QUALITY MANAGEMENT OFFICE
PROCEDURE

(Signatures on file)

 

 

 

 

Categories of Occurrences
Note: Asterisks (*) next to the significance categories denote those occurrences requiring prompt notification (See Occurrence Reporting Model) to the DOE HQ OC.

Note: Significance Category SCBNL indicates events that are below thresholds for ORPS reporting but that are of sufficient concern to BNL management that they will be internally reported, analyzed, and addressed at BNL.  Management determined that for those cases listed as “No SCBNL reportable events,” ORPS thresholds were appropriate indicators of the need for reporting to BNL management through ORPS reporting, i.e., reporting below this threshold would not add value for BNL management. 

1 - Operational Emergencies

2 - Personnel Safety

3 - Nuclear Safety Basis

4 - Facility Status

5 - Environmental

6 - Contamination/Radiation Control

7 - Nuclear Explosive Safety

8 - Transportation

9 - Noncompliance Notifications

10 - Management Concerns/Issues

 

RESPONSIBLE ORGANIZATION

The Occurrence Reporting and Processing System (ORPS) Office located within the Quality Management Office (QMO) 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, Quality Management Office.

APPLICABILITY

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

AUTHORITY

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

The Program implements the requirements of DOE M 231.1-2, Occurrence Reporting and Processing of Operations Information.

REQUIREMENTS

DOE Order M 231.1-2, Occurrence Reporting and Processing of Operations Information

DOE Order 151.1A, Comprehensive Emergency Management System

BNL SBMS Occurrence Reporting Subject Area

BNL SBMS Occurrence Reporting Program Description

DEFINITIONS

a. BUSINESS DAY. The normal administrative day of the reporting organization (e.g., Monday through Friday, 0800 to 1700) during which normal work activities are conducted. It is not meant to encompass the 24 hours in a day, even if the facility is operated or maintained on a 24-hour basis.

b. CONDITION. Any as-found state, whether or not resulting from an event, that may have adverse safety, health, quality assurance, operational or environmental implications. A condition is usually programmatic in nature; for example, errors in analysis or calculation; anomalies associated with design or performance; or items indicating a weakness in the management process are all conditions.

c. DISCHARGE. Includes, but is not limited to, any spilling, leaking, pumping, pouring, emitting, emptying, or dumping of oil, but excludes discharges in compliance with a permit under Chapter 402 of the Clean Water Act (CWA); discharges resulting from circumstances identified and reviewed and made a part of the public record with respect to a permit issued or modified under Chapter 402 of the CWA and subject to a condition in such permit; or continuous or anticipated intermittent discharges from a point source, identified in a permit or permit application under Chapter 402 of the CWA, that are caused by events occurring within the scope of relevant operating or treatment systems.

d. DISCOVERY DATE AND TIME. The discovery date and time is when the facility staff discovered or became aware of the event or condition. The facility staff is those personnel assigned to the facility and cognizant of the area in which the event or condition is identified.

e. DOSE EQUIVALENT

1) Committed Dose Equivalent. The predicted total dose equivalent to a tissue or organ over a 50-year period after a known intake of a radionuclide into the body. It does not include contributions from external dose. (See DOE O 5400.5 for further definitions.)

2) Committed Effective Dose Equivalent (CEDE). The sum of the committed dose equivalents to various tissues in the body, each multiplied by the appropriate weighting factor. (See DOE O 5400.5 for further definitions.)

3) Effective Dose Equivalent. The summation of the products of the dose equivalent received by specified tissues of the body and a tissue-specific weighting factor. (See DOE O 5400.5 for further definitions.)

4) Total Effective Dose Equivalent (TEDE). The sum of the effective dose equivalent for external exposures and the committed dose equivalent for internal exposures.

f. EVENT. Something significant and real-time that happens (e.g., pipe break, valve failure, loss of power, environmental spill, earthquake, tornado, flood).

g. FACILITY. Any equipment, structure, system, process, or activity that fulfills a specific purpose. Examples include accelerators, storage areas, fusion research devices, nuclear reactors, production or processing plants, coal conversion plants, magnetohydrodynamic experiments, windmills, radioactive waste disposal systems and burial grounds, environmental restoration activities, testing laboratories, research laboratories, transportation activities, and accommodations for analytical examinations of irradiated and unirradiated components.

h. FACILITY MANAGER. That individual, or designee, usually but not always a contractor, with direct line responsibility for operation of a facility or group of related facilities, including authority to direct physical changes to the facility. For purposes of this Manual, a Facility Manager could also be responsible for a program or activity.

i. FACILITY REPRESENTATIVE. For each major facility or group of lesser facilities, an individual or designee assigned responsibility by the Head of Field Element/Operations Organization (including NNSA) for monitoring the performance of the facility and its operations. This individual should be the primary point of contact with the facility operating personnel and will be responsible to the appropriate Secretarial Officer/Deputy Administrator (NNSA) and Head of Field Element/Operations Organization for implementing the requirements of this Manual.

j. FEDERALLY PERMITTED RELEASE. Any release that satisfies the definition of “federally permitted release” in 40 CFR 302.3.

k. HAZARDOUS SUBSTANCE OR MATERIAL.

(1) Department of Energy Office of Security Hazardous Material. Any solid, liquid, or gaseous material that is chemically toxic, flammable, radioactive, or unstable upon prolonged storage, and that exists in quantities that could pose a threat to life, property, or the environment.
(2) Department of Transportation Hazardous Materials (see 49 CFR 171.8 and 172.101). A substance or material, including a hazardous substance, which has been determined by the Secretary of Transportation to be capable of posing an unreasonable risk to health, safety, and property when transported in commerce and which has been so designated.

(3) Comprehensive Environmental Response, Compensation and Liability Act Hazardous Substances (see 40 CFR 302).

(4) Occupational Safety and Health Administration (OSHA) Hazardous Chemical (see 29 CFR 1910.1000 and 29 CFR 1910.1200). Any chemical which is a physical or a health hazard.

(5) Superfund Amendments and Reauthorization Act Title 3 Extremely Hazardous Substances (see 40 CFR 355). These are not defined but appear on lists in Appendix A and Appendix B of 40 CFR 355.

l. ITEM.

(1) An all-inclusive term used in place of the following: appurtenance, sample, assembly, component, equipment, material, module, part, structure, subassembly, subsystem, system, unit, or support systems, documented concepts, or data.

(2) When used in reference to nuclear material, a visible, single piece or container of nuclear material with a unique identification and known nuclear material mass.

m. LESSONS LEARNED. A “good work practice” or innovative approach that is identified and shared, or an adverse work practice or experience that is shared to avoid recurrence.

n. MEMBER OF THE PUBLIC. Persons who are not occupationally associated with DOE facilities or operations; (i.e., persons whose assigned occupational duties do not require them to enter the DOE site).

o. NON-REPORTABLE EVENT. An event that falls within the ORPS Reporting Groups, does not exceed any of the specific ORPS Reporting Criteria, and the reporting organization has determined to be included in the required ORPS Performance Analysis activity.

p. NOTIFICATION REPORT. The initial documented report, to the Department, of an event or condition that meets the reporting criteria defined in this Manual.

q. OCCURRENCE. One or more (i.e., recurring) events or conditions that adversely affect, or may adversely affect, DOE (including NNSA) or contractor personnel, the public, property, the environment, or the DOE mission. Events or conditions meeting the criteria thresholds identified in this Manual or determined to be recurring through performance analysis are occurrences.

r. OCCURRENCE INVESTIGATION. An investigation conducted according to site-specific procedures and/or when determined by DOE procedures that a Type A or B investigation is required.

s. OCCURRENCE REPORT. A documented evaluation of an event or condition that is prepared in sufficient detail to enable the reader to assess its significance, consequences, or implications and to evaluate the actions being proposed or employed to correct the condition or to avoid recurrence.

t. OFFSITE TRANSPORTATION EVENT. Involves movement of materials that are considered to be in commerce, thus requiring compliance with Department of Transportation Hazardous Materials Regulations.

u. OIL. 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.

v. ONSITE TRANSPORTATION EVENT. Movement of materials not in commerce and subject to DOE onsite procedures and safety requirements.

w. PERFORMANCE DEGRADATION. Failure or degradation of a facility, process, system, or component that reduces the reliability of critical components of the facility whose loss or degradation prevents the system from performing its intended function. Performance degradation does not include: (1) a burned out power indicator light on a piece of radiation monitoring equipment which does not prevent the equipment from detecting elevated radiation levels and alarming as designed; (2) a piece of equipment that is determined to be out of calibration on the conservative side (such as a low level alarm that alarms at a higher value than it should); or (3) the temporary loss of a component where redundant components are maintained operable or in operation and the authorization basis is not compromised.

x. PERSONNEL EXPOSURE. An incident of contact or encounter with a hazardous chemical, physical, biological, or energetic agent at one of the exchange boundaries of the organism (e.g., skin, respiratory system, eyes, ears, or digestive system). “Exposure” does not refer to a situation where personnel, protected by appropriate personal protective equipment, are subjected to an environment whose ambient conditions present a harmful level of any one, or combination of, the hazards.

y. PRIMARY CONFINEMENT. Provides confinement of hazardous material to the vicinity of its processing. This confinement is typically provided by piping, tanks, glove boxes, encapsulating material, and the like, along with any off gas systems that control effluent from within the primary confinement.

z. PROGRAM MANAGER. The individual designated by and under the direction of a Secretarial Officer/Deputy Administrator (NNSA), who is directly involved in the operation of facilities under his or her cognizance, and holds signature authority to provide technical direction through Heads of Field Elements/Operations Offices (including NNSA) to operating personnel for these facilities.

aa. PROMPT NOTIFICATION. Timely reporting of the occurrence to the DOE Field Office and the DOE Headquarters Operations Center as required by the Significance Category and the reporting criteria of the occurrence.

bb. PROTECTIVE CLOTHING. Clothing identified for radiological use such as yellow coveralls, hoods, booties, rubber overshoes, and PC gloves. These are articles designed for radiological use and are removed at the exit of the radiological area. Company supplied coveralls, laboratory coats, modesty clothing, street clothes, or other clothing not identified as anti-contamination clothing (anti Cs) are to be considered personal clothing for the purposes of ORPS reporting.

cc. RELEASE. Any spilling, leaking, pumping, pouring, emitting, emptying, discharging, injecting, escaping, leaching, dumping, or otherwise disposing of substances into the environment. This includes abandoning/discarding any type of receptacle containing substances in an unenclosed containment structure but does not include permitted containment structures.

dd. REPORTABLE OCCURRENCE. Occurrence to be reported in accordance with the criteria defined in this Manual.

ee. REPORTABLE QUANTITY. For any Comprehensive Environmental Response, Compensation and Liability Act hazardous substance, including radionuclides and Superfund Amendments and Reauthorization Act Title 3 extremely hazardous substances, with quantities established in 40 CFR Part 302 and Part 355 respectively, release of which requires notification unless Federally permitted.
ff. SAFETY CLASS STRUCTURES, SYSTEMS, OR COMPONENTS (SAFETY CLASS SSCs). The structures, systems, or components, including portions of process systems, whose preventive or mitigative function is necessary to limit radioactive hazardous material exposure to the public, as determined from safety analyses. (10 CFR 830.3)

gg. SAFETY SIGNIFICANT STRUCTURES, SYSTEMS, OR COMPONENTS (SAFETY SIGNIFICANT SSCs). The structures, systems, or components that are not designated as safety class structures, systems, or components, but whose preventive or mitigative function is a major contributor to defense in depth and/or worker safety as determined from safety analyses. (10 CFR 830.3)

SCBNL. Stands for “Significance Category BNL.”  Designates events that are reportable to BNL management.

hh. U. Secretarial Officers are: the Secretary, Deputy Secretary, and Under Secretaries; and the Assistant Secretaries and Staff Office Directors reporting to the Secretary either directly or through the Deputy Secretary or Under Secretary. The following designations are also used to identify Secretarial Officers with specific responsibilities in various areas. (1) A Program Secretarial Officer (PSO) is an Assistant Secretary, Office Director, or NNSA Deputy Administrator. In the context of field operations, a PSO funds work at a particular site, facility or laboratory and is a “customer” of the field office. (2) A Lead Program Secretarial Officer (LPSO) is a PSO to whom designated field offices directly report and who has overall landlord responsibilities for the assigned direct reporting elements. (3) A Cognizant Secretarial Officer (CSO) is a term used in the context of field operations to designate a PSO, not the LPSO, who is responsible for a laboratory or bounded set of facilities within a field office’s jurisdiction.

ii. TECHNICAL SAFETY REQUIREMENTS (TSRS). The limits, controls, and related actions that establish the specific parameters and requisite actions for the safe operation of a nuclear facility and include, as appropriate for the work and the hazards identified in the documented safety analysis for the facility: safety limits, operating limits, surveillance requirements, administrative and management controls, use and application provisions, and design features, as well as a bases appendix. (10 CFR 830.3)

jj. TRAINED INVESTIGATOR. An individual who has been qualified to perform causal analysis in response to a reportable occurrence. The individual should be able to satisfactorily complete the identification of Apparent Causes associated with an occurrence using the Causal Analysis Tree. The individual must also be qualified by their company to perform formal Root Cause analysis. For events that trigger a Type A or Type B DOE Investigation, the requirements contained in DOE O 225.1A, Accident Investigations, take precedence relative to the minimum qualifications of individuals performing the investigation/causal analysis.

kk. TRANSPORTATION EVENT. Any real-time occurrence involving any of the following transportation activities: materials classification, packaging, marking, labeling, placarding, temporary storage incident to transport, shipping paper preparation, loading/unloading, separation/segregation, securing, blocking and bracing, routing, accident reporting, driver and vehicle qualifications, movement of materials, communications and notifications.

Transportation events with injuries or fatalities may also require reporting in accordance with Group 2 criteria.

ll. UNREVIEWED SAFETY QUESTION (USQ). A situation where (1) the probability of the occurrence or the consequences of an accident or the malfunction of equipment important to safety previously evaluated in the documented safety analysis could be increased, (2) the possibility of an accident or malfunction of a different type than any evaluated previously in the documented safety analysis could be created, (3) a margin of safety could be reduced, or (4) the documented safety analysis may not be bounding or may be otherwise inadequate. (10 CFR 830.3)

Note: For the definitions that have no reference at the end, the reference is DOE M 231.1-2.

BNL DEFINITION

a. REPORTABLE FIRE. A self sustained chemical oxidation process liberating heat and light (flames).  If the source of energy ceases (i.e., the ignition source stops) and the heat and light subside, then the event was not a fire, rather it was overheating.  Overheating could be electrical in nature or it could be mechanical friction.

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 Event 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 primary means of contacting the on-call Categorizer is via cell phone number 433-0443.

PROCEDURE

·         The on-call Categorizer will have a "Cat Bag" which includes the ORPS cell phone, Event Categorizer’s Procedure, ORPS Orders and Reference Documents.
 

·         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.

·         The Categorizer will inform the Department Chair/Division Manager if prompt notification (See Occurrence Reporting Model) is required. 

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

·         The Categorizer documents his/her reportability decision on the Event/Issue Summary Form.

 

Note: All BNL mission related events and conditions that are reported to the Event Categorizer, including those that are determined by the Categorizer to be below the SCBNL reporting threshold, shall be documented on the Event/Issue Summary Form.

 

 

RECORDS MANAGEMENT

Categorization Forms will be maintained by the ORPS Office in accordance with the Records Management Subject Area.

CRITERIA TABLE

Group 1 - Operational Emergencies

# SC Criterion

(1) *OE An Operational Emergency not needing further classification, as defined in DOE 151.1A, Chapter 5, Paragraph 2.

(2) *OE An Alert, as defined in DOE 151.1A, Chapter 5, Paragraph 3a.

(3) *OE A Site Area Emergency, as defined in DOE 151.1A, Chapter 5, Paragraph 3b.

(4) *OE A General Emergency, as defined in DOE 151.1A, Chapter 5, Paragraph 3c.

 

Group 2 - Personnel Safety and Health

Subgroup A Occupational Illnesses/Injuries
Subgroup B Fires/Explosions
Subgroup C Hazardous Energy Control

Subgroup A Occupational Illnesses/Injuries

# SC Criterion

(1) *1 Any occurrence due to DOE operations resulting in a fatality or terminal injury/illness. For fatalities caused by overexposures, the intent of this criterion is to report those caused by acute rather than chronic effects.

(2) *1 Any single occurrence requiring in-patient hospitalization of three or more personnel.

(3) 2 Any single occurrence resulting in three or more personnel having Days Away, Restricted or Transferred (DART) cases per 29 CFR Part 1904.7.

(4) *2 Personnel exposure to chemical, biological or physical hazards above limits established by the Occupational Safety and Health Administration (refer to 29 CFR Part 1910) or American Conference of Governmental Industrial Hygienists, whichever is lower, and that requires the administration of medical treatment beyond simple first aid on the same day as the exposure. (29 CFR 1904.7(b)(5)(i) and (ii) define "medical treatment" and "first aid.")

(5) 3 Personnel exposure to chemical, biological or physical hazards above limits established by the Occupational Safety and Health Administration (refer to 29 CFR Part 1910) or American Conference of Governmental Industrial Hygienists.

 (6) 3 Any single occurrence resulting in a serious occupational injury. A serious occupational injury is an occupational injury that:

(a) Requires hospitalization for more than 48 hours, commencing within 7 days from the date the injury was received;

SCBNL: Requires hospitalization

(b) Results in a fracture of any bone (except simple fractures of fingers, toes, or nose, or a minor chipped tooth);

SCBNL: Results in simple fractures of fingers, toes, or nose, or a minor chipped tooth

(c) Causes severe hemorrhages or severe damage to nerves, muscles, or tendons;

SCBNL: Causes damage to nerves, muscles, tendons, and/or ligaments as determined by a physician

(d) Damages any internal organ; or

(e) Causes second- or third-degree burns, affecting more than five percent of the body surface.

SCBNL: Causes third-degree burns

SCBNL: Causes second degree burns with the exception of burns to extremities

Subgroup B Fires/Explosions

# SC Criterion

(1) *1 Any unplanned fire or explosion within primary confinement/containment boundaries for nuclear or hazardous material within a facility.

[Note: Facility specific documents need to define what constitutes the primary confinement/containment boundary.]

(2) *2 Any unplanned fire or explosion in a nuclear facility that activates a fire suppression system (e.g., halon discharge, sprinkler heads activating), is extinguished by a fire department, or disrupts normal facility operations.

[Note: The activation or degradation of Safety Class and Safety Significant fire suppression systems are addressed by Group 4 Criteria.]

(3) *3 Any unplanned fire or explosion in a non-nuclear facility that

a) Activates a fire suppression system,
b) Takes longer than 10 minutes to extinguish following the arrival of fire protection personnel, or
c) Disrupts normal operations in a high hazard facility.

(4) *4 Any wild land fire (e.g., forest fire, grassland fire) or other fire outside of a DOE facility that has the potential to threaten the facility.

SCBNL: Any fire on the BNL site

Subgroup C Hazardous Energy Control

# SC Criterion

(1) 2 Failure to follow a prescribed hazardous energy control process (e.g., lockout/tagout) or disturbance of a previously unknown or mislocated hazardous energy source (e.g., live electrical power circuit, steam line, pressurized gas) resulting in a person contacting (burn, shock, etc.) hazardous energy.

(2) 3 Failure to follow a prescribed hazardous energy control process (e.g., lockout/tagout) or a site condition that results in the unexpected discovery of an uncontrolled hazardous energy source (e.g., live electrical power circuit, steam line, pressurized gas). This criterion does not include discoveries made by zero-energy checks and other precautionary investigations made before work is authorized to begin.

Group 3 - Nuclear Safety Basis

Subgroup A Technical Safety Requirement Violations
Subgroup B Documented Safety Analysis Inadequacies
Subgroup C Nuclear Criticality Safety

Subgroup A Technical Safety Requirement Violations

# SC Criterion

(1) *1 Any violation of a Hazard Category 1, 2, or 3 nuclear facility's Technical Safety Requirement (or Operational Safety Requirement) Safety Limit.

[Note: Safety Limits are high-level Technical Safety Requirement controls, used infrequently across the DOE Complex. As defined in 10 CFR 830.3, a Safety Limit is a limit on process variables associated with those safety class physical barriers, generally passive, that are necessary for the intended facility function and that are required to guard against the uncontrolled release of radioactive materials.]

(2) 2 Any violation or noncompliance of a Hazard Category 1, 2, or 3 nuclear facility's Technical Safety Requirement (or Operational Safety Requirement) Limiting Control Setting, Limiting Condition for Operation, Administrative Control, or Surveillance Requirement.

Exception: An event consisting solely of a surveillance test performed after the prescribed surveillance period, and in which the equipment was found to be capable of performing its specified safety function. (See separate criterion for late surveillance tests below).

(3) 3 Any violation or noncompliance of a hazard control specified in a Hazard Category 1, 2, or 3 nuclear facility's DOE approved Documented Safety Analysis (issued pursuant to 10 CFR 830.204 and including Basis for Interim Operation (BIO), etc.), or DOE issued Safety Evaluation Report that are not addressed by Criteria 3A(1) and 3A(2).

Exceptions:
(a) An event consisting solely of a violation of a safety management program (e.g., quality assurance, personnel training) cited in the Documented Safety Analysis.

(b) An event consisting solely of a surveillance test performed after the prescribed surveillance period, and in which the equipment was found to be capable of performing its specified safety function. (See separate criterion for late surveillance tests below).

(4) 4 An event consisting solely of a surveillance test performed after the prescribed surveillance period, and in which the equipment was found to be capable of performing its specified safety function.

Subgroup B Documented Safety Analysis Inadequacies

# SC Criterion

(1) 2 Determination of a positive Unreviewed Safety Question (USQ) that reveals a currently existing inadequacy in the documented safety analysis [e.g., Safety Analysis Report (SAR) or Basis for Interim Operation (BIO)].

(2) 3 Declaration of a potential inadequacy of the documented safety analysis (a potential positive USQ), per 10 CFR 830.203(g).

Subgroup C Nuclear Criticality Safety

# SC Criterion

(1) *1 A loss of multiple nuclear criticality process-condition controls, where processes include operation, transport, and storage of fissionable materials, such that no valid controls are available to prevent a criticality accident.

(2) 2 A loss of one or more nuclear criticality process-condition controls such that an accidental criticality is possible from the loss of an additional process-condition control, where processes include operation, transport, and storage of fissionable materials.

Group 4 - Facility Status

[Note: The criteria below apply to both nuclear and non-nuclear facilities, where applicable.]

Subgroup A Safety Structure/System/Component Degradation
Subgroup B Operations
Subgroup C Suspect/Counterfeit and Defective Items or Material

Subgroup A Safety Structure/System/Component Degradation

# SC Criterion

(1) 3 Performance degradation of any Safety Class or Safety Significant Structure, System, or Component (SSC) that prevents satisfactory performance of its design function when it is required to be operable.

(2) 4 Performance degradation of any Safety Class SSC when not required to be operable.

Subgroup B Operations

# SC Criterion (SCBNL reportable events in Subgroup)

(1) *2 A Stop Work Order issued by a DOE office.

(2) 2 Actuation of a Safety Class Structure, System, or Component (SSC), or its alarms, resulting from an actual unsafe condition. Spurious alarms (e.g., due to electronic noise, radon/thoron decay) should not be reported.

(3) 3 Actuation of a Safety Significant Structure, System, or Component (SSC), or its alarms, resulting from an actual unsafe condition. Spurious alarms (e.g., due to electronic noise, radon/thoron decay) should not be reported.

(4) 3 Any facility evacuation, not including a precautionary evacuation, in response to an actual event. If the event fell under another reporting criterion, then evacuation should be reported as well by noting multiple reporting criteria for the single occurrence.

SCBNL: Any evacuation not due to false alarm or part of drill/exercise

(5) 4 A facility operational event caused by deviating from a written procedure or using an inadequate procedure resulting in an adverse effect on safety, such as: an inadvertent facility or operations shutdown (i.e., a change of operational mode or curtailment of work or processes), facility or operations shutdown due to alarm response procedures, inadvertent process liquid transfer, or inadvertent release of hazardous material from its engineered containment.

(6) *4 A facility or operations shutdown (i.e., a change of operational mode or curtailment of work or processes) directed by management for safety reasons.

SCBNL: Any Stop Work issued for confirmed imminent danger

(7) 4 A facility or site stand-down resulting from safety reasons reportable as an occurrence or occurrences.

[Note: This is a secondary reporting criterion, and does not require a separate occurrence report.]

(8) 4 Any event or condition that would prevent immediate facility or offsite emergency response capabilities.

Subgroup C Suspect/Counterfeit and Defective Items or Material

# SC Criterion  

(1) 3 Discovery of any suspect/counterfeit item or material found in a Safety Class or Safety Significant Structure, System, or Component (SSC).

A suspect item or material is one whose documentation, appearance, performance, material, or other characteristics may have been misrepresented by the vendor, supplier, distributor, or manufacturer. A counterfeit item or material is one for which sufficient evidence exists that deliberate misrepresentation has occurred.

(2) 4 Discovery of any suspect/counterfeit item or material other than office supplies, office equipment, or household products.

(3) 4 Discovery of any defective item or material, other than a suspect/counterfeit item or material, in any application whose failure could result in a loss of safety function, or present a hazard to public or worker health and safety.

A defective item or material is any item or material that does not meet the commercial standard or procurement requirements as defined by catalogues, proposals, procurement specifications, design specifications, testing requirements, contracts, or the like. It does not include parts or services that fail or are otherwise found to be inadequate because of random failures or errors within the accepted reliability level.

 

Group 5 - Environmental

Subgroup A Releases
Subgroup B Ecological and Cultural Resources

Subgroup A Releases

# SC Criterion  

(1) *2 Any release (onsite or offsite) of a hazardous substance, material, waste, or radionuclide from a DOE facility, that is above permitted levels and exceeds the reportable quantities specified in 40 CFR 302 or 40 CFR 355.

(2) 2 Any discharge that exceeds 100 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. For operations involving oil field crude or condensate, any discharge of 100 barrels or more is reportable under this criterion.

(3) 4 Any release (onsite or offsite) of a hazardous substance, material, waste, or radionuclide from a DOE facility that is above permitted levels and exceeds 50 percent of the reportable quantities specified in 40 CFR 302 or 40 CFR 355.

(4) 4 Any release (onsite or offsite) of a hazardous substance, material, waste, or radionuclide from a DOE facility that must be reported to outside agencies in a format other than routine periodic reports. (However, oil spills of less than 10 gallons and with negligible environmental impact need not be reported in ORPS.)

 

Subgroup B Ecological and Cultural Resources

# SC Criterion  

(1) 2 Any occurrence causing significant impact to any ecological resource for which DOE is a trustee (e.g., destruction of a critical habitat, damage to an historic/archeological site, damage to wetlands).

 

Group 6 - Contamination/Radiation Control

Subgroup A Loss of Control of Radioactive Materials
Subgroup B Spread of Radioactive Contamination
Subgroup C Radiation Exposure
Subgroup D Personnel Contamination

Subgroup A Loss of Control of Radioactive Materials

# SC Criterion  

(1) 2 Identification of radioactive material offsite due to DOE operations/activities that exceeds applicable DOE-approved authorized limits (pursuant to DOE O 5400.5). This applies to items/areas consisting of radioactive material. This does not apply to items with surface radioactive contamination. See Criterion 6B(1) below for criteria for identification of items with surface radioactive contamination.

(2) 2 Loss of radioactive material that exceeds 100 times the quantities specified in 10 CFR Part 835, Appendix E (excluding consumer products such as smoke detectors), or loss of accountability of such material for more than 24 hours. The 24-hour time period begins when the loss of accountability is discovered.

(3) 3 Loss of radioactive material which exceeds 1 times and no greater than 100 times the quantities specified in 10 CFR Part 835, Appendix E (excluding consumer products such as smoke detectors) or loss of accountability of such material for more than 24 hours. The 24-hour time period begins when the loss of accountability is discovered.

SCBNL: Loss of radioactive material which exceeds 50% of the quantities specified in 10 CFR Part 835, Appendix E, or loss of accountability of such material for more than 24 hours.

Subgroup B Spread of Radioactive Contamination

# SC Criterion  

(1) 2 Identification of radioactive contamination offsite due to DOE operations/activities that exceeds applicable DOE-approved authorized limits (pursuant to DOE Order 5400.5) or, if there are none, the values found in 10 CFR Part 835, Appendix D.

[Note: All releases of property containing or potentially containing residual radioactivity are subject to requirements in DOE Order 5400.5. Compliance with 10 CFR Part 835, Appendix D values does not necessarily satisfy the requirements in DOE Order 5400.5.]

(2) 2 Identification of onsite radioactive contamination greater than 100 times the total contamination values in 10 CFR 835 Appendix D and that is found outside of the following locations: Contamination Areas, High Contamination Areas, Airborne Radioactivity Areas, Radiological Buffer Areas, and areas controlled in accordance with 10 CFR 835.1102(c). For tritium, the reporting threshold is 100 times the removable contamination values in 10 CFR Part 835, Appendix D.
[Notes:
(a) This does not apply to contamination from residual radioactive material meeting applicable DOE-approved authorized limits.
(b) This also does not apply to legacy radioactive contamination, which will be reported under a separate criterion below.
(c) The exclusion from reporting contamination in a Radiological Buffer Area applies only when the area has been established next to a Contamination Area, High Contamination Area or Airborne Radioactivity Area and its exit requirements have adopted guidance from Article 338.2 of DOE-STD-1098-99.]

(3) 3 Identification of onsite radioactive contamination greater than 10 times the total contamination values in 10 CFR 835 Appendix D and that is found outside of the following locations: Contamination Areas, High Contamination Areas, Airborne Radioactivity Areas, Radiological Buffer Areas, and areas controlled in accordance with 10 CFR 835.1102(c). For tritium, the reporting threshold is 10 times the removable contamination values in 10 CFR Part 835, Appendix D.

SCBNL: Identification of onsite radioactive contamination greater than 5 times the total contamination values in 10 CFR 835 Appendix D

[Notes:
(a) This does not apply to contamination from residual radioactive material meeting applicable DOE-approved authorized limits.
(b) This also does not apply to legacy radioactive contamination, which will be reported under a separate criterion below.
(c) The exclusion from reporting contamination in a Radiological Buffer Area applies only when the area has been established next to a Contamination Area, High Contamination Area or Airborne Radioactivity Area and its exit requirements have adopted guidance from Article 338.2 of DOE-STD-1098-99.]

(4) 4 Identification of onsite legacy radioactive contamination greater than 10 times the total contamination values in 10 CFR 835 Appendix D and that is found outside of the following locations: Contamination Areas, High Contamination Areas, Airborne Radioactivity Areas, Radiological Buffer Areas, and areas controlled in accordance with 10 CFR 835.1102(c). For tritium, the reporting threshold is 10 times the removable contamination values in 10 CFR Part 835, Appendix D.

SCBNL: Identification of onsite legacy radioactive contamination greater than 5 times the total contamination values in 10 CFR 835 Appendix D

 

 

[Notes:

(a) Legacy radioactive contamination is radioactive contamination resulting from historical operations that are unrelated to current activities.
(b) This does not apply to contamination from residual radioactive material meeting applicable DOE-approved authorized limits.
(c) The exclusion from reporting contamination in a Radiological Buffer Area applies only when the area has been established next to a Contamination Area, High Contamination Area or Airborne Radioactivity Area and its exit requirements have adopted guidance from Article 338.2 of DOE-STD-1098-99.]

Subgroup C Radiation Exposure

# SC Criterion  

(1) *1 Determination of a dose that exceeds the limits specified in 10 CFR Part 835, Subpart C, Occupational Radiation Protection or DOE O 5400.5, Chapter II, Item 1 (i.e., 100 mrem Total Effective Dose Equivalent (TEDE) for offsite exposures to a member of the public).

(2) 2 Any unmonitored exposure that exceeds the values for providing personnel dosimeters and bioassays as stated in 10 CFR 835.402(a) or 10 CFR 835.402(c).

(3) 3 Any single occupational exposure that exceeds an expected exposure or dosimetry result by: (1) 500 mrem Committed Effective Dose Equivalent (CEDE), or (2) the greater of 10% or 100-mrem effective dose equivalent due to external exposure.

SCBNL: Any single occupational exposure that exceeds an expected exposure or dosimetry result by: (1) 250 mrem Committed Effective Dose Equivalent (CEDE), or (2) the greater of 5% or 50-mrem effective dose equivalent due to external exposure.

(4) 3 Determination of an estimated annual dose that exceeds 10 mrem Total Effective Dose Equivalent (TEDE) for offsite exposures to a member of the public from air pathways only.

SCBNL: Determination of an estimated annual dose that exceeds 5 mrem Total Effective Dose Equivalent (TEDE) for offsite exposures to a member of the public from air pathways only.

Subgroup D Personnel Contamination

# SC Criterion  

(1) *2 Any occurrence requiring offsite medical assistance for contaminated personnel, including transporting a person to an offsite medical facility or bringing offsite medical personnel onsite to perform treatment or decontamination.

(2) 2 Identification of personnel or clothing contamination offsite due to DOE operations that exceeds the values for total contamination found in 10 CFR Part 835, Appendix D. For tritium use the values for removable contamination found in 10 CFR Part 835, Appendix D.

(3) 4 Any onsite contamination of personnel or clothing (excluding site-provided protective clothing) that exceeds 10 times the values for total contamination identified in 10 CFR Part 835, Appendix D. The contamination level must be based on direct measurement and not averaged over any area. This criterion does not apply to tritium contamination.

SCBNL: Any onsite contamination of personnel or clothing (excluding site-provided protective clothing) that exceeds 5 times the values for total contamination identified in 10 CFR Part 835, Appendix D. The contamination level must be based on direct measurement and not averaged over any area. This criterion does not apply to tritium contamination.

Group 7 - Nuclear Explosive Safety

# SC Criterion  

(1) *1 Damage to a nuclear explosive that results in a credible threat to nuclear explosive safety.

(2) 2 The unauthorized introduction of electrical energy into a nuclear explosive.

(3) 2 The unauthorized compromise of a nuclear explosive safety feature when installed on a nuclear explosive.

(4) 2 Inadvertent substitution of a nuclear explosive for a nuclear explosive-like assembly (NELA) or vice versa.

(5) 2 A violation of a nuclear explosive safety rule (NESR).

(6) 2 Damage to a training unit during training operations indicative of a hazard to a nuclear explosive.

(7) 3 The use of uncertified personnel or unauthorized equipment/tooling during a nuclear explosive operation.

(8) 3 A violation of the two-person concept of operations.

(9) 3 Revocation of the Personnel Assurance Program (PAP) certification of an individual (for cause).

Group 8 - Transportation

# SC Criterion  

(1) *1 Any offsite transportation incident involving hazardous materials that would require immediate notice pursuant to 49 CFR Part 171.15, namely:

(a) As a direct result of hazardous materials:
(i) A person is killed,
(ii) A person receives injuries requiring hospitalization,
(iii) Estimated property damage exceeds $50,000,
(iv) An evacuation of the general public occurs lasting 1 hour or more,
(v) One or more transportation arteries or facilities are closed or shut down for 1 hour or more, or

(b) Fire, breakage, spillage, or suspected radioactive contamination occurs involving shipment of radioactive materials, or

(c) Fire, breakage, spillage, or suspected contamination occurs involving shipment of infectious substances (etiologic agents), or

(d) There has been a release of a marine pollutant in a quantity exceeding 450 liters (119 gallons) for liquids or 400 kilograms (882 pounds) for solids, or

(e) The operational flight pattern or routine of an aircraft is altered.

(2) 3 Any offsite transport of hazardous material, including radioactive material, whose quantity or nature (e.g., physical or chemical composition) is different than intended, such that the receiving organization's operations were impacted/disrupted or the transport resulted in the initiation of corrective actions by the originating organization.

(3) 4 Any onsite transport of hazardous material, including radioactive material, whose quantity or nature (e.g., physical or chemical composition) is different than intended, such that the receiving organization's operations were impacted/disrupted or the transport resulted in the initiation of corrective actions by the originating organization.

(4) 4 Any packaging or transportation activity involving the onsite release of radioactive materials, etiologic agents, hazardous substances, hazardous waste, or marine pollutants.

Group 9 - Noncompliance Notifications

# SC Criterion  

(1) 3 Any enforcement action (other than associated with the Price Anderson Amendment Act) involving 10 or more cited violations, and/or an assessed fine of $10,000 or more.

[Note: This criterion applies to the enforcement action as initially received from the regulator. Thus the enforcement action would still be reportable even if the fine is later reduced below $10,000 or the number of violations reduced below 10.]

(2) 4 Any written notification from an 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 Intent to Sue, Notice of Noncompliance, Warning Letter, Finding of Violation, Finding of Alleged Violation, Administrative Order, or a similar type of notification or enforcement action).

Group 10 - Management Concerns/Issues

# SC Criterion  

(1) 2 Any event resulting in the initiation of a Type A or B accident investigation as categorized by DOE O 225.1A, Accident Investigation.

[Note: This reporting criterion may raise the significance category of an occurrence already reported under separate criteria. Multiple reporting criteria should be noted when appropriate.]

(2) 1-4† An event, condition, or series of events that does not meet any of the other reporting criteria, but is determined by the Facility Manager or line management to be of safety significance or of concern to other facilities or activities in the DOE complex. One of the four significance categories should be assigned to the occurrence, based on an evaluation of the potential risks and the corrective actions taken.

[† Note: An SC 1 occurrence report requires Prompt Notification.]

(3) 1-4† A near miss, where no barrier or only one barrier prevented an event from having a reportable consequence. One of the four significance categories should be assigned to the near miss, based on an evaluation of the potential risks and the corrective actions taken.

[† Note: An SC 1 occurrence report requires Prompt Notification.]

(4) *4 Any occurrence that may result in a significant concern by affected state, tribal, or local officials, press, or general population; that could damage the credibility of the Department; or that may result in inquiries to Headquarters.

(5) *4 Any occurrence of such significant immediate interest to offsite personnel and organizations that it warrants prompt notification to the DOE Headquarters Operations Center (DOE HQ OC), and which is not already designated elsewhere in this set of reporting criteria to have prompt notification [denoted by having an asterisk (*) next to the significance category].

OCCURRENCE REPORTING MODEL