DOE O 442.1, Department of Energy Employee Concerns Program

DISTRIBUTION: INITIATED BY: All Headquarters Elements Office of Administration HQ O 442.1 U.S. Department of Energy ORDER Washington, D.C. Approved: 11-3-01 SUBJECT: HEADQUARTERS OCCUPATIONAL SAFETY AND HEALTH PROGRAM 1. OBJECTIVES. To implement the Occupational Safety and Health Program for Department of Energy (DOE) Headquarters employees as an element of the DOE Integrated Safety Management System. The program is to accomplish the following: a. Provide employees with places and conditions of employment that are free from recognized hazards likely to cause death, injuries, or illnesses. b. Establish and maintain an Occupational Safety and Health Program conforming to the requirements of applicable DOE directives. c. Ensure line managers understand their safety and health responsibilities for the workers they supervise and workplaces they manage. d. Ensure compliance with appropriate standards through periodic workplace inspections. e. Ensure prompt abatement of unsafe or unhealthful working conditions, or the development of plans that include a timetable for abatement and interim protective measures. f. Establish procedures designed to— (1) consider and investigate reports of unsafe or unhealthful working conditions; (2) meet record keeping and reporting requirements; (3) coordinate and evaluate safety and health activities; and (4) provide training, education, and promote awareness of the DOE safety and health program as required by Title 29 Code of Federal Regulations (CFR), Part 1960, Basic Program Elements for Federal Employee Occupational Safety and Health Programs and Related Matters. 2 HQ O 442.1 11-3-01 g. Ensure that no employee is subject to restraint, interference, coercion, discrimination, or reprisal for reporting an unsafe or unhealthful working condition. 2. CANCELLATION. HQ 3790.2A, Headquarters Occupational Safety Program, dated 3-13-87. 3. APPLICABILITY. This Order applies to Headquarters employees, including Headquarters National Nuclear Security Administration (NNSA) employees. 4. REQUIREMENTS. See Chapters I through V for specific requirements. 5. RESPONSIBILITIES. a. Principal Deputy Director of Management, Budget and Evaluation, through the Director of Administration, serves as the designated Headquarters occupational safety and health official. b. Director of Administration. Ensures that Headquarters occupational safety and health line management responsibilities (as stated in DOE O 440.1A, Worker Protection Management for DOE Federal and Contractor Employees) are carried out by Headquarters organizations. (1) Through the Engineering and Facilities Management Services Group, provides safety and occupational health personnel, equipment, materials, and training required to manage and administer the program for Headquarters staff and facilities. (2) Implements Executive Order 12196, Occupational Safety and Health Programs for Federal Employees; 29 CFR 1960; DOE O 225.1A, Accident Investigations; DOE O 231.1, Environment, Safety, and Health Reporting; and DOE O 440.1A. (3) Collaborates with the Director of Human Resources Management regarding— (a) specific safety and health-related activities and (b) the collective bargaining unit agreement covering Headquarters employees. (4) Informs supervisors and managers about the DOE Occupational Safety and Health Program and the protection afforded employees under the program. HQ O 442.1 3 11-3-01

(5) Works closely with the General Services Administration to ensure that federally owned or leased facilities housing DOE employees meet the Occupational Safety and Health Administration safety and health requirements. (6) Provides, in coordination with the Office of Training and Human Resources Development, appropriate education and training services to meet requirements set forth in 29 CFR 1960. (7) Establishes an industrial hygiene program to meet requirements set forth in DOE O 440.1.A c. Headquarters Safety and Occupational Health Manager. (1) Manages and administers the Headquarters Occupational Safety and Health Program. (2) Serves as the team leader in carrying out and following up on inspections and abatements as set forth in 29 CFR 1960. (3) Arranges periodic, unannounced inspections of workplaces and recommends corrective action necessary to meet the Headquarters Occupational Safety and Health Program responsibilities. (4) Provides necessary coordination and support to Headquarters Program Secretarial Office (PSO) occupational safety and health managers. (5) Maintains a management information system for record keeping, reporting, and statistical analysis to satisfy the requirements in 29 CFR 1960. (6) Coordinates occupational safety and health training appropriate for Headquarters locations. (7) Ensures compliance with prescribed standards in DOE O 440.1A for maintaining healthful and safe conditions in the work environment. (8) Provides and maintains an occupant emergency plan that provides for building(s) evacuation during emergencies. (9) Provides hazard communication program, as required by 29 CFR 1910. 4 HQ O 442.1 11-3-01 d. Director of Human Resources Management. (1) Provides guidance and assistance for the Headquarters Occupational Safety and Health Program, including resources to carry out the required training effort. (2) Collaborates with the collective bargaining unit regarding occupational safety and health-related activities. (3) Designates a control point for recording medical treatment, as prescribed by 29 CFR 1960. e. NNSA Headquarters Personnel Officer. (1) Provides guidance and assistance for the Headquarters safety and healthful workplace program, including resources to carry out the required training effort. (2) Collaborates with the collective bargaining unit regarding occupational safety and health-related activities. (3) Designates a control point for recording medical treatment, as prescribed by 29 CFR 1960. (4) Coordinates with the Deputy Administrator for Naval Reactors (which is a joint DOE/Navy program established by Executive Order 12344, Naval Nuclear Propulsion Program, as set forth in Public Law 106-65) regarding the Occupational Safety and Health Program for Naval Reactors’ Headquarters employees. f. Headquarters Managers and Supervisors. (1) Furnish employees a place of employment free from recognized hazards that could cause serious physical harm. (2) Ensure the safety and health of employees under their supervision by assessing and discussing their work to identify hazardous conditions and actions and how they are eliminated or controlled. (3) Inform employees of the protection they receive under the Occupational Safety and Health Program. HQ O 442.1 5 11-3-01 (4) Promptly address employee reports of alleged unsafe or unhealthful working conditions and request assistance from the Headquarters Occupational safety and health manager, when needed.

(5) Investigate promptly all accidents under their jurisdiction and submit accurate and timely accident reports. (6) Arrange for special protective clothing and/or equipment and require its use to protect employees from identified hazards that cannot be eliminated. (7) Ensure employees comply with occupational safety and health standards, rules, regulations, and directives. (8) Ensure that no employee is subject to restraint, interference, coercion, discrimination, or reprisal for reporting an unsafe or unhealthful working condition. (9) Require compliance with posted notices of hazards in the immediate work area. (10) Ensure that established procedures are consistent with all requirements for control of health hazards for industrial hygiene safety. (11) Assist and cooperate in assigning personnel and participating in the occupant emergency plan as required. g. PSO Occupational Safety and Health Managers (or designated collateral duty personnel). (1) Provide direction and recommend the missions and budgets for implementation of the Integrated Safety Management System, including the Federal Employee Occupational Safety and Heath (FEOSH) Program element, for their Headquarters Federal personnel. Assist management in developing and implementing an effective safety and health program. (2) Promote safety and health awareness and training for employees. (3) Assist in investigating employee complaints or accidents. (4) Perform safety reviews, assist with site inspections, and resolve safety matters as requested. 6 HQ O 442.1 11-3-01 h. Employees. (1) Consistent with 29 CFR 1960, report unsafe and unhealthful working conditions to supervisors, the appropriate directors, PSO occupational safety and health managers, the Headquarters occupational safety and health manager, or the designated safety and health official. (2) Use safety equipment, personal protective equipment, and other devices provided and follow the necessary protection procedures. (3) Observe safety and health rules and follow established safety procedures for job assignments. i. Inspection Team. (1) Inspect all workplaces under its jurisdiction at least once annually. Inspect workplaces with an increased risk of accidents, injury, or illness more frequently. (2) Report to the supervisor responsible for the work area items not in compliance with standards. (3) Recommend corrective measures to be taken by the supervisor of the particular work area. (4) Ensure that responsible supervisors and managers provide the Headquarters occupational safety and health manager with a plan for abatement of any unsafe or unhealthful work condition(s) that cannot be corrected within 30 days. (5) Conduct unannounced follow-up inspections to ensure abatement of hazardous conditions. j. Supervisors. (1) Plan the work to identify the hazards, develop and implement controls, and ensure that the work is performed by employees in a safe and healthful manner. (2) Upon receipt of an oral or written notice of an unsafe or unhealthful condition or hazard, immediately examine the condition and initiate corrective action. If a situation could reasonably be expected to cause death or serious physical injury, the immediate supervisor will take action, including evacuation of the workplace, to protect all affected employees. If immediate abatement of the HQ O 442.1 7 11-3-01 hazard is not possible, the supervisor must contact the Headquarters occupational safety and health manager.

(3) Investigate all accidents or mishaps promptly and thoroughly, with the assistance of the safety office and others as necessary, to identify causal factors, make any necessary notifications and prepare the applicable reports. (4) Assess, obtain, conduct, and arrange for environment, safety, and health training and education for all individuals in the workplace to ensure safe and healthful performance of assigned duties and protection of the environment. (5) Ensure all employees are familiar with evacuation procedures and that they evacuate their work area during a drill or emergency. 6. REFERENCES. a. DOE O 225.1A, Accident Investigations, dated 11-26-97, which sets requirements for accident investigations conducted to prevent the recurrence of similar accidents and to improve environmental protection and the safety and health of DOE employees, contractors, and the public. b. DOE O 231.1, Environment, Safety, and Health Reporting, dated 11-7-96, which establishes requirements for collecting and reporting information on environment, safety, and health that is required by law or regulation or that is necessary for DOE planning. c. DOE M 231.1-1, Environment, Safety, and Health Reporting Manual, dated 11-7-96, which provides detailed requirements supplementing DOE O 231.1. d. DOE O 440.1A, Worker Protection Management for DOE Federal and Contractor Employees, dated 3-27-98, which establishes the framework for an effective worker protection program to reduce or prevent injuries, illnesses, and accidental losses by providing DOE Federal and contractor workers with a safe and healthful workplace. e. DOE 3771.1, Grievance Policy and Procedures, dated 7-2-81, which provides general policy guidance and instructions and outlines responsibilities for establishing and administering the DOE grievance system. f. Executive Order 12196, Occupational Safety and Health Programs for Federal Employees, dated 2-26-80, which establishes policies and responsibilities within Federal Departments and Agencies for implementation of the Occupational Safety and Health Act of 1970, designated to protect employees of the Federal Government. 8 HQ O 442.1 11-3-01 g. Title 5 CFR Part 293, Personnel Records, which provides employees and their designated representatives a right of access to relevant exposure and medical records. h. Title 20 CFR Part 10, Claims for Compensation Under the Federal Employees Compensation Act, as amended, which establishes the procedures to be followed by employees who suffer an occupational accident, injury, or disease. i. Title 29 CFR Part 1910, Occupational Safety and Health Standards, which provides standards for industrial safety and health. j. Title 29 CFR Part 1960, Basic Program Elements for Federal Employee Occupational Safety and Health Programs and Related Matters, which establishes the requirements and minimum standards for Federal employee occupational safety and health programs. k. Section 19 of the Occupational Safety and Health Act. 7. DEFINITIONS. a. Designated Headquarters Safety and Health Official. The individual responsible for ensuring that a safety and health program exists at Headquarters. b. Headquarters Safety and Occupational Health Manager. The individual responsible for administering and managing the Headquarters Occupational Safety and Health Program. c. Employee. Any person, full- or part-time, employed by DOE, including the NNSA, or who is authorized to work for the Department by law, rule, or regulation. The term does not include contractor employees.

d. Workplace Inspection. A comprehensive survey of all or part of a workplace to detect safety and health hazards. Inspections are normally performed during the regular work hours except in special circumstances. Inspections do not include routine, day-to-day visits by safety and health personnel. e. Inspection Team. As described in 29 CFR 1960, the inspection team must consist of the occupational safety and health manager as the team leader, a union representative and other adequately trained Federal or contractor personnel. The PSO occupational safety and health managers must be afforded the opportunity to be part of the team when the inspection of their respective areas of responsibility is conducted. f. Recordable Occupational Injuries or Illnesses. Every occupational fatality, nonfatal occupational illness, or nonfatal occupational injury that involves one or more of the HQ O 442.1 9 (and 10) 11-3-01 following conditions: loss of consciousness; restriction of work or motion; transfer to another job; or medical treatment other than first aid. g. PSO Occupational Safety and Health Managers. The individual responsible to the program secretarial officer for managing the Integrated Safety Management System, which includes the Federal Employee Occupational Safety and Health Program element, to report, evaluate, initiate, and abate safety and health hazards in the workplace for Federal employees. h. Workplace. A physical location where the Department’s work or operations are performed. i. Industrial Hygiene. That science and art devoted to recognition, evaluation, and control of environmental factors or stress arising in or from the workplace that may cause sickness, impaired health and well-being, or significant discomfort and inefficiency among workers or those with whom they come in contact. j. Imminent Danger. A condition or practice in any workplace that could reasonably be expected to cause death or serious physical harm immediately or before the possibility of such danger can be eliminated through normal procedures. k. Hazard Communication Program. A training program developed in compliance with 29 CFR 1910 to inform employees about potential risks of hazardous chemicals in the workplace and to encourage them to follow the procedures established for their protection. 1. Serious Hazard. A condition, hazard, or violation presenting a substantial probability that death or severe physical harm could result. m. Reprisal. Any act of restraint, interference, coercion, or discrimination against an employee for participating in the Department’s safety and health program. 8. CONTACT. For information on this Order, contact the Engineering and Facilities Management Services Group at (202) 586-3129. BY ORDER OF THE SECRETARY OF ENERGY: FRANCIS S. BLAKE Deputy Secretary HQ O 442 .1 i 11-3-01 CONTENTS CHAPTER I—SAFETY AND HEALTH INSPECTIONS, ABATEMENT, AND HAZARD REPORTING PROCEDURES 1. PURPOSE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1 2. RESPONSIBILITIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1 3. PROCEDURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1

a. Formal Inspection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1 b. Hazard Abatement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-2 c. Hazard Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-3 d. Appeal Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-4 e. Request For Anonymity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-4 Attachment I-1. Notice of Unsafe or Unhealthful Working Conditions . . . . . . . . . . . . . . . I-5 Attachment I-2. Report of Safety or Health Hazard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-7 CHAPTER II—ALLEGATIONS OF REPRISAL 1. PURPOSE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-1 2. PROCEDURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-1 a. Acts of Reprisal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-1 b. Communications of Allegations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-1 c. Grievance Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-1 CHAPTER III—EDUCATION AND TRAINING 1. PURPOSE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-1 2. RESPONSIBILITIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-1 3. REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-1 a. Senior Management Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-1 b. Supervisors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-1 c. Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-1 d. Employee Representatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-2 e. PSO Safety and Health Managers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . III-2 f. Headquarters Occupational Safety and Health Manager . . . . . . . . . . . . . . . . . . . . . III-2 CHAPTER IV—RECORD KEEPING AND REPORTING 1. PURPOSE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-1 2. PROCEDURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-1 a. Reporting Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-1 b. Record Keeping Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IV-2 ii HQ O 442.1 11-3-01 CONTENTS (continued) CHAPTER V—INDUSTRIAL HYGIENE PROGRAM 1. PURPOSE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-1 2. DEFINITION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-1 3. RESPONSIBILITIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-1

a. The Principal Deputy Director of Management, Budget and Evaluation . . . . . . . . . . V-1 b. Director of Administration or the Designated Representative . . . . . . . . . . . . . . . . . . V-1 c. Headquarters Occupational Safety and Health Manager . . . . . . . . . . . . . . . . . . . . . V-1 d. Occupational Health Unit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-2 e. Director of Procurement Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-2 f. Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-2 4. GENERAL REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-2 a. Headquarters Occupational Safety and Health Manager . . . . . . . . . . . . . . . . . . . . . V-2 b. Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-2 c. Program Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-3 5. REQUIREMENTS FOR ELEMENT I—RECOGNITION OF HEALTH HAZARDS . V-3 6. REQUIREMENTS FOR ELEMENT II—HEALTH HAZARD EVALUATION . . . . . . V-3 a. Evaluation Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-3 b. Evaluation Support Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-4 c. Evaluation Reporting Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-4 7. REQUIREMENTS FOR ELEMENT III—CONTROL MEASURES . . . . . . . . . . . . . . V-4 8. REQUIREMENTS FOR ELEMENT IV—PERIODIC REVIEW . . . . . . . . . . . . . . . . . V-5 9. REQUIREMENTS FOR ELEMENT V—EDUCATION AND TRAINING . . . . . . . . . V-5 10. REQUIREMENTS FOR ELEMENT VI—RECORD KEEPING REQUIREMENTS . . V-5 a. Survey Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-5 b. Occupational Environmental Monitoring Records . . . . . . . . . . . . . . . . . . . . . . . . . . V-6 c. Records Access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . V-6 HQ O 442.1 I-1 11-3-01 CHAPTER I SAFETY AND HEALTH INSPECTIONS, ABATEMENT, AND HAZARD REPORTING PROCEDURES 1. PURPOSE. The purpose of the Occupational Safety and Health Workplace Inspection Program is to— a. establish responsibilities and prescribe procedures for formal inspections, hazard abatement, and hazard reporting; and b. ensure safe working conditions and practices for employees through the early detection and abatement of unsafe practices and/or working conditions. 2. RESPONSIBILITIES. The Office of Administration must ensure that a health and safety inspection, abatement, and hazard reporting program is conducted for Headquarters operations and is consistent with Federal employees occupational safety and health line management responsibilities, as prescribed by DOE O 440.1A. 3. PROCEDURES. The following procedures must be followed in conducting formal inspections, hazard abatement, and hazard reporting. a. Formal Inspection. (1) At least annually, the inspection team must conduct unannounced workplace inspections, in accordance with 29 CFR 1960.

(2) Inspections must occur at reasonable times, during normal working hours, and must not disrupt normal operations. The person in charge of the area will not receive advance notice of the inspection, the establishment to be inspected, or the employee’s representative. The safety inspection team must— (a) identify potentially unsafe and unhealthful workplaces before beginning the inspection by examining accident, injury, and illness reports; (b) coordinate through the Headquarters occupational safety and health manager to take environmental samples and photographs, if necessary; (c) question employees at the workplace, if appropriate; and (d) comply with all safety and health regulations at the workplace being inspected. I-2 HQ O 442.1 11-3-01 (3) The supervisor in charge of the work area being inspected and an employee representative must have the opportunity to accompany the inspection team. If a hazardous condition is discovered, the inspection team must immediately inform the appropriate management officials and affected employees. b. Hazard Abatement. (1) The functional manager in charge of an operation must initiate action to correct unsafe or unhealthful working conditions brought to his or her attention. He or she must also ensure that employees are not exposed to undue risk of injury or illness during the hazard abatement period. Abatement must be accomplished through normal administrative channels when practicable. (2) The Headquarters occupational safety and health manager must provide a written report and notices of unsafe, unhealthful working conditions to each organization at the completion of the inspections. The notices must be posted at or near each workplace where a hazardous work condition exists until the condition is abated or for 3 working days, whichever is longer. Attachment I-1 is an example of a properly prepared HQ F 3790.7, Notice of Unsafe or Unhealthful Working Conditions. If the official in charge of the workplace cannot correct the hazardous condition(s) within 30 calendar days, he/she must develop an abatement plan for eliminating the condition. The plan must— (a) explain the circumstances of the delays; (b) establish a proposed timetable for abatement; (c) explain the steps being taken to protect employees in the interim; and (d) be provided to the employee representative(s) who participated in the inspection. (3) If a situation could reasonably be expected to cause death or serious physical injury, the immediate supervisor will take action, including evacuation of the workplace, to protect all affected employees. If immediate abatement of the hazard is not possible, the supervisor must contact the Headquarters occupational safety and health manager. HQ O 442.1 I-3 11-3-01 c. Hazard Reporting. Many safety and health problems can be eliminated as soon as they are identified and brought to the attention of the supervisor. However, an employee does not have to await the outcome of an oral report before filing a written report. Oral or written reports are not intended to interfere in any way with an employee using the established grievance procedures or collective bargaining agreements to request corrections for alleged unsafe or unhealthful working conditions. Attachment I-2 is an example of a properly prepared HQ F 3790.8, Report of Safety or Health Hazard. The form is available through url: http://www.directives.doe.gov/forms/hq.html or the Headquarters occupational safety and health manager.

(1) Oral Reports. Employees identifying hazards must report them to their supervisors, who must immediately examine the condition and initiate corrective action. (2) Written Reports. Any employee or employee’s representative may file a written report if he or she believes that an unsafe or unhealthful working condition exists in the workplace. The report must— (a) identify reasonable and particular grounds for submitting the report; (b) be signed by the person making the report; and (c) be addressed to the occupational safety and health manager. (3) The Headquarters occupational safety and health manager or a designated safety and health professional must conduct an inspection within— (a) a maximum of 24 hours following a report of conditions of imminent danger; (b) 3 working days for potentially serious conditions; and (c) 20 working days for other than serious safety and health conditions. (4) Following the inspection, the Headquarters occupational safety and health manager or the designated safety and health professional must provide a written response to the report and a copy of the inspection to the employee or representative of the employee who filed the report. A copy of the inspection must also be provided to appropriate supervisory personnel in the area affected by the report and the appropriate PSO occupational safety and health manager. http://www.directives.doe.gov/forms/hq.html I-4 HQ O 442.1 11-3-01 d. Appeal Procedure. Employees are encouraged to use agency procedures, which are the most expeditious way to abate hazardous or unhealthful conditions. If the employee is not satisfied with the final disposition by DOE, that employee may send the written report directly to the Office of Federal Agency Safety Programs, Occupational Safety and Health Administration, U.S. Department of Labor. The appeal must include the following: (1) details of the entire processing of the report of the unsafe or unhealthful conditions and (2) the employee’s objections thereto. The employee must forward a copy of the letter to the Headquarters occupational safety and health manager. e. Request For Anonymity. Employees making reports may request that their names and the names of others referred to in the reports not be disclosed to anyone other than authorized representatives of the Secretary of Labor or the Occupational Safety and Health Administration inspector. HQ O 442.1 Attachment I- 11-3-01 Page I-5 (and I-6) HQ F 3790.7 U. S. Department of Energy (07-82) NOTICE OF UNSAFE OR UNHEALTHFUL WORKING CONDITIONS TO: Chief, Central Accounts Branch Office of the Controller, CR On the basis of the above stated inspection, it was found that the following unsafe or unhealthful working conditions exists: LOCATION FOR THIS NOTICE DESCRIPTION DATE FOR CORRECTION 4B-100 29 CFR 1910.36(d) Improperly used extension cord from adding machines to wall outlet causing tripping hazard. 5-31-01 COPY DISTRIBUTION: 1. POSTING 2. OFFICIAL IN CHARGE 3. SAFETY INSPECTOR 4. BUILDING MANAGER 5. SUSPENSE John A. Doe /s/ INSPECTOR DATE 5-15-01 HQ O 442.1 Attachment I-2 11-3-01 Page I-7 (and I-8) HQ F 3790.8 U.S. Department of Energy (7-82) Report of Safety or Health Hazard MEMORANDUM FOR: G SAFETY INSPECTOR Date 1-15-01 Room G SAFETY AND OCCUPATIONAL HEALTH MANAGER From John A. Doe (Employee) Central Account Branch - CR Anonymity Requested G YES G NO Location of Hazard

Room 4B-100 Forrestal Building Room 4B-100-B Forrestal Building Nature of Hazard Tripping hazard. Hole in the floor creating an uneven walking surface. Extension cord stretched across an entrance. Action by Safety Officer Action Taken Arrangements made to patch the hole in the floor. Advised supervisor to have electric service placed closer to equipment or vice versa. Date Hazard Corrected 1-30-01 Follow-up Action, if Required None Copy Distribution: WHITE – Safety Inspector CANARY – Safety and Occupational Health Manager PINK – Suspense DOE O 442.1 II-1 (and II-2) 11-3-01 CHAPTER II ALLEGATIONS OF REPRISAL 1. PURPOSE. To establish responsibilities and prescribe procedures regarding employee participation and rights under the Headquarters Employee Occupational Safety and Health Program. 2. PROCEDURES. The following procedures must be followed to carry out Headquarters responsibilities. a. Acts of Reprisal. DOE has established procedures to ensure that no employee is subject to restraint, interference, coercion, discrimination, or reprisal— (1) for reporting an unsafe or unhealthful working condition, or (2) for participating in other Occupational Safety and Health Program activities, or (3) because of the exercise by such employee on behalf of himself, herself, or others of any right afforded by section 19 of the Occupational Safety and Health Act, Executive Order 12196, or 29 CFR 1960. b. Communications of Allegations. Employees should formally report allegations of reprisal to the Director of Human Resource Management who must advise the Principal Deputy Director of Management, Budget and Evaluation of DOE activity regarding allegations of reprisal and DOE determinations thereof. Copies of reprisal investigation findings must be provided to the Headquarters occupational safety and health manager. c. Grievance Procedures. Employees who believe they have been subjected to restraint, interference, coercion, discrimination, or reprisal for filing a report of an unsafe or unhealthful working condition should follow the grievance procedures contained in the following sources, as appropriate: (1) DOE 3771.1, Grievance Policy and Procedures, dated 7-2-81, and (2) applicable negotiated Union grievance procedures. DOE 442.1 III-1 11-3-01 CHAPTER III EDUCATION AND TRAINING 1. PURPOSE. To establish responsibilities and procedures regarding safety and health training. 2. RESPONSIBILITIES. The Office of Administration must ensure that an aggressive, formal safety and health education and training program— a. is carried out for Headquarters, b. is consistent with training and education required in safety and health regulations and standards, and c. is in accordance with requirements stated in DOE O 440.1A. 3. REQUIREMENTS. a. Senior Management Employees must receive occupational safety and health orientation training under Section 19 of the Occupational Safety and Health Act of 1970, Executive Order 12196, 29 CFR 1960, and the DOE Federal Employee Occupational Safety and Health Program. b. Supervisors must receive occupational safety and health training that— (1) explains supervisory responsibility for providing and maintaining a safe workplace; (2) reviews and explains DOE O 440.1A, Section 19 of the Occupational Safety and Health Act, the requirements of 29 CFR 1960, and other generally applicable occupational safety and health standards;

(3) provides introductory and specialized courses and materials in hazard recognition, evaluation, and abatement; and (4) develops skills in managing the Department’s occupational safety and health work unit, including the training and motivation of subordinates toward assuring safe and healthful work practices. c. Employees must receive occupational safety and health training that includes— (1) safety orientations for all new employees, III-2 HQ O 442.1 11-3-01 (2) on-the-job safety training provided by appropriate supervisors, (3) specialized safety training coordinated by the Headquarters occupational safety and health manager, and (4) information regarding the Headquarters safety and health program, using flyers, brochures, Notices, or other appropriate means of communication. d. Employee Representatives must receive training as set forth in 29 CFR 1960. This training will enable these individuals to participate in establishing safe and healthful working conditions and practices and to assist in safety and health inspections training. e. PSO Safety and Health Managers must receive training, as prescribed by 29 CFR 1960, in the recognition of occupational safety and health standards and other appropriate rules and regulations to make qualified evaluations and recommendations regarding hazardous conditions and the environment. f. Headquarters Occupational Safety and Health Manager must receive training to perform the variety of tasks necessary to determine whether the workplace conforms to applicable standards. Such training includes course work, laboratory experiments, field study, and other experiences. Occupational safety and health manager tasks include technical monitoring, consulting, testing, inspecting, and designing. Training must be designed to develop skills in hazard recognition, evaluation, and correction and allow the manager to serve as a consultant to management. DOE O 442.1 IV-1 11-3-01 CHAPTER IV RECORD KEEPING AND REPORTING 1. PURPOSE. To establish responsibilities and prescribe procedures for accident reporting and record keeping as required by the Occupational Safety and Health Administration, and DOE O 225.1A, and DOE O 440.1A. 2. PROCEDURES. Headquarters employees and organizations must follow the procedures below for reporting and keeping records on occupational injuries and illnesses. a. Reporting Procedures. (1) Report of Occupational Injury or Illness. Any employee experiencing an occupational injury or illness must notify his or her official supervisor, the PSO occupational safety and health manager, and the health unit(s) the employee will visit for care. The health unit(s) will provide forms required by the Office of Workers’ Compensation Program (OWCP). Employees should contact their administrative officers and appropriate personnel specialists to learn the procedures to follow to receive compensation under the Federal Employees Compensation Act. (2) Report of Accident. If the accident results in occupational injury or illness fatal to one or more employees or results in hospitalization of five or more employees, the appropriate supervisor must report all known details to the Director, Engineering and Facilities Management Services Group and the appropriate PSO occupational safety and health manager, as soon as sufficient information is obtainable, but no later than 24 hours. The supervisor must report other accidents, including motor vehicle accidents, to the Office of Management, Budget and Evaluation no later than 72 hours after the accident, in accordance with procedures set forth in DOE M 231.1-1. The report data should include—

(a) names of individual(s) involved; (b) circumstances of the accident; (c) any actions taken relating to the accident; and (d) extent of injuries. IV-2 HQ O 442.1 11-3-01 b. Record Keeping Procedures. (1) Supplementary Records. The Headquarters occupational safety and health manager investigates all Headquarters accidents and completes a supplementary record of each accident resulting in an occupational injury or illness requiring more than first aid. This supplementary record identifies the personnel, equipment, and activities involved and the causes and contributing factors of the occurrence. The Headquarters occupational safety and health manager is to complete the supplementary record within 6 working days of being notified that an accident has occurred and provide a copy to the appropriate PSO occupational safety and health manager for information. (2) Log of Occupational Injuries and Illness. The Headquarters occupational safety and health manager maintains the required log of occupational injuries and illnesses for Headquarters. He/she completes an entry in the log within 6 working days of being notified that an accident has occurred and sends a copy to the respective PSO occupational safety and health manager(s). (3) Posting of Annual Summary. The Headquarters occupational safety and health manager must post yearly totals of Headquarters occupational injuries, illnesses, and fatalities no later than 45 days after the close of the fiscal year. The annual summary must be posted for 30 consecutive days on an official bulletin board. DOE O 442.1 V-1 11-3-01 CHAPTER V INDUSTRIAL HYGIENE PROGRAM 1. PURPOSE. To establish requirements and guidelines for maintaining an effective Headquarters program in compliance with the Departmental Industrial Hygiene Program. 2. DEFINITION. Industrial hygiene addresses the recognition, evaluation, and control of environmental factors or stresses arising in or from the workplace that may cause sickness, impaired health and well-being, or significant discomfort and inefficiency among workers or those with whom they are in contact. 3. RESPONSIBILITIES. a. The Principal Deputy Director of Management, Budget and Evaluation. Designates an official to ensure that all Headquarters industrial hygiene management responsibilities are carried out. b. Director of Administration or the Designated Representative. Ensures that— (1) industrial hygiene capability is adequate to assist in the implementation and maintenance of the program; (2) industrial hygiene is consistent with the requirements of paragraph 5 of this chapter; (3) requirements specified in paragraph 5 are regularly reviewed to determine their adequacy to protect the health and well-being of Headquarters personnel; (4) work practices and operations are consistent with established procedures to control exposures to harmful environments, contaminants, or stresses; (5) proposed environmental control equipment is evaluated for adequacy and Headquarters safety/health protections related to work procedures for its operation are approved. c. Headquarters Occupational Safety and Health Manager conducts an early evaluation of any work plan/environment that— (1) introduces new processes and/or facilities or (2) modifies existing facilities and processes to determine the impact of the change in the planning stage in order to allow for the development of appropriate environmental options and/or mitigating measures. V-2 HQ O 442.1 11-3-01

d. Occupational Health Unit. (1) Maintains records of occupational injuries and illnesses in accordance with the record keeping requirements of DOE O 440.1A. (2) Informs Headquarters occupational safety and health manager of all suspected and diagnosed occupational illnesses. (3) Provides Headquarters occupational safety and health manager with monthly summary of all treatments. e. Director of Procurement Operations. (1) Submits purchase order requests with safety data sheets (when required) for identified hazardous materials to the Headquarters occupational safety and health manager for review and maintenance inventory. (2) Assists Headquarters occupational safety and health manager obtain appropriate toxicological information from suppliers. f. Employees. (1) Observe safety and health rules and follow established safety and health procedures for job assignments. (2) Wear personal protective equipment as required for a work task. (3) Notify supervisors when conditions or practices may cause illness or injury. 4. GENERAL REQUIREMENTS. a. Headquarters Occupational Safety and Health Manager. In accordance with 29 CFR 1960, Executive Order 12196, and DOE O 440.1A, which require the Department to maintain an effective Headquarters Industrial Hygiene Program and provide employee protection, the Headquarters occupational safety and health manager must ensure that a qualified industrial hygienist is available to determine the hazard potential at the Headquarters facilities. This requirement may be fulfilled by a part-time or intermittent hygienist (either a DOE employee or a DOE contractor employee) who meets Office of Personnel Management (OPM) standards for industrial hygienists. b. Function. The Headquarters Industrial Hygiene Program is to control recognized hazards and stresses found in DOE Headquarters facilities. These hazards and stresses may include, but are not limited to, the following: DOE O 442.1 V-3 11-3-01 (1) chemical—liquid, particulate, vapor, gas, and fumes; (2) physical—electromagnetic radiation, noise, vibration, magnetic fields, and extremes of temperature and pressure; (3) biological—infectious diseases; and (4) ergonomic—body position in relation to a work task, repetitive motion, and mental and physical fatigue. c. Program Elements. The elements of the Headquarters Industrial Hygiene Program are designed to recognize, evaluate, and control hazardous exposures and stresses in the workplace. 5. REQUIREMENTS FOR ELEMENT I—RECOGNITION OF HEALTH HAZARDS. Recognition of potential health hazards requires the participation and cooperation of managers, supervisors, and employees. Potential health hazards are identified by the following methods: a. review of inventories and substances being stored or used by a work operation; b. assessment of the work operation; c. periodic walk-through surveys of facilities; d. regular inspections of facilities; e. review of proposed new material purchases, projects, and facilities in regard to safety and health hazards; and f. employee complaints/reports. 6. REQUIREMENTS FOR ELEMENT II—HEALTH HAZARD EVALUATION. a. Evaluation Methodology. Subsequent to the identification of potential health hazards, the Headquarters occupational safety and health manager determines the degree of the hazards by the following methods: (1) observation of work practices associated with the causative agent; (2) monitoring personnel and work stations to determine the level or concentration of the health hazard; and

V-4 HQ O 442.1 11-3-01 (3) application of established standards, or directives, such as DOE O 440.1A, and scientific techniques such as air monitoring and bioassay. b. Evaluation Support Services. Industrial hygiene services by in-house facilities and technical support personnel or contractual services as approved by personnel management are available in order to assist in the implementation and evaluation of the program elements. c. Evaluation Reporting Procedures. (1) Where potential occupational exposures to hazardous materials or equipment are determined to be within permissible exposure limits, the supporting data and conclusions of the Headquarters occupational safety and health manager are recorded. If the identified potential health hazard has no assigned permissible exposure limit, a guideline on evaluation and control is developed based on the best available technical information. The affected employees and the appropriate PSO occupational safety and health managers should be provided with a report on the results. (2) The occupational health unit must be informed of the potential and existing health hazards, the results of the evaluation, and applicable industrial hygiene data necessary to implement the medical monitoring program. 7. REQUIREMENTS FOR ELEMENT III—CONTROL MEASURES. a. If the Headquarters occupational safety and health manager with the assistance of the medical unit, as appropriate, determines that the degree of exposure to a potential health hazard is extensive enough to cause illness or injury, he or she must recommend appropriate measures specific for each incident. b. Engineering controls must be the primary method used to protect personnel from exposure to health hazards. c. In addition to engineering controls, long-term/permanent control measures must include substitution of products, shielding, and isolation. d. Administrative controls and personal protective equipment may supplement engineering controls. Administrative controls include the rotation of personnel, the limitation of exposure hours, and other similar techniques. If additional control methods are required to supplement existing engineering controls and work practices, the Headquarters occupational safety and health manager may have to institute one or both of the following programs: DOE O 442.1 V-5 11-3-01 (1) Hearing Conservation Program. This program is for all Headquarters personnel whose exposure to noise equals or exceeds an 8-hour time-weighted average of 85 decibels (dBA). (2) Carcinogen Control. Exposure to carcinogens in the workplace must be minimized. The Headquarters occupational safety and health manager must ensure adherence to requirements of existing standards regarding carcinogens. If a carcinogen for which a standard does not exist is present in the workplace, the Headquarters occupational safety and health manager must minimize employee exposure by— (a) providing a substitute for the hazardous product, if possible, (b) instituting suitable controls, and (c) applying industrial hygiene principles. 8. REQUIREMENTS FOR ELEMENT IV—PERIODIC REVIEW. The Headquarters occupational safety and health manager must periodically monitor personnel and workstations to ensure that any health hazards that have been identified are being controlled adequately. The Headquarters occupational safety and health manager must report his or her findings to management including the appropriate PSO occupational safety and health manager regarding—

a. the adequacy of controls; b. the need for additional measures; c. recommendations for maintenance or replacement; and d. re-emphasis of administrative controls. 9. REQUIREMENTS FOR ELEMENT V—EDUCATION AND TRAINING. Education and training requirements for the industrial hygiene program must conform to the Headquarters requirements found in Chapter III of this Order. 10. REQUIREMENTS FOR ELEMENT VI—RECORD KEEPING REQUIREMENTS. a. Survey Records. (1) Deficient hazard control, unsafe work practices, and violation of standards observed during area walk-through must be documented and any proposed corrective action noted. V-6 HQ O 442.1 11-3-01 (2) Deficiencies that are identified in formal compliance inspections must be documented in accordance with Chapter I of this Order. (3) Reports of deficiencies must be presented to the responsible branches for abatement or immediate correction. (See current Headquarters evaluation maintained by the Headquarters occupational safety and health manager, Engineering and Facilities Management Service Group.) (4) The Headquarters occupational safety and health manager must maintain records of follow-up evaluations noting, chronologically, corrective actions taken, completed, or in process. b. Occupational Environmental Monitoring Records. (1) Results of personnel and area monitoring must be documented in a manner that can be audited. Documentation includes related standards and notations regarding the individual who was monitored, including his or her location and job description. (2) Results of personnel monitoring must be submitted to the occupational health unit for inclusion in the individual’s medical file and shared with the affected/monitored employee and appropriate PSO occupational safety and health manager. (3) Noncompliance with the standard applicable to a particular situation must be noted in the record. Actions taken in the event of noncompliance are included. The affected employees must be notified promptly of any exposures or potential exposures exceeding standards referenced in DOE O 440.1A. c. Records Access. Access to employee exposure and medical records is provided to employees in accordance with 5 CFR 293, Personnel Records. All designated representatives of employees must have prior written authorization to have such access from affected employees. 1. Objectives 2. Cancellation 3. Applicability 4. Requirements 5. Responsibilities 6. References 7. Definitions 8. Contact Contents Chapter I, Safety and Health Inspections, Abatement, And Hazard Reporting Procedures Chapter II, Allegations of Reprisal Chapter III, Education and Training Chapter IV, Record Keeping and Reporting Chapter V, Industrial Hygiene Program