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Excerpts of DoE Manual covering Accident Investigation
SEE PREVIOUSLY EFFECTIVE ORDER 5483.1 CHANGE 7 ES&H DOE AI
Chapter 10 Accident Investigation.
Accidents shall be reported and investigated promptly so that additional injury may be averted. Documentation shall be forwarded to the Department of Energy (DOE), and records shall be maintained to substantiate possible employee claims.
This section applies to all persons supervised by PPPL and to work performed on PPPL property.
Accident - Any injury or illness requiring first-aid or treatment from trained medical professionals. Accidents also encompass incidents that result in property damage of at least $100.
10.4.1 Department or Division Heads are responsible for line implementation of this chapter.
10.4.2 Supervisors are responsible for ensuring line implementation of this chapter. Specifically, supervisors will:
A. Assure that employees who sustain injuries and/or illnesses suspected of being work-related report to the Occupational Medicine Office (OMO). In cases where an employee is incapacitated due to injury, or the Dispensary is closed, PPPL's Emergency Services Unit (ESU) shall be notified.
B. Ensure that employees returning to work following a work-related lost-time illness or injury report to Occupational Medicine Office for medical evaluation.
C. Provide accurate information during accident investigations. Supervisors shall report any incidents where fraud is suspected.
10.4.3 Employees are responsible to:
A. Immediately seek medical assistance for all work-related injuries or illnesses. For injuries occurring on PPPL premises, medical attention shall be administered at the Occupational Medicine Office. In cases where an employee is incapacitated due to an injury or the Dispensary is closed, PPPL's Emergency Services Unit shall be notified.
B. For work-related injuries and illnesses occurring off PPPL premises (injuries and illness sustained during business trips, off-site training exercises, etc.), immediate medical assistance may be rendered by personnel other than PPPL's Occupational Medicine Office or Emergency Services Unit.
C. Report or, if necessary, have someone else report injuries to their immediate supervisors.
D. Within 72 hours, or as soon as possible after an injury or illness, report it to the Environment, Safety, and Health Division.
10.4.4 The Occupational Medicine Office (OMO) is responsible for:
A. Sending a completed copy of Form OM-6, "Employee's Report of Injury," to PPPL's ES&H Division, OSHA Engineer.
B. Notifying immediately PPPL's ES&H Division OSHA Engineer of any injuries or illnesses that result, or may result, in lost time.
C. Informing PPPL's ES&H Division OSHA Engineer of any factors that may warrant additional investigation (i.e., "close calls" that could have resulted in more serious injuries, incidents where fraud is suspected, etc.).
10.4.5 The ES&H Division is responsible for:
A. Classifying accidents.
B. Establishing accident investigation boards/committees when necessary with the concurrence of the Facility Manager.
C. Investigating accidents and recommending corrective actions with the concurrence of the Facility Manager.
D. Notifying PPPL management.
10.5 Classification of Accidents
10.5.1 In order to increase the flexibility of the accident investigation system, the following classification will be used:
A. Type A - This is equivalent to the DOE Class A (defined in DOE 5484.1, Chapter I)
B. Type B - This is equivalent to the DOE Class B (defined in DOE 5484.1, Chapter I)
C. Type C-1 - This is equivalent to a DOE Class C accident, which (defined in DOE 5484.1, Chapter I):
1. Resulted in the immediate hospitalization of an individual;
2. Involved Government-owned, rented, or leased vehicles or privately owned vehicles while operated on official business; or
3. Resulted in property damage costing in excess of $1,000.
D. Type C-2 - This is equivalent to a DOE Class C accident, which resulted in a lost-time injury.
E. Type C-3 - This is equivalent to a DOE Class C accident, which resulted in a recordable injury.
10.5.2 Accident Investigation Boards/Committees
A. Type A - A Type A investigation board will be appointed by the DOE Princeton Area Office Manager. No personnel on the board shall be PPPL employees. The Associate Director for ES&H/QA will appoint an Independent Investigation Committee (IIC) composed of PPPL employees with the concurrence of the Facility Manager. This board will contain an ES&H safety professional, who will act as secretary. Superior and subordinates shall not serve on the same board nor shall any personnel directly related to the operation or activity involved in the occurrence.
B. Type B - A Type B investigation board will be appointed by the DOE Princeton Area Office manager. It shall be composed of DOE or PPPL employees or a combination of both. If the manager names only DOE employees, the Associate Director for ES&H/QA shall appoint an IIC as in A.
C. Type C-1 - A Type C-1 investigation shall be performed by a committee of PPPL employees appointed by the Associate Director for ES&H/QA or the appropriate DSO with the concurrence of the performed Facility Manager. The chairman shall normally be a safety professional from ES&H.
D. Type C-2 - A Type C-2 investigation will be made by a safety professional from ES&H, who has consulted with the appropriate Department Safety Officer (DSO).
E. Type C-3 - For a Type C-3 accident, a member of the medical staff will record the account of the accident as related by the employee on OMO Form OM-6, Employee's Report of Injury. One copy goes to the ES&H Division, one to the supervisor, and one to the appropriate DSO. Any of these people may initiate further investigation as appropriate.
10.5.3 Control of Accident Site
A. Type A and Type B Incidents
The procedures put forth in the Emergency Preparedness Plan will apply. It is the responsibility of the Incident Commander to assure that the accident site is maintained intact for investigation except for necessary measures to rescue personnel and prevent further injury or damage.
B. Type C-1 Incidents
Any employee present at the time of the incident shall report it to a supervisor or Area Safety Coordinator (ASC), who will secure the accident site pending the investigation. Electric power should be interrupted if it is involved in the incident. All tools involved in the incident should be placed out of service.
C. Type C-2 and Type C-3 Incidents
The supervisor or ASC will ensure that any tools involved in the incident are kept as is and out of service until released by the accident investigator from ES&H.
D. Release of Accident Site
The site will be released for normal use when the appropriate DSO and the investigating committee chairman agree to do so.
10.5.4 Conduct Of Investigation
A. Type A and Type B Incidents
These investigations shall be conducted according to current DOE policy on conducting Type A and Type B investigations. The DOE publication, Practical Guidance for Accident Investigation and Reporting provides such information.
B. Type C-1, C-2, or C-3 Incidents
1. The investigation will be done in sufficient depth to identify all direct and contributory factors.
2. The thrust of the investigation is not to fix blame, but to prevent recurrence.
3. The investigation will be begun and completed without unnecessary delay.
10.5.5 Report of Investigation
A. Type A and Type B Investigations
The writing and submission of these reports are covered in DOE Order 5484.1, Sections 1d and 2b. Since these boards are appointed by and report to the manager of the DOE Princeton Area Office, he will issue the detailed instructions regarding them.
B. IIC Investigations of Type A and B Incidents
1. The format of the report shall follow the DOE guidance for Types A and B investigations.
2. The Associate Director for ES&H/QA, as the appointing authority, will issue any additional instructions or make any modifications deemed proper.
C. Type C-1 Investigation
1. The Associate Director for ES&H/QA, or the DSO as the appointing authority, will issue any instructions deems proper.
2. In general, the length and detail of the report will be commensurate with the seriousness of the occurrence and/or the number and nature of the factors involved in the causation.
3. The reports will be signed by all members of the investigating committee unless they disagree with its conclusions and recommendations and the disagreement cannot be resolved. In such case the member or members in disagreement will submit a separate report. The Associate Director for ES&H/QA or, if delegated, the ES&H Executive Board, will review the report or reports and evaluate and resolve any areas of disagreement.
D. Type C-2 Investigations
1. The report will usually be brief and will report the factual circumstances involved in the occurrence including date, time, location, and personnel involved. Any other pertinent information, such as weather and personnel interviewed, should be added. Separate sections should list the direct and underlying causes of the occurrence and the recommendations for corrective action.
2. The report will be signed by the investigator and the ES&H Division Head or ES&H Deputy Division Head.
E. Type C-3 Investigations
Normally no formal investigation report will be written. The data obtained by the medical staff and noted on Form OM-6, Employee's Report of Injury, will suffice. Should any of the safety officers listed in Part 10.4.7-E conduct a further investigation, the report will follow the format of a Type C-2 investigation report.
10.5.6 Notification of PPPL Management
A. ES&H shall notify by telephone the Director, Deputy Director, Facility Manager, Associate Director for ES&H, and the appropriate DSO of any Type A, B, or C-1 accident.
B. When the ESU transports an injured employee directly to an outside facility, they will notify the Facility Manager and the Associate Director for ES&H/QA as soon as possible.