Procedure 1. Executing the Process for Accident Investigations

When an incident is reported, the AI POC assists management in determining if the incident meets the requirements of an Accident Investigation.

1. After an incident has been categorized (per the algorithm in Appendix A of DOE O 225.1B, Accident Investigations), the Head of the Field Element notifies the U.S. Department of Energy (DOE) Headquarters (HQ) SC Office of the Deputy Director for Field Operations (SC-3).

2. The AI POC will notify the DOE HQ AI Program Manager.

SC-3 will consult with the DOE HQ Office of Environmental Protection, Sustainability Support, and Corporate Safety Analysis (AU-20) to determine which entity will appoint the Accident Investigation Board (AIB) (i.e., the Appointing Official).

When requested, the AI POC assists in identifying trained employees (AIB Chairperson, trained Accident Investigator, and members) to participate in the investigation.

NOTE:  Per DOE O 225.1B, each AI POC maintains a list of trained employees at their respective site.

Step 4

The Appointing Official appoints the AIB.

NOTE:  It has proven helpful to obtain a Records Coordinator and Technical Editor(s) at initiation of investigation.

If requested by HQ or the Head of the Field Element, the AI POC prepares correspondence to the affected contractor informing of the AIB’s scope, AIB members, and requesting a liaison to interface with the AIB and accommodate all of the AIB’s needs (e.g., office space, computers, supplies, organization charts) .

If requested by the AIB, the AI POC ensures that court reporters are available to record key witness interviews.

If requested, the AI POC coordinates and participates in a peer review of the draft report for all Accident investigations. SC‑3 and the HQ AI Program Manager receive a draft copy for review also.

After the final draft report is provided to the Appointing Official and accepted, the AI POC attends the AIB briefings with local management and contractor.

If requested, the AI POC prepares correspondence to the appropriate contractor from the DOE Line Manager to transmit the AIB’s report with a request for a corrective action plan (CAP) to address the report’s Judgments of Need within 30 calendar days of the date of the letter. See (1) Transmit Report and Contractor Corrective Action Plan Request Letter (Example) and (2) Local Corrective Action Plan Request Memorandum (Example).

The AI POC develops lessons learned, as appropriate, from the AI process and provides it to the HQ AI Program Manager to aid in process improvement.

If requested, the AI POC assists the AIB Chairperson and local management in identifying lessons learned from the findings of the investigation and provides those lessons to SC‑3 and the AI Program Manager for DOE‑wide dissemination.

If requested, the AI POC assists local Line Management in reviewing the contractor’s CAP.

NOTE:  If applicable, the AI POC reviews the Federal Line Management’s CAP for adequacy. Comments, if any, are resolved.

The AI POC prepares correspondence from the Head of the Field Element to DOE HQ Director, Office of Science, (SC‑1), to transmit the CAPs (contractor and Federal, if applicable). See Transmit Corrective Action Plan to Headquarters Memorandum (Example).

NOTE:  All appropriate HQ Program Offices and AU-20 receive copies.

Federal Line Management will track and verify closure of contractor and Federal corrective actions.

The AI POC prepares correspondence to SC‑1 from the Head of the Field Element to transmit status reports of corrective actions (contractor and Federal, if applicable) when received from Line Management.

NOTE:  All appropriate HQ Program Offices and AU-20 receive copies.

The AI POC prepares correspondence to SC‑1 from the Head of the Field Element recommending that the AI be closed when notified that all actions have been completed and verified.

NOTE:  All appropriate HQ Program Offices and AU-20 receive copies.