ES&H Manual



5300 Occurrence Reporting to

Department of Energy (DOE)



1.0            Introduction


Jefferson Lab’s Occurrence Reporting responsibilities are delegated to the ESH&Q Reporting Officer (x7611), or designated alternate.  The information contained in this chapter is directly applicable to the responsibilities of those personnel.


The Jefferson Lab Occurrence Reporting Program is based on the requirements contained in Department of Energy (DOE) Order 232.2, Occurrence Reporting and Processing of Operations Information (ORPS). 


The Jefferson Lab ESH&Q program is designed to prevent unplanned events, including injuries.  However, if such an event—termed an occurrence by the DOE—takes place, Jefferson Lab investigates and analyzes the mishap in accordance with ES&H Manual Chapter 5200 Event Investigation and Analysis Process to discover the cause and prevent similar events from recurring.  In order to help other research facilities avoid potential safety problems, Jefferson Lab shares its occurrence reports with other DOE facilities. 


The ESH&Q Reporting Officer reviews all Jefferson Lab notable events, as soon as practically possible after occurrence, for DOE reportability criteria called out in DOE Order 232.2, Occurrence Reporting and Processing of Operations Information (ORPS).  The information used to generate an ORPS submission or update is derived from Notable Event Reports.


The DOE Order 232.2 establishes a graded approach for reporting occurrences and investigations.  Attachment 4, page 35 of DOE Order 232.2 identifies specific performance targets for Jefferson Lab submissions, depending on levels of severity.  Performance parameters include but are not limited to:


·         Reporting timelines, including notifications,

·         Level of investigation and causal analysis,

·         Required approvals,

·         Corrective action development, verification, and validation, and

·         Lessons Learned


2.0            Responsibilities


2.1              ESH&Q Reporting Officer

·         Determine the appropriate DOE Occurrence Reporting category of a Notable Event, as well as applicability.

·         Categorize Notable Events in accordance with DOE reporting criteria.

·         Notify appropriate DOE authorities, specifically the designated TJSO point of contact for initial occurrence reports.

·         Input reportable information into the DOE operational database.

·         Maintain a log of Jefferson Lab Notable Event Reports including those determined not to be reportable to the DOE or the National Response Center.

·         Review DOE ORPS database quarterly for incidents of potential interest to Jefferson Lab. 

o   Detailed responsibilities, including distribution and entry of potentially recurrent events, are specified in Attachment 4, page 39 of DOE Order 232.2 Occurrence Reporting and Processing of Operations Information. 

·         Maintain appropriate DOE database access and training.

·         Ensure that the Reporting Officer Alternate has the proper DOE database access and training.


3.0            Occurrence Reporting to DOE Flowchart




4.0            Revision Summary


Revision 1.2 – 04/11/16 – Periodic Review; updated DOE orders and TPOC

Revision 1.1 – 04/19/11 – Added notification of DOE responsibility per John Kelly











ESH&Q Division

Tina Johnson





This document is controlled as an on line file.  It may be printed but the print copy is not a controlled document.  It is the user’s responsibility to ensure that the document is the same revision as the current on line file.  This copy was printed on 4/12/2016.