclusions.
(1) Operations information for activities
regulated by the Nuclear Regulatory
Commission or a State under an agreement with
the Nuclear Regulatory
Commission.
(2) Power Marketing Administrations' reporting of
major electrical power outages,
disturbances, and fuel shortages subject to
the emergency power system reporting
requirements prescribed in 10 CFR 205, 350
through 354, "Report of Major
Electric Utility Systems Emergencies."
(3) The Naval Nuclear Propulsion Program, as
described in Executive Order 12344
and Public Law 98-525, "The Department of
Defense Authorization Act, 1985."
4. REQUIREMENTS.
a. An Occurrence Reporting Program shall be
implemented to ensure appropriate and
timely identification, categorization, response,
notification, investigation, and reporting
of abnormal conditions and events, in accordance
with DOE M 232.1-1A,
OCCURRENCE REPORTING AND PROCESSING OF OPERATIONS
INFORMATION.
b. Implementing procedures shall be developed or
revised for the Occurrence Reporting
Program to ensure appropriate categorization,
notification, reporting, and investigation
of events and/or conditions.
(1) Implementation procedures shall be submitted for
approval to the responsible
DOE Secretarial Office within 4 months of
incorporation of the requirements in
the CRD into a new or existing contract.
(2) Implementation procedures shall be considered
automatically approved 2 months
after submittal, if they are not deliberately
approved or rejected by DOE prior to
the automatic approval.
(3) A copy of the implementing procedure shall be
provided to EH-33 upon
approval.
c. Supporting information pertaining to each Occurrence
Report (e.g., graphs, analyses)
shall be retained in accordance with Departmental
Records Disposition Schedules, as
required by 36 CFR Chapter 12, Subchapter B.
d. Lessons learned from the facility's respective
occurrences and the operations
information obtained from other similar DOE facilities
shall be collected and
disseminated.
e. Immediately following an occurrence:
(1) appropriate immediate response(s) shall be taken
to ensure that the
facility/operation is stabilized or returned to a
safe condition, any potential
environmental effects are stabilized, and workers
are treated for injuries
sustained; and
(2) abnormal events and conditions shall be
identified, the Facility Manager promptly
notified, and appropriate information pertaining
to such occurrences recorded and
archived.
f. The event shall be categorized.
(1) Types and categories of reportable occurrences.
Types of reportable occurrences involve, but are not
limited to: facility conditions;
environmental concerns; personnel safety; radiological
protection; safeguards and
security; transportation; loss or damage to DOE
property; defective items, materials, or
services (including counterfeit/suspect parts); nuclear
explosive events; and cross-
category items to include related occurrences, near
miss events, and potential concerns.
The following guidelines and Section 9 of DOE M
232.1-1A, OCCURRENCE
REPORTING AND PROCESSING OF OPERATIONS INFORMATION,
shall be
used to develop criteria to categorize reportable
occurrences.
Emergencies. Emergencies are defined in DOE O
151.1, COMPREHENSIVE
EMERGENCY MANAGEMENT SYSTEM. Emergency
Occurrences are the
most serious occurrences and require an increased
alert status for onsite
personnel and, in specified cases, for offsite
authorities. The detailed initial
notification requirements, definitions, criteria,
and classifications of emergencies
and appropriate responses are provided in DOE O
151.1. Written Occurrence
Reports shall be completed in accordance with this
Order.
Unusual Occurrences. An Unusual Occurrence is a
non-emergency occurrence
that exceeds the Off-Normal Occurrence threshold,
is related to safety,
safeguards and security, environmental or health
protection, performance or
operation of a facility. Unusual Occurrences
require immediate notification to
DOE.
Off-Normal Occurrences. Off-Normal Occurrences
are abnormal or unplanned
events or conditions that adversely affect,
potentially affect, or are indicative of
degradation in the safety, safeguards and
security, environmental or health
protection, performance or operation of a
facility.
(2) Categorization.
(a) If the event is categorized as an Emergency
in accordance with DOE O
151.1, COMPREHENSIVE EMERGENCY MANAGEMENT
SYSTEM,
then the notification of the Emergency shall
be made as required in DOE O
151.1 and the written Occurrence Reports
prepared in accordance with this
Order (DOE O 232.1A).
(b) If the event is not categorized as an
Emergency, then the event shall be
categorized as an Unusual or Off-Normal
Occurrence as soon as practical
but, in all cases, within 2 hours of
identification by the facility staff.
(c) If the category is not clear or the
occurrence exceeds the threshold of more
than one criteria, the occurrence shall be
categorized at the higher level
being considered. As an example, discovery
of a defective item, material,
or service, normally reportable as an Off
Normal Occurrence, that caused
the reduction of safety margin below that
prescribed in the authorization
basis, would be reported as an Unusual
Occurrence.
(d) The occurrence category shall either be
elevated, maintained, or lowered as
information is made available.
g. The Facility Representative and the Headquarters (HQ)
Emergency Operations Center
(EOC) shall be notified of an Unusual Occurrence as
soon as practical but, in all cases,
within 2 hours of categorization. The HQ EOC shall
notify the Program Manager of all
Unusual Occurrences.
(1) If an Off-Normal Occurrence is upgraded to an
Unusual Occurrence, the Facility
Manager shall notify the HQ EOC that an existing
occurrence has been upgraded
and provide the HQ EOC with the Occurrence Report
number. The HQ EOC
will make any required internal DOE HQ
notifications.
(2) Follow-up notifications shall be made to DOE for
any further degradation in the
level of safety or impact on the environment,
safeguards and security, health, or
operations of the facility or other worsening
conditions subsequent to the
previous notification, including upgrading to an
Emergency in accordance with
DOE O 151.1, COMPREHENSIVE EMERGENCY MANAGEMENT
SYSTEM.
h. A Notification Report shall be prepared and submitted
as soon as practical but, in all
cases, before the close of the next business day from
the time of categorization (not to
exceed 80 hours).
i. An Update Report shall be prepared and submitted when
significant and new
information is available or upon request of DOE.
j. Changes in categorization shall be documented in an
Update Report and submitted
before the close of the next business day from the time
of recategorization (not to
exceed 80 hours).
k. A Final Report shall be prepared and submitted to the
Facility Representative when the
root cause of the occurrence has been analyzed,
corrective actions determined with
actual or target completion dates identified, and
lessons learned identified. The Final
Report shall be submitted as soon as possible, but no
later than 45 calendar days after
initial categorization. If the required analysis
cannot be completed within 45 calendar
days, an Update Report shall be submitted within the 45
days and include a detailed
explanation of the delay and an estimated date for
submittal of the Final Report.
l. Final occurrence reports shall be reviewed and approved
or rejected within 10 calendar
days of receipt by the Facility Representative and
forwarded to the Program Manager
for approval or if the Final Report is not approved,
returned to the Facility Manager
with a written explanation.
m. Final occurrence reports shall be reviewed and approved
or rejected within 14 calendar
days of receipt by the Program Manager. If the Final
Report is not approved, it shall be
returned to the Facility Manager with a written
explanation.
n. If the Final Report was rejected by either the Facility
Representative or Program
Manager, a revised Final Report shall be prepared and
submitted within 21 calendar
days of disapproval.
5. RESPONSIBILITIES. Specific organizational responsibilities
are contained in DOE M
232.1-1A, OCCURRENCE REPORTING AND PROCESSING OF OPERATIONS
INFORMATION, and include:
a. Assistant Secretary for Environment, Safety and Health
(EH-1). Establish and maintain
policies and guidance material for the Occurrence
Reporting Program and assess
implementation of this Order to identify needed
improvements, especially as related to
the Environment, Safety and Health functional areas of
responsibility.
b. Secretarial Officers. Delegate responsibilities and
authority for implementing this
Order; review and approve the Facility/Site
Implementation Procedure; ensure that the
requirements in the CRD for this Order are applied to
applicable contracts within 3
months after approval of this Order, establish
agreements with Heads of Field Elements;
review Occurrence Reports for indications of
deteriorating or poor performance; and if
deemed necessary, formally request the Secretary of
Energy to grant an exemption to
the reporting requirements of this Order, after
obtaining concurrence from the Office of
Environment, Safety and Health.
c. Director, Office of Emergency Management (NN-60).
Ensure that the Emergency
Operations Center is prepared to receive and record
incoming initial notifications of
Unusual Occurrences and disseminate these reports to
appropriate Headquarters
organizations.
d. Heads of Field Elements. Ensure that the requirements
in the CRD for this Order are
applied to applicable contracts within 3 months after
approval of this Order, ensure that
agreements are established with responsible Secretarial
Officers for the purpose of
carrying out the requirements of this Order, assess the
contractor's capability and
performance in carrying out the requirements of this
Order, provide technical support as
necessary to Facility Representatives in responding to
any reportable occurrence, and
designate and direct Facility Representatives and
Designees to fulfill the responsibilities
required by this Order.
e. Program Managers. For facilities under their
cognizance, review activities relating to
occurrence reporting to ensure that facility personnel
implement a program compatible
with this Order and that lessons learned and generic or
programmatic implications are
identified and elevated to the Secretarial Officer for
appropriate action.
f. Facility Representatives. For facilities under their
cognizance, monitor day-to-day
operations and performance to ensure that facility
personnel implement a program
compatible with this Order and that lessons learned and
generic or programmatic
implications are identified and elevated to the Head of
the Field Element for appropriate
action.
g. Facility Manager. For the facility under their
cognizance, implement a program for the
timely identification, categorization, response,
notification, investigation, and reporting
of abnormal conditions and events. Ensure that
occurrences resulting from activities
performed by subcontractors in support of facility
operation are reported in accordance
with the provisions of this order.
6. CONTACT. The contact for this Order is Eugenia Boyle,
Office of Nuclear and Facility
Safety (EH-3), at Internet address Eugenia.Boyle@EH.DOE.GOV
or (301) 903-3393.
BY ORDER OF THE SECRETARY OF ENERGY:
ARCHER L. DURHAM
Assistant Secretary for
Human Resources and Administration
DOE O 232.1A Attachment 1
07-21-97 Page 1 (and 2)
CONTRACTOR REQUIREMENTS DOCUMENT
Occurrence Reporting and Processing of Operations Information
In accordance with DOE M 232.1-1A, OCCURRENCE REPORTING AND
PROCESSING OF
OPERATIONS INFORMATION, the contractor shall establish an
Occurrence Reporting
Program. This facility-specific Occurrence Reporting Program
shall be developed and
implemented for the timely identification, categorization,
notification, and reporting of operations
information related to DOE-owned and -leased facilities and for
the processing of that information
to identify the root cause, provide for appropriate corrective
actions, and prevent similar
occurrences through the identification of good practices and
lessons learned.
In support of this requirement, the contractor shall develop or
revise implementing procedures for
the responsible DOE Secretarial Office approval within 4 months
of incorporation of the
requirements in the CRD into a new or existing contract.
Implementation procedures submitted
by the contractor or facility operator shall be considered
automatically approved 2 months after
submittal, if they are not deliberately approved or rejected by
the responsible DOE Secretarial
Office.
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