Environment, Safety, and Health (ES&H) Oversight of Contractors

Management System: Environment, Safety, and Health

Subject Area: Environment, Safety, and Health (ES&H) Oversight of Contractors

Point of Contact:	ROBERT DESMARAIS
Management System Owner:	PATRICK SMITH
Secondary Management System Owner:	KARL MORO

SCMS Home Page | Revision History | Subject Area Definitions

Issue Date: 07/11/2012
SCMS Revision: 3.2

1.0 Introduction

The purpose of this subject area is to complement the Quality Assurance and Oversight Management System Description by addressing areas of contractor oversight specific to ES&H. These specific areas include procedures for (1) Facility Representative Oversight, (2) Stop Work and Facility Shutdown, and (3) U.S. Department of Energy (DOE) review of contractor radiation protection program (RPP) documents,as well as exhibits containing Rule Enforcement, Occurrence Reporting, and RPP review expectations. In general, these processes are applicable to all DOE Office of Science (SC) management and staff that oversee contractor activities to ensure that work is performed in a safe, reliable, and environmentally compliant manner. The activities performed in these procedures are performed by trained and qualified SC employee(s) through interfaces with contractor counterparts, attendance at meetings, walk-through's of spaces and facilities, and assessments of contractor programs and performance.

2.0 Contents

Procedures	Procedure Content
1. Stop Work and Facility Shutdown	Stop activities because of imminent danger. Resume activities after Stop Work. Invoke Facility Shutdown.
2. Facility Representative Oversight	Determine the appropriate facility coverage. Ensure the competence of SC Facility Representative(s) through training and qualifications.
3. Reviewing and Approving 10 CFR 835 Radiation Protection Programs	Establish the RPP review process at SC field element offices and SC Headquarters. Orient the 10 CFR 835 Points of Contact to their roles and responsibilities.
4. Performing Enforcement Coordination	Designate an Enforcement Coordinator. Make notifications on assignments. Promote contractor self-identification and correction of noncompliance conditions. Assign trained and knowledgeable staff for support of investigations and reviews. Carry out Enforcement responsibilities.

3.0 Exhibits/Forms

Examples of Actions or Activities That May Warrant Stop Work Actions

Examples of Conditions That May Warrant a Facility Shutdown Order

General Guidance on Issuance of Stop Work Actions

Occurrence Management Expectations

Rule Enforcement Expectations

4.0 Related Information

10 CFR 708, DOE Contractor Employee Protection Program (“Whistleblower” Protection)
10 CFR 824, Procedural Rules for the Assessment of Civil Penalties of Classified Information Security Violations
DOE G 231.1-1, Occurrence Reporting and Performance Analysis Guide
DOE G 231.1-2, Occurrence Reporting Causal Analysis Guide
DOE G 441.1-1C, Radiation Protection Programs Guide for Use with Title 10, Code of Federal Regulations, Part 835, Occupational Radiation Protection
DOE O 470.2B, Independent Oversight and Performance Assurance Program
DOE‑STD‑1063‑2006, Facility Representatives
DOE Office of Enforcement “Enforcement Process Overview” Guide
Facility Representative Program's Criteria Review and Approach Document (CRAD) Web site
Facility Representative Program Surveillance Guides Web site
Occurrence Reporting and Processing System (ORPS) Portal
Procedure 5, "Verifying Readiness for Startup and Restart of Nuclear Facilities," of the Facility Safety Authorization Subject Area
Procedure 11, "Startup and Operations of Accelerator Facilities," of the Facility Safety Authorization Subject Area
Office of Science (SC) Environment, Safety, and Health (ES&H) Functions, Responsibilities, and Authorities (FRA) Document
SC Quality Assurance and Oversight Management System Description

5.0 Requirements

Document	Title	Requirement Decision Record
7 CFR 657	Prime and Unique Farmlands	Completed
7 CFR 658	Farmland Protection Policy Act	Completed
40 CFR 104	Public Hearings on Effluent Standards for Toxic Pollutants	Completed
40 CFR 123	State Program Requirements	Completed
10 CFR 820	Procedural Rules For DOE Nuclear Activities	Completed
10 CFR 830	Nuclear Safety Management	Completed
10 CFR 835	Occupational Radiation Protection	Completed
10 CFR 850	Chronic Beryllium Disease Prevention Program	Completed
10 CFR 851	Worker Safety and Health	Completed
15 CFR 922	National Marine Sanctuary Program Regulations	Completed
15 CFR 930	Federal Consistency with Approved Coastal Management Programs	Completed
29 CFR 1904	Recording and Reporting Occupational Injuries and Illnesses	Completed
29 CFR 1910	Occupational Safety and Health Standards	Completed
36 CFR 62	National Natural Landmarks Program	Completed
36 CFR 251	Land Use	Completed
36 CFR 261	Prohibitions	Completed
36 CFR 294	Special Areas	Completed
36 CFR 297	Wild and Scenic Rivers	Completed
40 CFR 61	National Emission Standards For Hazardous Air Pollutants	Completed
40 CFR 105	Recognition Awards under the Clean Water Act	Completed
40 CFR 108	Employee Protection Hearings	Completed
40 CFR 109	Criteria for State, Local and Regional Oil Removal Contingency Plans	Completed
40 CFR 110	Discharge of Oil	Completed
40 CFR 112	Oil Pollution Prevention	Completed
40 CFR 113	Liability Limits for Small Onshore Storage Facilities	Completed
40 CFR 116	Designation of Hazardous Substances	Completed
40 CFR 117	Determination of Reportable Quantities for Hazardous Substances	Completed
40 CFR 121	State Certification of Activities Requiring a Federal License or Permit	Completed
40 CFR 122	EPA Administered Permit Programs: The National Pollutant Discharge Elimination System	Completed
40 CFR 124	Procedures for Decision Making	Completed
40 CFR 125	Criteria and Standards for the National Pollutant Discharge Elimination System	Completed
40 CFR 129	Toxic Pollutant Effluent Standards	Completed
40 CFR 130	Water Quality Planning and Management	Completed
40 CFR 131	Water Quality Standards	Completed
40 CFR 132	Water Quality Guidance for the Great Lakes System	Completed
40 CFR 133	Secondary Treatment Regulation	Completed
40 CFR 135	Prior Notice of Citizen Suits	Completed
40 CFR 136	Guidelines Establishing Test Procedures for the Analysis of Pollutants	Completed
40 CFR 140	Marine Sanitation Device Standard	Completed
40 CFR 141	National Primary Drinking Water Regulations	Completed
40 CFR 142	National Primary Drinking Water Regulations Implementation	Completed
40 CFR 143	National Secondary Drinking Water Regulations	Completed
40 CFR 144	Underground Injection Control Program	Completed
40 CFR 145	State UIC Program Requirements	Completed
40 CFR 146	Underground Injection Control Program: Criteria and Standards	Completed
40 CFR 147	State Underground Injection Control Programs	Completed
40 CFR 148	Hazardous Waste Injection Restrictions	Completed
40 CFR 149	Sole Source Aquifers	Completed
40 CFR 165	Pesticide Management and Disposal	Completed
40 CFR 166	Exemption of Federal and State Agencies for Use of Pesticides Under Emergency Conditions	Completed
40 CFR 167	Registration of Pesticide and Active Ingredient Producing Establishments, Submission of Pesticide Reports	Completed
40 CFR 168	Statements of Enforcement Policies and Interpretations	Completed
40 CFR 169	Books and Records of Pesticide Production and Distribution	Completed
40 CFR 170	Worker Protection Standard	Completed
40 CFR 171	Certification of Pesticide Applicators	Completed
40 CFR 172	Experimental Use Permits	Completed
40 CFR 173	Procedures Governing the Rescission of State Primary Enforcement Responsibility for Pesticide Use Violations	Completed
40 CFR 174	Procedures and Requirements for Plant-Incorporated Protectants	Completed
40 CFR 176	Time-limited Tolerances for Emergency Exemptions	Completed
40 CFR 178	Objections and Requests for Hearing	Completed
40 CFR 180	Tolerances and Exemptions from Tolerances for Pesticide Chemicals in Food	Completed
40 CFR 191	Environmental Radiation Protection Standards for Management and Disposal of Spent Nuclear Fuel, High-Level and Transuranic Radioactive Wastes	Completed
40 CFR 239	Requirements for State Permit Program Determination of Adequacy	Completed
40 CFR 240	Guidelines for the Thermal Processing of Solid Wastes	Completed
40 CFR 243	Guidelines for the Storage and Collection of Residential, Commercial, and Institutional Solid Waste	Completed
40 CFR 246	Source Separation for Materials Recovery Guidelines	Completed
40 CFR 247	Comprehensive Procurement Guideline for Products Containing Recovered Materials	Completed
40 CFR 254	Prior Notice of Citizen Suits	Completed
40 CFR 255	Identification of Regions and Agencies for Solid Waste Management	Completed
40 CFR 256	Guidelines for Development and Implementation of State Solid Waste Management Plans	Completed
40 CFR 257	Criteria for Classification of Solid Waste Disposal facilities and Practices	Completed
40 CFR 260	Hazardous Waste Management System: General	Completed
40 CFR 261	Identification and Listing of Hazardous Waste	Completed
40 CFR 262	Standards Applicable to Generators of Hazardous Waste	Completed
40 CFR 263	Standards Applicable to Transporters of Hazardous Waste	Completed
40 CFR 264	Standards for Owners and Operators of Hazardous Waste Treatment, Storage, and Disposal Facilities	Completed
40 CFR 265	Interim Status Standards for Owners and Operators of Hazardous Waste Treatment, Storage, and Disposal Facilities	Completed
40 CFR 266	Standards for the Management of Specific Hazardous Wastes and Specific Types of Hazardous Waste Management Facilities	Completed
40 CFR 267	Standards for Owners and Operators of Hazardous Waste Facilities Operating Under a Standardized Permit	Completed
40 CFR 268	Land Disposal Restrictions	Completed
40 CFR 270	EPA-Administered Permit Programs: The Hazardous Waste Permit Program	Completed
40 CFR 271	Requirements for Authorization of State Hazardous Waste Programs	Completed
40 CFR 272	Approved State Hazardous Waste Management Programs	Completed
40 CFR 273	Standards for Universal Waste Management	Completed
40 CFR 278	Criteria for the Management of Granular Mine Tailings (CHAT) In Asphalt Concrete and Portland Cement Concrete in Transportation Construction Projects Funded in Whole or Part by Federal Funds	Completed
40 CFR 279	Standards for the Management of Used Oil	Completed
40 CFR 280	Technical Standards and Corrective Action Requirements for Owners and Operators of Underground Storage Tanks (UST)	Completed
40 CFR 281	Approval of State Underground Storage Tank Programs	Completed
40 CFR 282	Approved Underground Storage Tank Programs	Completed
40 CFR 300	National Oil and Hazardous Substances Pollution Contingency Plan	Completed
40 CFR 302	Designation, Reportable Quantities, and Notification	Completed
40 CFR 350	Trade Secrecy Claims for Emergency Planning and Community Right-To-Know Information: And Trade Secret Disclosures to Health Professionals	Completed
40 CFR 355	Emergency Planning and Notification	Completed
40 CFR 370	Hazardous Chemical Reporting: Community Right-To-Know	Completed
40 CFR 372	Toxic Chemical Release Reporting: Community Right-To-Know	Completed
40 CFR 374	Prior Notice of Citizen Suits	Completed
40 CFR 452	Consideration of Application by the Secretary	Completed
40 CFR 453	Endangered Species Committee	Completed
40 CFR 702	General Practices and Procedures	Completed
40 CFR 704	Reporting and Recordkeeping Requirements	Completed
40 CFR 707	Chemical Imports and Exports	Completed
40 CFR 710	TSCA Chemical Inventory Regulations	Completed
40 CFR 712	Chemical Information Rules	Completed
40 CFR 716	Health and Safety Data Reporting	Completed
40 CFR 717	Records and Reports of Allegations That Chemical Substances Cause Significant Adverse Reactions to Health or the Environment	Completed
40 CFR 720	Premanufacture Notification	Completed
40 CFR 721	Significant New Uses of Chemical Substances	Completed
40 CFR 723	Premanufacture Notification Exemptions	Completed
40 CFR 725	Reporting Requirements and Review Processes for Microorganisms	Completed
40 CFR 745	Lead-Based Paint Poisoning Prevention In Certain Residential Structures	Completed
40 CFR 747	Metalworking Fluids	Completed
40 CFR 749	Water Treatment Chemicals	Completed
40 CFR 750	Procedures for Rulemaking Under Section 6 of the Toxic Substances Control Act	Completed
40 CFR 761	Polychlorinated Biphenyls (PCBs) Manufacturing, Processing, Distribution In Commerce, and Use Prohibitions	Completed
40 CFR 763	Asbestos	Completed
40 CFR 766	Dibenzo-Para-Dioxins/Dibenzofurans	Completed
43 CFR 3	Preservation of American Antiquities	Completed
48 CFR 970.5215-3	Conditional payment of fee, profit, and other incentives—facility management contracts	Completed
49 CFR 105	Transportation; Hazardous Material Program Definitions and General Procedures	Completed
49 CFR 107	Transportation; Hazardous Materials Program Procedures	Completed
49 CFR 110	Transportation; Hazardous Materials Public Sector Training and Planning Grants	Completed
49 CFR 130	Transportation; Oil Spill Prevention and Response Plans	Completed
49 CFR 171	Transportation; General Information, Regulations, and Definitions	Completed
49 CFR 172	Transportation; Hazardous Materials Table, Special Provisions, Hazardous Material Communications, Emergency Response Information, and Training Requirements	Completed
49 CFR 174	Transportation; Carriage by Rail	Completed
49 CFR 175	Transportation; Carriage by Aircraft	Completed
49 CFR 176	Transportation; Carriage by Vessel	Completed
49 CFR 177	Transportation; Carriage by Public Highway	Completed
49 CFR 178	Transportation; Specifications for Packaging's	Completed
49 CFR 179	Transportation; Specifications for Tank Cars	Completed
49 CFR 180	Transportation; Continuing Qualification and Maintenance of Packaging's	Completed
50 CFR 10	General Provisions	Completed
50 CFR 13	General Permit Procedures	Completed
50 CFR 18	Marine Mammals	Completed
50 CFR 21	Migratory Bird Permits	Completed
50 CFR 22	Eagle Permits	Completed
40 CFR 152	Pesticide Registration and Classification Procedures	Completed
40 CFR 153	Registration Policies and Interpretations	Completed
40 CFR 154	Special Review Procedures	Completed
40 CFR 155	Registration Standards and Registration Review	Completed
40 CFR 156	Labeling Requirements for Pesticides and Devices	Completed
40 CFR 157	Packaging Requirements for Pesticides and Devices	Completed
40 CFR 158	Data Requirements for Pesticides	Completed
40 CFR 159	Statements of Policies and Interpretations	Completed
40 CFR 160	Good Laboratory Practice Standards	Completed
40 CFR 161	Data Requirements for Registration	Completed
40 CFR 162	State Registration of Pesticide Products	Completed
40 CFR 164	Rules of Practice Governing Hearings, Under the Fed Insecticides, Fungicide, and Rodenticide Act, Arising from Refusals to Register Cancellations of Registrations, Changes of Classifications, Suspensions of Registrations and Other Hearings Called Pursua	Completed
50 CFR 216	Regulations Governing the Taking and Importing of Marine Mammals	Completed
50 CFR 450	General Provisions	Completed
50 CFR 600	Magnuson-Stevens Act Provisions	Completed
DEAR 970.5204-2	Laws, Regulations, and DOE Directives (DEC 2000) (Also Called The Laws Clause)	Completed
DEAR 970.5223-1	Integration of Environment, Safety, and Health into Work Planning and Execution	Completed
DOE O 425.1D	Verification of Readiness to Start Up or Restart Nuclear Facilities	Completed
DOE P 434.1	Conduct And Approval Of Select Agent And Toxin Work At Department Of Energy Sites	Completed
DOE P 456.1	Secretarial Policy Statement On Nanoscale Safety	Completed
DOE O 460.1C	Packaging And Transportation Safety	Completed
E.O. 11514	Protection And Enhancement Of Environmental Quality (Amended by E.O. 11541 and E.O. 11991)	Completed
E.O. 11738	Providing for Administration of the Clean Air Act and the Federal Water Pollution Control Act With Respect to Federal Contracts, Grants, or Loans	Completed
E.O. 11990	Protection Of Wetlands (Amended by E.O. 12608)	Completed
E.O. 12114	Environmental Effects Abroad Of Major Federal Actions	Completed
E.O. 13043	Increasing Seat Belt Use In The United States	Completed
E.O. 13112	Invasive Species (Amended by E.O. 13286)	Completed
E.O. 13186	Responsibilities Of Federal Agencies To Protect Migratory Birds	Completed
E.O. 13287	Preserve America	Completed
E.O. 13335	Incentives for the Use of Health Information Technology	Completed
E.O. 13432	Cooperation Among Agencies in Protecting the Environment With Respect To Greenhouse Gas Emissions From Motor Vehicles, Nonroad Vehicles, And Nonroad Engines	Completed
E.O. 13513	Federal Leadership On Reducing Text Messaging While Driving	Completed
OMB Circular A-119	Memorandum for Heads of Executive Departments and Agencies, Subject: Federal Participation in the Development and Use of Voluntary Consensus Standards and in Conformity Assessment Activities	Completed
P.L. 74-292	Historic Sites Act of 1935, As Amended	Completed
P.L. 85-624	Fish and Wildlife Coordination Act	Completed
P.L. 89-272	Solid Waste Disposal Act (SWDA)	Completed
P.L. 89-665	National Historic Preservation Act	Completed
P.L. 91-190	National Environmental Policy Act	Completed
P.L. 91-224	Environmental Quality Improvement Act of 1970	Completed
P.L. 91-596	Occupational Safety And Health Act	Completed
P.L. 91-604	Clean Air Act of 1970	Completed
P.L. 96-510	Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)	Completed
P.L. 99-499	Superfund Amendments and Reauthorization Act (SARA)	Completed
P.L. 101-508	Pollution Prevention Act of 1990	Completed
P.L. 102-383	Federal Facilities Compliance Act (FFCA) of 1992	Completed
P.L. 104-119	Land Disposal Program Flexibility Act of 1996	Completed
P.L. 104-303	Water Resources Development Act Of 1996	Completed
SC Aviation Management and Safety Program Description	SC Aviation Management and Safety Program Description	Completed
16 U.S.C., Section 662	Impounding, Diverting, or Controlling of Waters	Completed
16 U.S.C., Section 663	Impoundment or Diversion of Waters	Completed
16 U.S.C., Section 664	Administration; Rules and Regulations; Availability of Lands to State Agencies	Completed
16 U.S.C., Section 665	Investigations as to Effect of Sewage, Industrial Waste; Reports	Completed
16 U.S.C., Section 666	Authorization of Appropriations	Completed
16 U.S.C., Section 668	Protection of Bald and Golden Eagles; Bald and Golden Eagles	Completed
16 U.S.C., Section 668a	Protection of Bald and Golden Eagles; Taking and Using of the bald and golden eagle for scientific, exhibition, and religious purposes.	Completed
16 U.S.C., Section 668b	Protection of Bald and Golden Eagles; Enforcement provisions	Completed
16 U.S.C., Section 668c	Protection of Bald and Golden Eagles; Definitions	Completed
16 U.S.C., Section 668d	Protection of Bald and Golden Eagles; Availability of appropriations for Migratory Bird Treaty Act	Completed
16 U.S.C., Section 703	Migratory Bird Treaty; Taking, Killing, or Possessing Migratory Birds Unlawful	Completed
16 U.S.C., Section 704	Migratory Bird Treaty; Determination as to When and How Migratory Birds May be Taken, Killed, or Possessed	Completed
16 U.S.C., Section 705	Migratory Bird Treaty; Transportation or Importation of Migratory Birds, when unlawful	Completed
16 U.S.C., Section 706	Migratory Bird Treaty; Arrests, Search Warrants	Completed
16 U.S.C., Section 707	Migratory Bird Treaty; Violations and Penalties; Forfeitures	Completed
16 U.S.C., Section 708	Migratory Bird Treaty; State or Territorial Laws or Regulations	Completed
16 U.S.C., Section 709	Migratory Bird Treaty; Omitted (Authorization of Appropriations)	Completed
16 U.S.C., Section 710	Migratory Bird Treaty; Partial Invalidity, short title	Completed
16 U.S.C., Section 711	Migratory Bird Treaty; Breeding And Sale For Food Supply	Completed
16 U.S.C., Section 1371	Conservation and Protection of Marine Mammals; Moratorium on Taking and Importing Marine Mammals and Marine Mammal Products	Completed
16 U.S.C., Section 1372	Conservation and Protection of Marine Mammals; Prohibitions	Completed
16 U.S.C., Section 1373	Conservation and Protection of Marine Mammals; Regulations on Taking of Marine Mammals	Completed
16 U.S.C., Section 1374	Conservation and Protection of Marine Mammals; Permits	Completed
16 U.S.C., Section 1375	Conversation and Protection of Marine Mammals; Penalties	Completed
16 U.S.C., Section 1376	Conversation and Protection of Marine Mammals; Seizure and Forfeiture of Cargo	Completed
16 U.S.C., Section 1377	Conservation and Protection of Marine Mammals; Enforcement	Completed
16 U.S.C., Section 1378	Conservation and Protection of Marine Mammals; International Program	Completed
16 U.S.C., Section 1379	Conservation and Protection of Marine Mammals; Transfer of Management Authority	Completed
16 U.S.C., Section 1380	Conservation and Protection of Marine Mammals; Marine Mammal Research Grants	Completed
16 U.S.C., Section 1381	Conservation and Protection Marine Mammals; Commercial Fisheries gear Development	Completed
16 U.S.C., Section 1382	Conservation and Protection of Marine Mammals; Regulations and Administration	Completed
16 U.S.C., Section 1383	Conservation and Protection of Marine Mammals; Application to other Treaties and Conventions	Completed
16 U.S.C., Section 1384	Conservation and Protection of Marine Mammals; Authorization of Appropriations	Completed
16 U.S.C., Section 1385	Conservation and Protection of Marine Mammals; Dolphin Protection	Completed
16 U.S.C., Section 1386	Conservation and Protection of Marine Mammals; Stock Assessments	Completed
16 U.S.C., Section 1387	Conservation and Protection of Marine Mammals; Taking of Marine Mammals Incidental to Commercial Fishing Operations	Completed
16 U.S.C., Section 1403	Marine Mammal Commission; Committee of Scientific Advisors on Marine Mammals	Completed
16 U.S.C., Section 1406	Marine Mammal Commission; Administration	Completed
16 U.S.C., Section 1407	Marine Mammal Commission; Authorization of Appropriations	Completed
25 U.S.C., Chapter 32	Native American Graves Protection and Repatriation	Completed
33 U.S.C., Section 404	Establishment Of Harbor Lines; Conditions To Grants For Extension Of Piers, etc.	Completed
42 U.S.C., Chapter 23	Development and Control of Atomic Energy	Completed
42 U.S.C., Section 1996	Protection and Preservation of Traditional Religions of Native Americans	Completed
42 U.S.C., Section 9620 (h)(3)(A)-©	Federal Facilities - Property Transferred by Federal Agencies	Completed

6.0 Definitions

Definitions.

This is not the online OFFICIAL SCMS COPY of this file. Before using this printed copy, verify that it is the most current version by checking the Last Major Revision and Last Minor Revision dates (at the bottom of each document) on the SCMS Web site.

This is the online OFFICIAL SCMS COPY of this file. Before using a printed copy, verify that it is the most current version by checking the Last Major Revision and Last Minor Revision dates (at the bottom of each document) on the SCMS Web site.

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