DOE O 231.1 Chg 2, Safety and Health Reporting Requirements

DOE O 231.1 Chg 2 Approved: 09-30-95 Review: 09-30-97 U.S. Department of Energy ORDER Washington, D.C. SUBJECT: ENVIRONMENT, SAFETY AND HEALTH REPORTING Chg 2: 11-07-96 1. OBJECTIVE. To ensure collection and reporting of information on environment, safety and health that is required by law or regulation to be collected, or that is essential for evaluating Department of Energy (DOE) operations and identifying opportunities for improvement needed for planning purposes within the DOE. 2. CANCELLATIONS. The Orders or paragraphs of Orders listed below are canceled. Cancellation of an Order or paragraphs of Orders does not, by itself, modify or otherwise affect any contractual obligation to comply with such an Order or paragraphs of Orders. Canceled Orders or paragraphs of Orders incorporated by reference into a contract shall remain in effect until the contract is modified to delete the reference to the requirements in the canceled Orders. a. Chapter II; paragraph 2d, and the second sentence of paragraph 3(b) of Chapter III; and paragraph 10 (c) of Chapter IV of DOE 5400.1 of 11-9-88. b. Paragraphs 5a(2) and 5a(7) of DOE 5400.2A, ENVIRONMENTAL COMPLIANCE ISSUE COORDINATION, of 1-31-89. c. Paragraph 1a(3)(a) of Chapter II of DOE 5400.5, RADIATION PROTECTION OF THE PUBLIC AND THE ENVIRONMENT, of 2-8-90. d. Paragraphs 5b(1) and 6a(23) of DOE 5440.1E, NATIONAL ENVIRONMENTAL POLICY ACT COMPLIANCE PROGRAM, of 11-10-92. e. Paragraph 9e of DOE 5480.3, SAFETY REQUIREMENTS FOR THE PACKAGING AND TRANSPORTATION OF HAZARDOUS MATERIALS, HAZARDOUS SUBSTANCES AND HAZARDOUS WASTES, of 7-9-85. f. Paragraph 6a(4) of DOE 5480.26, TRENDING AND ANALYSIS OF OPERATIONS INFORMATION USING PERFORMANCE INDICATORS, of 1-15-93. g. Paragraphs 2a, 2b, and 2c of Chapter III of DOE 5483.1A, OCCUPATIONAL SAFETY AND HEALTH PROGRAM FOR DOE CONTRACTOR EMPLOYEES AT GOVERNMENT- OWNED CONTRACTOR-OPERATED FACILITIES, of 6-22-83. h. Paragraph 1e of Chapter II and Chapters III, IV, and V of DOE 5484.1, ENVIRONMENTAL PROTECTION, SAFETY, AND HEALTH PROTECTION INFORMATION REPORTING REQUIREMENTS, of 2-24-81. i. Paragraphs 7c(6), 7c(7)(a), 7c(8)(a), and 7g(8)(f) of DOE 5630.12A, SAFEGUARDS AND SECURITY INSPECTION AND ASSESSMENT PROGRAM, of 6-23-92. Vertical line denotes change. Distribution: Initiated by: All Departmental Elements Office of Environment, Safety and Health CANCELE D 2 DOE O 231.1 Chg 2 11-07-96 3. APPLICABILITY. a. DOE Elements. Except for the exclusions in paragraph 3c, below, this Order applies to all DOE elements. b. Contractors. Except for exclusions in paragraph 3c, below, the Contractor Requirements Document (CRD), Attachment 1, sets forth requirements to be applied to contractors awarded contracts for performing work for DOE on DOE-owned and -leased facilities. Contractor compliance with the CRD will be required to the extent set forth in the contract. Contractors shall be directed to continue to comply with the requirements of Orders canceled by this Order until their contracts are modified to delete the reference to the requirements of the canceled Orders or paragraphs of Orders. c. Exclusions. (1) Activities conducted under the authority of the Director, Naval Nuclear Propulsion Program, as described in Public Law 98-525, with the exception of reporting required by Title 29, Code of Regulation (CFR), 1960. (2) Occurrence reporting activities covered in DOE O 232.1, OCCURRENCE REPORTING AND PROCESSING OF OPERATIONS INFORMATION, of 9-25-95.

4. REQUIREMENTS. The reports listed under Responsibilities and in the CRD shall be submitted in accordance with DOE M 231.1-1, ENVIRONMENT, SAFETY, AND HEALTH REPORTING MANUAL, of 9-30-95, which specifies in detail the reports that shall be filed, the persons or organizations responsible for filing the reports, the recipients of the reports, the format in which the reports shall be prepared, and the time schedules on which the reports shall be filed. The DOE M 231.1-1 is a mandatory part of this Order. Procedures, protocols, or other methods shall be developed on a site-wide or facility basis to meet the reporting requirements contained in this Order and DOE M 231.1-1. 5. RESPONSIBILITIES. a. Heads of DOE Elements shall meet the reporting requirements in DOE M 231.1-1, Chapters II and III. (1) Report work-related fatalities, injuries, and illnesses occurring among DOE and contractor employees arising out of work primarily performed at DOE-owned or - leased facilities in accordance with DOE M 231.1-1, Chapter II, paragraph 2a. Vertical line denotes change. CANCELE D DOE O 231.1 9-30-95 3 (2) (3) (4) (5) (6) (For additional information regarding occupational safety and health (OSH) programs, see DOE O 440.1, WORKER PROTECTION MANAGEMENT FOR DOE FEDERAL AND CONTRACTOR EMPLOYEES, of 9-30-95; 29 CFR 1904, and 29 CFR 1960.) Report work-related damage or loss of property and vehicles in accordance with DOE M 231.1-1, Chapter II, paragraph 2c. Estimated loss or damage to DOE property or other property amounting to $5,0OO or more, or estimated costs of $5,000 or more for cleaning (including decontamination), renovating, replacing, or rehabilitating structures, equipment, or property. Estimated damage of $1,000 or more that involves Government-owned, -rented, or -leased vehicles or privately owned vehicles operated while on official business, shall be considered a “recordable case” and shall be reported. Excluded are commercial rental motor vehicles and private motor vehicles used for short periods of time (1 to 14 days) by employees on official travel status, and on which mileage records are not kept. The effective date of the revised reporting threshold for property and vehicle damages in this paragraph is 1-1-96. Prior to that date, the thresholds for reporting property and vehicle damages are to remain at $1,000 and $500, respectively, in order to ensure a uniform reporting basis within each year. Report work-hours and vehicle usage in accordance with DOE M 231.1-1, Chapter II, paragraph 2f; include total quarterly work-hours and vehicle usage, on a calendar year basis, for use in normalizing DOE accident statistics. Report DOE annual estimated property valuation in accordance with DOE M 231.1-1, Chapter II, paragraph 2g; include annual (on a calendar year basis) estimates of property valuation by organization for use in normalizing DOE accident statistics. Report interim exposure data reporting in accordance with DOE M 231.1-1, Chapter III, paragraphs 1 and 3. (For additional information, see 10 CFR 835, “Occupational Radiation Protection.”) Report work-related ionizing Report radiation exposure data pertaining to an individual who visits a DOE or DOE contractor site or facility to the Radiation Records Repository, to the individual’s employer, and to that individual

annual exposure data in accordance with DOE M 231.1-1, Chapter III, paragraphs 2 and 3. (For additional information, see 10 CFR 835, “Occupational Radiation Protection.”) DOE facility directors shall report ionizing radiation exposure data summaries to the Radiation Records Repository for each monitored person-. CANCELE D 4 DOE O 231.1 9-30-95 (7) (8) (9) (l0) Submit radiological exposure reports to individuals in accordance with DOE M 231.1-1, Chapter III, paragraph 4. (For additional information, see 10 CFR 835, "Occupational Radiation Protection.”) Radiological exposure data pertaining to a visit to a DOE or DOE contractor site by an individual shall be provided as a report to that individual. Submit Annual Summary of Fire Damage in accordance with DOE M 231.1-1, Chapter II, paragraph 3. (For additional information, see DOE 0420.1, "FACILITY SAFETY, of 9-30-95.”) Submit an annual report of fire damage to the DOE fire protection authority having jurisdiction by 3-31 of the following calendar year. Submit epidemiologic analyses -- Excess Injuries and Illnesses in accordance with DOE M 231.1-1, Chapter II, paragraph 4. Notify the Assistant Secretary for Environment, Safety and Health of suspected excesses of illnesses or injuries that require epidemiologic analyses to determine if the excesses are work related. Submit OSH information in support of epidemiological studies conducted by external organizations in accordance with Cognizant Secretarial Officers. DOE M 231.1-1, Chapter II, paragraph 5. Submit OSH information, upon request, to Centers for Disease Control officials, state health officials, their contractors, and grantees conducting epidemiological studies. b. (1) National Environmental Policy Act Reporting In Accordance (For additionalWith DOE M 231.1-1, Chapter I, paragraph 2. information, see DOE O 451.1, "NATIONAL ENVIRONMENTAL POLICY ACT COMPLIANCE PROGRAM, of 9-11-95.”) Each Secretarial Officer shall, for matters under the office’s purview; (a) Report annually on the progress made in implementing, and the effectiveness of, any commitment for environmental impact mitigation that is essential to render the impact of a proposed action not significant or that is made in a record of decision; and (b) Prepare an annual National Environmental Policy Act planning summary Safeguards and Security Vulnerability Reporting in accordance with DOE M 231.1-1, Chapter IV. (For additional information, see DOE 5634.1B, “FACILITY APPROVALS, SECURITY SURVEYS, AND NUCLEAR MATERIALS SURVEYS, of 9-15-92.”) Upon receipt of a draft inspection report containing a “marginal” or “unsatisfactory” rating or other finding of noncompliance (2) CANCELE D DOE O 231.1 5 9-30-95 with requirements or performance weakness, the lead cognizant secretarial officer shall report on corrective actions to the Under Secretary. c. Assistant Secretarv for Environment, , Safety and Health (1) Annual Report to the Secretary of Energy in accordance with DOE M 231.1-1, Chapter II, paragraph 1. Prepare a report on the status and adequacy of DOE and contractor performance of their occupational safety and health responsibilities. (2) Periodic Summary of Accident Data in accordance with DOE M 231.1-1, Chapter II, paragraph 2h. Prepare a DOE-wide summary of accident data (3) Ionizing Radiation Exposure Information. (a) Inform the cognizant Secretarial Officer when a Headquarters employee’s occupational ionizing radiation exposure for a given period approaches 70% of an administrative or regulatory limit; and

(b) Approve the use of alternate media for submitting information to the Radiation Records Repository as required by this Order. (4) DOE ES&H Performance Indicator Report in accordance with DOE M 231.1-1, Chapter II, paragraph 6b. (For additional infomation, see DOE O 210.1, “PERFORMANCE INDICATORS AND ANALYSIS OF OPERATIONS INFORMATION, of 9-27-95.”) Prepare a quarterly DOE Summary Performance Indicator report. d. Heads of Field Elements (Managers and Directors). (1) National Environmental Policy Act Reporting in accordance with DOE M 231.1-1, Chapter I, paragraph 2. (See DOE O 451.1, “NATIONAL ENVIRONMENTAL POLICY ACT COMPLIANCE PROGRAM.”) Heads of a Field Organization shall, formatters under their Offices’ purview: (a) Report annually on the progress made in implementing, and the effectiveness of, any commitment for environmental impact mitigation that is essential to render the impact of a proposed action not significant or that is made in a record of decision; and (b) Prepare an annual National Environmental Policy Act planning summary. CANCELE D 6 DOE O 231.1 9-30-95 (2) Annual Site Environmental Reports in accordance with DOE M 231.1-1, Chapter I, paragraph 1. Field element managers and directors shall prepare, on an annual basis, a summary of environmental data so as to characterize site environmental management performance. Assistant Secretary for Human Resources and Aministration ine. accordance with DOE M 231.1-1, Chapter II, paragraph 2a. Reports required by this Order which relate to work-related injuries, illnesses, property damage, vehicle damage, work-hours and vehicle usage involving DOE Headquarters employees are to be prepared and submitted by the Office of the Assistant Secretary for Human Resources and Administration. 6. REFERENCES. The following references describe additional sources of information that may assist in the implementation of this Order. a. b. c. d. DOE 1324.5B, RECORDS MANAGEMENT PROGRAM, of 1-12-95, establishes the DOE records management policy and program for managing records. Title 29 CFR 1904, “Recording and Reporting Occupational Injuries and Illnesses,” provides Occupational Safety and Health Administration standards for recording and reporting occupational injuries and illnesses. Title 29 CFR 1960, “Basic Program Elements for Federal Employee Occupational Safety and Health Programs and Related Matters,” Subpart I, “Recordkeeping and Reporting Requirements,” provides Occupational Safety and Health Standards for recording and reporting Federal employee occupational injuries and illnesses. DOE 5700.2D, COST ESTIMATING, ANALYSIS. AND STANDARDIZATION, of 6-12-92, establishes policy and responsibilities for developing, reviewing, and preparing cost estimates; standardizing cost estimating procedures; and improving cost estimating and analytical techniques, cost data bases, cost and economic escalation models, and cost estimating systems. 7. CONTRACT. Office of Operating Experience Analysis and Feedback (EH-33), 301-903-8371. BY ORDER OF THE SECRETARY OF ENERGY: ARCHER L. DURHAM Assistant Secretary for Human Resources and Administration CANCELE D DOE O 231.1 Chg 2 Attachment 1 11-07-96 Page 1 CONTRACTOR REQUIREMENTS DOCUMENT ENVIRONMENT, SAFETY AND HEALTH REPORTING In the performance of this contract, the contractor is required to ensure that essential environment, safety and health information which is reliable and comprehensive is collected and made available efficiently to requesting organizations.

The reports listed below shall be filed in accordance with DOE M 231.1-1, ENVIRONMENT, SAFETY, AND HEALTH REPORTING MANUAL, which specifies in detail the reports that shall be filed, the persons or organizations responsible for filing the reports, the recipients of the reports, the format in which the reports shall be prepared, and the time schedules on which the reports shall be filed. DOE M 231.1-1, is a mandatory part of this Contractor Requirements Document. Procedures, protocols, or other methods shall be developed on a site-wide or facility basis to meet the reporting requirements contained in this Contractor Requirements Document and DOE M 231.1-1. 1. Work-Related Fatalities, Injuries, and Illnesses DOE and Contractor Employee Occupational Safety and Health (OSH) Programs in accordance with DOE M 231.1-1, Chapter II, paragraph 2b. (For additional information see DOE O 440.1, WORKER PROTECTION MANAGEMENT FOR DOE FEDERAL AND CONTRACTOR EMPLOYEES, of 9-30-95 and Title 29, Code of Federal Regulations (CFR), Part 1904.) a. Report recordable occupational fatalities, injuries, and illnesses occurring among contractor employees arising out of work primarily performed at DOE-owned or -leased facilities in accordance with DOE M 231.1-1, Chapter II, paragraph 2b. b. Report occupational fatalities, injuries, and illnesses occurring among subcontractors arising out of DOE work-related activities in accordance with DOE M 231.1-1, Chapter II, paragraph 2d. 2. Work-Related Damage or Loss of Property and Vehicles in accordance with DOE M 231.1-1, Chapter II, paragraph 2c. Report estimated loss or damage to DOE property or other property amounting to $5,000 or more, or estimated costs of $5,000 or more for cleaning (including decontamination), renovating, replacing, or rehabilitating structures, equipment, or property. Estimated damage of $1,000 or more that involves Government-owned, -rented, or -leased vehicles or privately owned vehicles operated while on official business, shall be considered a "recordable case" and shall be reported. Excluded are commercial rental motor vehicles and private motor vehicles used for short periods of time (1 to 14 days) by employees on official travel status, and on which mileage records are not kept. The effective date of the revised reporting threshold for property and vehicle damages in this paragraph is 1-1-96. Prior to that date, the thresholds for reporting property and vehicle damages are to remain at $1,000 and $500, respectively, to ensure a uniform reporting basis within each year. Vertical line denotes change. CANCELE D Attachment 1 DOE O 231.1 Chg 2 Page 2 11-07-96 3. Work-Hours and Vehicle Usage in accordance with DOE M 231.1-1, Chapter II, paragraph 2f. Report quarterly (on a calendar year basis) total work-hours and vehicle usage by organization to provide data for normalizing DOE accident statistics. 4. DOE Annual Estimated Property Valuation in accordance with DOE M 231.1-1, Chapter II, paragraph 2g. Report annual (on a calendar year basis) estimates of property valuation by organization to provide data for normalizing DOE accident statistics. 5. Interim Exposure Data Reporting in accordance with DOE M 231.1-1, Chapter III, paragraphs 1 and 3. (For additional information see 10 CFR 835, "Occupational Radiation Protection.") Report work- related ionizing radiation exposure data pertaining to an individual who visits a DOE or DOE contractor site or facility to the Radiation Records Repository, to the individual's employer, and to that individual.

6. Annual Exposure Data Reporting in accordance with DOE M 231.1-1, Chapter III, paragraphs 2 and 3. (For additional information see 10 CFR 835, "Occupational Radiation Protection.") Report ionizing radiation exposure data summaries to the Radiation Records Repository for each monitored person. 7. Radiological Exposure Reports to Individuals in accordance with DOE M 231.1-1, Chapter III, paragraph 4. Radiological exposure data pertaining to a visit to a DOE or DOE contractor site by an individual shall be provided as a report to that individual. 8. Annual Summary of Fire Damage in accordance with DOE M 231.1-1, Chapter II, paragraph 3. (For more information see DOE O 420.1, "FACILITY SAFETY, of 9-30-95.") Annually report fire damage to the DOE fire protection authority having jurisdiction by March 31, of the following calendar year. 9. Epidemiologic Analyses -- Excess Injuries and Illnesses in accordance with DOE M 231.1-1, Chapter II, paragraph 4. Notify the Assistant Secretary for Environment, Safety and Health, through their field office, of suspected excesses of illnesses or injuries that require epidemiologic analyses to determine if the excesses are work related. 10. OSH Information in Support of Epidemiological Studies Conducted by External Organizations in accordance with DOE M 231.1-1, Chapter II, paragraph 5. OSH information, upon request, shall be provided to Centers for Disease Control officials and state health officials and their contractors and grantees conducting epidemiological studies. 11. Quarterly Performance Indicator Data in accordance with DOE M 231.1-1, Chapter II, paragraph 6. Report quarterly performance indicator data in support of the EH DOE Performance Indicator Program. (For additional information see DOE O 210.1, "PERFORMANCE INDICATORS AND ANALYSIS OF OPERATIONS INFORMATION, of 9-27-95.") 12. Annual Site Environmental Reports in accordance with DOE M 231.1-1, Chapter I, paragraph 1. Prepare on an annual basis a summary of environmental data to characterize site environmental management performance. Vertical line denotes change. CANCELE D CANCELE D CANCELE D