RESPONSIBLE ORGANIZATION

The Occurrence Reporting and Processing System (ORPS) Office located within the Independent Oversight Office is responsible for developing and maintaining this procedure. This procedure will be reviewed annually and revised as required. Direct comments and questions to the ORPS Coordinator, Independent Oversight Office.

APPLICABILITY

This procedure applies to the ORPS Office and to the BNL Occurrence Categorizers.

AUTHORITY

The ORPS Coordinator, Independent Oversight Office, is responsible for administering the Laboratory’s Occurrence Reporting Program. The Independent Oversight Office has the authority to independently verify the effectiveness, efficiency, and adequacy of the Laboratory’s Occurrence Reporting Program.

The Program implements the requirements of DOE Order 232.1A, Occurrence Reporting and Processing of Operations Information.

REQUIREMENTS

DOE Order 232.1A, Occurrence Reporting and Processing of Operations Information

DOE Order 151.1A Chg 2, Comprehensive Emergency Management System

BNL SBMS Occurrence Reporting Subject Area

DEFINITIONS

Authorization Basis - means those aspects of the facility design basis and operational requirements relied upon by DOE to authorize operation. These aspects are considered to be important to the safety of the facility operations. The authorization basis is described in documents such as the facility Safety Analysis Report and other safety analysis; Hazard Classification Documents, and the Technical Safety Requirements, DOE-issued safety evaluation reports, and facility-specific commitments made in order to comply with DOE Orders or policies.  [DOE 5480.23]

Defective Item, Material, or Service - Any item, material, or service that does not meet the commercial standard or procurement requirements as defined in catalogues, proposals, procurement specifications, design specifications, testing requirements, contracts, or the like. It includes those items or services found, during acceptance testing, preoperational testing, operations, inspections, or audit, not to meet the quality or reliability requirements appropriate to the use or specificity of the item or service procured. It also includes misrepresentation of the specifications or trademarks associated with the parts/service marking, packaging, or certification/identification stamps. It does not include parts or services which fail or are otherwise found to be inadequate because of random failures or errors within the accepted reliability level.  [DOE M 232.1-1A]

Safety Basis - means the combination of information relating to the control of hazards at a nuclear facility (including design, engineering analyses, and administrative controls) upon which DOE depends for its conclusion that activities at the facility can be conducted safely. [DOE 5480.23]

Safety Class Structures, Systems, or Components (Safety Class SSCs) - Nuclear facility structures, systems, or components including primary environmental monitors and portions of process systems, whose failure could adversely affect the environment or safety and health of the public as identified by safety analyses. [DOE 5480.30]

Safety Significant Structures, Systems, or Components (Safety Significant SSCs)  a. Nuclear facility structures, systems, or components not designated as Safety Class SSCs but whose preventative or mitigative function is a major contributor to defense in depth (i.e., prevention of uncontrolled hazardous material release) and/or worker safety as determined from hazard analysis.[DOE-STD-3009-94]  b. Non-nuclear facility structures, systems, or components whose preventative or mitigative function is a major contributor to defense in depth (i.e., prevention of uncontrolled hazardous material release) and/or worker safety. NOTE: Safety Significant SSC, as used in this Manual (change to Procedure), distinguishes a specific category of SSCs other than Safety Class SSCs. It should not be confused with the generic modifier "safety significant" used in DOE Orders (e.g., DOE 5480.23).

Unreviewed Safety Question (USQ) - Activities that involve an Unreviewed Safety Issue must not be performed if significant safety consequences could result from either an accident or a malfunction of equipment important to safety for which a safety analysis has not been performed. Activities involving an identified Unreviewed Safety Issue must not commence before DOE has provided written approval.  [DOE 420.2]  A situation involves a Unreviewed Safety Question (USQ) if:
(1) The probability of occurrence or the consequences of an accident or malfunction of equipment important to safety previously evaluated in the facility safety analyses could be increased;
(2) The possibility for an accident or malfunction of a different type than any evaluated previously in the facility safety analyses could be created; or
(3) Any margin of safety, as defined in the bases of the TSRs, could be reduced.  [DOE 5480.21]

SCOPE

This procedure applies to the categorization of events and conditions discovered at the BNL site, including those caused by subcontractors, vendors, and visitors.

CATEGORIZERS and SCHEDULE

The BNL Deputy Director for Operations has appointed specific individuals to be BNL Occurrence Categorizers.  A Call List maintained by the ORPS Office identifies the individuals, contact information, and a schedule. A Categorizer is on-call and available at all times (24 hrs/day). If the scheduled Categorizer is or will be unavailable for any reason, it is his/her responsibility to notify the BNL ORPS Office. The BNL ORPS Coordinator is responsible for arranging a replacement on-call Categorizer for that period. The ORPS Office is part of the Independent Oversight Office.

The primary means of contacting the on-call Categorizer is via pager number 631-453-5887.

PROCEDURE

• The on-call Categorizer will have the following set of items

• Log Book
• Occurrence Categorizer’s Procedure
• Pager
• The ORPS Office is responsible for maintaining these items.

• The on-call Categorizer receives notification of a potentially reportable event or condition from a BNL Department Chair/Division Manager.

• Through discussion with the Department Chair/Division Manager, the Categorizer determines if the event or condition is reportable using the Criteria Table of this procedure.

• Categorization of a reportable Occurrence is to be made within 2 hours of discovery.

• The Categorizer records the following information into the Categorizer Log Book:

• Date of call
• Time of call
• Name of person who called
• Call-back phone number
• Details of the event or condition (this may be brief and is not intended to take the place of follow-up investigation and reporting by the responsible ORPS Reporting Facility Manager)
• Decision on reportability; i.e.: Off-Normal, Unusual or Not Reportable. If reportable, indicate Category (for example: "Group 1.B, Off-Normal (1)") and date & time categorized. If not reportable, brief explanation why.
• Other contacts/phone numbers or other information as appropriate

• If reportable, the Categorizer notifies the BNL ORPS Office of the Occurrence.

Categorizer Log Books will be maintained by the ORPS Office in accordance with the Records Management Subject Area.

CRITERIA TABLE

Group 1 - Facility Condition

• 1A Nuclear Criticality Safety
• 1B Fires/Explosions
• 1C Safety Status Degradation
• 1D Loss of Control of Radioactive Material/Spread of Radioactive Contamination
• 1E Safety Structure/System/Component Degradation
• 1F Violation/Inadequate Procedures
• 1G Oversight Activities
• 1H Operations

    Unusual Occurrence

Violation of the double contingency criticality specifications such that no valid controls are available to prevent a criticality accident.

Any nuclear criticality safety violation or infraction of procedures not covered by other reporting criteria.  For example, violation of a single contingency such that only one valid criticality control remains in place.

    Unusual Occurrence

Any fire or explosion within primary confinement/containment boundaries of a nuclear facility.

(1)  Any fire or explosion not required to be reported as an Unusual Occurrence that activates a fire suppression system (e.g., halon discharge, sprinkler heads activating) or disrupts normal facility operations.

(2)  An unplanned fire that takes longer than 10 minutes to extinguish following the arrival of fire protection personnel; this does not include fires that do not disrupt normal facility operations and which are in the initial or beginning stage that can be controlled or extinguished by portable fire extinguishers, Class II standpipe, or small hose systems without the need for protective clothing or breathing apparatus.

    Unusual Occurrence

(1)  Any violation or noncompliance of an approved Technical Safety Requirement (Technical Specification or Operational Safety Requirement) or other operational safety limit defined by the contractor/DOE.

(2)  Discovery of an incorrectly derived Technical Safety Requirement (Technical Specification or Operational Safety Requirement) or other operational safety limit defined by the contractor/DOE.

(3)  Any operation outside the authorization basis of the facility or process.

(4)  Any occurrence that would prevent immediate facility or offsite emergency response capabilities.

(5)  Discovery of an actual Unreviewed Safety Question (USQ) which reveals a currently existing inadequacy in the approved authorization basis.

(1)  Discovery of a condition that leads the facility operating personnel to limit facility operations, either self-imposed or due to the identification of a potential degradation of the authorization bases of a facility or process.  This includes the discovery of analytical errors, omissions, or inadequacies that present the potential for a USQ.

(2)  Discovery of a potential USQ that could affect the present or future operation of the facility.  Routine USQ determinations due to planned system or operational modifications are not reportable under this criteria.

    Unusual Occurrence

(1)  Identification of radioactive contamination offsite in excess of 100 times any of the surface contamination levels specified in DOE 5400.5, RADIATION PROTECTION OF THE PUBLIC AND THE ENVIRONMENT, Figure IV-1, that has not been previously identified and formally documented. For the first group listed in Figure IV-1 (i.e., transuranics...) use the values specified in Table 1 of the EH-412 memorandum "Application of DOE 5400.5 Requirements for Release and Control of Property Containing Residual Radioactive Material", dated November 17, 1995.

(2)  Loss of accountability of a sealed source or identification of lost radioactive material that exceeds 100 times the quantities specified in DOE N441.1, RADIOLOGICAL PROTECTION FOR DOE ACTIVITIES (using ORNL/TM-11497 in lieu of Attachment 1 of N441.1).

(3)  Any fissile material in a process or nonprocess system outside primary confinement boundaries not designed or expected to accommodate such material.

(1)  Any unplanned spill of liquids in excess of one gallon contaminated with radioactive material in concentrations greater than five times the Derived Concentration Guide values listed in DOE 5400.5, Figure III-1.

(2)  Identification of radioactive contamination outside a radiological area (as defined in 10 CFR 835, Occupational Radiation Protection) or radiological buffer area established for contamination control, but within a Controlled Area, in excess of 10 times the total contamination levels in 10 CFR 835, Appendix D.  For tritium, until a total contamination value is specified by 10 CFR 835 Appendix D, report  contaminations in excess of 10 times 10,000 dpm/100cm2.

(3)  Identification of radioactive contamination onsite that is not located within a Controlled Area, Fixed Contamination Area, or Soil Contamination Area, and is in excess of two times the total contamination levels in 10 CFR 835, Occupational Radiation Protection, Appendix D.  For tritium, until a total contamination value is specified by 10 CFR 835 Appendix D, report contaminations in excess of 2 times 10,000 dpm/100cm2.

(4)  Identification of radioactive contamination offsite in excess of any of the surface contamination levels specified in DOE 5400.5, Figure IV-1, that has not been previously identified and formally documented.  For the first group listed in Figure IV-1 (i.e., transuranics...) use the values specified in Table 1 of the EH-412 memorandum "Application of DOE 5400.5 Requirements for Release and Control of Property Containing Residual Radioactive Material", dated November 17, 1995.

(5)  Loss of accountability of a sealed source or identification of lost radioactive material that is one to less than 100 times the quantities specified in DOE N 441.1, RADIOLOGICAL PROTECTION FOR DOE ACTIVITIES (using ORNL/TM-11497 in lieu of Attachment 1 of N441.1).

    Unusual Occurrence

Performance degradation of any Safety Class Structure, System, or Component (SSC) that prevents satisfactory performance of its design function when it is required to be operable or in operation.

(1)  Performance degradation of any Safety Class SSC that prevents satisfactory performance of its design function when it is not required to be operable or in operation.

(2)  Performance degradation of any nuclear or nonnuclear Safety Significant SSC that prevents satisfactory performance of its design function when it is required to be operable or in operation.

    Unusual Occurrence

(1)  Maintenance performed on Safety Class SSC without meeting the required plant conditions for nonavailability resulting in a performance degradation.

(2)  Incorrect maintenance (including calibration) on or unauthorized modifications to Safety Class SSC that was required to be operable or in operation and results in a performance degradation.

(1)  Any violation resulting in actual equipment damage in excess of $10,000

(2)  Use of inadequate procedures or deviations from written procedures that result in adverse effects on performance, safety, or reliability.

(3)  Incorrect maintenance (including calibration) on or unauthorized modifications to Safety Significant SSC required to be operable or in operation.

Unusual Occurrence

Any internal/external oversight activity discovering unsatisfactory operation, testing, maintenance, or modification of any Safety Class SSC that is required to be operable or in operation.

Off-Normal

Any internal/external oversight activity discovering unsatisfactory operation, testing, maintenance, or modification of any Safety Significant SSC required to be operable or in operation.

Unusual Occurrence

(1) Actuation of Safety Class SSC or their alarms resulting from an actual unsafe condition. Inadvertent alarms are not required to be reported unless an actuation of a Safety Class SSC occurs and the actuation is considered significant as defined by the approved facility procedures. Actuation of continuous air monitoring systems identified as Safety Class equipment do not have to be reported if their actuation was found to be due to radon-thoron effects on the system or their actuation is expected due to maintenance tasks and other planned operations in the facility where the potential for release of radioactivity is anticipated to occur and the workers are appropriately protected.

(2) Loss of incoming alternating current power and failure of any backup emergency power system to operate, when the backup emergency power system supplies power to a Safety Class SSC.

(3) Weather conditions/natural phenomenon causing serious disruption of facility activities.

(4) Loss of process ventilation system serving a confinement function, which results in the loss of confinement.

(5) Any facility evacuation (excluding office space) in response to an actual occurrence, not including a precautionary evacuation for an event that can be controlled and mitigated by employees or maintenance personnel assigned to the affected facility or activity.

Off-Normal

(1) Any unplanned and unexpected change in a process condition or variable adversely affecting safety, security, environment, or health protection performance sufficient to require termination of a procedure in a reactor or nonreactor facility.

(2) Any unplanned electrical outages or unexpected consequences from a planned outage which seriously disrupt normal operations of a facility and/or may prevent the facility from meeting approved operating goals.

(3) Any unplanned outages of service systems (i.e., cooling water, steam, phones, communication systems, etc.) or unexpected consequences from a planned outage which: - disrupt normal operations for one week or longer and - which adversely affect safety, security, environment or health protection performance.

(4)  Loss of any process ventilation system serving a confinement function which does not result in the loss of confinement.

(5) Actuation of Safety Significant SSC or their alarms resulting from an actual unsafe condition. Inadvertent alarms are not required to be reported. Actuation of continuous air monitoring systems identified as Safety Significant equipment does not have to be reported if their actuation was found to be due to radon-thoron effects on the system or their actuation is expected due to maintenance tasks and other planned operations in the facility where the potential for release of radioactivity is anticipated to occur and the workers are appropriately protected.

2A Radionuclide Releases

2B Release of Hazardous Substances/Regulated Pollutants/Oil

2C Hazardous Material Contamination

2D Ecological Resources

2E Environmental Agreement/Compliance Activities

Unusual Occurrence

(1) Release of a radioactive material that violates environmental requirements in Federal permits, Federal regulations, or requirements established under DOE directives.

(2) Any release that is not an Emergency as defined in DOE O 151.1 but which requires immediate reporting (less than 4 hours) to Federal regulatory authorities. Release of a radioactive material that exceeds a federally permitted release by the amount of a Comprehensive Environmental Response, Compensation and Liability Act reportable quantity or, where no federally permitted release exists, the release exceeds the reportable quantity or triggers specific action levels for an outside Federal agency.

Off-Normal

(1) Any release of radioactive material to controlled or uncontrolled areas that is not part of normal monitored release and which exceeds 50% of a Comprehensive Environmental Response, Compensation and Liability Act reportable quantity specified for such material per 40 CFR 302.

(2) Any controlled release of radioactive material that occurs as a monitored part of normal operations that exceeds what historical data and/or analysis show is expected as a result of normal operations.

(3) Any monitored site boundary where exposure or concentration exceeds what historical data and/or analysis show is expected as a result of normal operations.

(4) Any detection of a radionuclide in a sanitary or storm sewer, waste or process stream, or any holding points where such a material is not expected.

(5) Any controlled, uncontrolled, or accidental release not categorized as an Unusual Occurrence but will be reported in writing to State/local agencies in a format other than routine periodic reports.

Unusual Occurrence

(1) Release of a hazardous substance or regulated pollutant that exceeds a Comprehensive Environmental Response, Compensation and Liability Act reportable quantity per 40 CFR 302 and 40 CFR 355 for chemicals and extremely hazardous substances.

(2) Any release that is not an Emergency as defined by DOE O 151.1, COMPREHENSIVE EMERGENCY MANAGEMENT SYSTEM but which requires immediate (less than 4 hours) reporting to Federal regulatory agencies or triggers specification action levels for an outside Federal agency.

(3) Any discharge of 100 gallons or more of oil of any kind or in any form, including, but not limited to, petroleum, fuel oil, sludge, oil refuse, and oil mixed with wastes other than dredged spoil. For operations involving oil field crude or condensate, any discharge of 100 barrels or more is reportable under this criterion.

Off-Normal

(1) Release of a hazardous substance or regulated pollutant to controlled or uncontrolled areas that is not part of a normal, monitored release and which exceeds 50% of a Comprehensive Environmental Response, Compensation and Liability Act reportable quantity as specified for such material per 40 CFR 302.

(2) Any discharge of greater than 42 gallons of oil of any kind or in any form, including, but not limited to, petroleum, fuel oil, sludge, oil refuse, and oil mixed with wastes other than dredged spoil outside of a permitted containment area. For operations involving oil field crude oil or condensate, any discharge less than the Unusual Occurrence level but in excess of 10 barrels.

(3) Any detection of a toxic or hazardous substance in a sanitary or storm sewer, waste or process stream, or any holding points where such a material is not expected to be found considering the current detection method and historical detection method used.

(4) Any controlled, uncontrolled, or accidental release not classified as an Unusual Occurrence but which will be reported in writing to State/local agencies in a format other than routine periodic reports. Oil spills to soil of less than 10 gallons are not reportable into ORPS (Reference: DOE Letter Desmarais to Sheridan, November 10, 1998, Subject: "Oil Spills – Occurrence Reporting").

(5) Any controlled release of hazardous/regulated material that occurs as a monitored part of normal operation but exceeds what historical data and/or analysis shows is expected as a result of normal operations.

(6) Any general environmental monitoring where concentration increases to a level which exceeds what historical data and/or analysis shows is expected as a result of normal operations.

Unusual Occurrence

(1) Discovery of onsite or offsite contamination due to DOE operations that does not represent an immediate threat to the public but exceeds a reportable quantity for such material per 40 CFR 302.

(2) Any discovery of groundwater contamination due to DOE operations that is not part of an existing plume previously identified in either an annual report or in any Comprehensive Environmental Response, Compensation and Liability Act/Resource Conservation and Recovery Act activity or report.

Off-Normal

Discovery of onsite contamination due to DOE operations that exceeds 50% of a reportable quantity for such material per 40 CFR 302.

Unusual Occurrence

Any occurrence causing significant impact to any ecological resource for which the DOE is a trustee (i.e., destruction of a critical habitat, damage to a historic/archeological site, damage to wetlands, etc.).

Unusual Occurrence

Any occurrence under any agreement or compliance area that requires notification of an outside regulatory agency within 4 hours or less, or triggers any outside regulatory agency action level.

Off-Normal

(1) Any agreement, compliance, remediation or permit-mandated activity for which formal notification of enforcement has been received from the relevant outside regulatory agency that a site/facility is considered to be in noncompliance with a schedule or requirement (e.g., Notice of Violation, Notice of Deficiency, Notice of Intent to Sue, Notice of Noncompliance, Warning Letter, Finding of Violation, Finding of Alleged Violation, or a similar type enforcement action).

(2) Any occurrence under any agreement or compliance area that will be reported to outside agencies in a format other than routine periodic reports.

• 3A Occupational Illness/Injuries
• 3B Vehicular Incidents
• 3C Safety Concerns

Unusual Occurrence

(1) Any occurrence due to DOE operations resulting in a fatality or terminal injury or illness.

(2) Any one occurrence resulting in 3 or more lost workday cases as defined by 29 CFR 1904.12 and Office of Management and Budget (OMB) No. 1200-0029.

(3) Any occurrence requiring in-patient hospitalization of 3 or more personnel or that has a high probability of resulting in a permanent disability.

(4) Personnel exposures to sufficient levels of hazardous substances or hazards that require the administration of medical treatment on the same day as the exposure and are above limits established by the Occupational Safety and Health Administration (refer to 29 CFR 1910) or American Conference of Governmental Industrial Hygienists (ACGIH), whichever is lower. These should include:

(a) Noise
(b) Non-ionizing radiation
(c) Chemical Agents
(d) Physical Agents
(e) Biological Agents

(5) Exposures to an immediately dangerous to life and health (IDLH) (as defined by 29 CFR 1910.120) condition without both appropriate personal protective equipment and procedures in place.

Off-Normal

(1) Any occupational illness or injury that results in inpatient hospitalization.

(2) Series of occupational illnesses from one event involving 3 or more people where at least one is a lost work day case.

(3) Personnel exposure in a single event to hazardous substances or hazards in excess of limits, as established by the Occupational Safety and Health Administration (refer to 29 CFR 1910), or American Conference of Governmental Industrial Hygienists (ACGIH), whichever is lower. These should include:

(a) Noise
(b) Non-ionizing radiation
(c) Chemical Agents
(d) Physical Agents
(e) Biological Agents

This section covers vehicular transportation incidents, including DOE or DOE contractor operated aircraft. Group 6 should also be considered in categorization for reporting. Transportation incidents without injury (e.g., those involving hazardous or radioactive material or financial loss) must be reported per the requirements of Group 6 or 7.

Unusual Occurrence

(1) Any vehicular incident resulting in fatality(s), injury(s), or illness classified under Group 3.A, Unusual Occurrence.

(2) Any vehicular incident involving Departmental property with a fatality(s) to a person(s) other than DOE personnel or DOE contractor personnel.

Off-Normal

(1) Any vehicular incident with injury(s) involving Departmental property resulting in a lost workday case.

(2) Any vehicular incident involving Departmental property with injury(s) to a person(s) other than DOE personnel or DOE contractor personnel.

Off-Normal

(1) Unapproved use of flammable, toxic, explosive, corrosive, or other unsafe or dangerous processes, chemicals, materials, or methods not in accordance with standard operating procedures or work plans.

(2) Any shutdown of a work activity taken as a result of an Occupational Safety and Health Administration violation (e.g., trenching without adequate shoring or working at elevated levels without fall protection, when required).

• 4A Radiation Exposure
• 4B Personnel Contamination

Unless specified otherwise, all doses specified in the following requirements are calculated as the total effective dose equivalent, which is the sum of the committed effective dose equivalent due to radionuclides taken into the body (internal exposure) and the effective dose equivalent due to external exposure.

Unusual Occurrence

Determination of a dose that exceeds the limits specified in 10 CFR 835, Subpart C, Occupational Radiation Protection (for onsite exposure) or DOE 5400.5, Chapter II, Section 1 (for offsite exposures to a member of the public).

Off-Normal

(1) Any single occupational exposure that exceeds an expected exposure by 100 mrem.

(2) A single unplanned exposure onsite to a minor or member of the public that exceeds 50 mrem.

(3) Determination of a dose that exceeds the reporting requirement thresholds specified in DOE 5400.5, Chapter II, Section 7, for offsite exposures to a member of the public.

Unusual Occurrence

(1) Any single occurrence resulting in the contamination of five or more personnel or clothing (excluding protective clothing) measured (prior to washing or decontamination) in accordance with DOE Radiological Control Manual, Article 338, or equivalent, at a level exceeding the values for total contamination limits identified in 10 CFR 835, Occupational Radiation Protection, Appendix D. The contamination level shall be based on direct measurement and not averaged over any area. For tritium, until a total contamination value is specified by 10 CFR 835 Appendix D, report contaminations exceeding 10,000 dpm/100cm2.

(2) Any occurrence requiring offsite medical assistance for contaminated personnel.

(3) Identification of personnel or clothing contamination offsite due to DOE operations in accordance with approved radiological procedures for determining personnel and/or clothing contamination, measured (prior to washing or decontamination) in accordance with the Radiological Control Manual, Article 338, or equivalent.

Off-Normal

(1) Any measurement of personnel or clothing contamination (excluding protective clothing) at a level greater than the total contamination limits identified in 10 CFR 835, Occupational Radiation Protection, Appendix D, measured (prior to washing or decontamination) in accordance with the DOE Radiological Control Manual Article 338, or equivalent. The contamination level shall be based on direct measurement and not averaged over any area. For tritium, until a total contamination value is specified by 10 CFR 835 Appendix D, report contaminations at a level greater than 10,000 dpm/100cm2.

• 5A Criminal Acts
• 5B Unaccounted for Classified Matter or Compromised Information
• 5C Substance Abuse
• 5D Intelligence Activities
• 5E Physical Security System Computer
• 5F Unplanned/Unscheduled Outage of Site Security System
• 5G Demonstrations/Protests
• 5H Firearms
• 5I Other Security Concerns
• 5J Material Control and Accountability

A. Criminal Acts

Initial notification of events in this section shall follow normal occurrence reporting timelines. When reporting an occurrence that is the subject of an ongoing investigation under this subgroup, the report shall be tailored to prevent jeopardizing the investigation. Full reporting may be delayed until completion of criminal investigations, if the reports would jeopardize the investigation.

Unusual Occurrence

(1) At DOE reactor or nonreactor nuclear facilities:

(a) bomb-related incidents, including location of a suspicious device or a noncredible bomb threat;

(b) a noncredible terrorist threat; or

(c) a noncredible sabotage threat or breach/attempted breach of a secure/classified facility.

(2) Violent assault/battery, murder, or unjustified use of deadly force while on DOE property.

(3) Theft/diversion/intentional destruction of Government property valued greater than $1,000,000.

(4) Racketeering or other organized criminal activity onsite.

Off-Normal

(1) At DOE facilities other than reactors and nonreactor nuclear facilities:

(a) location of a suspicious device or noncredible bomb threat;

(b) noncredible terrorist threat; or

(c) noncredible sabotage threat.

(2) Theft/diversion/intentional destruction of government property valued between $10,000 and $1,000,000.

(3) Onsite felony conspiracies (i.e., blackmail, fraud, embezzlement, extortion and forgery) not involving classified information.

Unusual Occurrence

The loss, potential compromise, or unauthorized disclosure (determined in accordance with DOE M 471.2-1), in any manner, of information classified as, or which should have properly been classified as, Top Secret (all categories) and Secret (all categories), and/or all documents regardless of classification level and category containing Sensitive Compartmented Information, Special Access Program information, and/or classified information of another government agency or foreign government.

Off-Normal

The loss, potential compromise, or unauthorized disclosure (determined in accordance with DOE M 471.2-1), in any manner, of information classified as, or which should have properly been classified as, Confidential (all categories), but not including Confidential documents containing Sensitive Compartmented Information, Special Access Program information, and/or classified information of another government agency or foreign government.

Off-Normal

Discovery of the prohibited use, possession or involvement of alcohol or illegal drugs by personnel within a facility that may affect facility operations.

(1) Any reportable occurrence under this Manual at least partially attributable to the use of alcohol or illegal drugs.

(2) A detection of personnel not fit for duty attributable to the use of alcohol or illegal drugs.

Unusual Occurrence

(1) Extortion/blackmail directed at DOE or DOE contractor personnel with intent of obtaining classified information/systems, detailed information concerning plant processes/configurations, or aiding in sabotage or terrorist acts.

(2) Espionage, intelligence activities, treason, or subversive activities by or directed at DOE or DOE contractor personnel.

Off-Normal

(1) When illegal or unauthorized access is sought to classified or sensitive information, technology, or special nuclear materials.

(2) When DOE or DOE contractor personnel believe that they may be the target of an attempted exploitation by an inimical interest, foreign or domestic.

Unusual Occurrence

(1) Actual/attempted unauthorized access to classified or sensitive unclassified information.

(2) Discovery of a computer incident (virus, hacker, sniffer, abuse, fraud, etc.) involving a physical security system that causes an alteration to a security feature, disruption of service, or loss of the confidentiality, integrity or availability of information, and results in an estimated $1,000,000 or more in damages or the cost of restoring services.

Off-Normal

Discovery of a computer incident (virus, hacker, sniffer, abuse, fraud, etc.) involving a physical security system that causes an alteration to a security feature, disruption of service, or loss of the confidentiality, integrity or availability of information, and results in an estimated $10,000 or more in damages or the cost of restoring services.

Unusual Occurrence

Unplanned/unscheduled outage of any site security system, or major component of a site security system, that is not redundant and/or results in a potential vulnerability which would allow unauthorized or undetected access to Protected Areas, Exclusion Areas, Material Access Areas, and Sensitive Compartmented Information Facilities.

Off-Normal

Unplanned/unscheduled outage of any site security system, or major component of a site security system, not encompassed by the Unusual Occurrence category, that is not redundant and not authorized by a facility shutdown plan or a special security plan approved by DOE, that requires the physical presence of the protective force as a compensatory measure to prevent unauthorized access. This does not include the stationing of protective forces as a backup security system identified in a DOE approved facility security plan.

Unusual Occurrence

(1) Disruptive activities impeding vehicular or employees access/egress.

(2) Attempted or actual trespass.

(3) Malevolent activities causing property damage or bodily harm.

Off-Normal

Lawful activities warranting deployment of additional protective measures.

Unusual Occurrence

Unauthorized firearms discharge resulting in personnel injury.

Off-Normal

(1) Unauthorized firearms discharge resulting in no personnel injury.

(2) Loss or theft of DOE firearms or munitions, as per DOE 5632.7A, PROTECTIVE FORCE PROGRAMS. Site specific procedures shall include current amounts identified in DOE 5632.7A. (Excess of 100 rounds as per 5632.7A, Chapter VI, Section 1, paragraph b.(4)(c) "Inventory Shortages")

Unusual Occurrence

Unauthorized use, possession, or alteration of a security badge, credential, shield, or other form of official identification (to include blank badge stock/form) to gain access to a protected area or limited area.

Off-Normal

(1) Discovery of prohibited items within a Protected Area that:

(a) are suspected of being positioned for the purpose of aiding and abetting a malevolent act; or

(b) are, of themselves, illegal.

Items discovered outside controlled areas that are legal under Federal, State, and local laws are not reportable, even if the discovery of such items would otherwise be reportable under this paragraph.

(2) Onsite death of cleared DOE or DOE contractor personnel by unnatural causes (e.g., suicide, drug overdose).

(3) Loss of security badges in excess of 5 percent in a calendar year.

(4) Onsite malicious mischief, disorderly conduct, or vandalism which disrupts plant activity or causes damage between $10,000 and $100,000.

Unusual Occurrence

(1) Loss or apparent loss of the following (including item losses due to shipper-receiver differences):

(a) one or more items for which the items total a Category I, II, or III quantity of special nuclear materials, or

(b) one or more items of tritium in a weapons or test component, or

(c) one or more items which total 50 grams or more of tritium.

(2) An inventory difference (loss or gain) that exceeds alarm limits, does not involve the loss of an item, and is a Category I or II quantity of special nuclear materials.

(3) A shipper-receiver difference involving a gain in the number of items for which the items total to a Category I or II quantity of special nuclear materials.

(4) Evidence that special nuclear material balance or tritium material balance data has been manipulated or falsified to mask a diversion or theft or to alter loss detection sensitivity.

(5) Alarms or other indicators, excluding inventory differences or shipper-receiver differences, from loss detection elements for Category I and II material balance areas that cannot be proven to be false within 24 hours.

(6) Loss or apparent loss whenever a State, local government or other Federal agency must be notified.

Off-Normal

(1) Alarms or other indicators, excluding inventory differences or shipper-receiver differences, from loss detection elements for Category III and IV material balance areas that cannot be proven to be false within 24 hours.

(2) A special nuclear materials or tritium inventory difference (loss or gain) that exceeds the alarm limits, does not involve the loss of an item, and is a Category III or IV quantity of material.

(3) A shipper-receiver difference that exceeds 200 grams of fissile material and the combined limit of error for the shipment.

(4) A special nuclear materials or tritium shipper-receiver difference involving a gain in the number of items for which the items total a Category III or IV quantity of material.

(5) Any unexpected accumulation of fissile material within primary confinement boundaries.

(6) A statistically significant trend in total inventory difference for special nuclear materials or tritium inventories.

(7) Loss or apparent loss of one or more items for which the items total a Category IV quantity of special nuclear materials or any loss of one or more containers of tritium that does not meet the threshold for an Unusual Occurrence (includes item losses due to shipper-receiver differences).

Transportation of DOE Hazardous Materials.  Transportation occurrences are incidents related to the transportation of DOE materials, including hazardous materials, hazardous substances, and hazardous wastes by vehicular, vessel, air, or rail mode. The requirements for reporting noncompliances and violations associated with such transfers are qualified in this Manual. The Federal regulations for offsite transportation are found in 10 CFR Part 71, 49 CFR Parts 106-180, 200-250, and 350-399, 46 CFR (vessel), ICAO/IATA, IMDG, 14 CFR(aviation), and several DOE Orders. For onsite (within controlled boundaries of DOE facilities), the transportation regulations for hazardous materials transfers are the same as offsite (DOT's Hazardous Materials Regulations) or as defined in an approved facility Transportation Safety Document.

DOE facilities receiving materials from a DOE shipper that are not in compliance with appropriate regulations, as qualified by this Manual, must report the discrepancies to the DOE shipper who will prepare an Occurrence Report and implement suitable corrective actions. If such a shipment is received from a non-DOE shipper and meets the reporting criteria of this Manual, the DOE organization will notify the non-DOE shipper of the apparent noncompliance and will prepare an Occurrence Report stating that the non-DOE shipper has been notified. These reporting criteria are in addition to any required by DOT for contractors subject to the DOT regulations.

Unusual Occurrence

(1) Any packaging or transportation activity (including loading, unloading, or temporary storage) involving the offsite release of radioactive material, etiologic agents, a reportable quantity of hazardous substance, or marine pollutants.

(2) Any shipment of radioactive material that arrives at its destination with radiation or contamination levels greater than DOT limits, or results in personnel radiation exposure higher than permitted in Federal permits, Federal regulations, or DOE standards.

(3) Any shipment or onsite transfer of radioactive material or hazardous waste that arrives at its destination with an unaccounted for package or an irreconcilable shipping paper, waste manifest, or onsite transfer authorization.

(4) A vehicle, vessel, rail or air incident or accident (without personal injury) that presents significant impact on the ability of a facility to conduct transportation operations and:

(a) results in release of radioactive or hazardous materials above Federal permit, Federal regulatory, or DOE Standard limits;

(b) involves performance degradation of safety equipment; or

(c) is the result of failure or degradation of administrative controls required to ensure safety.

(5) Violations of the Federal Motor Carrier Safety Regulations or the Hazardous Materials Regulations if those violations are determined by DOT inspection and result in a fine (monetary penalty).

Off-Normal

(1) Any packaging or transportation activity involving:

(a) the offsite release of non-radioactive hazardous material, or any quantity of hazardous waste; or

(b) the onsite release of radioactive materials, etiologic agents, hazardous substances, hazardous waste, or marine pollutants.

(2) A vehicle, vessel, rail or air incident or accident (without personal injury) that affects the ability of a facility to conduct transportation operations and:

(a) results in release of radioactive or hazardous materials below limits established by Federal permits, Federal regulations, or DOE Standard limits but must be reported to State or local agencies; or

(b) is the result of operational procedural violations, including maintenance or administrative procedures.

(3) Noncompliances (potential violations) of the DOT Hazardous Materials Regulations or the transportation and packaging requirements of the Nuclear Regulatory Commission involving:

(a) errors made by the shipper in materials description, marking, labeling, or placarding;

(b) an unqualified person signing shipping papers;

(c) the highway routing selection requirements for highway route controlled shipments or the notification requirements for spent-fuel shipments not being observed;

(d) the separation and segregation tables for hazardous materials not strictly adhered to; or

(e) the applicable packaging requirements for the assembly, handling, or selection of a package not being in accordance with the applicable regulations.

(4) Noncompliances (potential violations) of the Federal Motor Carrier Safety Regulations involving:

(a) a contractor driver operating a DOE-owned motor vehicle after a positive drug test or failure of an alcohol test;

(b) an unqualified driver operating a vehicle (medical, driver's license, or training not in compliance);

(c) the carrier (contractor management) not having required insurance;

(d) a vehicle that failed inspection not being removed from service;

(e) a specification cargo tank with expired inspection being in service with hazardous materials;

(f) a driver's log book deliberately misrepresented; or

(g) the carrier (contractor management) failing to perform random or periodic drug or substance-abuse testing.

(5) Any violation of the Hazardous Material Regulations or Federal Motor Carrier Safety Regulations if that violation is determined by DOT inspection and does not result in a penalty.

• 7A Cost Based Occurrences
• 7B Defective Item, Material, or Service

A. Cost Based Occurrences

Any occurrence specifying cost as a basis for reporting, unless otherwise stated, will be classified by the following monetary values necessary to repair, replace, or otherwise restore a facility/system/component to acceptable operation. Costs used for reporting should be reasonable initial estimates.

Unusual Occurrence

Estimated loss or damage to DOE or other property amounting to $1,000,000 or more, or estimated costs of $1,000,000 or more required for cleaning (including decontamination), renovating, replacing, or rehabilitating structures, equipment, or property.

Off-Normal

Estimated loss or damage to DOE or other property amounting to between $10,000 and $1,000,000 (for vehicle/aircraft the lower limit is $5,000 or, for insurance purposes, considered a total loss) or estimated costs within these limits required for cleaning (including decontamination), renovating, replacing or rehabilitating structures, equipment, or property.

Off-Normal

(1) Discovery of any actual or potential defective item, material, or service, including any suspect/ counterfeit items (S/CI’s), or substandard product, in any application whose failure could result in a substantial safety hazard. Reporting of S/CI’s in this category is required regardless of where they are located (receiving/inspection areas, storage areas, fabrication/maintenance areas, installed, etc.), when they are found (before, during or after receipt), or their operating status (operating or out of service). Examples include the identification of suspect, counterfeit or substandard products found in:

(a) cranes, elevators, and fork lifts - items used in the critical load bearing path of such handling and lifting equipment;

(b) aircraft - items used in engines or to attach engines, wings, tails, or landing gear;

(c) vehicles - items used in engines, brakes or steering mechanisms;

(d) critical components used in personnel safety equipment; and

(e) facilities -

1. items used to contain:

a. radioactive fluids

b. high temperature or pressure steam or fluids, or

c. other hazardous material

2. Safety Class SSC or Safety Significant SSC supporting the safe operation or shutdown of a facility, system, or process that could result in a performance degradation.

Guidance in the identification and follow-up actions are contained in DOE Quality Alerts or other bulletins.

(2) Discovery of any actual or potential defective item (A potential defective item, material or service can be described as any item or service that does not or cannot meet its intended use.), material, or service, including any suspect/counterfeit items (S/CI’s), or substandard product, in any application whose failure could not result in a substantial safety hazard.  Reporting of S/CI’s in this category is required regardless of where they are located (receiving/inspection areas, storage areas, fabrication/maintenance areas, installed, etc.), when they are found (before, during or after receipt), or their operating status (operating or out of service). This does not include office supplies, equipment, or household products.  (See letter, Gordon to Sack dated 7/20/2000 and associated reference letter, Grahn to Gordon dated 4/10/98.)

• 8A Facility/Process/Activity Unscheduled Shutdown
• 8B Existing Facility/Process/Activity Shutdown Extension
• 8C New Facility/Process/Activity Start-up Delay

A. Facility/Process/Activity Unscheduled Shutdown

Off-Normal

Any unscheduled shutdown of a facility, process, or activity that resulted or may result in the failure to meet approved performance goals.

Off-Normal

Any increase in an approved shutdown schedule of 1 month or greater or that resulted or may result in the failure to meet approved performance goals for an existing facility, process, or activity.

Off-Normal

Any delay in an approved start-up schedule of 1 month or greater and which resulted or may result in the failure to meet approved performance goals for a new facility, process, or activity.

Any nuclear explosive occurrence at DOE facilities or during onsite or offsite nuclear explosive transportation.

Unusual Occurrence

(1) The unauthorized introduction of electrical energy into a nuclear explosive.

(2) The unauthorized compromise of a nuclear explosive safety feature when installed on a nuclear explosive.

(3) Damage to a nuclear explosive that results in a credible threat to nuclear explosive safety.

(4) Inadvertent substitution of a nuclear explosive for a nuclear explosive-like assembly (NELA) or vice versa.

(5) A violation of a nuclear explosive safety rule (NESR).

Off-Normal

(1) A "near miss", i.e., a situation that could (but did not) result in a credible threat to nuclear explosive safety.

(2) A violation of the two-person concept of operations.

(3) Revocation of the Personnel Assurance Program (PAP) certification of an individual (for cause).

(4) Damage to a training unit during training operations indicative of a hazard to a nuclear explosive.

(5) The use of uncertified personnel or unauthorized equipment/tooling during a nuclear explosive operation.

• 10A Collectively Significant Related Occurrences
• 10B Near Miss Occurrences
• 10C Potential Concerns/Issues

Unusual Occurrence

A series of related occurrences which individually do not warrant reporting under preceding criteria but which collectively are considered significant enough to warrant reporting as determined by the Department Chair/Division Manager.

Off-Normal

A series of related occurrences which individually do not warrant reporting under preceding criteria but which collectively are considered significant enough to warrant reporting as determined by the Department Chair/Division Manager.

       Unusual Occurrence

A near miss to one of the reporting classifications under preceding categories where the conditions necessary to cause an Unusual Occurrence existed (i.e., all barriers to event initiation were compromised).

Off-Normal

(1) A near miss to one of the reporting classifications under preceding categories where the conditions necessary to cause an Off-Normal Occurrence existed (i.e., all barriers to event initiation were compromised).

(2) A near miss to one of the reporting classifications under preceding categories where the conditions necessary to cause a reportable occurrence were prevented from existing by one remaining barrier after other barriers had been compromised (i.e., one additional independent failure/degradation was necessary for event initiation to be possible).

Unusual Occurrence

(1) An occurrence that may result in a significant concern, by the press or general population, particularly in the offsite transportation and radiological areas, or could damage the credibility of the Department.

(2) Identification of potential concerns or issues that are deemed to be worthy of reporting by the Department Chair / Division Manager.

Off-Normal

(1) Any event resulting in the initiation of a Type A or B investigation as categorized by DOE O 225.1, ACCIDENT INVESTIGATIONS.

(2) Identification of potential concerns or issues, that are deemed to be worthy of reporting by the Department Chair / Division Manager.