Management System: Environment, Safety, and Health
Subject Area: Environment, Safety, and Health (ES&H) Reports to Office of Science (SC) Headquarters

Procedure 1. Notification of Reportable Occurrences

Management System Coordinators
Process Steward:
Implementation Lead:
Subject Matter Expert:

Latest MS Specific Document Revision Date 9/11/2013
Latest MS Total Biennial Review Completed 8/22/2017
SCMS Revision 3.0

1.0  Applicability

This procedure is applicable to all Office of Science (SC) Field Element Managers. This procedure describes the requirements for making notification of reportable occurrences at SC Laboratories or SC Field Elements categorized in accordance with Department of Energy (DOE) Order 232.2A, Occurrence Reporting and Processing of Operations Information, at the High, Low, or Informational Reporting Levels. Such notifications shall be made by the SC Field Element Manager to the SC Deputy Director for Field Operations (DDFO), Associate DDFO, and Office of Safety and Security Policy Director (SC-31), and as necessary to the DOE Emergency Operations Center (EOC).

Events categorized at the Informational Report Level need not be entered into the Occurrence Reporting and Processing System (ORPS) except when meeting the following criteria in Hazard Category (HC) -1, -2, or -3 nuclear facilities:

  • Reporting Criteria Group 2, Personnel Safety and Health, Subgroup B, Fires, #3;

  •  

    Reporting Criteria Group 3, Nuclear Safety Basis, Subgroup A, Technical Safety Requirement and Other Hazard Control Violations (excluding nuclear criticality), #3;
  • Reporting Criteria Group 4, Facility Status, Subgroup A, Safety Structure/System/Component Degradation (Nuclear Facilities), #2; or

  • All determinations of "Potential Inadequacy of the Safety Analysis" shall be reported as Reporting Criteria Group 10, Management Concerns and Issues, #1.

All other Informational Report Level events will be reported locally to the designated DOE Representative or Facility Representative and tracked in the contractor (or Integrated Support Center (ISC) as applicable) event/issue management system. Occurrences meeting the criteria above for inclusion into ORPS shall be entered into ORPS within 10 business days, or as soon as reasonably possible, consistent with DOE O 232.2A.

The need to perform causal analysis and associated corrective actions will occur as defined in local contractor (or ISC as applicable) event/issue management procedures, except as indicated below. This does not preclude analysis going above and beyond the minimum requirements defined below.

Perform, at a minimum, a root cause analysis for High Report Level events in HC-1, -2, or -3 nuclear facilities categorized as follows:

  • Reporting Criteria Group 2, Personnel Safety and Health, Subgroup B, Fires, #1;

  • Reporting Criteria Group 2, Personnel Safety and Health, Subgroup B, Fires, #2;

  • Reporting Criteria Group 2, Personnel Safety and Health, Subgroup C, Explosions, #1;

  • Reporting Criteria Group 3, Nuclear Safety Basis, Subgroup A, Technical Safety Requirement and Other Hazard Control Violations (excluding nuclear criticality), #1 [Exceptions are listed in DOE O 232.2A.];

  • Reporting Criteria Group 3, Nuclear Safety Basis, Subgroup B, Documented Safety Analyses, #1 [Note this criteria applies to HC-2 and HC-3 nuclear facilities, and can apply to below HC-3 nuclear facilities];

  • Reporting Criteria Group 3, Nuclear Safety Basis, Subgroup C, Nuclear Criticality Safety Control Violations, #1;

  • Reporting Criteria Group 3, Nuclear Safety Basis, Subgroup C, Nuclear Criticality Safety Control Violations, #2;

  • Reporting Criteria Group 3, Nuclear Safety Basis, Subgroup C, Nuclear Criticality Safety Control Violations, #3; or

  • Reporting Criteria Group 4, Facility Status, Subgroup B, Operations, #2.

NOTE: Results shall be reported in ORPS and include identified causal code(s) and corrective actions, as appropriate.

Perform at a minimum an apparent cause analysis for Low Report Level events in HC-1, -2, or -3 nuclear facilities categorized as follows:

  • Reporting Criteria Group 3, Nuclear Safety Basis, Subgroup A, Technical Safety Requirement and Other Hazard Control Violations (excluding nuclear criticality), #2;

  • Reporting Criteria Group 3, Nuclear Safety Basis, Subgroup C, Nuclear Criticality Safety Control Violations, #4;

  • Reporting Criteria Group 4, Facility Status, Subgroup A, Safety Structure/System/Component Degradation (Nuclear Facilities), #1;

  • Reporting Criteria Group 4, Facility Status, Subgroup B, Operations, #3;

  • Reporting Criteria Group 4, Facility Status, Subgroup B, Operations, #4; or

  • Reporting Criteria Group 4, Facility Status, Subgroup C, Suspect/Counterfeit and Defective Items and Material, #1.

NOTE: Results shall be reported in ORPS and include identified causal code(s) and corrective actions, as appropriate.

The SC Field Element will maintain access to and periodically review the contractor or ISC event/issue management system to monitor resolution of Informational Report Level events and related information, confirm program effectiveness, and provide updates to the SC DDFO, and Associate DDFO on the results of this monitoring.

SC Field Element Managers are required to inform their respective contractors of any additional requirements included in this procedure related to ORPS reporting for their site and determine the best way to ensure their site contract reflects the additional requirements.

2.0  Required Procedure

Step 1

The SC Field Element Manager notifies the SC DDFO, Associate DDFO, and SC-31 of High, Low, and applicable nuclear safety Informational Report Level (as defined above) occurrences. The SC Field Element Manager should report the event in a timeframe and with relevant information that reflects the nature and urgency of the event and potential impact or extent of interest at Headquarters.

The SC Field Element Manager promptly notifies the DOE EOC if the nature of the event has, or will likely impact activities beyond the site boundary or affect the public.

Step 2

The SC Field Element Manager considers notifying:

  • DOE Program Offices impacted by the event. Judgment should be used when choosing the level of management notification depending on the significance of the event (e.g., Program Manager or Associate Director.)

  • SC-3 Senior Nuclear Safety Advisor for radiological or quality assurance-related events.

  • SC ISC Managers for potential technical support needs.

3.0  References

  • DOE O 232.2A, Occurrence Reporting and Processing of Operations Information