15.4.1 Appendix A. Reportable Occurrences and Significance Categories
15.4.1.1 Group 1 — Operational Emergencies
15.4.1.2 Group 2 — Personnel Health and Safety
15.4.1.3 Group 3 — Nuclear Safety Basis
15.4.1.4 Group 4 — Facility Status
15.4.1.5 Group 5 — Environmental
15.4.1.6 Group 6 — Contamination/Radiation Control
15.4.1.7 Group 7 — Nuclear Explosive Safety
15.4.1.8 Group 8 — Transportation
15.4.1.9 Group 9 — Noncompliance Notifications
15.4.1.10 Group 10 — Management Concerns/Issues15.4.2 Appendix B. ORPS Report Worksheet
15.4.3 Appendix C. Short Form Worksheet
15.4.4 Appendix D. Surface Contamination Values (10 CFR Part 835, Appendix D)
15.4.5 Appendix E. Causal Analysis Tree
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The Occurrence Reporting and Processing System (ORPS) at Lawrence Berkeley National Laboratory (LBNL) notifies and keeps Laboratory management and applicable elements of the Department of Energy (DOE) informed of abnormal occurrences that could adversely affect:
The ORPS procedures described herein provide the criteria for reporting occurrences and the timely processing of occurrence information to Laboratory and DOE management. All LBNL divisions and departments, including subcontractors performing work at Berkeley Lab, are responsible for following ORPS procedures. Reportable occurrences require that the description, significance, causal factors, and corrective actions of the occurrence are fully documented and transmitted to the DOE ORPS Database. Processing the reportable occurrences includes categorization of occurrences, timely DOE notification, and submittals of updated and final ORPS reports. The completed ORPS reports are used to analyze environment, safety, and health (ES&H) performance, to develop lessons learned, and to prevent recurrence of undesirable occurrences at LBNL and other DOE facilities. The LBNL ORPS procedures meet the requirements of DOE Order 231.1A, Environment, Safety and Health Reporting, and DOE Manual 231.1–2, Occurrence Reporting and Processing of Operations Information.
LBNL divisions are responsible for the timely reporting of adverse and/or abnormal occurrences, as described herein, that occur at facilities or operations within their organizational purview. Division directors have overall responsibility for implementing these procedures, ensuring that the division has the appropriate resources to monitor day-to-day activities, reporting on abnormal occurrences, investigating the causes of such occurrences, and instituting corrective actions to prevent recurrence of the occurrences. Division directors must concur that occurrences are ORPS reportable; and, if reportable, they must approve the final ORPS reports before submission to the DOE ORPS database. Note: For the purposes of the DOE ORPS Program, division directors are sometimes referred to as the “Facility Manager.”
Division directors are to assign individual(s) from their organizations to assist in the implementation of these procedures. Assigned designees should have positions and work responsibilities that allow them to actively monitor day-to-day operations of division facilities. They should assist division line managers and staff in the notification, categorization, investigation, mitigation, and report preparation of all reportable occurrences within the division. Because of the importance of timely notification and reporting, designees must be familiar with the ORPS procedures described herein. Appropriate designees are deputy division directors, division safety managers, or division safety coordinators.
OAA is part of Berkeley Lab’s Environment, Health and Safety Division (EH&S) and is responsible for administering the LBNL Occurrence Reporting Program and for supporting division directors and their designees in ORPS report processing. OAA is the primary point of contact when reporting and tracking LBNL occurrences to the DOE Berkeley Site Office (BSO) and other DOE program elements, as appropriate. OAA also provides the occurrence data and information input to the DOE online ORPS database.
EH&S technical staff are to assist divisions as necessary to respond to, mitigate, categorize, and investigate occurrences. Note: Due to their knowledge of hazards, awareness of ORPS criteria thresholds, and response roles, EH&S staff may initially categorize occurrences in the absence of division directors or designees and confirm the categorization later with division management.
Employees, supervisors, and subcontractorsare responsible for reporting abnormal incidents, unsafe conditions, and violations to their LBNL line management, appropriate EH&S staff, and/or emergency responders. Supervisors must ensure that employees are made aware of workplace health and safety reporting responsibilities. Supervisors and employees must perform immediate actions to mitigate unsafe conditions, secure occurrence scenes as necessary for investigations, and provide information to assist investigations.
An overview of the occurrence report process is presented as a flow diagram in Figure 15.3.1.
Additional information is also available at the LBNL ORPS Web site.
Employees, supervisors, and subcontractors are required to perform their job duties and responsibilities in a safe and environmentally responsible manner; however, if they create or witness an adverse ES&H occurrence or condition in the course of performing work, they must immediately report the occurrence or condition to their division management, safety coordinator, EH&S staff, or any other technical or management individual who has responsibility and/or technical knowledge to stabilize the occurrence or condition.
Figure. 15.3.1. LBNL Occurrence Reporting Process Flow
Part of the responsibility of division management, division safety coordinators, and EH&S staff is to monitor day-to-day operations in division facilities and workspaces for adverse ES&H occurrences or conditions. Once an occurrence or condition is discovered or reported to this group of personnel, they will take the following actions:
The discovery date and time will be established when adequate information is available, but this information should be sought as soon as possible and with urgency at all hours to ensure prompt DOE notification of occurrences. In some circumstances, discovery may await confirmation of an occurrence, or a condition that requires time and resources to complete. Examples are as follows:
After discovery of the abnormal occurrence is completed, the affected division with support from OAA must determine, within two hours, if the occurrence is reportable to DOE under ORPS. The reportable occurrences and the significance of the occurrences are established in DOE M 231.1–2, Occurrence Reporting and Processing of Operations Information. Appendix A, Reportable Occurrences and Significance Categories, of this procedure also provides a complete description of reportable occurrences and applicability to LBNL operations and activities. Reportable occurrences are organized into the following topical groups and subgroups:
Group 1: Operational Emergencies
Group 2: Personnel Safety and Health
Subgroup 2A: Occupational Illnesses/Injuries
Subgroup 2B: Fires/Explosions
Subgroup 2C: Hazardous Energy ControlSubgroup 4A: Safety Structure/System/Component Degradation
Subgroup 4B: Operations
Subgroup 4C: Suspect/Counterfeit and Defective Items or MaterialGroup 5: Environmental Subgroup
Subgroup 5A: Releases
Subgroup 5B: Ecological and Cultural ResourcesGroup 6: Contamination/Radiation Control Subgroup
Subgroup 6A: Loss of Control of Radioactive Materials Subgroup
Subgroup 6B: Spread of Radioactive Contamination Subgroup
Subgroup 6C: Radiation Exposure Subgroup
Subgroup 6D: Personnel ContaminationGroup 7: Nuclear Explosive Safety
Each group has from two to 13 reportable occurrences. Occurrences under Group 3, Nuclear Safety Basis; Group 7, Nuclear Explosive Safety; and Subgroup 4A, Safety Structure/System/Component Degradation, are not applicable to LBNL, because the Laboratory does not operate any nuclear facilities or Class I, II, or III radiological facilities, and does not have operations involving Technical Safety Requirements, Unreviewed Safety Questions, or Safety Class Structure, System, or Component (SSC). There are several other types of specific occurrences that are identified as not applicable in Appendix A. A total of 55 types of occurrences in the remaining groups are applicable to LBNL operations and require reporting to DOE. If an abnormal occurrence does not correspond to any of the described occurrences, the incident is not reportable under these procedures.
In DOE M 231.1–2, Occurrence Reporting and Processing of Operations Information, DOE has designated a significance category for each of the described reportable occurrences. Categorization by significance provides a graded approach in processing the occurrences. The most significant occurrences require rigorous and in-depth reporting, investigation, causal analysis, and corrective actions, whereas the least significant occurrences require only a short report and remedy for the problem. The reportability and significance of the occurrence are collectively called the categorization of the occurrence and must be reported no later than two hours after discovery. The significance categories in the ORPS program are as follows:
In addition to the above four significance categories, there are two special categories:
After categorizing the occurrence as reportable, LBNL must promptly, usually within two hours, notify DOE of the occurrence. The division that has responsibility for the occurrence will contact OAA to coordinate the notification with various elements of DOE. Prompt notification of DOE is based on the significance of the occurrence, and must meet the following notification requirements:
Significance Category |
Timeline |
Notification To |
Notification Mode |
Category 1 | No later than two hours after categorization |
Berkeley Site Office (BSO) and DOE Headquarters Operations
Center (DOE HQ OC) |
E-mail and follow-up phone call |
Category 2 | No later than two hours after categorization |
BSO, and, as directed by BSO, DOE HQ OC |
E-mail and/or phone call |
Category 3 | No later than two hours after categorization |
BSO |
E-mail and/or phone call |
Category 4 | No prompt notification required |
No prompt notification required |
No prompt notification required |
For special categories, the prompt notification requirements are the following:
Special Category |
Timeline |
Notifications To |
Notification Mode |
Operational Emergencies |
No later than 15 minutes if classified; no later than
30 minutes if not classified |
BSO and DOE HQ OC |
Per site emergency response plan |
Category R (Recurring Occurrences) | No prompt notification required |
No prompt notification required |
No prompt notification required |
Specific Cat 2, 3, & 4 Occurrences Identified with (*) Asterisks (see Appendix A) | No later than two hours after categorization |
BSO and DOE HQ OC |
E-mail and follow-up phone call |
DOE HQ OC e-mail address is doehqeoc@eom.doe.gov and phone numbers are (202) 586-8100 (voice) and (202) 586-8485 (facsimile). Prompt notification of DOE HQ OC should include as much information as possible, including the following details:
All information should be clear and succinct, avoiding any jargon. Uncommon or site- or facility-specific abbreviations and acronyms should be fully described. If the occurrence is recategorized, prompt notification should be done under the requirements of the new category. Follow-up notification is required if there is further degradation of the occurrence or other worsening conditions subsequent to the previous notification.
A follow-up written notification report to DOE is required for all reportable occurrences. Responsible divisions, with assistance from OAA, should use the ORPS Report Worksheet (Appendix B) to prepare the written notification. The notification report should provide as much information as known, or at least the information required, by the prompt notification (see Section 15.3.4). The report serves as the basis for the subsequent update and final occurrence reports associated with the occurrence. OAA enters the information from the worksheet into the DOE ORPS database. Written notification is deemed complete once the information of the occurrence is entered into the DOE ORPS database. Timeline requirements for the written notification are based on the appropriate significance category, as described below:
Significance Category |
Timeline |
Operational Emergencies Category 1 |
Before the close of the next business day from categorization,
but not to exceed 80 hours. |
Categories 2 & R |
Before the close of the next business day from categorization. |
Category 3 |
Before the close of business on the second business day from categorization. |
Category 4 |
Short Form Report before the close of business on the second business day from categorization (satisfies all written reporting requirements for Category 4 occurrences). |
Any changes in categorization will be documented in an Update Report and submitted within the timeline required under the new category. A justification for the new categorization should be included in the report.
The investigation and analysis process is used to gain an understanding of the occurrence, its causes, and the corrective actions necessary to remedy the problem and to prevent recurrence. The rigor and scope of any occurrence investigation and causal analysis are based on the significance category of the occurrence. OAA must be contacted to provide assistance and/or coordination for all investigations and causal analyses. EH&S subject matter experts may also be involved to provide technical analysis. OAA and EH&S have trained and experienced investigators and analysts to fully participate in higher-category occurrences that require trained personnel.
Significance Category |
Occurrence Investigation |
Causal Analysis |
Corrective Actions |
Operational Emergencies Category 1 |
Team of trained investigators; DOE accident investigation
as appropriate |
Root cause determined |
Remedy problem; prevent recurrence; assess effectiveness |
Category R |
Trained investigators |
Root cause determined |
Remedy problem; prevent recurrence; assess effectiveness |
Category 2 |
Trained investigators |
Apparent cause determined |
Remedy problem; prevent recurrence |
Category 3 |
Trained investigators |
Apparent cause determined |
Remedy problem |
Category 4 |
Trained investigators |
None required |
Remedy problem |
The Notification Report in the DOE ORPS database is updated as necessary with new and significant information about the occurrence. Responsible divisions should provide any updated information to OAA for data entry into the ORPS database. Updated information includes, but is not limited to, new data and investigation results, the status of the investigation, recurring consequences, and identification of additional deficiencies related to the occurrence. The Update Report (or if there is no Update Report, the Notification Report) eventually becomes the Final Occurrence Report when all pertinent information on the investigation and analysis, including significance, nature, and extent of the occurrence, cause(s), corrective actions, lessons learned, and other data as required by the ORPS data fields (see Appendix B, ORPS Report Worksheet), are entered into the ORPS database. Process requirements for the Final Occurrence Report are based on the significance category of the occurrence:
Significance Category |
Final Report Due |
Report Approval |
Operational Emergencies Category 1 |
Within 45 calendar days |
DOE Berkeley Site Office and DOE HQ Program Office |
Category R |
Within 45 calendar days |
DOE Berkeley Site Office |
Category 2 |
Within 45 calendar days |
DOE Berkeley Site Office |
Category 3 |
Within 45 calendar days |
Applicable LBNL division/dept. |
Category 4 |
Only Short Form required within two business days |
Applicable LBNL division/dept. |
As the institutional administrator of the LBNL ORPS Program, OAA will perform quarterly analyses of occurrences during a 12-month period to look for trends. This periodic performance analysis must evaluate occurrences of all significance categories plus LBNL-determined nonreportable occurrences in order to prevent serious occurrences. The quarterly performance analysis results will be made available to LBNL management and BSO, in ES&H quarterly reports and/or Operational Awareness meetings.
Occurrences identified as recurring require a new occurrence report to be submitted for notification of the recurring issue, with investigation, root-cause analysis, and corrective actions subsequently required. Previous individual occurrence report numbers associated with the recurring issue must be provided in the “similar occurrence report numbers” field. The new occurrence report is categorized as a Significance Category R occurrence and must meet all reporting and processing requirements for this category.
Training will be provided by OAA to applicable division personnel who may be involved with the reporting and processing of reportable occurrences. The training course will include the objective and process of occurrence reporting, including occurrence identification, categorization, notification, report submission, causal analysis, report closure, corrective action tracking, and utilization of data from the ORPS database.
Employees and supervisors are to receive basic instructions for reporting incidents and unsafe conditions to their line managers, and this will be included in the required training course, New Employee Orientation.
Lab Notes and Instructions:
Lab Notes: Call 7-911 for all emergency situations. LBNL
emergency management personnel will assume all responsibilities for contacting
appropriate individuals and organizations for the purpose of meeting ORPS
requirements. |
SC |
No. |
Occurrence Description |
Operational Emergency |
*1 |
An Operational Emergency not needing further classification, as defined in DOE 151.1A, Chapter 5, Paragraph 2. |
Operational Emergency |
*2 |
An Alert, as defined in DOE 151.1A, Chapter 5, Paragraph 3a. |
Operational Emergency |
*3 |
A Site Area Emergency, as defined in DOE 151.1A, Chapter 5, Paragraph 3b. |
Operational Emergency |
*4 |
A General Emergency, as defined in DOE 151.1A, Chapter 5, Paragraph 3c. |
Lab Notes:
1. All occupational injuries and illnesses are reported to LBNL Health
Services. It is Laboratory policy to medically monitor all potentially
serious cases. |
SC |
No. |
Occurrence Description |
Cat 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. |
Cat 1 |
**2 |
Any single occurrence requiring in-patient hospitalization of three or more personnel. |
Cat 2 |
**3 |
Any single occurrence resulting in three or more personnel having Days Away, Restricted or Transferred (DART) cases per 29 CFR Part 1904.7. |
Cat 2 |
**4 |
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.”] |
Cat 3 |
**5 |
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. |
Cat 3 |
**6 |
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; b. Results in a fracture of any bone (except simple fractures of fingers, toes, or nose, or a minor chipped tooth); c. Causes severe hemorrhages or severe damage to nerves, muscles, or tendons; d. Damages any internal organ; or e. Causes second- or third-degree burns, affecting more than five percent of the body surface. |
SC |
No. |
Occurrence Description |
Cat 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.] |
Cat 2 |
**2 |
Fire or explosion in a nuclear facility.
Not applicable to LBNL. |
Cat 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. |
Cat 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. |
SC |
No. |
Occurrence Description |
Cat 2 |
1 |
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. |
Cat 3 |
2 |
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. |
Lab Notes: Group 3 is not applicable to LBNL. |
Group 4 is not applicable to LBNL.
SC |
No. |
Occurrence Description |
Cat 2 |
**1 |
A Stop Work Order issued by a DOE office. |
Cat 2 |
2 |
Actuation of a Safety Class Structure, System, or Component. Not applicable to LBNL. |
Cat 3 |
3 |
Actuation of a Safety Significant Structure, System, or Component. Not applicable to LBNL. |
Cat 3 |
4 |
Any facility evacuation, not including a precautionary evacuation, in response to an actual occurrence. If the occurrence fell under another reporting criterion, then evacuation should be reported as well by noting multiple reporting criteria for the single occurrence. |
Cat 4 |
5 |
A facility operational occurrence 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. |
Cat 4 |
**6 |
A facility or operations shutdown (i.e., a change of operational mode or curtailment of work or processes) directed by management for safety reasons. |
Cat 4 |
7 |
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.) |
Cat 4 |
8 |
Any occurrence or condition that would prevent immediate facility or offsite emergency response capabilities. |
SC |
No. |
Occurrence Description |
Cat 3 |
1 |
Discovery of any suspect/counterfeit item or material found in a Safety Class or Safety Significant Structure, System, or Component (SSC). Not applicable to LBNL. |
Cat 4 |
2 |
Discovery of any suspect/counterfeit item or material other than office supplies, office equipment, or household products. 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. |
Cat 4 |
3 |
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. |
SC |
No. |
Occurrence Description |
Cat 2 |
**1 |
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. |
Cat 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. |
Cat 4 |
3 |
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. |
Cat 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.) |
Not applicable to LBNL (see Lab Note 3, above).
Lab Notes: 1. The LBNL Radiation Protection Group
(ext. 6626) must be contacted for all adverse or abnormal radiation-related
occurrences, regardless of thresholds or significance category. The
Radiation Protection Group provides immediate assistance to mitigate
any adverse or abnormal radiation-related incident and to determine
the reportability of the incident. |
SC |
No. |
Occurrence Description |
Cat 2 |
1 |
Identification of radioactive material off site 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. |
Cat 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. |
Cat 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. |
SC |
No. |
Occurrence Description |
Cat 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]. |
Cat 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). |
Cat 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 percent or 100-mrem effective dose equivalent due to external exposure. |
Cat 3 |
4 |
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. |
SC |
No. |
Occurrence Description |
Cat 2 |
**1 |
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. |
Cat 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. |
Cat 4 |
3 |
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. |
Lab Notes: Group 7 is not applicable to LBNL. |
Lab Notes: 1. Radiological materials
transported using the defined route between LBNL and the UC Berkeley
Campus are deemed to be on-site transfers. |
SC |
No. |
Occurrence Description |
Cat 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. |
Cat 3 |
2 |
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. |
Cat 4 |
3 |
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. |
Cat 4 |
4 |
Any packaging or transportation activity involving the onsite release of radioactive materials, etiologic agents, hazardous substances, hazardous waste, or marine pollutants. |
Lab Notes: 1. Enforcement action is reportable
even if the fine is later reduced below $10,000, or the number of violations
is reduced below ten. |
SC |
No. |
Occurrence Description |
Cat 3 |
1 |
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.] |
Cat 4 |
2 |
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). |
SC |
No. |
Occurrence Description |
Cat 2 |
1 |
Any occurrence 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.] |
Cat 1–4 |
†2 |
An occurrence, condition, or series of occurrences 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. |
Cat 1–4 |
†3 |
A near miss, where no barrier or only one barrier prevented an occurrence 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. |
Cat 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. |
Cat 4 |
**5 |
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 occurrence sequence number]. |
Go here to download an electronic copy of the LBNL ORPS Report Worksheet, in Microsoft Word.
Go here to download an electronic copy of the LBNL ORPS Short Form Worksheet, in Microsoft Word.
Table 15.4.1 Surface Contamination Values[1] in dpm/100 cm[2]
Radionuclide |
||
U-nat, U-235, U-238, and associated decay products | 1,000[7] |
5,000[7] |
Transuranics, Ra-226, Ra-228, Th-230, Th-228, Pa-231, Ac-227, I-125, I-129 | 20 |
500 |
Th-nat, Th-232, Sr-90, Ra-223, Ra-224, U-232, I-126, I-131, I-133 | 200 |
1,000 |
Beta-gamma emitters (nuclides with decay modes other than alpha emission or spontaneous fission) except Sr-90 and others noted above[5] | 1,000 |
5,000 |
Tritium and tritiated compounds[6] | 10,000 |
N/A |
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Notes
Appendix A:
* Group 1 reportable occurrences (operational emergencies) marked with asterisks (*) require within 15 minutes’ prompt notification to DOE. LBNL emergency management personnel provide the prompt notification for the Laboratory.
**All reportable occurrences (as described in Groups 2–10 of Appendix A) marked with asterisks (*) require within 2 hours’ prompt notification to DOE regardless of the significance category (SC). Contact OAA at ext. 4046/7457 to initiate the prompt notification.
†Note: An SC 1 occurrence report requires Prompt Notification.
Appendix D: Surface Contamination Values
1. The values in this appendix, with the exception noted in footnote 5, apply to radioactive contamination deposited on, but not incorporated into, the interior or matrix of the contaminated item. Where surface contamination by both alpha- and beta-gamma-emitting nuclides exists, the limits established for alpha-and beta-gamma-emitting nuclides apply independently.
2. As used in this table, disintegrations per minute (dpm) means the rate of emission by radioactive material as determined by correcting the counts per minute observed by an appropriate detector for background, efficiency, and geometric factors associated with the instrumentation.
3. The levels may be averaged over one square meter, provided the maximum surface activity in any area of 100 cm2 is less than three times the value specified. For purposes of averaging, any square meter of surface will be considered to be above the surface contamination value if (1) it is determined from measurements of a representative number of sections that the average contamination level exceeds the applicable value, or (2) it is determined that the sum of the activity of all isolated spots or particles in any 100 cm2 area exceeds three times the applicable value.
4. The amount of removable radioactive material per 100 cm2 of surface area should be determined by swiping the area with dry filter or soft absorbent paper, applying moderate pressure, and then assessing the amount of radioactive material on the swipe with an appropriate instrument of known efficiency. (Note: The use of dry material may not be appropriate for tritium.) When removable contamination on objects of surface area less than 100 cm2 is determined, the activity per unit area will be based on the actual area, and the entire surface will be wiped. It is not necessary to use swiping techniques to measure removable contamination levels if direct scan surveys indicate that the total residual surface contamination levels are within the limits for removable contamination.
5. This category of radionuclides includes mixed fission products, including the Sr-90 that is present in them; it does not apply to Sr-90 that has been separated from the other fission products or mixtures where the Sr-90 has been enriched.
6. Tritium contamination may diffuse into the volume or matrix of materials. Surface contamination evaluations will consider the extent to which such contamination may migrate to the surface in order to ensure the surface contamination value provided in this appendix is not exceeded. Once this contamination migrates to the surface, it may be removable, not fixed; therefore, a ``total'' value does not apply.
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