ORPS Redesign Project Model In Detail

1. ORPS Redesign Project Model In Detail Module 92007 Elaine Patterson

2. “New ORPS Model” Overview • Maintains Process for Emergencies (DOE Order 151.1A) • Adopts Tailored Approach to Key Process Elements to Include Event/Condition: • Notification • Investigation and Causal Analysis • Process Management/Administration • Corrective Action Closure Verifications • Corrective Action Effectiveness Reviews • Integrates System with Lessons Learned/Operating Experience Review Processes at all Organizational Levels to Prevent Event Recurrence

3. Significance Category Definitions • Category 1 - Significant Impact on safe facility operations, worker or public safety and health, regulatory compliance, or public/business interests • Category R – Recurring as determined from the periodic performance analysis of occurrences across a site, PSO, or DOE • Category 2 - Moderate Impact on safe facility operations, worker or public safety and health, regulatory compliance, or public/business interests • Category 3 - Minor Impact on safe facility operations, worker or public safety and health, regulatory compliance, or public/business interests • Category 4 - Some Impact on safe facility operations, worker or public safety and health, public/business interests .

4. Significance Category Application • New Reporting Criteria Hard-wired to Significance Category • 129 Criteria (current) Reduced to 69 Criteria (new) • Based on Actual & Potential Consequences of the Event • Type A/B Accident Investigation Criteria Appropriately Incorporated • Prompt Notification & Near Misses Clearly Addressed • Transportation QA, Public/Business Impacts Addressed • Facility/Site Safety & Operational Stand-downs Addressed • All Elements of Process Based on Significance • For Example: • Category 1 Event or Recurring Category R Event - Formal “Root Cause” Analysis Required - All Other SC’s “Apparent Cause” Analysis • Category 4 Event - Short Form Reporting, All Actions Managed through Contractor Corrective Action Programs

5. Other Key Process Changes • Establishes New “Casual Analysis Tree” Incorporating Industry Based “Human Performance” Elements • Establishes Tailored Approach to Report Approval Process • HQ & Field/Area Office - Significance Category 1 & Recurring Events • Field/Area Office - Significance Category 2 Events • Contractor - Significance Category 3 & 4 Events • Requires Effectiveness Reviews of “Corrective Actions to Prevent Recurrence” for Significance Category 1 and Recurring Category R Events • Requires “Performance Analysis” to Identify Recurring Events • Contractor, Field Office and DOE Corporate Levels • Focus on “Precursors” to Prevent More Serious Events • Significant Responsibility/Accountability Shifted to Contractor for Corrective Action Management with DOE Field Office Oversight

6. 1 Cat: Categorization Time from Discovery Date and Time NLT: No Later Than 3 LL: Lessons Learned (while LL are being PN: Prompt Notification from Categorization Date and Time COB: Close of Business redesigned, enter in ORPS) WN: Written Notification from Categorization Date and Time 2 Specific Significance Category 2, 3, and 4 occurrences OE: Operating Experience (by EH-3) UR: Update Report (identified with an asterisk in the reporting criteria listed FR: Final Report from Categorization Date and Time in Chapter 6) also require Verbal Notification to the DOE HQ EOC. New Occurrence Reporting Model

7. Significance Category Examples • SC 1 – Any occurrence due to DOE operations resulting in a fatality or terminal injury or illness. (8 SC 1 criteria) • R – A significant number of occurrences resulting from inadequate work organization and planning (e.g., inadequate work package preparation) as determined in a quarterly performance analysis. • SC 2 – A Stop Work Order issued by a DOE office or any event resulting in the initiation of a Type A or B investigation. (23 SC 2 criteria)

8. Significance Category Examples (continued) • SC 3 – Any unplanned fire in an operational facility that takes longer than 10 minutes to extinguish following the arrival of fire protection personnel. (16 SC 3 criteria) • SC 4 – An event consisting solely of a surveillance test performed after the prescribed surveillance period, and in which the equipment was found to be capable of performing its specified safety function. (19 SC 4 criteria requiring only a Short Form) • SC 1-4 – In specific reporting groups, a near miss or an event that could have produced a potentially higher consequence. (2 SC 1-4 criteria)

9. ORPS Redesign Project New Tools

10. New Documentation • The new documentation for the Occurrence Reporting Program consists of the following items: • DOE Order 231.1A, Environment, Safety, and Health Reporting http://www.directives.doe.gov/pdfs/doe/doetext/neword/231/o2311a.pdf • DOE Manual 231.1-2, Occurrence Reporting and Processing of Operations Information http://www.directives.doe.gov/pdfs/doe/doetext/neword/231/m2311-2.pdf

11. New Documentation (con’t) • DOE Guide 231.1-1, Occurrence Reporting and Performance Analysis Guide http://www.directives.doe.gov/pdfs/doe/doetext/neword/231/g2311-1.pdf • DOE Guide 231-1-2, Occurrence Reporting Causal Analysis Guide • http://www.directives.doe.gov/pdfs/doe/doetext/neword/231/g2311-2.pdf

12. New Order • New DOE Order 231.1A, Environment, Safety, and Health Reporting, combines the requirements from two existing Orders: • Current DOE Order 231.1, Environment, Safety, and Health Reporting • Current DOE Order 232.1A, Occurrence Reporting and Processing of Operations Information • Ties together all ESH reporting programs.

13. New Manual • The new DOE Manual 231.1-2 contains the following: • Specific Roles & Responsibilities • New Occurrence Reporting Model with six Significance Categories (E, 1, R, 2, 3, 4) • New Reporting Criteria • New Performance Analysis Requirement • New Causal Analysis Tree • New Approval Requirements • New Corrective Action Capabilities • Short Form for SC 4 Occurrences • Contractor’s Requirements Document • 90-Days to Write Implementing Procedures

14. Occurrence Reporting and Performance Analysis Guide • The Occurrence Reporting and Performance Guide provides added occurrence reporting guidance, clarification, and/or interpretations. Additional information will be added as needed. • Lists and describes the data fields to be reported. • Describes the performance analysis methodology to identify recurring events: • Quarterly review of reportable and nonreportable occurrences • Use one year’s worth of data with a rolling quarter • Events are analyzed to identify recurring events.

15. Causal Analysis Guide • Assists personnel in determining the Apparent Cause(s) of reportable occurrences by: • Describing a causal analysis process. • Defining each node on the Causal Analysis Tree. • Listing examples for each node. • Offering possible corrective actions for each node.

16. ORPS - Transition from Old to New • On July 1, the new Occurrence Reporting Directives and thus the ORPS system will go operational. • Similarities: • Same access method - URL, ID and Password • Similar look and feel • Differences: • New Significance Categories • New Reporting Criteria • New Cause Codes • New Corrective Action Reporting • Improved Software • Short Form / No Roll-Up Reports • Was a Subcontractor Involved and, if so, the Name • Current ORBITT Bins – Now Called HQ Bins

17. Data Entry & Searching • Single Data Entry Screen for old and new reports: • New reports will be entered using new fields and codes • Old reports will be closed out using old fields and codes • Single Search and Reports Screen for old and new searching: • Old and new fields are annotated • For same data field but different selection options, both old and new menu choices will pop-up