Worker Safety and Health Program, 3812-3835 [05-1203]
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Federal Register / Vol. 70, No. 16 / Wednesday, January 26, 2005 / Proposed Rules
Washington DC 20585–0270, 202–586–
4714, e-mail: jackie.rogers@hq.doe.gov.
SUPPLEMENTARY INFORMATION:
DEPARTMENT OF ENERGY
10 CFR Part 851
[Docket No. EH–RM–04–WSHP]
RIN 1901–AA99
Worker Safety and Health Program
Office of Environment, Safety
and Health, Department of Energy.
ACTION: Supplemental notice of
proposed rulemaking and opportunity
for public comment.
AGENCY:
SUMMARY: The Department of Energy
(DOE) is issuing a supplemental
proposal to implement the statutory
mandate of section 3173 of the Bob
Stump National Defense Authorization
Act for Fiscal Year 2003 to establish
worker safety and health regulations to
govern contractor activities at DOE
workplaces. The supplemental proposal
reflects consultations with the Defense
Nuclear Facilities Safety Board
(DNFSB), as well as comments received
from members of the public.
DATES: The comment period will end on
April 26, 2005. Public hearings will be
held on March 29 and 30, 2005 from 9
a.m. to 12 p.m. and from 1:30 p.m. to
5 p.m. Requests to speak at the hearings
should be phoned in to Jacqueline D.
Rogers, 202–586–4714, by March 28,
2005. Each presentation is limited to 10
minutes.
ADDRESSES: Written comments (three
copies) should be addressed to:
Jacqueline D. Rogers, U.S. Department
of Energy, Docket Number EH–RM–03–
WSH; Room GA–098, 1000
Independence Avenue, SW.,
Washington DC 20585–0270.
Alternatively, comments can be filed
electronically by e-mail to:
rule851.comments@hq.doe.gov noting
‘‘Worker Safety and Health Rule
Comments’’ in the subject line.
Copies of the public hearing
transcripts, written comments received,
and any other docket material may be
reviewed on the Web site specially
established for this proceeding. The
Internet Web site is https://
www.eh.doe.gov/rulemakingwsh.
The public hearings for this
rulemaking will be held in Washington,
DC at the Holiday Inn-Washington
Capitol, 550 C Street, SW., Washington,
DC 20024.
For more information concerning
public participation in this rulemaking
proceeding, see Section IV of this notice
(Public Comment Procedures).
FOR FURTHER INFORMATION CONTACT:
Jacqueline D. Rogers, U.S. Department
of Energy, Room GA–089, 1000
Independence Avenue, SW.,
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I. Introduction.
II. Supplemental Proposal.
III. Procedural Review Requirements.
A. Review Under Executive Order 12866.
B. Review Under Executive Order 12988.
C. Review Under Executive Order 13132.
D. Review Under Executive Order 13175.
E. Reviews Under the Regulatory
Flexibility Act.
F. Review Under the Paperwork Reduction
Act.
G. Review Under the National
Environmental Policy Act.
H. Review Under the Unfunded Mandates
Reform Act.
I. Review Under Executive Order 13211.
J. Review Under the Treasury and General
Government Appropriations Act, 1999.
K. Review Under the Treasury and General
Government Appropriations Act, 2001.
IV. Public Comment Procedures.
A. Written Comments.
B. Public Hearings.
I. Introduction
DOE has broad authority to regulate
worker safety and health pursuant to the
Atomic Energy Act of 1954 (AEA), 42
U.S.C. 2011 et seq., the Energy
Reorganization Act of 1974 (ERA), 42
U.S.C. 5801–5911, and the Department
of Energy Organization Act (DOEOA),
42 U.S.C. 7101–7352. DOE currently
exercises this authority in a
comprehensive manner by incorporating
appropriate provisions on worker safety
and health into the contracts under
which work is performed at DOE
workplaces. During the past decade,
DOE has taken steps to ensure that
contractual provisions on worker safety
and health are tailored to reflect
particular workplace environments. In
particular, the Integration of
Environment, Health and Safety into
Work Planning and Execution clause set
forth in the DOE procurement
regulations requires DOE contractors to
establish an integrated safety
management system. 48 CFR 952.223–
71 and 970.5223–1. As part of this
process, a contractor must define the
work to be performed, analyze the
potential hazards associated with the
work, and identify a set of standards
and controls that are sufficient to ensure
safety and health if implemented
properly. The identified standards and
controls are incorporated as contractual
requirements through the Laws,
Regulations and DOE Directives clause
set forth in the DOE procurement
regulations. 48 CFR 970.0470–2 and
970.5204–2. Specifically, the Laws,
Regulations and DOE Directives clause
set forth in the DOE procurement
regulations requires the incorporation of
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applicable DOE Orders into a contract
unless a contractor develops a tailored
set of standards and obtains DOE
approval to incorporate this tailored set
in place of the applicable DOE Orders.
In 2002, Congress directed DOE to
promulgate regulations on worker safety
and health to govern the conduct of
contractors with Price-Anderson
indemnification agreements in their
contracts. Specifically, section 3173 of
the National Defense Authorization Act
(NDAA) amended the AEA to add
section 234C (codified as 42 U.S.C.
2282c) that requires DOE to promulgate
worker safety and health regulations
that maintain ‘‘the level of protection
currently provided to * * * workers.’’
Pub. L. 107–314 (December 2, 2002).
These regulations are to include
‘‘flexibility to tailor implementation
* * * to reflect activities and hazards
associated with a particular work
environment; to take into account
special circumstances for facilities
permanently closed, demolished, or title
transferred; achieve national security
missions.’’ Section 234C also makes a
DOE contractor with such an
indemnification agreement that violates
these regulations subject to civil
penalties similar to the authority
Congress granted to DOE in 1988 with
respect to civil penalties. Section 234C
also directed DOE to insert in such
contracts a clause providing for
reducing contractor fees and other
payments in the event of a violation by
a contractor or contractor employee of
any regulation promulgated under
section 234C while specifying that both
sanctions may not be used for the same
violation.
On December 8, 2003, DOE published
a notice of proposed rulemaking to
implement section 3173 of the NDAA
(68 FR 68276). The December proposal
was intended to codify existing DOE
practices in order to ensure the worker
health and safety regulations would
provide DOE workers a level of
protection equivalent to that currently
afforded them. Specifically, under the
December proposal, a contractor would
comply with either a set of requirements
based primarily on the provisions of
DOE Order 440.1A, Worker Protection
Management for DOE Federal and
Contractor Employees, the current DOE
Order on worker health and safety, or a
tailored set of requirements approved by
DOE. The contractor would implement
these requirements pursuant to a worker
health and safety program approved by
DOE.
On January 1, 2004, DOE held a video
conference to allow DOE employees,
DOE contractors, contractor employees,
and employee representatives to become
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familiar with the December proposal.
DOE held public hearings on the
December proposal in Washington, DC
on January 21, 2004, and in Golden,
Colorado on February 4, 2004. In
addition to the oral comments at the
public hearings, DOE received
approximately 50 written comments on
the December proposal.
On February 27, 2004, after becoming
aware that the DNFSB had concerns
with regard to the December proposal,
DOE suspended the rulemaking in order
to consult with the DNFSB and to
consider comments received from other
stakeholders on the December proposal.
(69 FR 9277) As a result of its
consultation with the DNFSB and
consideration of other comments, DOE
is now restarting the rulemaking
proceeding through the issuance of this
notice that sets forth a supplemental
proposal, announces additional public
hearings and provides the opportunity
for further written comments.
II. Supplemental Proposal
The supplemental proposal contains
several provisions that differ from those
in the December proposal. These
proposed provisions incorporate
approaches put forth by the DNFSB
during consultations, as well as by the
comments on the December proposal.
Specifically, the supplemental proposal
contains provisions that would: (1)
Codify a minimum set of safety and
health requirements with which
contractors must comply; (2) establish a
formal exemption process which
requires approval by the Secretarial
Officer with line management
responsibility and provides for
significant involvement by the Assistant
Secretary for Environment, Safety and
Health; (3) delineate the role of the
worker safety and health program and
its relationship to integrated safety
management; (4) set forth the general
duties of contractors responsible for
DOE workplaces; and (5) limit the scope
of the regulations to contractor activities
at DOE sites.
Subpart C of the supplemental
proposal sets forth the proposed worker
safety and health requirements with
which a contractor would comply.
These proposed requirements
correspond, to a large extent, with the
provisions set forth in Appendix A to
the December proposal. These
requirements include a variety of OSHA
and consensus standards, and these
standards would be legally binding on
a contractor to the extent that a
requirement is applicable to the hazards
identified for a particular workplace
environment. DOE invites comments on
the question of whether the OSHA and
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consensus standards included in today’s
supplemental proposal provide an
appropriate basis for enforcing worker
safety and health requirements at DOE
facilities.
DOE does not expect that codification
of these requirements will result in
significant increased costs since, to a
very large extent, they are based on
existing provisions of DOE Order
440.1A, DOE Order 420 and DOE Notice
450.7 that have been incorporated into
most existing DOE contracts through the
Integration of Environment, Health and
Safety into Work Planning and
Execution clause and the Laws,
Regulations and DOE Directives clause.
Accordingly, most contractors already
should be implementing the substance
of the proposed requirements to the
extent applicable to the hazards
identified for a particular workplace
environment. In addition, DOE expects
that the implementation guidance for
the proposed requirements would be
essentially the same as the
implementation guidance for the
corresponding provisions in DOE Order
440.1A, DOE Order 420 and DOE Notice
450.7 and that contractors would make
use of analyses, evaluations and work
planning already undertaken to meet
their existing contractual worker health
and safety obligations. DOE requests
comments from any person who
believes that codification will result in
significant increased costs. These
comments should identify the reasons
for the increased costs and potential
changes to the supplemental proposal
that could reduce or eliminate increased
costs.
Subpart D of the supplemental
proposal sets forth a proposed
exemption process by which the
Secretarial Officer with line
management responsibility for a
contractor can relieve the contractor
from complying with a particular
requirement with respect to a particular
workplace. The Assistant Secretary for
Environment, Health and Safety would
have the opportunity to review and
comment on an exemption prior to its
issuance and, in the case of a non-NNSA
contractor, would have the option to
non-concur in the issuance of an
exemption. Subpart D is based on the
existing exemption process for nuclear
safety requirements that is set forth in
10 CFR part 820. Subpart D contains
specific provisions that would require
any exemption to: Adequately protect
the safety and health of workers; be
consistent with a safe and healthful
workplace free from recognized
workplace hazards that are causing or
are likely to cause death or serious
bodily injury; not permit exposure
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limits that are less protective than the
limits required by subpart C; not
diminish the level of protection afforded
workers; and involve a special
circumstance. The proposed list of
special circumstances includes three
situations not included in the
exemption process set forth in Part 820.
The additional situations would be
situations where: an exemption would
contribute to tailoring the requirements
of this part to reflect the hazards and
facilities associated with a particular
work environment; a facility is to be,
permanently closed and demolished, or
title is expected to be transferred to
another entity for reuse; or an
exemption would contribute
substantially to achieving a national
security mission of the Department of
Energy in an efficient and timely
manner. The proposed addition of these
three special circumstances is intended
to ensure the supplemental proposal
would have the regulatory flexibility
mandated by the NDAA.
DOE requests comments as to whether
the exemption process is the most
appropriate or effective method to:
Ensure sufficient regulatory flexibility to
address the myriad of workplace
environments across the DOE complex;
maintain a level of protection equivalent
to that currently afforded workers; take
advantage of worker safety and health
programs already implemented to meet
existing contractual obligations; and
minimize unnecessary costs. Comments
should identify potential modifications
or alternative approaches.
Subpart B of the supplemental
proposal sets forth the proposed
requirements for a contractor to
develop, implement, and maintain a
worker safety and health program and
for DOE to approve the program.
Subpart B would make clear that the
overarching objectives for a program
must be: Provision of a place of
employment that is free from recognized
workplace hazards that are causing or
are likely to cause death or serious
bodily harm to workers; and adequately
protecting workers from identified
hazards. These objectives are intended
to ensure that the statutory standards in
the AEA and the Occupational Safety
and Health Act are met.
Subpart B is based on the existing
process for establishing worker safety
and health programs pursuant to the
Integration of Environment, Health and
Safety into Work Planning and
Execution clause and DOE Order 440.
Specifically, a contractor responsible for
a covered workplace would identify
existing and potential workplace
hazards and assess the risk of associated
workers’ injuries and illnesses. To do
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this, the contractor would (1) define the
scope of work; (2) identify relevant
features of the work environment; (3)
perform activity level hazard analyses to
identify hazards; and (4) assess the risk
of injury and illness associated with
those hazards. After identifying hazards
and assessing risks, the contractor
would identify appropriate hazard
controls to protect workers from the
identified hazards prior to initiating
work activities. Selection of hazard
controls would take into account all
hazards to ensure the development of an
integrated set of hazard controls. The
contractor would prioritize and
implement abatement actions for
identified hazards according to risk,
implement interim protective measures
pending final abatement, and protect
workers from imminent danger.
Subpart B provides that a DOE
contractor responsible for one or more
covered workplaces at a DOE site would
submit to DOE, for its approval, a
written worker safety and health
program describing site-specific
methods and provisions for complying
with the program requirements. At sites
with multiple contractors responsible
for various workplaces at the site, the
contractors would coordinate with each
other to ensure that the worker safety
and health programs at the site are
integrated and consistent. Beginning
one year after the publication of the
final rule, no work could proceed at a
covered DOE workplace without a safety
and health program in place that had
been approved by the CSO or the DOE
site manager if approval authority were
delegated by the CSO. To ensure
consistency throughout program offices
and across DOE, however, the CSO or
site manager would consult with the
Assistant Secretary for Environment,
Safety and Health in the evaluation and
approval of contractor programs. To
ensure timely evaluation and processing
of each contractor-submitted program
and to avoid work stoppage due to
unnecessary delays, the CSO or the Site
Manager would be obligated to act on a
contractor-submitted program within 90
days of receipt of the program. DOE
requests comments as to how the
efficiency of the approval process might
be increased and, in particular, as to the
need for separate DOE approval of subelements of a worker safety and health
program.
A contractor would maintain the
worker safety and health program for a
workplace by evaluating and updating
the worker safety and health program to
reflect changes in the work and
associated hazards. The process for
defining the scope of work, analyzing
the hazards associated with the work,
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and identifying the applicable standards
should be an iterative process
performed continually to monitor
changes in workplace activities and
processes and to provide feedback on
program performance. Through this
process, a contractor would evaluate
significant changes or additions to
workplace activities to identify new
hazards and to assess whether the
existing program effectively addressed
the scope and nature of the work and
related hazards. This iterative process
would provide the contractor with the
information necessary to make changes
and improvements to all aspects of the
program as needed. On an annual basis,
the contractor would either submit its
updated worker safety and health
program to DOE for approval or, if no
changes are made to the program over
the past year, a letter to that effect.
Most contractors already have worker
safety and health programs in effect.
DOE expects contractors to build on
these existing programs and not to
duplicate work already undertaken to
meet existing contractual obligations.
For example, under paragraph 9 of the
DOE Order 440.1A, Contractor
Requirements document, DOE
contractors have for almost a decade
been required to: ‘‘Identify existing and
potential workplace hazards and
evaluate risk of associated worker injury
and illness; analyze or review: (1)
Designs for new facilities and
modifications to existing facilities and
equipment; (2) operations and
procedures; and (3) equipment, product,
and services; assess worker exposure to
chemical, physical, biological, or
ergonomic hazards through appropriate
workplace monitoring (including
personal, area, wipe, and bulk
sampling); biological monitoring; and
observation; evaluate workplaces and
activities (accomplished routinely by
workers, supervisors, and managers and
periodically by qualified worker
protection professionals); and report
and investigate accidents, injuries, and
illnesses and analyze related data for
trends and lessons learned.’’ Similarly,
under the Integration of Environment,
Health and Safety into Work Planning
and Execution clause, contractors are
required to: Identify and evaluate
workplace hazards, select an agreedupon set of safety and health standards
to address those specific hazards, and
implement administrative and
engineering controls to prevent or
mitigate specific workplace hazards.
Section 851.4 of the supplemental
proposal sets forth the proposed general
duties of a contractor responsible for a
covered workplace. Specifically, the
contractor would be responsible for:
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Ensuring the workplace is free from
recognized workplace hazards that are
causing or are likely to cause death or
serious bodily harm; providing workers
adequate protection from the hazards
identified for the workplace; complying
with the workplace safety and health
requirements set forth in subpart C of
the supplemental proposal that are
applicable to the hazards identified for
the workplace; complying with any
compliance order issued by the
Secretary that is applicable to the
workplace; ensuring work is performed
in accordance with the worker health
and safety program for the covered
workplace; and reporting to DOE and
investigate each occurrence, including
any near miss incident, that causes or
gives raise to a significant likelihood of
death or serious bodily harm to a
worker.
Section 851.1 of the supplemental
proposal would limit its scope to
contractor activities at DOE sites.
Federal employees would continue to be
covered by existing programs for federal
employees. Section 851.1 also would
exclude contractor employees at DOE
sites currently regulated by OSHA. DOE
believes this exclusion is appropriate
since there are no defense nuclear
facilities located at these sites and the
contractors responsible for workplaces
at these sites do not have PriceAnderson indemnification agreements
in their contracts.
III. Procedural Review Requirements
A. Review Under Executive Order 12866
Today’s proposed regulatory action
has been determined to be a ‘‘significant
regulatory action’’ under Executive
Order 12866, ‘‘Regulatory Planning and
Review’’ (58 FR 51735, October 4, 1993),
as amended by Executive Order 13258
(67 FR 9385, February 26, 2002).
Accordingly, DOE submitted this notice
of proposed rulemaking to the Office of
Information and Regulatory Affairs of
the Office of Management and Budget,
which has completed its review.
B. Review Under Executive Order 12988
With respect to the review of existing
regulations and the promulgation of
new regulations, Section 3(a) of
Executive Order 12988, ‘‘Civil Justice
Reform’’ (61 FR 4779, February 7, 1996)
imposes on Federal agencies the general
duty to adhere to the following
requirements: Eliminate drafting errors
and needless ambiguity, write
regulations to minimize litigation,
provide a clear legal standard for
affected conduct rather than a general
standard, and promote simplification
and burden reduction. Section 3(b)
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requires Federal agencies to make every
reasonable effort to ensure that a
regulation, among other things: Clearly
specifies the preemptive effect, if any,
adequately defines key terms, and
addresses other important issues
affecting the clarity and general
draftsmanship under guidelines issued
by the Attorney General. Section 3(c) of
Executive Order 12988 requires
Executive agencies to review regulations
in light of applicable standards in
Section 3(a) and Section 3(b) to
determine whether they are met or it is
unreasonable to meet one or more of
them. DOE has completed the required
review and determined that, to the
extent permitted by law, the proposed
rule meets the relevant standards of
Executive Order 12988.
C. Review Under Executive Order 13132
Executive Order 13132 (64 FR 43255,
August 10, 1999), imposes certain
requirements on agencies formulating
and implementing policies or
regulations that preempt State law or
that have federalism implications.
Agencies are required to examine the
constitutional and statutory authority
supporting any action that would limit
the policymaking discretion of the
States and carefully assess the necessity
for such actions.
Today’s regulatory action has been
determined not to be a ‘‘policy that has
federalism implications,’’ that is, it does
not have substantial direct effects on the
states, on the relationship between the
national government and the states, nor
on the distribution of power and
responsibility among the various levels
of government under Executive Order
13132 (64 FR 43255, August 10, 1999).
Accordingly, no ‘‘federalism summary
impact statement’’ was prepared or
subjected to review under the Executive
Order by the Director of the Office of
Management and Budget.
D. Review Under Executive Order 13175
Under Executive Order 13175 (65 FR
67249, November 6, 2000) on
‘‘Consultation and Coordination with
Indian Tribal Governments,’’ DOE may
not issue a discretionary rule that has
tribal implications and imposes
substantial direct compliance costs on
Indian tribal governments. DOE has
determined that the proposed rule
would not have such effects and
concluded that Executive Order 13175
does not apply to this proposed rule.
E. Review Under the Regulatory
Flexibility Act
The Regulatory Flexibility Act of 1980
(5 U.S.C. 601 et seq.) requires that an
agency prepare an initial regulatory
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flexibility analysis for any regulation
which a general notice of proposed
rulemaking is required, unless the
agency certifies that the rule, if
promulgated, will not have a significant
economic impact on a substantial
number of small entities (5 U.S.C.
605(b)).
Today’s proposed regulation would
establish DOE’s requirements for worker
safety and health at DOE sites. The
contractors who manage and operate
DOE facilities would be principally
responsible for implementing the rule
requirements. DOE considered whether
these contractors are ‘‘small
businesses,’’ as that term is defined in
the Regulatory Flexibility Act’s (5 U.S.C.
601(3)). The Regulatory Flexibility Act’s
definition incorporates the definition of
small business concerns in the Small
Business Act, which the Small Business
Administration (SBA) has developed
through size standards in 13 CFR part
121. The DOE contractors subject to the
proposed rule exceed the SBA’s size
standards for small businesses. In
addition, DOE expects that any potential
economic impact of this proposed rule
on small businesses would be minimal
because DOE sites perform work under
contracts to DOE or the prime contractor
at the site. DOE contractors are
reimbursed through their contracts with
DOE for the costs of complying with
DOE safety and health program
requirements. They would not,
therefore, be adversely impacted by the
requirements in this proposed rule. For
these reasons, DOE certifies that today’s
proposed rule, if promulgated, would
not have a significant economic impact
on a substantial number of small
entities, and therefore, no regulatory
flexibility analysis has been prepared.
See 68 FR 7990 at III.1. and III.1.c.
(February 19, 2003).
F. Review Under the Paperwork
Reduction Act
The information collection provisions
of this proposed rule are not
substantially different from those
contained in DOE contracts with DOE
prime contractors covered by this rule
and were previously approved by the
Office of Management and Budget
(OMB) and assigned OMB Control No.
1910–5103. That approval covered
submission of a description of an
integrated safety management system
required by the Integration of
Environment, Health and Safety into
Work Planning and Execution clause set
forth in the DOE procurement
regulations. 48 CFR 952.223–71 and
970.5223–1, 62 FR 34842, 34859–60
(June 17, 1997). If contractors at a DOE
site fulfill their contractual
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responsibilities for integrated safety
management properly, the worker safety
and health program required by the
proposed regulations should require
little if any new analysis or new
documents to the extent that existing
analysis and documents are sufficient
for purposes of the proposed
regulations. Accordingly, no additional
Office of Management and Budget
clearance is required by the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501
et seq.) and the procedures
implementing that Act, 5 CFR 1320.1 et
seq.
G. Review Under the National
Environmental Policy Act
DOE currently implements its broad
authority to regulate worker safety and
health through internal DOE directives
incorporated into contracts to manage
and operate DOE facilities, contract
clauses and DOE regulations. This
proposed rule would implement the
statutory mandate to promulgate worker
safety and health regulations for DOE
facilities that would provide a level of
protection for workers at DOE facilities
that is substantially equivalent to the
level of protection currently provided to
such workers and to provide procedures
to ensure compliance with the rule.
DOE anticipates that the contractor’s
work and safety programs required by
this regulation would be based on
existing programs and that this rule
would generally not require the
development of a new program. DOE
has therefore concluded that
promulgation of these regulations would
fall into the class of actions that would
not individually or cumulatively have a
significant impact on the human
environment as set forth in the DOE
regulations implementing the National
Environmental Policy Act of 1969 (42
U.S.C. 4321 et seq.). Specifically, the
rule would be covered under the
categorical exclusion in paragraph A6 of
Appendix A to subpart D, 10 CFR part
1021, which applies to the
establishment of procedural
rulemakings. Accordingly, neither an
environmental assessment nor an
environmental impact statement is
required.
H. Review Under the Unfunded
Mandates Reform Act
Title II of the Unfunded Mandates
Reform Act of 1995 (Pub. L. 104–4)
requires each Federal agency to prepare
a written assessment of the effects of
any Federal mandate in a proposed or
final agency regulation that may result
in the expenditure by states, tribal, or
local governments, on the aggregate, or
by the private sector, of $100 million in
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any one year. The Act also requires a
Federal agency to develop an effective
process to permit timely input by
elected officials of state, tribal, or local
governments on a proposed significant
intergovernmental mandate, and
requires an agency plan for giving notice
and opportunity to provide timely input
to potentially affected small
governments before establishing any
requirements that might significantly or
uniquely affect small governments. DOE
has determined that the proposed rule
published today does not contain any
Federal mandates affecting small
governments, so these requirements do
not apply.
I. Review Under Executive Order 13211
Executive Order 13211 (Actions
Concerning Regulations That
Significantly Affect Energy, Supply,
Distribution, or Use), 66 FR 28355 (May
22, 2001) requires preparation and
submission to OMB of a Statement of
Energy Effects for significant regulatory
actions under Executive Order 12866
that are likely to have a significant
adverse effect on the supply,
distribution, or use of energy. DOE has
determined that the proposed rule
published today would not have a
significant adverse effect on the supply,
distribution, or use of energy and thus
the requirement to prepare a Statement
of Energy Effects does not apply.
J. Review Under the Treasury and
General Government Appropriations
Act, 1999
Section 654 of the Treasury and
General Government Appropriations
Act, 1999 (Pub. L. 105–277) requires
Federal agencies to issue a ‘‘Family
Policymaking Assessment’’ for any
proposed rule that may affect family
well-being. The proposed rule has no
impact on the autonomy or integrity of
the family as an institution.
Accordingly, DOE has concluded that it
is not necessary to prepare a Family
Policymaking Assessment.
K. Review Under the Treasury and
General Government Appropriations
Act, 2001
The Treasury and General
Government Appropriations Act, 2001
(44 U.S.C. 3516, note) provides for
agencies to review most dissemination
of information to the public under
guidelines established by each agency
pursuant to general guidelines issued by
OMB. OMB’s guidelines were published
at 67 FR 8452 (Feb. 22, 2002), and
DOE’s guidelines were published at 67
FR 62446 (Oct. 7, 2002). DOE has
reviewed today’s notice of proposed
rulemaking under the OMB and DOE
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guidelines, and has concluded that it is
consistent with applicable policies in
those guidelines.
IV. Public Comment Procedures
A. Written Comments
Interested individuals are invited to
participate in this proceeding by
submitting data, views, or arguments.
Three copies of written comments
should be submitted to the address
indicated in the ADDRESSES section of
this notice. To help DOE review the
submitted comments, commenters are
requested to reference the provision to
which they refer where possible.
All information provided by
commenters will be available for public
inspection at the DOE Freedom of
Information Reading Room, Room 1E–
190, 1000 Independence Avenue, SW.,
Washington, DC 20585 between the
hours of 8:30 a.m. and 4:30 p.m.,
Monday through Friday, except Federal
Holidays. The docket file material for
this rulemaking will be under EH–RM–
04–WSHP.
DOE also intends to enter all written
comments on a Web site specially
established for this proceeding. The
Internet Web site is https://
www.eh.doe.gov/rulemakingwsh.
To assist DOE in making public
comments available on a website,
interested persons are to submit an
electronic version of their written
comments in accordance with the
instructions in the DATES section of this
notice of proposed rulemaking.
If you submit information that you
believe to be exempt by law from public
disclosure, you should submit one
complete copy, as well as two copies
from which the information claimed to
be exempt by law from public
disclosure has been deleted. DOE is
responsible for the final determination
with regard to disclosure or
nondisclosure of the information and for
treating it accordingly under the
Freedom of Information Act section on
‘‘Handling Information of a Private
Business, Foreign Government, or an
International Organization,’’ 10 CFR
1004.11.
B. Public Hearings
Public hearings will be held at the
time, date, and place indicated in the
DATES and ADDRESSES sections of this
notice of proposed rulemaking. Any
person who is interested in making an
oral presentation should, by 4:30 p.m.
on the date specified, make a phone
request to the number in the DATES
section of this notice of proposed
rulemaking. The person should provide
a daytime phone number where he or
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she may be reached. Persons requesting
an opportunity to speak will be notified
as to the approximate time they will be
speaking. Each presentation is limited to
10 minutes. Persons making oral
presentations should bring three copies
of their statement to the hearing and
submit them at the registration desk.
DOE reserves the right to select the
persons who will speak. In the event
that requests exceed the time allowed,
DOE also reserves the right to schedule
speakers’ presentations and to establish
the procedures for conducting the
hearing. A DOE official will be
designated to preside at each hearing,
which will not be judicial or
evidentiary. Only those persons
conducting the hearing may ask
questions. Any further procedural rules
needed to conduct the hearing properly
will be announced by the DOE presiding
official.
A transcript of each hearing will be
made available to the public. DOE will
retain the record of the full hearing,
including the transcript, and make it
available on the Web site specially
established for this proceeding. The
Internet Web site is https://
www.eh.doe.gov/rulemakingwsh. If DOE
must cancel the hearing, it will make
every effort to give advance notice.
List of Subjects in 10 CFR Part 851
Civil penalty, Hazardous substances,
Incorporation by reference,
Occupational safety and health, Safety,
Reporting and recordkeeping
requirements.
Issued in Washington, DC on January 14,
2005.
John Spitaleri Shaw,
Assistant Secretary for Environment, Safety
and Health.
For the reasons set forth in the
preamble, title 10, chapter III of the
Code of Federal Regulations is proposed
to be amended by adding part 851 to
read as set forth below.
PART 851—WORKER SAFETY AND
HEALTH PROGRAM
Subpart A—General Provisions
Sec.
851.1
851.2
851.3
851.4
851.5
851.6
851.7
851.8
851.9
851.10
Scope and exclusions.
Purpose.
Definitions.
General rule.
Compliance Order.
Interpretations.
Information and records.
Compliance date.
Enforcement.
Workers rights.
Subpart B—Worker Safety and Health
Program
851.100 Worker safety and health program.
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851.101 Approval and maintenance of the
worker safety and health program.
Subpart C—Safety and Health
Requirements
851.200 Worker safety and health
requirements.
851.201 Worker safety and health
standards.
851.202 Construction safety.
851.203 Fire protection.
851.204 Explosives safety.
851.205 Pressure retaining component
safety.
851.206 Motor vehicle safety.
851.207 Biological safety.
851.208 Firearms safety.
851.209 Industrial hygiene.
851.210 Occupational medicine.
§ 851.3
Subpart D—Exemption Relief
851.300 Exemptions.
851.301 Exemption criteria.
851.302 Terms and conditions.
Subpart E—Enforcement Process
851.400 Investigations and inspections.
851.401 Settlement.
851.402 Preliminary notice of violation.
851.403 Final notice of violation.
851.404 Administrative appeal.
851.405 Direction to NNSA contractors.
Appendix A To Part 851—General Statement
of Enforcement Policy
Authority: 42 U.S.C. 2201(i)(3), (p); 42
U.S.C. 2282c; 42 U.S.C. 5801 et seq.; 42
U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.
Subpart A—General Provisions
§ 851.1
Scope and exclusions.
(a) The worker safety and health
requirements in this part govern the
conduct of contractor activities at DOE
sites, with the exception of sites listed
in paragraph (b) of this section.
(b) This part does not apply to a DOE
site:
(1) Regulated by the Occupational
Safety and Health Administration
(OSHA) on [date on which final rule is
issued]; or
(2) Operated under the authority of
the Director, Naval Nuclear Propulsion,
pursuant to Executive Order 12344, as
set forth in Public Law 98–525, 42
U.S.C. 7158 note.
(c) This part does not apply to
radiological hazards to the extent
regulated by 10 CFR parts 820, 830 or
835.
§ 851.2
Purpose.
This part establishes the:
(a) Safety and health requirements
that a contractor responsible for a
covered workplace must implement
through a worker safety and health
program that provides its workers with
a safe and healthful workplace in which
workplace hazards are abated,
controlled or otherwise mitigated in a
manner that provides reasonable
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assurance that workers are adequately
protected from identified hazards; and
(b) Procedures for investigating
whether a violation of a requirement has
occurred, for determining the nature
and extent of any such violation, and for
imposing an appropriate remedy.
Definitions.
Activity-level hazard analysis means
an analysis of work-related hazards
relating to a specific job activity, task,
operation or process.
AEA means the Atomic Energy Act of
1954, 42 U.S.C. 2011 et seq.
Cognizant Secretarial Officer means
the Assistant Secretary, Deputy
Administrator, Program Office Director,
or equivalent DOE official who has
primary line management responsibility
for a contractor.
Compliance Order means an Order
issued by the Secretary to a contractor
that mandates a remedy, work stoppage,
or other action to address a situation
that violates, potentially violates, or
otherwise is inconsistent with a
requirement of this part.
Consent order means any written
document, signed by the Director and a
contractor, containing stipulations or
conclusions of fact or law and a remedy
acceptable to both DOE and the
contractor.
Contractor means any entity under
contract with DOE, or a subcontractor to
such an entity, and includes any
affiliated entity such as a parent
organization.
Director means a DOE Official to
whom the Secretary has assigned the
authority to investigate the nature and
extent of compliance with the
requirements of this part.
DOE means the United States
Department of Energy, including the
National Nuclear Security
Administration.
DOE site means a DOE-owned or
leased area or location where activities
and operations are performed at one or
more facilities or locations by a
contractor.
Final notice of violation means a
document that determines a contractor
has violated or is continuing to violate
a requirement of this part and includes:
(1) A statement specifying the
requirement of this part to which the
violation relates;
(2) A concise statement of the basis
for the determination;
(3) Any remedy, including the amount
of any civil penalty; and
(4) A statement explaining the
reasoning behind any remedy.
Final Order means an order of DOE
that represents final agency action and,
if appropriate, imposes a remedy with
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3817
which the recipient of the order must
comply.
General Counsel means the General
Counsel of DOE.
Hazard control means a procedure,
practice, means, method, operation,
work process, or other control used to
prevent, abate or mitigate workplace
hazards and associated risks.
Interpretation means a statement by
the General Counsel concerning the
meaning or effect of a requirement of
this part which relates to a specific
factual situation but may also be a
ruling of general applicability if the
General Counsel determines such action
to be appropriate.
NNSA means the National Nuclear
Security Administration.
Preliminary notice of violation means
a document that sets forth the
preliminary conclusions that a
contractor has violated or is continuing
to violate a requirement of this part and
includes:
(1) A statement specifying the
requirement of this part to which the
violation relates;
(2) A concise statement of the basis
for alleging the violation;
(3) Any remedy, including the amount
of any proposed civil penalty; and
(4) A statement explaining the
reasoning behind any proposed remedy.
Remedy means any action (including
but not limited to, the assessment of
civil penalties, the reduction of fees or
other payments under a contract, the
requirement of specific actions, or the
modification, suspension or recission of
a contract) necessary or appropriate to
rectify, prevent, or penalize a violation
of a requirement of this part, including
a compliance order issued by the
Secretary pursuant to this part.
Secretary means the Secretary of
Energy.
Site Manager means the DOE official
who has primary responsibility for
overall management of a DOE site.
Worker means a person who performs
work for or on behalf of DOE, including
an independent contractor, a DOE
contractor or subcontractor employee, or
any other person who performs work at
a covered workplace.
Workplace hazard means a physical,
chemical, biological, or radiological
hazard with any potential to cause
illness, injury, or death to a person.
Workplace safety and health
programmatic requirements means a set
of requirements that addresses related
workplace hazards in a comprehensive
manner, including requirements on
construction safety, fire protection,
firearms safety, explosives safety,
industrial hygiene, occupational
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medicine, pressure safety motor vehicle
safety, and biosurety.
Workplace safety and health
requirement means a workplace safety
and health standard or programmatic
requirement.
Workplace safety and health standard
means a standard which addresses a
workplace hazard by establishing limits,
requiring conditions, or prescribing the
adoption or use of one or more
practices, means, methods, operations,
or processes.
§ 851.4
General rule.
The contractor responsible for a
covered workplace must:
(a) Ensure the workplace is free from
recognized workplace hazards that are
causing or are likely to cause death or
serious bodily harm;
(b) Provide workers adequate
protection from the hazards identified
for the workplace;
(c) Comply with the workplace safety
and health requirements set forth in
subpart C of this part that are applicable
to the hazards identified for the
workplace;
(d) Comply with any compliance
order issued by the Secretary pursuant
to § 851.5 that is applicable to the
workplace;
(e) Ensure work is performed in
accordance with the worker health and
safety program for the covered
workplace; and
(f) Report to DOE and investigate each
occurrence, including any near miss
incident that causes or gives raise to a
significant likelihood of death or serious
bodily harm to a worker.
§ 851.5
Compliance Order.
(a) The Secretary may issue to any
contractor a Compliance Order that:
(1) Identifies a situation that violates,
potentially violates, or otherwise is
inconsistent with a requirement of this
part;
(2) Mandates a remedy, work
stoppage, or other action; and,
(3) States the reasons for the remedy,
work stoppage, or other action.
(b) A Compliance Order is a final
order that is effective immediately
unless the Order specifies a different
effective date.
(c) Within 15 calendar days of the
issuance of a Compliance Order, the
recipient of the Order may request the
Secretary to rescind or modify the
Order. A request does not stay the
effectiveness of a Compliance Order
unless the Secretary issues an order to
that effect.
§ 851.6
Interpretations.
(a) The Office of the General Counsel
is responsible for formulating and
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issuing any interpretation concerning a
requirement in this part.
(b) Any written or oral response to
any written or oral question which is
not provided pursuant to paragraph (a)
of this section does not constitute an
interpretation and does not provide any
basis for action inconsistent with a
requirement of this part.
§ 851.7
Information and records.
(a) A contractor must maintain
complete and accurate records as
necessary to substantiate compliance
with the requirements of this part,
including but not limited to records on
inventory information, hazard
assessment, exposure measurements,
exposure controls, and worker injuries
and illnesses.
(b) A contractor may neither conceal
nor destroy any information concerning
non-compliance or potential noncompliance with the requirements of
this part.
(c) Any information pertaining to a
requirement in this part provided to
DOE by any contractor or maintained by
any contractor for inspection by DOE
shall be complete and accurate in all
material respects.
(d) Nothing in this part shall relieve
any contractor from safeguarding
classified, confidential, and controlled
information, including Restricted Data
or national security information, in
accordance with the applicable
provisions of federal statutes and the
rules, regulations, and orders of any
federal agency.
§ 851.8
Compliance date.
Contractors must achieve compliance
with the requirements of this part no
later than [Insert date 1 year from
effective date of the rule], unless an
exemption granted pursuant to subpart
D of this part provides otherwise.
§ 851.9
Enforcement.
(a) A contractor that has entered into
an agreement of indemnification under
section 170d. of the AEA(or any
subcontractor or supplier thereto) and
that violates (or whose employee
violates) any requirement of this part is
subject to a civil penalty of up to
$70,000 for each such violation. If any
violation under this subsection is a
continuing violation, each day of the
violation shall constitute a separate
violation for the purpose of computing
the civil penalty.
(b) A contractor that violates any
requirement of this part is subject to a
reduction in fees or other payments
under a contract with DOE, pursuant to
the contract’s Conditional Payment of
Fee clause.
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(c) DOE may not penalize a contractor
under both paragraphs (a) and (b) of this
section for the same violation of a
requirement of this part.
(d) For contractors listed in
subsection d. of section 234A of the
AEA, 42 U.S.C. 2282a(d), the total
amount of civil penalties under
paragraph (a) and contract penalties
under paragraph (b) of this section may
not exceed the total amount of fees paid
by DOE to the contractor in that fiscal
year.
(e) DOE may not penalize a contractor
under both sections 234A and 234C of
the AEA for the same violation.
§ 851.10
Workers rights.
(a) Workers at a covered workplace
have the right, without reprisal, to
participate in activities described in this
section on official time;
(b) Workers at a covered workplace
also have the right, without reprisal to:
(1) Have access to:
(i) DOE safety and health
publications;
(ii) The worker safety and health
program for the covered workplace;
(iii) The standards, controls, and
procedures applicable to the covered
workplace;
(iv) The safety and health poster that
informs the worker of relevant rights
and responsibilities.
(2) Be notified when monitoring
results indicate the worker was
overexposed to hazardous materials;
(3) Observe monitoring or measuring
of hazardous agents and have the results
of his or her own exposure monitoring;
(4) Accompany DOE personnel during
an inspection of the workplace;
(5) Request and receive results of
inspections and accident investigations;
(6) Express concerns related to worker
safety and health;
(7) Decline to perform an assigned
task because of a reasonable belief that,
under the circumstances, the task poses
an imminent risk of death or serious
bodily harm to the worker coupled with
a reasonable belief that there is
insufficient time to seek effective
redress through the normal hazard
reporting and abatement procedures;
and
(8) Stop work when the worker
discovers employee exposures to
imminently dangerous conditions or
other serious hazards; provided that any
stop work authority must be exercised
in a justifiable and responsible manner
in accordance with established
procedures.
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Subpart B—Worker Safety and Health
Program
§ 851.100
program.
Worker safety and health
(a) A contractor responsible for one or
more workplaces at a DOE site must
establish and maintain a worker safety
and health program that ensures:
(1) Workplaces are free from
recognized workplace hazards that are
causing or are likely to cause death or
serious bodily harm; and
(2) Workers are adequately protected
from identified hazards.
(b) A worker safety and health
program must:
(1) Include provisions for:
(i) Defining the scope of the work to
be performed prior to its initiation;
(ii) Identifying relevant features of the
work environment, including designs
and features of facilities, equipment,
operations and procedures important to
a safe and healthful workplace prior to
the initiation of work activities;
(iii) Identifying and evaluating general
workplace hazards, specific job hazards,
and potential hazards that may arise
from unforeseeable conditions;
(iv) Undertaking routine activity-level
hazard analyses to:
(A) Evaluate designs of new facilities
and modifications to existing facilities
and equipment for potential workplace
hazards; and
(B) Evaluate operations and
procedures to identify workplace
hazards;
(v) Considering all hazards, including
radiological hazards, in order to ensure
development of an integrated set of
hazard controls to protect workers;
(vi) Assessing the risk of associated
injury and illness to workers from the
identified hazards;
(vii) Assessing worker exposure to
chemical, physical, biological,
radiological, or safety workplace
hazards through appropriate workplace
monitoring;
(viii) Documenting assessments for
chemical, physical, biological, and
safety workplace hazards using
recognized exposure assessment and
testing methodologies and use of
accredited and certified laboratories;
(ix) Recording observations, testing
and monitoring results; and
(x) Reviewing safety and health
information.
(2) Provide for the prevention,
abatement and mitigation of identified
workplace hazards through:
(i) Prioritization and implementation
of actions according to the potential
hazard to workers;
(ii) Implementation of interim
protective measures pending final
action;
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(iii) Protection of workers from
imminently dangerous conditions;
(iv) Selection of hazard controls based
on the following hierarchy:
(A) Elimination of the hazard;
(B) Engineered controls;
(C) Work practices and administrative
controls; and
(D) Personal protective equipment;
and
(v) Emphasis on reducing hazards to
workers when purchasing equipment
and services.
(3) Provide for the effective
implementation of the worker safety and
health requirements of subpart C of this
part in a manner tailored to:
(i) Reflect activities and hazards
associated with a particular work
environment;
(ii) Take into account special
circumstances at a covered workplace
that is, or is expected to be, permanently
closed and that is expected to be
demolished, or title to which is
expected to be transferred to another
entity for reuse on behalf of an entity
other than DOE; and
(iii) Achieve national security
missions of the Department of Energy in
an efficient and timely manner.
(4) Identify the hazard controls to be
used to provide adequate protection
from identified hazards at the activity
level in a tailored manner for a
particular work environment or the
process for selecting and identifying
such controls in the future prior to the
initiation of work activities;
(5) Identify situations for which the
contractor has concluded an exemption
pursuant to subpart D is needed and the
process for identifying other such
situations in the future;
(6) Provide for feedback on the worker
safety and health program and for its
continuous improvement;
(7) Ensure that all workers are
provided with information and training
needed to perform their duties in a safe
and healthful manner;
(8) Ensure the worker safety and
health program is consistent and
integrated with other safety activities at
the workplace;
(9) Contain provisions to ensure
compliance by subcontractors; and
(10) Document the process of
developing and maintaining the worker
safety and health program at a level
commensurate with the complexity and
hazards associated with the workplace.
§ 851.101 Approval and maintenance of
the worker safety and health program.
(a) By July 25, 2005, contractors must
submit for DOE approval a written
worker safety and health program that
meets the requirements of § 851.100.
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3819
(1) If a contractor is responsible for
more than one covered workplace at a
DOE site, the contractor must establish
and maintain a single worker safety and
health program for the workplaces at the
site for which the contractor is
responsible.
(2) If more than one contractor is
responsible for covered workplaces at a
DOE site, each contractor must:
(i) Establish and maintain a worker
safety and health program for the
workplaces for which the contractor is
responsible; and
(ii) Coordinate with the other
contractors responsible for covered
workplaces at the site to ensure that the
worker safety and health programs at
the site are integrated and consistent.
(b) The Cognizant Secretarial Officer
or, if approval authority is delegated by
the Cognizant Secretarial Officer, the
Site Manager must review and approve
the contractor’s worker safety and
health program, in consultation with the
Assistant Secretary for Environment,
Safety and Health, within 90 days after
receipt from the contractor. Beginning
January 26, 2006, no work may be
performed at a covered workplace
unless the Cognizant Secretarial Officer
or the Site Manager has approved the
worker safety and health program for
the workplace.
(c) A contractor must maintain its
worker safety and health program by:
(1) Evaluating and updating the
worker safety and health program at
least annually to reflect when
significant changes or additions in the
activities and hazards are made, or a
change in contractors occurs;
(2) Annually submitting to the
Cognizant Secretarial Officer or, if
approval authority is delegated by the
Cognizant Secretarial Officer, the DOE
Site Manager either an updated worker
safety and health program for approval
or a letter stating that no changes are
necessary in the currently approved
worker safety and health program;
(3) Performing an internal audit of its
worker safety and health program no
less frequently than every 36 months
and transmitting the results of the audit
to the DOE Site Manager, the Cognizant
Secretarial Officer, the Assistant
Secretary for Environment, Safety and
Health, and the Director; and
(4) Incorporating in the worker safety
and health program any changes,
conditions, or workplace safety and
health standards directed by DOE.
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Subpart C—Safety and Health
Requirements
to impose additional requirements on a
contractor.
§ 851.200 Worker safety and health
requirements.
§ 851.201 Worker safety and health
standards.
(a) A contractor responsible for a
covered workplace must comply with
the worker safety and health
requirements set forth in this subpart as
applicable to the workplace hazards
identified for facilities and activities
under its control.
(b) Nothing in this subpart shall be
construed to limit the authority of DOE
(a) The following regulations of the
Occupational Safety and Health
Administration (OSHA) in effect as of
[Insert Effective Date of Final Rule]:
(1) 29 CFR part 1910, Occupational
Safety and Health Standards, except 29
CFR part 1910.109;
(2) 29 CFR part 1915, Occupational
Safety and Health Standards for
Shipyard Employment;
(3) 29 CFR part 1917, Marine
Terminals;
(4) 29 CFR part 1918, Safety and
Health Regulations for Longshoring;
(5) 29 CFR part 1926, Safety and
Health Regulations for Construction;
and
(6) 29 CFR part 1928, Occupational
Safety and Health Standards for
Agriculture.
(b) The National Fire Protection
Association (NFPA) codes and
standards listed in Table 1 below.
TABLE 1.—NATIONAL FIRE PROTECTION ASSOCIATION CODES AND STANDARDS
NFPA No.
Title
1 ..................................
10 ................................
11A ..............................
11 ................................
12 ................................
12A ..............................
13 ................................
14 ................................
15 ................................
16 ................................
17A ..............................
17 ................................
20 ................................
22 ................................
24 ................................
25 ................................
30A ..............................
30 ................................
31 ................................
33 ................................
37 ................................
45 ................................
50A ..............................
50B ..............................
50 ................................
51 ................................
Uniform Fire Code .........................................................................................................................................
Standard for Portable Fire Extinguishers ......................................................................................................
Standard for Medium- and High-Expansion Foam Systems .........................................................................
Standard for Low-, Medium-, and High-Expansion Foam .............................................................................
Standard on Carbon Dioxide Extinguishing Systems ....................................................................................
Standard on Halon 1301 Fire Extinguishing Systems ...................................................................................
Standard for the Installation of Sprinkler Systems ........................................................................................
Standard for the Installation of Standpipe and Hose Systems .....................................................................
Standard for Water Spray Fixed Systems for Fire Protection .......................................................................
Standard for the Installation of Foam-Water Sprinkler Foam-Water Spray Systems ...................................
Standard for Wet Chemical Extinguishing Systems ......................................................................................
Standard for Dry Chemical Extinguishing Systems .......................................................................................
Standard for the Installation of Stationary Pumps for Fire Protection ..........................................................
Standard for Water Tanks for Private Fire Protection ...................................................................................
Standard for the Installation of Private Fire Service Mains and Their Appurtenances .................................
Standard for Inspection, Testing, and Maintenance of Water-Based Fire Protection Systems ...................
Codes for Motor Fuel Dispensing Facilities and Repair Garages .................................................................
Flammable and Combustible Liquids Code ...................................................................................................
Standard for the Installation of Oil-Burning Equipment .................................................................................
Standard for Spray Application Using Flammable or Combustible Materials ...............................................
Standard for the Installation and Use of Stationary Combustion Engines and Gas .....................................
Standard on Fire Protection for Laboratories Using Chemicals ....................................................................
Standard for Gaseous Hydrogen Systems at Consumer sites .....................................................................
Standard for Liquefied Hydrogen Systems at Consumer Sites ....................................................................
Standard for Bulk Oxygen Systems at Consumer Sites ...............................................................................
Standard for the Design and Installation of Oxygen Fuel Gas Systems for Welding, Cutting, and Allied
Processes.
Standard for Fire Prevention During Welding, Cutting, and Other Hot Work ...............................................
Compressed Natural Gas (CNG) Vehicular Fuel Systems Code .................................................................
ANSI Z223.1, 2002 National Fuel Gas Code ................................................................................................
Standard for Storage, Use and Handling of Compressed Gases and Cryogenic Fluids in Portable and
Stationary Containers, Cylinders and Tanks.
Liquefied Natural Gas (LNG) Vehicular Fuel Systems Codes ......................................................................
Liquefied Petroleum Gas Code .....................................................................................................................
Standard for the Production, Storage, and Handling of Liquefied Natural Gas (LNG) .................................
Utility LP-Gas Plant Code ..............................................................................................................................
Standard on Explosion Prevention Systems .................................................................................................
National Electrical Code ................................................................................................................................
Standard for Electrical Safety Requirements for Employee Workplaces ......................................................
National Fire Alarm Code ..............................................................................................................................
Electrical Inspection Code for Existing Dwellings .........................................................................................
Standard for the Protection of Information Technology Equipment ..............................................................
Standard for Fire Doors and Fire Windows ...................................................................................................
Standard on incinerators and Waste and Linen Handling Systems and Equipment ....................................
Boiler and Combustion Systems Hazards Code ...........................................................................................
Standard for Ovens and Furnaces ................................................................................................................
Standard for Parking Structures ....................................................................................................................
Standard for the Installation of Air-Conditioning and Ventilating Systems ...................................................
Standard for the Installation of Warm Air Heating and Air-Conditioning Systems .......................................
Standard for Exhaust Systems for Air Conveying of Vapors, Gases, Mists, and Noncombustible Particulate Solids.
Standard for Ventilation Control and Fire Protection of Commercial Cooking Operations ...........................
Standard glossary of terms Relating to Chimneys, Vents, and Heat-Producing Appliances .......................
Standard for Health Care Facilities ...............................................................................................................
Standard on Gas and Vacuum Systems .......................................................................................................
51B ..............................
52 ................................
54 ................................
55 ................................
57 ................................
58 ................................
59A ..............................
59 ................................
69 ................................
70 ................................
70E ..............................
72 ................................
73 ................................
75 ................................
80 ................................
82 ................................
85 ................................
86 ................................
88A ..............................
90A ..............................
90B ..............................
91 ................................
96 ................................
97 ................................
99 ................................
99C ..............................
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Federal Register / Vol. 70, No. 16 / Wednesday, January 26, 2005 / Proposed Rules
3821
TABLE 1.—NATIONAL FIRE PROTECTION ASSOCIATION CODES AND STANDARDS—Continued
NFPA No.
Title
101B ............................
101 ..............................
102 ..............................
105 ..............................
110 ..............................
111 ..............................
115 ..............................
204 ..............................
211 ..............................
214 ..............................
220 ..............................
221 ..............................
230 ..............................
232 ..............................
241 ..............................
307 ..............................
318 ..............................
326 ..............................
385 ..............................
407 ..............................
408 ..............................
409 ..............................
415 ..............................
418 ..............................
430 ..............................
432 ..............................
434 ..............................
472 ..............................
473 ..............................
484 ..............................
490 ..............................
495 ..............................
496 ..............................
498 ..............................
502 ..............................
505 ..............................
Code for Means of Egress for Buildings and Structures ...............................................................................
Life Safety Code ............................................................................................................................................
Standard for Grandstands, Folding and Telescopic Seating, Tents, and Membrane Structures .................
Standard for the Installation of Smoke Door Assemblies .............................................................................
Standard for Emergency and Standby Power Systems ................................................................................
Standard on Stored Electrical Energy Emergency and Standby Power Plants ............................................
Standard for Laser Fire Protection ................................................................................................................
Standard for Smoke and Heat Venting .........................................................................................................
Standard for Chimneys, Fireplaces, Vents, and Solid Fuel-Burning Appliances ..........................................
Standard on Water-Cooling Towers ..............................................................................................................
Standard on Types of Building Construction .................................................................................................
Standard for Fire Walls and Fire Barrier Walls .............................................................................................
Standard for the Fire Protection of Storage ..................................................................................................
Standard for the Protection of records ..........................................................................................................
Standard for Safeguarding Construction, Alteration, and Demolition Operations .........................................
Standard for the Construction and Fire Protection of Marine Terminals, Piers, and Wharves ....................
Standard for the Protection of Semiconductors Fabrication Facilities ..........................................................
Standard for the Safeguarding of Tanks and Containers for Entry, Cleaning, or Repair .............................
Standard for Tank Vehicles for Flammable and Combustible Liquids ..........................................................
Standard for Aircraft Fuel Servicing ..............................................................................................................
Standard for Aircraft Hand Portable Fire Extinguishers ................................................................................
Standard on Aircraft Hangers ........................................................................................................................
Standard on Airport terminal Building, Fueling Ramp Drainage, and Loading Walkways ...........................
Standard for Heliports ....................................................................................................................................
Code for the Storage of Liquid and Solid Oxidizers ......................................................................................
Code for the Storage of Organic Peroxide Formulations ..............................................................................
Code for the Storage of Pesticides ...............................................................................................................
Standard for Professional Competence of Responders to Hazardous Materials Incidents ..........................
Standard for Competencies for EMS Personnel Responding to Hazardous Materials Incidents .................
Standard for Combustible Metals, Metal Powders, and Metal Dusts ...........................................................
Code for the Storage of Ammonium Nitrate ..................................................................................................
Explosive Materials Code ..............................................................................................................................
Standard for Purged and Pressurized Enclosures for Electrical Equipment ................................................
Standard for Safe Havens and Interchange Lots for Vehicles Transporting Explosives ..............................
Standard for Road Tunnels, Bridges, and Other Limited Access Highways ................................................
Fire Safety Standard for Powered Industrial Trucks Including Type Designations, Areas of Use, Conversions, Maintenance, and Operations.
Standard on Subterranean Spaces ...............................................................................................................
Standard for the Storage, Handling, and Use of Ethylene Oxide for Sterilization and Fumigation ..............
Standard on Industrial Fire Brigades .............................................................................................................
Standard for Security Services in Fire Loss Prevention ...............................................................................
Standard for the Prevention of Fire and Dust Explosions from the Manufacturing, Processing, and Handling of Combustible Particulate Solids.
Standard for Prevention of Sulfur Fires and Explosions ...............................................................................
Standard for the Prevention of Fires and Explosions in Wood Processing and Woodworking Facilities ....
Standard System for the Identification of the Hazards of Materials for Emergency Response ...................
Standard on Water Mist Fire Protection Systems .........................................................................................
Standard for the Installation of Lighting Protection Systems ........................................................................
Standard for Fire Protection for Facilities Handling Radioactive Materials ...................................................
Standard for Fire Protection in Wastewater Treatment and Collective Facilities .........................................
Standard for the Installation of Stationary Fuel Cell Power System .............................................................
Code for the Protection of Cultural Resources .............................................................................................
Code for Fire Protection of Historic Structures .............................................................................................
Standard for Fire Service Professional Qualifications Accreditation and Certification Systems ..................
Standard for Fire Fighter Professional Qualifications ....................................................................................
Standard on Fire Apparatus Drivers/Operator Professional Qualifications ...................................................
Standard for Airport Fire Fighter Professional Qualifications ........................................................................
Standard for Rescue Technician Professional Qualifications .......................................................................
Standard for Fire Officer Professional Qualifications ....................................................................................
Standard for Fire Service Instructor Professional Qualifications ...................................................................
Standard for Wildland Fire Fighter Professional Qualifications .....................................................................
Standard for Professional Qualifications for Public Safety Telecommunicator .............................................
Standard for Emergency Vehicle Technician Professional Qualifications ....................................................
Standard for Fire Protection in Planned Building Groups .............................................................................
Standard on Water Supplies for Suburban and Rural Fire Fighting .............................................................
Standard for Wildland Fire Management .......................................................................................................
Standard for Protection of Life and Property from Wildfire ...........................................................................
Standard for the Installation, Maintenance, and Use of Emergency Services Communications Systems ..
Standard on Live Fire Training Evolutions ....................................................................................................
Standard for Fire Service Respiratory Protection Training ...........................................................................
Standard on Training for Initial Emergency Scene Operations .....................................................................
Standard for a Fire Service Vehicle Operations Training Program ..............................................................
520
560
600
601
654
..............................
..............................
..............................
..............................
..............................
655 ..............................
664 ..............................
704 ..............................
750 ..............................
780 ..............................
801 ..............................
820 ..............................
853 ..............................
909 ..............................
914 ..............................
1000 ............................
1001 ............................
1002 ............................
1003 ............................
1006 ............................
1021 ............................
1041 ............................
1051 ............................
1061 ............................
1071 ............................
1141 ............................
1142 ............................
1143 ............................
1144 ............................
1221 ............................
1403 ............................
1404 ............................
1410 ............................
1451 ............................
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1999
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2001
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2002
3822
Federal Register / Vol. 70, No. 16 / Wednesday, January 26, 2005 / Proposed Rules
TABLE 1.—NATIONAL FIRE PROTECTION ASSOCIATION CODES AND STANDARDS—Continued
NFPA No.
1500
1521
1561
1581
1582
1583
1670
1710
............................
............................
............................
............................
............................
............................
............................
............................
1851 ............................
1852 ............................
1901
1906
1911
1912
1914
1915
1925
1931
1932
1936
1951
1961
1962
1963
1964
1965
1971
1975
1976
1977
1981
1982
1983
1989
1991
1992
1994
1999
2001
2112
2113
............................
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............................
............................
............................
............................
............................
............................
............................
5000 ............................
Title
Edition
Standard on Fire Department Occupational Safety and Health Program .....................................................
Standard for Fire Department Safety Officer .................................................................................................
Standard on Emergency Services Incident Management System ................................................................
Standard on Fire Department Infection Control Program .............................................................................
Standard on Comprehensive Occupational Medical Program for Fire Departments ....................................
Standard on Health-Related Fitness Programs for Fire Fighters ..................................................................
Standard on Operations and Training for Technical Rescue Incidents ........................................................
Standard for the Organization and Deployment of Fire Suppression Operations, Emergency Medical Operations, and Special Operations to the Public by Career Fire Departments.
Standard on Selection, Care and Maintenance of Structural Fire Fighting Protective Ensembles ..............
Standard on Selection, Care, and Maintenance of Open-Circuit Self-Contained Breathing Apparatus
(SCBA).
Standard for Automotive Fire Apparatus .......................................................................................................
Standard for Wildland Fire Apparatus ...........................................................................................................
Standard for Service Test of Fire pump Systems on Fire Apparatus ...........................................................
Standard for Fire Apparatus Refurbishing .....................................................................................................
Standard for Testing Fire Department Aerial Devices ..................................................................................
Standard for Fire Apparatus Preventive Maintenance Program ...................................................................
Standard on Marine Fire-Fighting Vessels ....................................................................................................
Standard on design of and Design Verification Tests for the Fire Department Ground Ladders ................
Standard on Use, Maintenance, and Service Testing of Fire Department Ground Ladders ........................
Standard on Powered Rescue Tool Systems ...............................................................................................
Standard on Protective Ensemble for USAR Operations ..............................................................................
Standard on Fire Hose ..................................................................................................................................
Standard for the Inspection, Care, and Use of Fire Hose, Couplings, and Nozzles ....................................
Standard for Fire Hose Connections .............................................................................................................
Standard for Spray Nozzles ...........................................................................................................................
Standard for Hose Appliances .......................................................................................................................
Standard on Protective Ensembles for Structural Fire Fighting ....................................................................
Standard on Station/Work Uniforms for Fire and Emergency Services ........................................................
Standard on Protective Ensemble for Proximity Fire Fighting ......................................................................
Standard on Protective Clothing and Equipment for Wildland Fire Fighting ................................................
Standard on Open-Circuit Self-Contained Breathing Apparatus for Fire and Emergency Services ............
Standard on Personal Alert Safety Systems (PASS) ....................................................................................
Standard on Fire Service Life Safety Rope and System Components .........................................................
Standard on Breathing Air Quality for Fire and Emergency Services Respiratory Protection .....................
Standard on Vapor-Protective Ensembles for Hazardous Materials Emergencies ......................................
Standard on Liquid Splash-Protective Ensembles and Clothing for Hazardous Materials Emergencies .....
Standard on Protective Ensembles for Chemical/Biological Terrorism Incidents .........................................
Standard on Protective Clothing for Emergency Medical Operations ...........................................................
Standard on Clean Agent Fire Extinguishing Systems .................................................................................
Standard on Flame-Resistant Garments for Protection of Industrial Personnel Against Flash Fire ............
Standard on Selection, Care, Use, and Maintenance of Flame-Resistant Garments for Protection of Industrial Personnel Against Flash Fire.
Building Construction and Safety Code .........................................................................................................
(c) The codes listed in Tables 2
through 5 published by the American
Society of Mechanical Engineers
(ASME), the American National
Standards Institute (ANSI), the
American Petroleum Institute (API), the
American Water Works Association
(AWWA), and Underwriters
Laboratories (UL) as applicable to
pressure retaining components
including pressure vessels, piping,
valves, fittings, flanges and gaskets.
TABLE 2.—ASME BOILER AND PRESSURE VESSEL CODE (2004)
Section
Title
I ...........................................................................................................
II ..........................................................................................................
III .........................................................................................................
IV .........................................................................................................
V ..........................................................................................................
VI .........................................................................................................
VII ........................................................................................................
VIII .......................................................................................................
IX .........................................................................................................
X ..........................................................................................................
XI .........................................................................................................
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Power Boilers.
Materials.
Rules for Construction of Nuclear Facility Components.
Heating Boilers.
Non Destructive Examination.
Recommended Rules for Care and Operation of Heating Boilers.
Recommended Guidelines for the Care of Power Boilers.
Pressure Vessels.
Welding and Brazing Qualifications.
Fiber-Reinforced Plastic Pressure Vessels.
Rules for In-Service Inspection of Nuclear Power Plant Components.
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2002
2002
2002
2000
2003
2000
1999
2001
2001
2002
2003
2001
2002
2001
2002
2000
1998
1999
1999
1999
2001
2002
2003
2003
2003
2003
2000
1999
2000
1998
2002
1998
2001
2003
2000
2000
2001
2003
2000
2001
2001
2003
Federal Register / Vol. 70, No. 16 / Wednesday, January 26, 2005 / Proposed Rules
3823
TABLE 3.—ANSI/ASME PIPING CODES
Section
Title
Edition
B31.1 ...........................
B31.2 ...........................
B31.3 ...........................
B31.4 ...........................
B31.5 ...........................
B31.8 ...........................
B31.9 ...........................
B31.11 .........................
Power Piping ..................................................................................................................................................
Fuel Gas Piping .............................................................................................................................................
Process Piping ...............................................................................................................................................
Pipeline Transportation Systems, Liquid Hydrocarbon, Other Liquids ..........................................................
Refrigeration Piping and Hat Transfer Components .....................................................................................
Gas Transmission and Distribution Piping Systems .....................................................................................
Building Services Piping ................................................................................................................................
Slurry Transportation Piping Systems ...........................................................................................................
2001
1968
2002
2002
2001
2004
1996
2003
TABLE 4.—ASME CODES FOR VALVES, FITTINGS, FLANGES AND GASKETS
Section
Title
Edition
B16.1 ...........................
B16.3 ...........................
B16.4 ...........................
B16.5 ...........................
B16.9 ...........................
B16.10 .........................
B16.11 .........................
B16.12 .........................
B16.14 .........................
B16.15 .........................
B16.18 .........................
B16.20 .........................
B16.21 .........................
B16.22 .........................
B16.23 .........................
B16.25 .........................
B16.26 .........................
B16.28 .........................
B16.29 .........................
B16.33 .........................
B16.34 .........................
B16.36 .........................
B16.38 .........................
B16.39 .........................
B16.40 .........................
B16.42 .........................
B16.44 .........................
B16.45 .........................
B16.47 .........................
B16.48 .........................
B16.49 .........................
B16.50 .........................
Cast Iron Pipe Flanges and Fittings ..............................................................................................................
Malleable Iron Threaded Fittings ...................................................................................................................
Gray Iron Threaded Fittings ...........................................................................................................................
Pipe Flanges and Flanged Fittings ................................................................................................................
Factory-Made Wrought Buttwelding Fitting ...................................................................................................
Face-to-Face and End-to-End Dimensions of Valves ...................................................................................
Forged Fittings Socket-Welding and Threaded .............................................................................................
Cast Iron Threaded Drainage Fittings ...........................................................................................................
Ferrous Pipe Plugs, Bushings and Locknuts with Pipe Threads ..................................................................
Cast Iron Bronze Threaded Fittings ..............................................................................................................
Cast Copper Alloy Solder Joint Pressure Fittings .........................................................................................
Metallic Gasket for Pipe Flanges: Ring-Joint Spiral-Wound and Jacketed ..................................................
Nonmetallic Flat Gaskets for Pipe Flanges ...................................................................................................
Wrought Copper and Copper Alloy Solder Joint Pressure Fittings ...............................................................
Cast Copper Alloy Solder Joint Drainage Fittings .........................................................................................
Buttwelding Ends ...........................................................................................................................................
Cast Copper Alloy Fittings for Flared Copper Tubes ....................................................................................
Wrought Steel Buttwelding Short Radius Elbows and Returns ....................................................................
Wrought Copper and Wrought Copper Alloy Solder Joint Drainage Fittings ................................................
Manually Operated Metallic Gas Valves for Use in Gas Piping Systems up to 125psi ...............................
Valves-Flanged, Threaded and Welding End ................................................................................................
Orifice Flanges ...............................................................................................................................................
Large Metallic Valves for Gas Distribution (manually operated NPS 21⁄2 to 12, 125 psig) ..........................
Malleable Iron Threaded Pipe Unions ...........................................................................................................
Manually Operated Thermoplastic Gas Shutoffs and Valves in Gas Distribution Systems .........................
Ductile Iron Pipe Flanges and Fittings: Classes 150 and 300 ......................................................................
Manually Operated Metallic Gas Valves for Use in Above Ground Piping Systems up to 5psi ..................
Cast Iron Fittings for Solvent Drainage Systems ..........................................................................................
Large diameter Steel Flanges: NPS26 through NPS60 ................................................................................
Steel Line Blanks ...........................................................................................................................................
Factory-Made Wrought Steel Buttwelding Induction Bends ..........................................................................
Wrought Copper and Copper Alloy Braze-Joint Pressure Fittings ................................................................
1998
1998
1998
1996
2001
2000
2001
1998
1991
1985
2001
1998
1992
2001
2002
1997
1998
1994
2001
2001
1996
1996
1985
2003
2002
2001
1968
2002
1999
2002
2001
1992
TABLE 5.—CODES AND STANDARDS FOR ADDITIONAL PRESSURE RETAINING COMPONENTS
Section
Compressors:
ASME B19.1 ........
ASME B19.3 ........
Pumps:
API–610 ...............
Tanks:
ASME B96.1 ........
API–620 ...............
API–650 ...............
AWWA–D100 .......
API–2000 .............
API–2510 .............
UL–58 ...................
UL–142 .................
API–653 ...............
Pressure Vessel:
API–660 ...............
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Title
Edition
Safety Standard for Air Compressor Systems ..............................................................................................
Safety Standard for Compressor for Process Industries ...............................................................................
1995
1991
Centrifugal Pump for General Refinery Service, American Petroleum Institute ...........................................
2003
Welder Aluminum Alloy Storage Tanks .........................................................................................................
Design and Construction of Large Welded Low Pressure Storage ..............................................................
Atmospheric Welded Steel Tanks for Oil Storage, American Petroleum Institute ........................................
Welded Steel Tanks for Water Storage, American Water Works Association .............................................
Venting Atmospheric and Low Pressure Storage Tanks ..............................................................................
Design and Construction of Liquid Petroleum Gas (LPG) Installations ........................................................
Steel Underground Tanks for Flammable and Combustible Liquids, Underwriters Valve Laboratories ......
Steel Aboveground Tanks for Flammable and Combustible Liquids, Underwriters Laboratories ................
Tank Inspection, Repair, and Reconstruction, American Petroleum Institute ...............................................
1991
2002
1996
1996
1998
2001
1998
2003
2001
Shell and Tube Heat Exchange to General Refinery Service, American Petroleum Institute ......................
2001
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3824
Federal Register / Vol. 70, No. 16 / Wednesday, January 26, 2005 / Proposed Rules
(d) Exposure limits and technical
requirements of the American National
Standards Institute (ANSI) contained in
the following standards:
(1) Z136.1, Safe Use of Lasers (2000);
(2) Z88.2, Practices for Respiratory
Protection (2004); and
(3) Z49.1, Safety in Welding, Cutting
and Allied Processes, Sections 4.3 and
E4.3 (1999).
(e) American Conference of
Governmental Industrial Hygienists
(ACGIH) standard, Threshold Limit
Values for Chemical Substances and
Physical Agents and Biological
Exposure Indices, in effect as of [Insert
Effective Date of The Final Rule]. This
standard shall be used in lieu of OSHA
Permissible Exposure Limits in the
event that the ACGIH Threshold Limit
Values are lower (more protective) than
the comparable OSHA limit.
§ 851.202
Construction safety.
(a) A contractor responsible for a
workplace with a construction project
must:
(1) Prepare an activity-level hazard
analysis prior to commencement of
affected work. Such an analysis shall:
(i) Identify foreseeable hazards and
planned protective and mitigative
measures;
(ii) Provide drawings and/or other
documentation of protective measures
that a Professional Engineer or other
competent person is required to prepare;
and
(iii) Define the qualifications of
competent persons required for
workplace inspections.
(2) Inform workers of foreseeable
hazards and the protective and
mitigative measures described within
the activity-level hazard analysis prior
to beginning work on the affected
construction operation.
(3) Require workers to utilize
protective or mitigative measures as a
condition of employment as well as
acknowledge being informed of the
hazards and protective and mitigative
measures.
(4) During periods of active
construction, have a designated
representative, who has received
specific training and is knowledgeable
about the hazards of construction, on
site at all times to conduct and
document daily inspections of the
workplace, and to identify and correct
hazards and instances of noncompliance
with project safety and health
requirements. Workers must be
instructed to report to the designated
representative unforeseen hazards not
previously identified or evaluated. If
immediate corrective action is not
possible or the hazard falls outside of
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project scope, the contractor must
immediately notify affected workers,
post appropriate warning signs,
implement needed interim control
measures, and notify DOE of the action
taken. The contractor or the designated
representative must stop work in the
affected area until protective or
mitigative measures are established.
(b) With respect to a construction
project above the monetary threshold
established by the Davis-Bacon Act (40
U.S.C. 276a), a contractor must prepare
a written construction project safety and
health plan to implement the
requirements of paragraph (a) of this
section and obtain approval of the plan
by DOE prior to commencement of any
work covered by the plan. In the plan,
the contractor shall designate the
individual(s) responsible for on-site
implementation of the plan, specify
qualifications for those individuals, and
provide a list of those project operations
to which the health and safety plan
applies.
§ 851.203
Fire protection.
(a) A contractor responsible for a
workplace must establish and
implement a comprehensive fire
protection and response program. This
program must contain, at a minimum,
the following elements:
(1) A current policy statement that
describes specific management
commitments to support a level of fire
protection and response capability
sufficient to minimize the potential for
losses from fire and related hazards
consistent with the best class of
protected property in private industry.
(2) Comprehensive, written fire
protection criteria that incorporate the
requirements of this section, the
provisions of the standards delineated
in § 851.201, and additional site-specific
aspects of the fire protection program.
Site-specific aspects include the
organization, training, and
responsibilities of the fire protection
staff, administrative aspects of the fire
protection program, and requirements
for the design, installation, operability,
inspection, maintenance, and testing of
fire protection systems.
(3) Written fire safety procedures
governing the use and storage of
combustible, flammable, radioactive,
and hazardous materials so as to
minimize the risk from fire. Such
procedures must also exist for fire
protection system impairments and for
activities such as smoking, hot work,
safe operation of process equipment,
and other fire prevention measures that
contribute to the decrease in fire risk.
(4) A requirement to incorporate the
DOE fire protection program in the
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plans and specifications for all new
facilities and for significant
modifications of existing facilities,
including a written review by a
qualified fire protection engineer of
plans, specifications, procedures, and
acceptance tests.
(5) Fire hazards analyses (FHAs),
developed using a graded approach, for
all nuclear facilities, significant new
facilities, and facilities that represent
unique or significant fire safety risks.
(6) Access to a qualified and trained
fire protection staff, including a fire
protection engineers, technicians, and
fire-fighting personnel.
(7) A current Baseline Needs
Assessment that establishes the
minimum required capabilities of site
fire-fighting forces needed to assure
worker safety and health. This includes
minimum staffing, apparatus, facilities,
equipment, training, fire pre-plans, offsite assistance requirements, and
procedures. Information from this
assessment must be incorporated into
the site Emergency Plan. Such
assessments shall be updated as needed
but at least every three years.
(8) Written pre-fire strategies, plans,
and standard operating procedures for
special hazards to enhance the
effectiveness of any site fire-fighting
forces.
(9) A comprehensive, documented fire
protection self-assessment program,
which includes all aspects (program and
facility) of the fire protection program.
Assessments must be performed on a
regular basis, but at least every three
years.
(10) A program to identify, prioritize,
and monitor the status of fire protectionrelated appraisal findings/
recommendations until final resolution
is achieved.
(11) Provision for interim
compensatory measures to minimize fire
risk if final resolution under paragraph
(a)(10) will be significantly delayed.
(12) A process for reviewing and
recommending approval of fire safety
code and standard equivalencies to the
Site Manager.
(13) Fire safety performance
measures, approved by the Site
Manager, that provide a basis for
evaluating the success or failure of all
major elements of the site fire protection
and response program.
(b) The contractor must review indepth, and if appropriate, perform or
update any analysis or assessment
required under paragraphs (a)(5), (a)(7),
and (a)(9) of this section at least once
every three years. With respect to nonnuclear facilities, the Site Manager may
approve a longer period for updating the
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document via a written memorandum to
the contractor.
(c) A contractor responsible for the
design of a new DOE facility or major
modification to an existing DOE facility
must ensure that the design provides:
(1) A reliable water supply of
adequate capacity for fire suppression.
(2) Noncombustible or fire-resistive
construction, where appropriate,
including complete fire-rated barriers,
that is commensurate with the fire
hazard to isolate hazardous occupancies
and to minimize fire spread.
(3) Automatic fire extinguishing
systems throughout all nuclear and
other significant facilities and in all
areas subject to significant life safety
hazards.
(4) A means to summon the fire
department in the event of a fire, such
as a fire alarm signaling system.
(5) A means to notify and evacuate
building occupants in the event of a fire,
such as a fire detection or fire alarm
system and illuminated, protected
egress paths.
(6) Physical access and appropriate
equipment to facilitate effective
intervention by the fire department,
such as an interior standpipe system(s)
in multi-story or large facilities with
complex configurations.
(7) Fire and related hazards that are
unique to DOE and are not addressed by
industry codes and standards shall be
protected by isolation, segregation, or
use of special fire control systems, such
as inert gas or explosion suppression, as
determined by the FHA.
§ 851.204
Explosives safety.
A contractor responsible for a
workplace involving the use of
explosive materials (except materials
used only for routine construction,
demolition, and tunnel blasting) must
establish and implement a
comprehensive explosives safety
program. This program must contain, at
a minimum, the following elements:
(a) The Contractor must establish
plans and procedures to achieve:
(1) Protection of explosives from
abnormal stimuli and adverse
environments;
(2) Proper hazard identification,
analysis, controls and communication;
(3) Safe work environment, including
proper personnel protection, safe
equipment, processing, testing, and
material handling, and
(4) Effective measures for security and
emergency control.
(b) The contractor must maintain
limits and controls on the maximum
number of personnel permitted in the
workplace, commensurate with
personnel protection and work
efficiency.
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(c) The contractor must require use of
personal protective equipment in order
to protect personnel from the specific
hazards of the operations.
(d) Pursuant to an approved training
and certification program, the contractor
must properly train personnel before
they are assigned to explosive
operations or to operate any explosive
transport vehicle. Each contractor must
have an approved training and
certification program.
(e) Quantity-distance criteria must
account for:
(1) The types and severity of hazards
each explosive material present;
(2) The construction and orientation
of facilities to which the criteria are
applied; and
(3) The degree of protection desired
for personnel and facilities adjacent to
the explosives operations.
(f) The contractor must base the level
of protection required for an explosives
activity on the hazard class (accident
potential) for the explosive activity
involved, as follows:
(1) Bays for Class IV (negligible
probability of accidental initiation)
activities must provide protection from
fire hazard effects.
(2) Bays for Class III (low accident
potential) activities must provide
protection from explosion propagation
from bay-to-bay within buildings and
between buildings located at intra-line
or magazine distance.
(3) Bays for Class II (moderate
accident potential) activities must
comply with the requirements of Class
III bays, and in addition provide
protection to prevent fatalities and
severe personnel injuries in all occupied
areas other than the bay of occurrence.
(4) Bays for Class I (high accident
potential) activities must comply with
the requirements of Class II bays, and in
addition provide protection to prevent
serious injuries to all personnel,
including personnel performing the
activity, persons in other occupied
areas, and transients.
(5) Bays for joint explosivesplutonium activities must also comply
with the following:
(i) Bays for Uncased Explosives
Plutonium Activities. Where it is
necessary to store, handle, or process
uncased explosives components and
plutonium in the same bay, the
enclosing structure and its ventilation,
electrical, fire protection, and utility
systems must be designed to assure that,
if all the explosives present should
detonate, radiation exposures are within
applicable limits for hypothesized
accidental releases. The documented
safety analysis governs the quantity of
plutonium allowed in such a bay.
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Activities may be performed in Class IV
bays if only insensitive high explosives
(IHE), IHE subassemblies, or IHE
weapons are present; however,
criticality considerations must govern
the quantity of plutonium allowed.
(ii) Bays for Cased Explosives
Plutonium Activities. When handling or
processing cased high explosive
components that contain plutonium, the
enclosing structure must be designed as
a Class II (moderate accident potential)
explosives bay. Storage must conform to
Class III (low accident potential)
requirements. The plutonium quantity
must be limited to 55 lbs (25 kg) per
bay. Activities may be performed in
Class IV bays if only IHE, IHE
subassemblies, or IHE weapons are
present; however, criticality
considerations govern the quantity of
plutonium allowed.
(f) Fire protection. A comprehensive
operational safety plan shall be
developed to control personnel and
facility design. Automatic fire
suppression systems must be installed
in all buildings containing high
explosives and plutonium, with the
exception of storage magazines. The fire
protection system design must ensure
that the system in any bay remains
operable should detonation occur in any
other bay. Firebreaks shall be
established around all explosives
handling facilities.
(g) Explosive facility siting and design
criteria references. Blast-resistant design
for personnel and facility protection
must be based on the TNT equivalency
of the maximum quantity of explosives
and propellants, plus 20 per cent. The
technical basis for location, engineering,
design, and operation (under normal
and potential design basis accident
conditions) of buildings must comply
with approved guidelines to achieve the
most conservative design for the
protection of workers.
(h) Electrical storms and lightning
protection. The contractor must provide
protection to personnel working in
explosive areas, and personnel near
those areas, from the consequences of an
explosive incident resulting from a
lightning strike by developing and
implementing a Lightning Detection and
Warning Plan that includes as a
minimum:
(1) Evaluation of lightning risk;
(2) Lightning protection system
installation, employing Mast, Catenary,
Integral Air Terminal, surge suppressor,
bonding, Faraday cage, or partial
Faraday cage;
(3) Techniques and procedures for
initial installation of each approved
lightning protection system;
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(4) Techniques and procedures for
retrofitting structures to a partial
Faraday cage type of lightning
protection, if a decision is made to
retrofit the structure; and
(5) Administrative control such as
stopping of work and evacuation of
personnel in the event of a lightning
warning.
§ 851.205
safety.
(4) Requirements for motor vehicle
maintenance and inspection;
(5) Uniform traffic and pedestrian
control devices and road signs;
(6) On-site speed limits and other
traffic rules;
(7) Awareness campaigns and
incentive programs to encourage safe
driving; and
(8) Enforcement provisions.
§ 851.207
Pressure retaining component
(a) A contractor responsible for a
workplace must establish safety policies
and procedures to ensure that pressure
systems are designed, fabricated, tested,
inspected, maintained, repaired, and
operated by trained and qualified
personnel in accordance with applicable
and sound engineering principles.
(b) If national consensus codes and
standards in § 851.201 are determined
not to be applicable following an
independent peer review process, the
contractor must implement DOEapproved measures (if allowed by the
governing provisions of the code or
consensus standard) based upon a
reasonable interpretation of the intent of
existing standards. If the applicable
provisions of the code or consensus
standard do not permit clarification or
interpretation, the contractor must
provide equivalent protection and
ensure safety equal to or superior to the
intent of the closest applicable code or
standard following an independent peer
review process, subject to DOE
approval.
§ 851.206
Motor vehicle safety.
(a) A contractor responsible for a
workplace must implement a motor
vehicle safety program to protect the
safety and health of all drivers and
passengers in Government-owned or
-leased motor vehicles and powered
industrial equipment (i.e., fork trucks,
tractors, platform lift trucks, and other
similar specialized equipment powered
by an electric motor or an internal
combustion engine).
(b) The contractor must tailor the
motor vehicle safety program to the
individual DOE site or facility, based on
an analysis of the needs of that
particular site or facility.
(c) The motor vehicle safety program
must include:
(1) Minimum licensing requirements
(including appropriate testing and
medical qualification) for personnel
operating motor vehicles and powered
industrial equipment;
(2) Requirements for the use of seat
belts and provision of other safety
devices.
(3) Training for specialty vehicle
operators;
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Biological safety.
A contractor responsible for a
workplace must establish and
implement a biological safety program
that:
(a) Establishes an Institutional
Biosafety Committee (IBC) or
equivalent. The IBC shall:
(1) Review any work with biological
etiologic agents for compliance with
appropriate CDC, NIH, WHO, and other
international, Federal, State, and local
guidelines and assess the containment
level, facilities, procedures, practices,
and training and expertise of personnel;
and
(2) Review for compliance the site
security, safeguards, and emergency
management plans and procedures, as
related to work with biological etiologic
agents.
(b) Maintains a readily retrievable
inventory and status of biological
etiologic agents, and provides to the
responsible field and area office,
through the laboratory IBC (or its
equivalent), an annual status report
describing the status and inventory of
biological etiologic and program.
(c) Provides for submission to the
head of the appropriate DOE field
element, for review and concurrence
before transmittal to the Center for
Disease Control (CDC), each Laboratory
Registration/Select Agent Program
registration application package
requesting registration of a laboratory
facility at Biosafety Level 2, 3, or 4, for
the purpose of transferring, receiving, or
handling biological select agents.
(d) Provides for submission to the
head of the appropriate DOE field
element a copy of each CDC Form EA–
101, Transfer of Select Agents, upon
initial submission of the Form EA–101
to a vendor or other supplier requesting
or ordering a biological select agent for
transfer, receipt, and handling in the
registered facility. Submit the
completed copy of the Form EA–101,
documenting final disposition and/or
destruction of the select agent, within
10 days of completion of the Form EA–
101.
(e) Confirms that the site safeguards
and security plans and emergency
management programs address
biological etiologic agents, with
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particular emphasis on biological select
agents.
(f) Establishes an immunization
policy for personnel working with
biological etiologic agents based on the
DOE facility evaluation of risk and
benefit of immunization.
§ 851.208
Firearms safety.
(a) A contractor responsible for a
workplace must establish firearms safety
policies and procedures for security
operations and training to ensure proper
accident prevention controls are in
place.
(1) Written procedures must address
firearms safety, engineering and
administrative controls, as well as
personal protective equipment
requirements. For security operations
conducted in accordance with policy on
counter terrorism, use of Department of
Defense military type masks for
respiratory protection by security
personnel is acceptable.
(2) As a minimum, procedures must
be established for:
(i) Storage, handling, cleaning,
inventory, and maintenance of firearms
and associated ammunition;
(ii) Activities such as loading,
unloading, and exchanging firearms.
These procedures must address use of
bullet containment devices and those
techniques to be used when no bullet
containment device is available;
(iii) Use and storage of pyrotechnics,
explosives, and/or explosive projectiles;
(iv) Handling misfires, duds, and
unauthorized discharges;
(v) Live fire training, qualification,
and evaluation activities;
(vi) Training and exercises using
engagement simulation systems;
(vii) Medical response at firearms
training facilities; and
(viii) Use of firing ranges by personnel
other than DOE or DOE contractor
protective forces personnel.
(b) A contractor must ensure that
personnel responsible for the direction
and operation of the firearms safety
program are professionally qualified and
have sufficient time and authority to
implement the procedures under this
section.
(c) A contractor must ensure that
firearms instructors and armorers have
been certified by the Safeguards and
Security National Training Center to
conduct the level of activity provided.
Personnel must not be allowed to
conduct activities for which they have
not been certified.
(d) A contractor must conduct formal
appraisals assessing implementation of
procedures, personnel responsibilities,
and duty assignments to ensure overall
policy objectives and performance
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criteria are being met by qualified,
responsible personnel.
(e) A contractor must implement
procedures related to firearms training,
live fire range safety, qualification, and
evaluation activities, including
procedures requiring that:
(1) Personnel must successfully
complete initial firearms safety training
before being issued any firearms.
Authorization to remain in armed status
will continue only if the employee
demonstrates the technical and practical
knowledge of firearms safety semiannually;
(2) Authorized armed personnel must
demonstrate through documented
limited scope performance tests both
technical and practical knowledge of
firearms handling and safety on a semiannual basis;
(3) All firearms training lesson plans
must incorporate safety for all aspects of
firearms training task performance
standards. The lesson plans must follow
the standards set forth by the Safeguards
and Security Central Training
Academy’s standard training programs;
(4) Firearms safety briefings must
immediately precede training,
qualifications, and evaluation activities
involving live fire and/or engagement
simulation systems;
(5) A safety analysis approved by DOE
line management must be developed for
the facilities and operation of each live
fire range prior to implementation of
any new training, qualification, or
evaluation activity. Results of these
analyses must be incorporated into
procedures, lesson plans, exercise plans,
and limited scope performance tests;
(6) Firing range safety procedures
must be conspicuously posted at all
primary range facilities;
(7) Live fire ranges, approved by the
Site Manager, must be properly sited to
protect personnel on the range, as well
as personnel and property not
associated with the range.
(f) Contractors must develop a safety
or risk analysis for all facilities or areas
in which firearms will be introduced in
accordance with the local protection
strategy. Such analyses must be
approved by DOE line management.
(g) Contractors must ensure that the
transportation, handling, placarding,
and storage of munitions conform to the
applicable requirements of DOE policy
directives.
§ 851.209
Industrial hygiene.
(a) A contractor responsible for a
covered workplace must implement a
comprehensive and effective industrial
hygiene program to reduce the risk of
work-related disease or illness.
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(b) The industrial hygiene program
must include the following elements:
(1) Initial or baseline surveys of all
work areas or operations to identify and
evaluate potential worker health risks;
(2) Coordination with planning and
design personnel to anticipate and
control health hazards that proposed
facilities and operations would
introduce;
(3) Coordination with cognizant
occupational medical, environmental,
health physics, and work planning
professionals;
(4) Policies and procedures to mitigate
the risk from identified and potential
occupational carcinogens; and
(5) Professionally and technically
qualified industrial hygienists to
manage and implement the industrial
hygiene program.
§ 851.210
Occupational medicine.
(a) A contractor responsible for a
covered workplace must establish and
maintain an Occupational Medical
Program (OMP) to provide
comprehensive occupational health
services to contractor employees. At
sites with operations performed by more
than one contractor, several contractors
may agree to use services provided
under a single contractor’s OMP. A
contractor having no employees who
work on the DOE site for 30 or more
days in a year and who has no workers
enrolled in a medical surveillance
program, regardless or length of
employment, is not required to have an
OMP.
(b) The OMP must be directed by a
site occupational medical director
(SOMD) who must be a graduate of a
school of medicine or osteopathy and
licensed for the practice of medicine in
the state in which the site is located.
(c) Occupational medical physicians,
occupational health nurses, physician’s
assistants, nurse practitioners,
psychologists, and other occupational
health personnel on the OMP staff must
be licensed, registered, or certified as
required by Federal or State law where
employed.
(d) A contractor must promote
communication and coordination
between all environmental, safety, and
health groups and specifically provide
the SOMD with the following:
(1) Current information about actual
or potential work-related site hazards
(chemical, physical, biological, or
ergonomic);
(2) Employee job-task and hazardanalysis information, including
essential job functions;
(3) Actual or potential work-site
exposures of each employee prior to
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3827
medical placement or surveillance
evaluations;
(4) Notification of employee job
transfers;
(5) Notification when an employee
has been absent because of an injury or
illness for more than 5 consecutive
workdays (or an equivalent time period
for those individuals on an alternative
work schedule);
(6) Information on, and the
opportunity to participate in, worker
health protection team meetings and
committees;
(7) Access to the workplace for
evaluation of job conditions and issues
relating to workers’ health;
(e) The SOMD, or designated OMP
staff, must:
(1) Plan and implement the OMP;
(2) Prepare, review and update
annually a formal written plan detailing
the methods and procedures
implementing the OMP and
documenting the contractor’s
compliance with this subsection; and
(3) Participate in worker protection
teams to build and maintain necessary
partnership among workers, managers,
and safety and health professionals in
establishing and maintaining a safe and
healthful workplace.
(f) A record, containing any medical,
clinical, health history, exposure
history, and demographic data collected
under the OMP, must be developed and
maintained for each employee for whom
medical services are provided.
Beginning January 2007, all OMP
medical records should be kept in an
electronic format.
(1) Employee medical, psychological,
and assistance records must be kept
confidential, protected from
unauthorized access, and stored under
conditions that ensure their long-term
preservation. Access to these records
shall be provided in accordance with
DOE Privacy Act implementing
regulations.
(2) The SOMD must determine the
content of the worker health
evaluations, which must be conducted
under the direction of a licensed
physician, in accordance with current
sound and acceptable medical practices
and all pertinent statutory and
regulatory requirements, such as the
Americans with Disabilities Act.
(3) Each SOMD must maintain an upto-date list of all evaluations and tests
that are offered, submit the list annually
through the cognizant Field Element to
the Office of Environment, Safety and
Health, and make this list openly
available to all site workers.
(4) The purpose and nature of these
medical tests and their results must be
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clearly communicated verbally and in
writing to each worker offered testing;
(5) The communication must be
documented in the medical chart by the
signature of the occupational health
examiner and the worker.
(6) The following health evaluations
must be conducted when determined
necessary by the SOMD for the purpose
of providing initial and continuing
assessment of employee fitness for duty:
(i) At the time of employment
entrance or job transfer, a Medical
Placement examination will evaluate
the individual’s general health and
physical and emotional capacity to
perform work to establish a baseline
record of physical condition and assure
fitness for duty.
(ii) Periodic hazard-based medical
monitoring or qualification-based fitness
for duty evaluations required by
regulations and standards, or as
recommended by the SOMD, will be
provided on the frequency required.
(iii) Diagnostic examinations will
evaluate employee’s injuries and
illnesses to determine work-relatedness,
the degree of disability, and if needed,
referral for definitive care.
(iv) After a work-related absence or an
absence of 5 or more consecutive
workdays (or an equivalent time period
for those individuals on an alternative
work schedule), a return to work
evaluation will determine the
individual’s physical and emotional
capacity to perform work and return to
duty.
(v) At the time of separation from
employment, the individual’s general
health will be evaluated to establish a
record of physical condition.
(g) The SOMD must place an
individual under medical restrictions
when health evaluations so indicate that
the worker should not perform certain
job tasks.
(1) The SOMD or designee must notify
the worker and contractor management
when employee work restrictions are
imposed or removed.
(2) The OMP must monitor ill and
injured workers to facilitate their
rehabilitation and safe return to work
and to minimize lost time and its
associated costs.
(3) Occupational medical physicians
and medical staff must, on a timely
basis, communicate results of health
trend evaluations to management and
site worker health protection
professionals responsible for mitigating
worksite hazards.
(h) The SOMD must review and
approve the medical and behavioral
aspects of employee counseling and
health promotional programs, including
the following types:
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(1) Contractor-sponsored or
contractor-supported employee
assistance programs;
(2) Contractor-sponsored or
contractor-supported alcohol and other
substance abuse rehabilitation
programs; and
(3) Contractor-sponsored or
contractor-supported wellness
programs.
(4) The SOMD must review the
medical aspects of immunization
programs, blood-borne pathogens
programs, and bio-hazardous waste
programs to evaluate their conformance
to applicable guidelines.
(i)(1) The SOMD must review and
develop procedures consistent with the
medical portion of the site emergency
and disaster preparedness plans.
(2) The SOMD and staff must integrate
the medical portion with nearby
community emergency and disaster
plans.
(a) The Cognizant Secretarial Officer
who is primarily responsible for the
contractor activity to which a worker
safety and health requirement applies
may grant a temporary or permanent
exemption from that requirement.
(b) The Cognizant Secretarial Officer:
(1) Must provide a copy of the
exemption request and supporting
documentation to the Assistant
Secretary for Environment, Safety and
Health for a thirty day review;
(2) May not grant the exemption prior
to the conclusion of the thirty day
review period unless the Assistant
Secretary for Environment, Safety and
Health comments earlier; and
(3) If the Cognizant Secretarial Officer
is not part of NNSA, may not grant the
exemption if the Assistant Secretary for
Environment, Safety and Health nonconcurs during the thirty day review
period.
(c) An exemption must set forth in
writing:
(1) The requirement for which the
exemption is granted;
(2) The basis for the determination
that the criteria in § 851.301 have been
met;
(3) The workplaces to which and the
circumstances under which the
exemption applies; and
(4) Any terms and conditions to
which the exemption is subject.
(d) The authority to grant or deny
exemptions may not be delegated.
(1) Be consistent with law;
(2) Adequately protect the health and
safety of workers;
(3) Be consistent with a safe and
healthful workplace free from
recognized hazards that are causing or
are likely to cause death or serious
bodily injury;
(4) Not permit exposure limits that are
less protective than the limits required
by this part or not otherwise diminish
the level of protection afforded workers;
and
(5) Involve one of the ‘‘special
circumstances’’ as set forth in paragraph
(b) of this section.
(b) With respect to a particular work
environment, ‘‘special circumstances’’
means a situation in which:
(1) Application of the requirement
leads to a conflict with another
applicable statutory, regulatory or
contractual requirement; or
(2) Application of the requirement
would not serve its underlying purpose;
(3) Application of the requirement is
not necessary to achieve its underlying
purpose and results in resource impacts
that are not justified by the safety
improvements; or
(4) Application of the requirement
would result in a situation significantly
different than that contemplated when
the requirement was adopted, or
significantly different than that
encountered by others similarly
situated; or
(5) The exemption would result in
benefit to worker safety and health that
compensates for any detriment that may
result from the grant of the exemption;
or
(6) Circumstances exist that would
justify temporary relief from application
of the requirement while taking good
faith action to achieve compliance; or
(7) There is present any other material
circumstance not considered when the
requirement was adopted for which it
would be in the public interest to grant
an exemption; or
(8) An exemption would contribute to
tailoring the requirements of this part to
reflect the hazards and facilities
associated with a particular work
environment; or
(9) The facility is to be permanently
closed and demolished, or title is
expected to be transferred to another
entity for reuse; or
(10) An exemption would contribute
substantially to achieving a national
security mission of the Department of
Energy in an efficient and timely
manner.
§ 851.301
§ 851.302
Subpart D—Exemption Relief
§ 851.300
Exemptions.
Exemption criteria.
(a) An exemption to a worker safety
and health requirement must:
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Terms and conditions.
An exemption may contain terms and
conditions including provisions that:
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(a) Limit its duration;
(b) Require alternative action;
(c) Require partial compliance; or
(d) Establish a schedule for full or
partial compliance.
Subpart E—Enforcement Process
§ 851.400
Investigations and inspections.
(a) The Director may initiate and
conduct investigations and inspections
relating to the scope, nature and extent
of compliance by a contractor with the
requirements of this part and take such
action as the Director deems necessary
and appropriate to the conduct of the
investigation or inspection.
(b) Contractors must fully cooperate
with the Director during all phases of
the enforcement process and provide
complete and accurate records and
documentation as requested by the
Director during investigation or
inspection activities. Contractors who
attempt to falsify records or
documentation or otherwise mislead the
Director during the enforcement process
will be subject to full and unmitigated
enforcement of this part, and such cases
may be referred to the Department of
Justice by the Director for potential
criminal investigation.
(c) Any person may request the
Director to initiate an investigation or
inspection pursuant to paragraph (a) of
this section. A request for an
investigation or inspection sets forth the
subject matter or activity to be
investigated or inspected as fully as
possible and includes supporting
documentation and information.
(d) The Director must inform any
contractor that is the subject of an
investigation or inspection in writing at
the initiation of the investigation or
inspection of the general purpose of the
investigation or inspection. However, no
prior notice of an inspection need be
provided to a contractor.
(e) DOE shall not disclose information
or documents that are obtained during
any investigation or inspection unless
the Director directs or authorizes the
public disclosure of the investigation.
Upon such authorization, the
information or documents are a matter
of public record and disclosure is not
precluded by the Freedom of
Information Act, 5 U.S.C. 552 and part
1004 of this title.
(f) A request for confidential
treatment of information for purposes of
the Freedom of Information Act does
not prevent disclosure by the Director if
the Director determines disclosure to be
in the public interest and otherwise
permitted or required by law.
(g) During the course of an
investigation or inspection, any
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contractor may submit any document,
statement of facts, or memorandum of
law for the purpose of explaining the
contractor’s position or furnish
information which the contractor
considers relevant to a matter or activity
under investigation or inspection.
(h) The Director may convene an
informal conference to discuss any
situation that might be a violation of a
requirement of this part, its significance
and cause, any correction taken or not
taken by the contractor, any mitigating
or aggravating circumstances, and any
other useful information. A conference
is not normally open to the public and
DOE does not make a transcript of the
conference. The Director may compel a
contractor to attend the conference.
(i) If facts disclosed by an
investigation or inspection indicate that
further action is unnecessary or
unwarranted, the Director may close the
investigation without prejudice to
further investigation or inspection at
any time that circumstances so warrant.
(j) The Director may issue
enforcement letters that communicate
DOE’s expectations with respect to any
aspect of the requirements of this part,
including identification and reporting of
issues, corrective actions, and
implementation of the contractor’s
safety and health program; provided
that an enforcement letter may not
create the basis for any legally
enforceable requirement pursuant to
this part.
(k) The Director may sign, issue and
serve subpoenas.
§ 851.401
Settlement.
(a) DOE encourages settlement of a
proceeding under this subpart at any
time if the settlement is consistent with
this part. The Director and a contractor
may confer at any time concerning
settlement. A settlement conference is
not open to the public and DOE does
not make a transcript of the conference.
(b) Notwithstanding any other
provision of this part, the Director may
resolve any issues in an outstanding
proceeding under this subpart with a
consent order.
(1) The Director and the contractor, or
a duly authorized representative, must
sign the consent order and indicate
agreement to the terms contained
therein.
(2) A contractor is not required to
admit in a consent order that a
requirement of this part has been
violated.
(3) DOE is not required to make a
finding in a consent order that a
contractor has violated a requirement of
this part.
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3829
(4) A consent order must set forth the
relevant facts which form the basis for
the order and what remedy, if any, is
imposed.
(5) A consent order shall constitute a
final order.
§ 851.402
Preliminary notice of violation.
(a) Based on a determination by the
Director that there is a reasonable basis
to believe a contractor has violated or is
continuing to violate a requirement of
this part, the Director may issue a
preliminary notice of violation to the
contractor.
(b) The Director must send a
preliminary notice of violation by
certified mail, return receipt requested.
(c) A preliminary notice of violation
must indicate:
(1) The date, facts, and nature of each
act or omission upon which each
alleged violation is based;
(2) The particular requirement
involved in each alleged violation;
(3) The proposed remedy for each
alleged violation, including the amount
of any civil penalty; and
(4) The right of the contractor to
submit a written reply to the Director
within 30 calendar days of receipt of the
preliminary notice of violation.
(d) A reply to a preliminary notice of
violation must contain a statement of all
relevant facts pertaining to an alleged
violation.
(1) The reply must:
(i) State any facts, explanations and
arguments which support a denial of the
alleged violation;
(ii) Demonstrate any extenuating
circumstances or other reason why a
proposed remedy should not be
imposed or should be mitigated;
(iii) Discuss the relevant authorities
which support the position asserted,
including rulings, regulations,
interpretations, and previous decisions
issued by DOE; and
(iv) Furnish full and complete
answers to any questions set forth in the
preliminary notice.
(2) Copies of all relevant documents
must be submitted with the reply.
(e) If a contractor fails to submit a
written reply within 30 calendar days of
receipt of a preliminary notice of
violation:
(1) The contractor relinquishes any
right to appeal any matter in the
preliminary notice; and
(2) The preliminary notice, including
any proposed remedies therein,
constitutes a final order.
§ 851.403
Final notice of violation.
(a) If a contractor submits a written
reply within 30 calendar days of receipt
of a preliminary notice of violation, the
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Director must review the submitted
reply and make a final determination
whether the contractor violated or is
continuing to violate a requirement of
this part.
(b) Based on a determination by the
Director that a contractor has violated or
is continuing to violate a requirement of
this part, the Director may issue to the
contractor a final notice of violation that
states concisely the determined
violation and any remedy, including the
amount of any civil penalty imposed on
the contractor. The final notice of
violation must state that the contractor
may petition the Office of Hearings and
Appeals for review of the final notice in
accordance with 10 CFR part 1003,
subpart G.
(c) The Director must send a final
notice of violation by certified mail,
return receipt requested.
(d) If a contractor fails to submit a
petition for review to the Office of
Hearings and Appeals within 30
calendar days of receipt of a final notice
of violation pursuant to § 851.45:
(1) The contractor relinquishes any
right to appeal any matter in the final
notice; and
(2) The final notice, including any
remedies therein, constitutes a final
order.
§ 851.404
Administrative appeal.
(a) Any contractor that receives a final
notice of violation may petition the
Office of Hearings and Appeals for
review of the final notice in accordance
with part 1003, subpart G of this title,
within 30 calendar days from receipt of
the final notice.
(b) In order to exhaust administrative
remedies with respect to a final notice
of violation, the contractor must petition
the Office of Hearings and Appeals for
review in accordance with paragraph (a)
of this section.
§ 851.405
Direction to NNSA contractors.
(a) Notwithstanding any other
provision of this part, the NNSA
Administrator, rather than the Director,
signs, issues and serves the following
actions that direct NNSA contractors:
(1) Subpoenas;
(2) Orders to compel attendance;
(3) Disclosures of information or
documents obtained during an
investigation or inspection;
(4) Preliminary notices of violations;
and
(5) Final notices of violations.
(b) The NNSA Administrator shall act
after consideration of the Director’s
recommendation.
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Appendix A to Part 851.—General
Statement of Enforcement Policy
I. Introduction
(a) This policy statement sets forth the
general framework through which the U.S.
Department of Energy (DOE) will seek to
ensure compliance with its worker safety and
health regulations, and, in particular,
exercise the civil penalty authority provided
to DOE in section 3173 of Public Law 107–
314, Bob Stump National Defense
Authorization Act for Fiscal Year 2003
(December 2, 2002) (‘‘NDAA’’), amending the
Atomic Energy Act (‘‘AAEA’’) to add section
234C. The policy set forth herein is
applicable to violations of safety and health
regulations in this part by DOE contractors,
including DOE contractors who are
indemnified under the Price Anderson Act,
42 U.S.C. 2210(d), and their subcontractors
and suppliers (hereafter collectively referred
to as DOE contractors). This policy statement
is not a regulation and is intended only to
provide general guidance to those persons
subject to the regulations in this part. It is not
intended to establish a ‘‘cookbook’’ approach
to the initiation and resolution of situations
involving noncompliance with the
regulations in this part. Rather, DOE intends
to consider the particular facts of each
noncompliance situation in determining
whether enforcement sanctions are
appropriate and, if so, the appropriate
magnitude of those sanctions. DOE may well
deviate from this policy statement when
appropriate in the circumstances of
particular cases. This policy statement is not
applicable to activities and facilities covered
under E.O. 12344, 42 U.S.C. 7158 note,
pertaining to Naval Nuclear Propulsion, or
otherwise excluded from the scope of the
rule.
(b) The DOE goal in the compliance arena
is to enhance and protect the safety and
health of workers at DOE facilities by
fostering a culture among both the DOE line
organizations and the contractors that
actively seeks to attain and sustain
compliance with the regulations in this part.
The enforcement program and policy have
been developed with the express purpose of
achieving safety inquisitiveness and
voluntary compliance. DOE will establish
effective administrative processes and
positive incentives to the contractors for the
open and prompt identification and reporting
of noncompliances, performance of effective
root cause analysis, and initiation of
comprehensive corrective actions to resolve
both noncompliance conditions and program
or process deficiencies that led to
noncompliance.
(c) In the development of the DOE
enforcement policy, DOE recognizes that the
reasonable exercise of its enforcement
authority can help to reduce the likelihood
of serious incidents. This can be
accomplished by providing greater emphasis
on a culture of safety in existing DOE
operations, and strong incentives for
contractors to identify and correct
noncompliance conditions and processes in
order to protect human health and the
environment. DOE wants to facilitate,
encourage, and support contractor initiatives
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for the prompt identification and correction
of problems. DOE will give due consideration
to such initiatives and activities in exercising
its enforcement discretion.
(d) DOE may modify or remit civil
penalties in a manner consistent with the
mitigation and adjustment factors set forth in
this policy with or without conditions. DOE
will carefully consider the facts of each case
of noncompliance and will exercise
appropriate discretion in taking any
enforcement action. Part of the function of a
sound enforcement program is to assure a
proper and continuing level of safety
vigilance. The reasonable exercise of
enforcement authority will be facilitated by
the appropriate application of safety
requirements to DOE facilities and by
promoting and coordinating the proper
contractor and DOE safety compliance
attitude toward those requirements.
II. Purpose
The purpose of the DOE enforcement
program is to promote and protect the safety
and health of workers at DOE facilities by:
(a) Ensuring compliance by DOE
contractors with the regulations in this part.
(b) Providing positive incentives for DOE
contractors:
(1) Timely self-identification of worker
safety deficiencies;
(2) Prompt and complete reporting of such
deficiencies to DOE;
(3) Prompt correction of safety deficiencies
in a manner that precludes recurrence; and,
(4) Identification of modifications in
practices or facilities that can improve
worker safety and health.
(c) Deterring future violations of DOE
requirements by a DOE contractor.
(d) Encouraging the continuous overall
improvement of operations at DOE facilities.
III. Statutory Authority
The Department of Energy Organization
Act, 42 U.S.C. 7101–7385o, the Energy
Reorganization Act of 1974 (ERA), 42 U.S.C.
5801–5911, and the Atomic Energy Act of
1954, as amended, (AEA) 42 U.S.C. 2011,
require DOE to protect the public safety and
health, as well as the safety of workers at
DOE facilities, in conducting its activities,
and grant DOE broad authority to achieve
this goal. Section 234C of the AEA makes
DOE contractors covered by the DOE PriceAnderson indemnification system, and it
makes their subcontractors and suppliers
subject to civil penalties for violations of the
worker safety and health requirements
promulgated in this part. 42 U.S.C. 2282c.
IV. Responsibilities
(a) The Director, as the principal
enforcement officer of the DOE, has been
delegated the authority to: (1) Conduct
enforcement inspections, investigations, and
conferences; (2) issue Notices of Violations
and proposed civil penalties, Enforcement
Letters, Consent Orders, and subpoenas; and
(3) issue orders to compel attendance and
disclosure of information or documents
obtained during an investigation or
inspection. The Secretary issues Compliance
Orders.
(b) The NNSA Administrator, rather than
the Director, signs, issues and serves the
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following actions that direct NNSA
contractors: (1) Subpoenas; (2) Orders to
compel attendance; (3) Disclosure of
information or documents obtained during an
investigation or inspection; (4) Preliminary
Notices of Violations; and (5) Final Notices
of Violations. The NNSA Administrator acts
after consideration of the Director’s
recommendation.
V. Procedural Framework
(a) Title 10 CFR part 851 sets forth the
procedures DOE will use in exercising its
enforcement authority, including the
issuance of Notices of Violation and the
resolution of an administrative appeal in the
event a DOE contractor elects to petition the
Office of Hearings and Appeals for review.
(b) Pursuant to 10 CFR part 851 subpart E,
the Director initiates the enforcement process
by initiating and conducting investigations
and inspections and issuing a Preliminary
Notice of Violation (PNOV) with or without
a proposed civil penalty. The DOE contractor
is required to respond in writing to the PNOV
within 30 days, either: (1) Admitting the
violation and waiving its right to contest the
proposed civil penalty and paying it; (2)
admitting the violation but asserting the
existence of mitigating circumstances that
warrant either the total or partial remission
of the civil penalty; or (3) denying that the
violation has occurred and providing the
basis for its belief that the PNOV is incorrect.
After evaluation of the DOE contractor’s
response, the Director may determine: (1)
that no violation has occurred; (2) that the
violation occurred as alleged in the PNOV
but that the proposed civil penalty should be
remitted in whole or in part, or; (3) that the
violation occurred as alleged in the PNOV
and that the proposed civil penalty is
appropriate, notwithstanding the asserted
mitigating circumstances. In the latter two
instances, the Director will issue a Final
Notice of Violation (FNOV) or an FNOV and
proposed civil penalty.
(c) An opportunity to challenge an FNOV
is provided in administrative appeal
provisions. 10 CFR 851.45. Any contractor
that receives an FNOV may petition the
Office of Hearings and Appeals for review of
the final notice in accordance with 10 CFR
part 1003, Subpart G, within 30 calendar
days from receipt of the final notice. An
administrative appeal proceeding is not
initiated until the DOE contractor against
which an FNOV has been issued requests an
administrative hearing rather than waiving
its right to contest the FNOV and proposed
civil penalty, if any, and paying the civil
penalty. However, it should be emphasized
that DOE encourages the voluntary resolution
of a noncompliance situation at any time,
either informally prior to the initiation of the
enforcement process or by consent order
before or after any formal proceeding has
begun.
VI. Severity of Violations
(a) Violations of the worker safety and
health requirements in this part have varying
degrees of safety and health significance.
Therefore, the relative importance of each
violation must be identified as the first step
in the enforcement process. Violations of the
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worker safety and health requirements are
categorized in two levels of severity to
identify their relative seriousness. Notices of
Violation issued for noncompliance when
appropriate, propose civil penalties
commensurate with the severity level of the
violations involved.
(b) To assess the potential safety and health
impact of a particular violation, DOE will
categorize violations of worker safety and
health requirements as follows:
(1) A Severity Level I violation is a serious
violation. A serious violation shall be
deemed to exist in a place of employment if
there is a potential that death or serious
physical harm could result from a condition
which exists, or from one or more practices,
means, methods, operations, or processes
which have been adopted or are in use, in
such place of employment. A Severity Level
I violation would be subject to a base civil
penalty of up to 100% of the maximum base
civil penalty of $70,000.
(2) A Severity Level II violation is an otherthan-serious violation. An other-than-serious
violation occurs where the most serious
injury or illness that would potentially result
from a hazardous condition cannot
reasonably be predicted to cause death or
serious physical harm to employees but does
have a direct relationship to their safety and
health. A Severity Level II violation would be
subject to a base civil penalty up to 50% of
the maximum base civil penalty ($35,000).
(c) De minimis violations, defined as a
deviation from the requirement of a standard
that has no direct or immediate relationship
to safety or health, will not be the subject of
formal enforcement action through the
issuance of a Notice of Violation.
(d) The severity level of a violation will be
dependent, in part, on the degree of
culpability of the DOE contractor with regard
to the violation. Thus, inadvertent or
negligent violations will be viewed
differently from those in which there is gross
negligence, deception, or willfulness. In
addition to the significance of the underlying
violation and level of culpability involved,
DOE will also consider the position, training
and experience of the person involved in the
violation. Thus, for example, a violation may
be deemed to be more significant if a senior
manager of an organization is involved rather
than a foreman or non-supervisory employee.
In this regard, while management
involvement, direct or indirect, in a violation
may lead to an increase in the severity level
of a violation and proposed civil penalty, the
lack of such involvement will not constitute
grounds to reduce the severity level of a
violation or mitigate a civil penalty.
Allowance of mitigation in such
circumstances could encourage lack of
management involvement in DOE contractor
activities and a decrease in protection of
worker safety and health.
(e) Other factors which will be considered
by DOE in determining the appropriate
severity level of a violation are the duration
of the violation, the past performance of the
DOE contractor in the particular activity area
involved, whether the DOE contractor had
prior notice of a potential problem, and
whether there are multiple examples of the
violation in the same time frame rather than
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3831
an isolated occurrence. The relative weight
given to each of these factors in arriving at
the appropriate severity level will be
dependent on the circumstances of each case.
(f) DOE expects contractors to provide full,
complete, timely, and accurate information
and reports. Accordingly, the severity level of
a violation involving either failure to make a
required report or notification to the DOE or
an untimely report or notification will be
based upon the significance of, and the
circumstances surrounding, the matter that
should have been reported. A contractor will
not normally be cited for a failure to report
a condition or event unless the contractor
was actually aware or should have been
aware of the condition or event which it
failed to report.
(g) The Director may consider the extent to
which facility-related and legacy hazards
have been mitigated through the use of
administrative controls and/or personal
protective equipment in determining whether
a citation will be issued.
VII. Enforcement Conferences
(a) Should DOE determine, after
completion of all assessment and
investigation activities associated with a
potential or alleged violation of the worker
safety and health requirements, that there is
a reasonable basis to believe that a violation
has actually occurred, and the violation may
warrant a civil penalty or issuance of an
enforcement action, DOE will normally hold
an enforcement conference with the DOE
contractor involved prior to taking final
enforcement action. The enforcement
conference may be conducted onsite at the
conclusion of a field investigation/
inspection. DOE may also elect to hold an
enforcement conference for potential
violations which would not ordinarily
warrant a civil penalty or enforcement action
but which could, if repeated, lead to such
action. The purpose of the enforcement
conference is to: (1) Assure the accuracy of
the facts upon which the preliminary
determination to consider enforcement action
is based; (2) discuss the potential or alleged
violations, their significance and causes, and
the nature of and schedule for the DOE
contractor’s corrective actions; (3) determine
whether there are any aggravating or
mitigating circumstances; and (4) obtain
other information which will help determine
whether enforcement action is appropriate
and, if so, the extent of that enforcement
action.
(b) DOE contractors will be informed prior
to a meeting when that meeting is considered
to be an enforcement conference. Such
conferences are informal mechanisms for
candid pre-decisional discussions regarding
potential or alleged violations and will not
normally be open to the public. In
circumstances for which immediate
enforcement action is necessary in the
interest of worker safety and health, such
action will be taken prior to the enforcement
conference, which may still be held after the
necessary DOE action has been taken.
VIII. Enforcement Letter
(a) In cases where DOE has decided not to
conduct an investigation or inspection or
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issue a Preliminary Notice of Violation
(PNOV), DOE may send an Enforcement
Letter to the contractor, signed by the
Director. The Enforcement Letter is intended
to communicate the basis of the decision not
to pursue enforcement action for a
noncompliance. The Enforcement Letter is
intended to direct contractors to the desired
level of worker safety and health
performance. It may be used when DOE
concludes the specific noncompliance at
issue is not of the level of significance
warranted to conduct an investigation or
inspection or for issuance of a PNOV. Even
where a noncompliance may be significant,
the Enforcement Letter recognizes that the
contractor’s actions may have attenuated the
need for enforcement action. The
Enforcement Letter will typically recognize
how the contractor handled the
circumstances surrounding the
noncompliance, address additional areas
requiring the contractor’s attention, and
address DOE’s expectations for corrective
action.
(b) In general, Enforcement Letters
communicate DOE’s expectations with
respect to any aspect of the requirements of
this part, including identification and
reporting of issues, corrective actions, and
implementation of the contractor’s safety and
health program. DOE might, for example,
wish to recognize some action of the
contractor that is of particular benefit to
worker safety and health that is a candidate
for emulation by other contractors. On the
other hand, DOE may wish to bring a
program shortcoming to the attention of the
contractor that, but for the lack of worker
safety and health significance of the
immediate issue, might have resulted in the
issuance of a PNOV. An Enforcement Letter
is not an enforcement action.
(c) With respect to many noncompliances,
an Enforcement Letter may not be required.
When DOE decides that a contractor has
appropriately corrected a noncompliance or
that the significance of the noncompliance is
sufficiently low, it may close out its review
simply through an annotation in the DOE
Noncompliance Tracking System (NTS). A
closeout of a noncompliance with or without
an Enforcement Letter may only take place
after DOE has confirmed that corrective
actions have been completed.
IX. Enforcement Actions
(a) This section describes the enforcement
sanctions available to DOE and specifies the
conditions under which each may be used.
The basic sanctions are Notices of Violation
and civil penalties.
(b) The nature and extent of the
enforcement action is intended to reflect the
seriousness of the violation involved. For the
vast majority of violations for which DOE
assigns severity levels as described
previously, a Notice of Violation will be
issued, requiring a formal response from the
recipient describing the nature of and
schedule for corrective actions it intends to
take regarding the violation.
1. Notice of Violation
(a) A Notice of Violation (either a
Preliminary or Final Notice) is a document
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setting forth the conclusion of DOE that one
or more violations of the worker safety and
health requirements have occurred. Such a
notice normally requires the recipient to
provide a written response which may take
one of several positions described in section
V of this policy statement. In the event that
the recipient concedes the occurrence of the
violation, it is required to describe corrective
steps which have been taken and the results
achieved; remedial actions which will be
taken to prevent recurrence; and the date by
which full compliance will be achieved.
(b) DOE will use the Notice of Violation as
the standard method for formalizing the
existence of a violation and, in appropriate
cases as described in this section, the Notice
of Violation will be issued in conjunction
with the proposed imposition of a civil
penalty. In certain limited instances, as
described in this section, DOE may refrain
from the issuance of an otherwise
appropriate Notice of Violation. However, a
Notice of Violation will virtually always be
issued for willful violations, or if past
corrective actions for similar violations have
not been sufficient to prevent recurrence and
there are no other mitigating circumstances,
or if the circumstances otherwise warrant
increasing lower severity level violations to
a higher severity level.
(c) DOE contractors are not ordinarily cited
for violations resulting from matters not
within their control, such as equipment
failures that were not avoidable by
reasonable quality assurance measures,
proper maintenance, or management
controls. With regard to the issue of funding,
however, DOE does not consider an asserted
lack of funding to be a justification for
noncompliance with the worker safety and
health requirements.
(d) DOE expects the contractors which
operate its facilities to have the proper
management and supervisory systems in
place to assure that all activities at DOE
facilities, regardless of who performs them,
are carried out in compliance with all the
worker safety and health requirements.
Therefore, contractors are normally held
responsible for the acts of their employees
and subcontractor employees in the conduct
of activities at DOE facilities. Accordingly,
this policy should not be construed to excuse
personnel errors.
(e) The limitations on remedies under Sec.
234C will be implemented as follows:
(1) DOE may assess civil penalties of up to
$70,000 per violation per day on contractors
(and their subcontractors and suppliers) that
are indemnified by the Price-Anderson Act,
42 U.S.C. 2210(d). 10 CFR 851.4(c). DOE will
not assess civil penalties on contractors (and
their subcontractors and suppliers) that are
not indemnified under the Price-Anderson
Act.
(2) DOE may seek contract fee reductions
through the contract’s Conditional Payment
of Fee Clause in the Department of Energy
Acquisition Regulation (DEAR). See 10 CFR
851.4(b); 48 CFR parts 923, 952, 970. Policies
for contract fee reductions are not established
by this policy statement. The contracting
officer must coordinate with the Director, the
DOE Official to whom the Secretary has
assigned the authority to investigate the
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nature and extent of compliance with the
requirements of this part, before pursuing
contract fee reduction in the event of a
violation relating to the enforcement of
worker safety and health concerns. Likewise,
the Director must coordinate with the
contracting officer when conducting
investigations and pursuing an enforcement
action.
(3) For the same violation of a worker
safety and health requirement in this part,
DOE may pursue either civil penalties (for
indemnified contractors and their
subcontractors and suppliers) or a contract
fee reduction, but not both. 10 CFR 851.4(d).
(4) An upper ceiling applies to civil
penalties assessed on certain contractors
specifically listed in 170d. of the Atomic
Energy Act, 42 U.S.C. 2282a(d), for activities
conducted at specified facilities. For these
contractors, the total amount of civil
penalties and contract penalties in a fiscal
year may not exceed the total amount of fees
paid by DOE to that entity in that fiscal year.
10 CFR 851.4(e).
(5) DOE will not issue civil penalties under
both this part and under the nuclear safety
procedural regulations in 10 CFR part 820 for
the same violation. 10 CFR 851.4(f).
(f) The Director will coordinate all
violations with the appropriate DOE official
responsible for administering the Conditional
Payment of Fee clause to consider invoking
the provisions for reducing contract fees if
the violation: (1) Is especially egregious; (2)
indicates a general failure to perform under
the contract with respect to worker safety and
health; or (3) where the responsible DOE line
management believes a violation requires
swift enforcement and corrective action. The
responsible DOE line management would
focus on factors such as willfulness, repeated
violations, death, serious injury, patterns of
systemic violations, flagrant DOE-identified
violations, repeated poor performance in an
area of concern, or serious breakdown in
management controls. Such factors involved
in a violation would call into question a
contractor’s commitment and ability to
achieve the fundamental obligation of
providing safe and healthy workplaces for
workers. A notice of violation may still be
issued should the election of a contract fee
reduction be made. In such cases, the notice
of violation will not include a civil penalty.
The notice of violation will indicate that no
civil penalty is being imposed because DOE
has elected a contract fee reduction as the
remedy.
2. Civil Penalty
(a) A civil penalty is a monetary penalty
that may be imposed for violations of
requirements of this part. See 10 CFR
851.4(b). Civil penalties are designed to
emphasize the need for lasting remedial
action, deter future violations, and
underscore the importance of DOE contractor
self-identification, reporting, and correction
of violations of the worker safety and health
requirements in this part.
(b) Absent mitigating circumstances as
described below, or circumstances otherwise
warranting the exercise of enforcement
discretion by DOE as described in this
section, civil penalties will be proposed for
Severity Level I and II violations.
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(c) DOE will impose different base level
penalties considering the severity level of the
violation by Price-Anderson indemnified
contractors. Table A–1 shows the daily base
civil penalties for the various categories of
severity levels. However, as described above
in section IV, the imposition of civil
penalties will also take into account the
gravity, circumstances, and extent of the
violation or violations and, with respect to
the violator, any history of prior similar
violations and the degree of culpability and
knowledge.
(d) Enforcement personnel will utilize riskbased criteria to assist the Director in
determining appropriate civil penalties for
violations found during investigations and
inspections.
(e) Regarding the factor of ability of DOE
contractors to pay the civil penalties, it is not
DOE’s intention that the economic impact of
a civil penalty be such that it puts a DOE
contractor out of business. Contract
termination, rather than civil penalties, is
used when the intent is to terminate these
activities. The deterrent effect of civil
penalties is best served when the amount of
such penalties takes this factor into account.
However, DOE will evaluate the relationship
of affiliated entities to the contractor (such as
parent corporations) when the contractor
asserts that it cannot pay the proposed
penalty.
(f) DOE will review each case involving a
proposed civil penalty on its own merits and
adjust the base civil penalty values upward
or downward appropriately. As indicated
above, Table A–1 identifies the daily base
civil penalty values for different severity
levels. After considering all relevant
circumstances, civil penalties may be raised
or lowered based upon the adjustment factors
described below in this section. In no
instance will a civil penalty for any one
violation exceed the statutory limit of
$70,000. However, it should be emphasized
that if the DOE contractor is or should have
been aware of a violation and has not
reported it to DOE and taken corrective
action despite an opportunity to do so, each
day the condition existed may be considered
a separate violation and, as such, subject to
a separate civil penalty. Further, as described
in this section, the duration of a violation
will be taken into account in determining the
appropriate severity level of the base civil
penalty.
TABLE A–1.—SEVERITY LEVEL BASE
CIVIL PENALTIES
Severity level
Base civil
penalty
amount
(Percentage
of maximum
per violation
per day)
I ...........................................
II ..........................................
100
50
3. Adjustment Factors
(a) DOE’s enforcement program is not an
end in itself, but a means to achieve
compliance with the worker safety and
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health requirements in this part, and civil
penalties are intended to emphasize the
importance of compliance and to deter future
violations. The single most important goal of
the DOE enforcement program is to
encourage early identification and reporting
of worker protection deficiencies and
violations of the worker safety and health
requirements in this part by the DOE
contractors themselves rather than by DOE,
and the prompt correction of any deficiencies
and violations so identified. DOE believes
that DOE contractors are in the best position
to identify and promptly correct
noncompliance with the worker safety and
health requirements in this part. DOE expects
that these contractors should have in place
internal compliance programs which will
ensure the detection, reporting, and prompt
correction of worker protection-related
problems that may constitute, or lead to,
violations of the worker safety and health
requirements in this part, before, rather than
after, DOE has identified such violations.
Thus, DOE contractors will almost always be
aware of worker safety and health problems
before they are discovered by DOE.
Obviously, worker safety and health is
enhanced if deficiencies are discovered (and
promptly corrected) by the DOE contractor,
rather than by DOE, which may not
otherwise become aware of a deficiency until
later on, during the course of an inspection,
performance assessment, or following an
incident at the facility. Early identification of
worker safety and health-related problems by
DOE contractors has the added benefit of
allowing information which could prevent
such problems at other facilities in the DOE
complex to be shared with all appropriate
DOE contractors.
(b) Pursuant to this enforcement
philosophy, DOE will provide substantial
incentive for the early self-identification,
reporting, and prompt correction of problems
which constitute, or could lead to, violations
of the worker safety and health requirements.
Thus, application of the adjustment factors
set forth below may result in a reduced or no
civil penalty being assessed for violations
that are identified, reported, and promptly
and effectively corrected by the DOE
contractor.
(c) On the other hand, ineffective programs
for problem identification and correction are
unacceptable. Thus, for example, where a
contractor fails to disclose and promptly
correct violations of which it was aware or
should have been aware, substantial civil
penalties are warranted and may be sought,
including the assessment of civil penalties
for continuing violations on a per day basis.
(d) Further, in cases involving factors of
willfulness, repeated violations, death,
serious injury, patterns of systemic
violations, flagrant DOE-identified violations,
repeated poor performance in an area of
concern, or serious breakdown in
management controls, DOE intends to apply
its full statutory enforcement authority where
such action is warranted.
4. Identification and Reporting
Reduction of up to 50% of the base civil
penalty shown in Table A–1 may be given
when a DOE contractor identifies the
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3833
violation and promptly reports the violation
to the DOE. In weighing this factor,
consideration will be given to, among other
things, the opportunity available to discover
the violation, the ease of discovery and the
promptness and completeness of any
required report. No consideration will be
given to a reduction in penalty if the DOE
contractor does not take prompt action to
report the problem to DOE upon discovery,
or if the immediate actions necessary to
restore compliance with the worker safety
and health requirements are not taken.
5. Self-Identification and Tracking Systems
(a) DOE strongly encourages contractors to
self-identify noncompliances with the worker
safety and health requirements before the
noncompliances lead to a string of similar
and potentially more significant events or
consequences. When a contractor identifies a
noncompliance through its own selfmonitoring activity, DOE will normally allow
a reduction in the amount of civil penalties,
unless prior opportunities existed for
contractors to identify the noncompliance.
DOE will normally not allow a reduction in
civil penalties for self-identification if
significant DOE intervention was required to
induce the contractor to report a
noncompliance.
(b) Self-identification of a noncompliance
is possibly the single most important factor
in considering a reduction in the civil
penalty amount. Consideration of selfidentification is linked to, among other
things, whether prior opportunities existed to
discover the violation, and if so, the age and
number of such opportunities; the extent to
which proper contractor controls should
have identified or prevented the violation;
whether discovery of the violation resulted
from a contractor’s self-monitoring activity;
the extent of DOE involvement in discovering
the violation or in prompting the contractor
to identify the violation; and the promptness
and completeness of any required report.
Self-identification is also considered by DOE
in deciding whether to pursue an
investigation.
(c) DOE will use the voluntary
Noncompliance Tracking System (NTS)
which allows contractors to elect to report
noncompliances. In the guidance document
supporting the NTS, DOE will establish
reporting thresholds for reporting items of
noncompliance of potentially greater worker
safety and health significance into the NTS.
Contractors are expected, however, to use
their own self-tracking systems to track
noncompliances below the reporting
threshold. This self-tracking is considered to
be acceptable self-reporting as long as DOE
has access to the contractor’s system and the
contractor’s system notes the item as a
noncompliance with a DOE safety and health
requirement. For noncompliances that are
below the reportability thresholds, DOE will
credit contractor self-tracking as representing
self-reporting. If an item is not reported in
NTS but only tracked in the contractor’s
system and DOE subsequently finds the facts
and their worker safety and health
significance have been significantly
mischaracterized, DOE will not credit the
internal tracking as representing appropriate
self-reporting.
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6. Self-Disclosing Events
(a) DOE expects contractors to demonstrate
acceptance of responsibility for worker safety
and health by proactively identifying
noncompliance conditions in their programs
and processes. When the occurrence of an
event discloses noncompliances that the
contractor could have or should have
identified before the event, DOE will not
generally allow a reduction in civil penalties
for self-identification, even if the underlying
noncompliances were reported to DOE. In
deciding whether to reduce any civil penalty
proposed for violations revealed by the
occurrence of a self-disclosing event, DOE
will consider the ease with which a
contractor could have discovered the
noncompliance and the prior opportunities
that existed to discover the noncompliance.
If a contractor simply reacts to events that
disclose potentially significant consequences
or downplays noncompliances which did not
result in significant consequences to worker
safety and health, such contractor actions do
not constitute the type of proactive behavior
necessary to prevent significant events from
occurring and thereby to the improvement in
worker safety and health.
(b) The key test is whether the contractor
reasonably could have detected any of the
underlying noncompliances that contributed
to the event. Examples of events that provide
opportunities to identify noncompliances
include, but are not limited to:
(1) Prior notifications of potential problems
such as those from DOE operational
experience publications or vendor equipment
deficiency reports;
(2) Normal surveillance, quality assurance
performance assessments, and postmaintenance testing;
(3) Readily observable parameter trends;
and
(4) Contractor employee or DOE
observations of potential worker safety and
health problems.
(c) Failure to utilize these types of events
and activities to address noncompliances
may result in higher civil penalty
assessments or a DOE decision not to reduce
civil penalty amounts.
(d) Alternatively, if, following a selfdisclosing event, DOE finds that the
contractor’s processes and procedures were
adequate and the contractor’s personnel
generally behaved in a manner consistent
with the contractor’s processes and
procedures, DOE could conclude that the
contractor could not have been reasonably
expected to find the single procedural
noncompliance that led to the event and
thus, might allow a reduction in civil
penalties.
7. Corrective Action To Prevent Recurrence
The promptness (or lack thereof) and
extent to which the DOE contractor takes
corrective action, including actions to
identify root cause and prevent recurrence,
may result in an increase or decrease in the
base civil penalty shown in Table A–1. For
example, very extensive corrective action
may result in DOE’s reducing the proposed
civil penalty up to 50% from the base value
shown in Table A–1. On the other hand, the
civil penalty may be increased if initiation of
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corrective action is not prompt or if the
corrective action is only minimally
acceptable. In weighing this factor,
consideration will be given to, among other
things, the appropriateness, timeliness and
degree of initiative associated with the
corrective action. The comprehensiveness of
the corrective action will also be considered,
taking into account factors such as whether
the action is focused narrowly to the specific
violation or broadly to the general area of
concern.
8. DOE’s Contribution to a Violation
There may be circumstances in which a
violation of a DOE worker safety and health
requirement results, in part or entirely, from
a direction given by DOE personnel to a DOE
contractor to either take or forbear from
taking an action at a DOE facility. In such
cases, DOE may refrain from issuing an NOV,
or may mitigate, either partially or entirely,
any proposed civil penalty, provided that the
direction upon which the DOE contractor
relied is documented in writing,
contemporaneously with the direction. It
should be emphasized, however, that
pursuant to 10 CFR 851.5, no interpretation
of a requirement of this part is binding upon
DOE unless issued in writing by the Office
of the General Counsel. Further, as discussed
above in this policy statement, lack of
funding by itself will not be considered as a
mitigating factor in enforcement actions.
9. Exercise of Discretion
Because DOE wants to encourage and
support DOE contractor initiative for prompt
self-identification, reporting and correction
of problems, DOE may exercise discretion as
follows:
(a) In accordance with the previous
discussion, DOE may refrain from issuing a
civil penalty for a violation which meets all
of the following criteria:
(1) The violation is promptly identified
and reported to DOE before DOE learns of it
or the violation is identified by a DOE
independent assessment, inspection or other
formal program effort.
(2) The violation is not willful or a
violation that could reasonably be expected
to have been prevented by the DOE
contractor’s corrective action for a previous
violation.
(3) The DOE contractor, upon discovery of
the violation, has taken or begun to take
prompt and appropriate action to correct the
violation.
(4) The DOE contractor has taken, or has
agreed to take, remedial action satisfactory to
DOE to preclude recurrence of the violation
and the underlying conditions which caused
it.
(b) DOE will not issue a Notice of Violation
for cases in which the violation discovered
by the DOE contractor cannot reasonably be
linked to the conduct of that contractor in the
design, construction or operation of the DOE
facility involved, provided that prompt and
appropriate action is taken by the DOE
contractor upon identification of the past
violation to report to DOE and remedy the
problem.
(c) In situations where corrective actions
have been completed before termination of
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an inspection or assessment, a formal
response from the contractor is not required
and the inspection or integrated performance
assessment report serves to document the
violation and the corrective action. However,
in all instances, the contractor is required to
report the noncompliance through
established reporting mechanisms so the
noncompliance issue and any corrective
actions can be properly tracked and
monitored.
(d) If DOE initiates an enforcement action
for a violation, and as part of the corrective
action for that violation, the DOE contractor
identifies other examples of the violation
with the same root cause, DOE may refrain
from initiating an additional enforcement
action. In determining whether to exercise
this discretion, DOE will consider whether
the DOE contractor acted reasonably and in
a timely manner appropriate to the safety
significance of the initial violation, the
comprehensiveness of the corrective action,
whether the matter was reported, and
whether the additional violation(s)
substantially change the safety significance
or character of the concern arising out of the
initial violation.
(e) It should be emphasized that the
preceding paragraphs are solely intended to
be examples indicating when enforcement
discretion may be exercised to forego the
issuance of a civil penalty or, in some cases,
the initiation of any enforcement action at
all. However, notwithstanding these
examples, a civil penalty may be proposed or
Notice of Violation issued when, in DOE’s
judgment, such action is warranted on the
basis of the circumstances of an individual
case.
X. Inaccurate and Incomplete Information
(a) A violation of the worker safety and
health requirements to provide complete and
accurate information to DOE, 10 CFR 851.7,
can result in the full range of enforcement
sanctions, depending upon the circumstances
of the particular case and consideration of
the factors discussed in this section.
Violations involving inaccurate or
incomplete information or the failure to
provide significant information identified by
a DOE contractor normally will be
categorized based on the guidance in section
VI, ‘‘Severity of Violations.’’
(b) DOE recognizes that oral information
may in some situations be inherently less
reliable than written submittals because of
the absence of an opportunity for reflection
and management review. However, DOE
must be able to rely on oral communications
from officials of DOE contractors concerning
significant information. In determining
whether to take enforcement action for an
oral statement, consideration will be given to
such factors as:
(1) The degree of knowledge that the
communicator should have had regarding the
matter in view of his or her position, training,
and experience;
(2) The opportunity and time available
prior to the communication to assure the
accuracy or completeness of the information;
(3) The degree of intent or negligence, if
any, involved;
(4) The formality of the communication;
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(5) The reasonableness of DOE reliance on
the information;
(6) The importance of the information that
was wrong or not provided; and
(7) The reasonableness of the explanation
for not providing complete and accurate
information.
(c) Absent gross negligence or willfulness,
an incomplete or inaccurate oral statement
normally will not be subject to enforcement
action unless it involves significant
information provided by an official of a DOE
contractor. However, enforcement action may
be taken for an unintentionally incomplete or
inaccurate oral statement provided to DOE by
an official of a DOE contractor or others on
behalf of the DOE contractor, if a record was
made of the oral information and provided to
the DOE contractor, thereby permitting an
opportunity to correct the oral information,
such as if a transcript of the communication
or meeting summary containing the error was
made available to the DOE contractor and
was not subsequently corrected in a timely
manner.
(d) When a DOE contractor has corrected
inaccurate or incomplete information, the
decision to issue a citation for the initial
inaccurate or incomplete information
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normally will be dependent on the
circumstances, including the ease of
detection of the error, the timeliness of the
correction, whether DOE or the DOE
contractor identified the problem with the
communication, and whether DOE relied on
the information prior to the correction.
Generally, if the matter was promptly
identified and corrected by the DOE
contractor prior to reliance by DOE, or before
DOE raised a question about the information,
no enforcement action will be taken for the
initial inaccurate or incomplete information.
On the other hand, if the misinformation is
identified after DOE relies on it, or after some
question is raised regarding the accuracy of
the information, then some enforcement
action normally will be taken even if it is in
fact corrected.
(e) If the initial submission was accurate
when made but later turns out to be
erroneous because of newly discovered
information or advances in technology, a
citation normally would not be appropriate
if, when the new information became
available, the initial submission was
promptly corrected.
(f) The failure to correct inaccurate or
incomplete information that the DOE
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3835
contractor does not identify as significant
normally will not constitute a separate
violation. However, the circumstances
surrounding the failure to correct may be
considered relevant to the determination of
enforcement action for the initial inaccurate
or incomplete statement. For example, an
unintentionally inaccurate or incomplete
submission may be treated as a more severe
matter if a DOE contractor later determines
that the initial submission was in error and
does not promptly correct it or if there were
clear opportunities to identify the error.
XI. Secretarial Notification and Consultation
The Secretary will be provided written
notification of all enforcement actions
involving proposed civil penalties. The
Secretary will be consulted prior to taking
action in the following situations:
(a) Any action the Director, or the NNSA
Administrator concerning actions involving
NNSA contractors, believes warrants the
Secretary’s involvement; or
(b) Any proposed enforcement action for
which the Secretary asks to be consulted.
[FR Doc. 05–1203 Filed 1–25–05; 8:45 am]
BILLING CODE 6450–01–P
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Agencies
[Federal Register Volume 70, Number 16 (Wednesday, January 26, 2005)]
[Proposed Rules]
[Pages 3812-3835]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-1203]
[[Page 3811]]
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Part III
Department of Energy
-----------------------------------------------------------------------
10 CFR Part 851
Worker Safety and Health Program; Proposed Rule
Federal Register / Vol. 70, No. 16 / Wednesday, January 26, 2005 /
Proposed Rules
[[Page 3812]]
-----------------------------------------------------------------------
DEPARTMENT OF ENERGY
10 CFR Part 851
[Docket No. EH-RM-04-WSHP]
RIN 1901-AA99
Worker Safety and Health Program
AGENCY: Office of Environment, Safety and Health, Department of Energy.
ACTION: Supplemental notice of proposed rulemaking and opportunity for
public comment.
-----------------------------------------------------------------------
SUMMARY: The Department of Energy (DOE) is issuing a supplemental
proposal to implement the statutory mandate of section 3173 of the Bob
Stump National Defense Authorization Act for Fiscal Year 2003 to
establish worker safety and health regulations to govern contractor
activities at DOE workplaces. The supplemental proposal reflects
consultations with the Defense Nuclear Facilities Safety Board (DNFSB),
as well as comments received from members of the public.
DATES: The comment period will end on April 26, 2005. Public hearings
will be held on March 29 and 30, 2005 from 9 a.m. to 12 p.m. and from
1:30 p.m. to 5 p.m. Requests to speak at the hearings should be phoned
in to Jacqueline D. Rogers, 202-586-4714, by March 28, 2005. Each
presentation is limited to 10 minutes.
ADDRESSES: Written comments (three copies) should be addressed to:
Jacqueline D. Rogers, U.S. Department of Energy, Docket Number EH-RM-
03-WSH; Room GA-098, 1000 Independence Avenue, SW., Washington DC
20585-0270. Alternatively, comments can be filed electronically by e-
mail to: rule851.comments@hq.doe.gov noting ``Worker Safety and Health
Rule Comments'' in the subject line.
Copies of the public hearing transcripts, written comments
received, and any other docket material may be reviewed on the Web site
specially established for this proceeding. The Internet Web site is
https://www.eh.doe.gov/rulemakingwsh.
The public hearings for this rulemaking will be held in Washington,
DC at the Holiday Inn-Washington Capitol, 550 C Street, SW.,
Washington, DC 20024.
For more information concerning public participation in this
rulemaking proceeding, see Section IV of this notice (Public Comment
Procedures).
FOR FURTHER INFORMATION CONTACT: Jacqueline D. Rogers, U.S. Department
of Energy, Room GA-089, 1000 Independence Avenue, SW., Washington DC
20585-0270, 202-586-4714, e-mail: jackie.rogers@hq.doe.gov.
SUPPLEMENTARY INFORMATION:
I. Introduction.
II. Supplemental Proposal.
III. Procedural Review Requirements.
A. Review Under Executive Order 12866.
B. Review Under Executive Order 12988.
C. Review Under Executive Order 13132.
D. Review Under Executive Order 13175.
E. Reviews Under the Regulatory Flexibility Act.
F. Review Under the Paperwork Reduction Act.
G. Review Under the National Environmental Policy Act.
H. Review Under the Unfunded Mandates Reform Act.
I. Review Under Executive Order 13211.
J. Review Under the Treasury and General Government
Appropriations Act, 1999.
K. Review Under the Treasury and General Government
Appropriations Act, 2001.
IV. Public Comment Procedures.
A. Written Comments.
B. Public Hearings.
I. Introduction
DOE has broad authority to regulate worker safety and health
pursuant to the Atomic Energy Act of 1954 (AEA), 42 U.S.C. 2011 et
seq., the Energy Reorganization Act of 1974 (ERA), 42 U.S.C. 5801-5911,
and the Department of Energy Organization Act (DOEOA), 42 U.S.C. 7101-
7352. DOE currently exercises this authority in a comprehensive manner
by incorporating appropriate provisions on worker safety and health
into the contracts under which work is performed at DOE workplaces.
During the past decade, DOE has taken steps to ensure that contractual
provisions on worker safety and health are tailored to reflect
particular workplace environments. In particular, the Integration of
Environment, Health and Safety into Work Planning and Execution clause
set forth in the DOE procurement regulations requires DOE contractors
to establish an integrated safety management system. 48 CFR 952.223-71
and 970.5223-1. As part of this process, a contractor must define the
work to be performed, analyze the potential hazards associated with the
work, and identify a set of standards and controls that are sufficient
to ensure safety and health if implemented properly. The identified
standards and controls are incorporated as contractual requirements
through the Laws, Regulations and DOE Directives clause set forth in
the DOE procurement regulations. 48 CFR 970.0470-2 and 970.5204-2.
Specifically, the Laws, Regulations and DOE Directives clause set forth
in the DOE procurement regulations requires the incorporation of
applicable DOE Orders into a contract unless a contractor develops a
tailored set of standards and obtains DOE approval to incorporate this
tailored set in place of the applicable DOE Orders.
In 2002, Congress directed DOE to promulgate regulations on worker
safety and health to govern the conduct of contractors with Price-
Anderson indemnification agreements in their contracts. Specifically,
section 3173 of the National Defense Authorization Act (NDAA) amended
the AEA to add section 234C (codified as 42 U.S.C. 2282c) that requires
DOE to promulgate worker safety and health regulations that maintain
``the level of protection currently provided to * * * workers.'' Pub.
L. 107-314 (December 2, 2002). These regulations are to include
``flexibility to tailor implementation * * * to reflect activities and
hazards associated with a particular work environment; to take into
account special circumstances for facilities permanently closed,
demolished, or title transferred; achieve national security missions.''
Section 234C also makes a DOE contractor with such an indemnification
agreement that violates these regulations subject to civil penalties
similar to the authority Congress granted to DOE in 1988 with respect
to civil penalties. Section 234C also directed DOE to insert in such
contracts a clause providing for reducing contractor fees and other
payments in the event of a violation by a contractor or contractor
employee of any regulation promulgated under section 234C while
specifying that both sanctions may not be used for the same violation.
On December 8, 2003, DOE published a notice of proposed rulemaking
to implement section 3173 of the NDAA (68 FR 68276). The December
proposal was intended to codify existing DOE practices in order to
ensure the worker health and safety regulations would provide DOE
workers a level of protection equivalent to that currently afforded
them. Specifically, under the December proposal, a contractor would
comply with either a set of requirements based primarily on the
provisions of DOE Order 440.1A, Worker Protection Management for DOE
Federal and Contractor Employees, the current DOE Order on worker
health and safety, or a tailored set of requirements approved by DOE.
The contractor would implement these requirements pursuant to a worker
health and safety program approved by DOE.
On January 1, 2004, DOE held a video conference to allow DOE
employees, DOE contractors, contractor employees, and employee
representatives to become
[[Page 3813]]
familiar with the December proposal. DOE held public hearings on the
December proposal in Washington, DC on January 21, 2004, and in Golden,
Colorado on February 4, 2004. In addition to the oral comments at the
public hearings, DOE received approximately 50 written comments on the
December proposal.
On February 27, 2004, after becoming aware that the DNFSB had
concerns with regard to the December proposal, DOE suspended the
rulemaking in order to consult with the DNFSB and to consider comments
received from other stakeholders on the December proposal. (69 FR 9277)
As a result of its consultation with the DNFSB and consideration of
other comments, DOE is now restarting the rulemaking proceeding through
the issuance of this notice that sets forth a supplemental proposal,
announces additional public hearings and provides the opportunity for
further written comments.
II. Supplemental Proposal
The supplemental proposal contains several provisions that differ
from those in the December proposal. These proposed provisions
incorporate approaches put forth by the DNFSB during consultations, as
well as by the comments on the December proposal. Specifically, the
supplemental proposal contains provisions that would: (1) Codify a
minimum set of safety and health requirements with which contractors
must comply; (2) establish a formal exemption process which requires
approval by the Secretarial Officer with line management responsibility
and provides for significant involvement by the Assistant Secretary for
Environment, Safety and Health; (3) delineate the role of the worker
safety and health program and its relationship to integrated safety
management; (4) set forth the general duties of contractors responsible
for DOE workplaces; and (5) limit the scope of the regulations to
contractor activities at DOE sites.
Subpart C of the supplemental proposal sets forth the proposed
worker safety and health requirements with which a contractor would
comply. These proposed requirements correspond, to a large extent, with
the provisions set forth in Appendix A to the December proposal. These
requirements include a variety of OSHA and consensus standards, and
these standards would be legally binding on a contractor to the extent
that a requirement is applicable to the hazards identified for a
particular workplace environment. DOE invites comments on the question
of whether the OSHA and consensus standards included in today's
supplemental proposal provide an appropriate basis for enforcing worker
safety and health requirements at DOE facilities.
DOE does not expect that codification of these requirements will
result in significant increased costs since, to a very large extent,
they are based on existing provisions of DOE Order 440.1A, DOE Order
420 and DOE Notice 450.7 that have been incorporated into most existing
DOE contracts through the Integration of Environment, Health and Safety
into Work Planning and Execution clause and the Laws, Regulations and
DOE Directives clause. Accordingly, most contractors already should be
implementing the substance of the proposed requirements to the extent
applicable to the hazards identified for a particular workplace
environment. In addition, DOE expects that the implementation guidance
for the proposed requirements would be essentially the same as the
implementation guidance for the corresponding provisions in DOE Order
440.1A, DOE Order 420 and DOE Notice 450.7 and that contractors would
make use of analyses, evaluations and work planning already undertaken
to meet their existing contractual worker health and safety
obligations. DOE requests comments from any person who believes that
codification will result in significant increased costs. These comments
should identify the reasons for the increased costs and potential
changes to the supplemental proposal that could reduce or eliminate
increased costs.
Subpart D of the supplemental proposal sets forth a proposed
exemption process by which the Secretarial Officer with line management
responsibility for a contractor can relieve the contractor from
complying with a particular requirement with respect to a particular
workplace. The Assistant Secretary for Environment, Health and Safety
would have the opportunity to review and comment on an exemption prior
to its issuance and, in the case of a non-NNSA contractor, would have
the option to non-concur in the issuance of an exemption. Subpart D is
based on the existing exemption process for nuclear safety requirements
that is set forth in 10 CFR part 820. Subpart D contains specific
provisions that would require any exemption to: Adequately protect the
safety and health of workers; be consistent with a safe and healthful
workplace free from recognized workplace hazards that are causing or
are likely to cause death or serious bodily injury; not permit exposure
limits that are less protective than the limits required by subpart C;
not diminish the level of protection afforded workers; and involve a
special circumstance. The proposed list of special circumstances
includes three situations not included in the exemption process set
forth in Part 820. The additional situations would be situations where:
an exemption would contribute to tailoring the requirements of this
part to reflect the hazards and facilities associated with a particular
work environment; a facility is to be, permanently closed and
demolished, or title is expected to be transferred to another entity
for reuse; or an exemption would contribute substantially to achieving
a national security mission of the Department of Energy in an efficient
and timely manner. The proposed addition of these three special
circumstances is intended to ensure the supplemental proposal would
have the regulatory flexibility mandated by the NDAA.
DOE requests comments as to whether the exemption process is the
most appropriate or effective method to: Ensure sufficient regulatory
flexibility to address the myriad of workplace environments across the
DOE complex; maintain a level of protection equivalent to that
currently afforded workers; take advantage of worker safety and health
programs already implemented to meet existing contractual obligations;
and minimize unnecessary costs. Comments should identify potential
modifications or alternative approaches.
Subpart B of the supplemental proposal sets forth the proposed
requirements for a contractor to develop, implement, and maintain a
worker safety and health program and for DOE to approve the program.
Subpart B would make clear that the overarching objectives for a
program must be: Provision of a place of employment that is free from
recognized workplace hazards that are causing or are likely to cause
death or serious bodily harm to workers; and adequately protecting
workers from identified hazards. These objectives are intended to
ensure that the statutory standards in the AEA and the Occupational
Safety and Health Act are met.
Subpart B is based on the existing process for establishing worker
safety and health programs pursuant to the Integration of Environment,
Health and Safety into Work Planning and Execution clause and DOE Order
440. Specifically, a contractor responsible for a covered workplace
would identify existing and potential workplace hazards and assess the
risk of associated workers' injuries and illnesses. To do
[[Page 3814]]
this, the contractor would (1) define the scope of work; (2) identify
relevant features of the work environment; (3) perform activity level
hazard analyses to identify hazards; and (4) assess the risk of injury
and illness associated with those hazards. After identifying hazards
and assessing risks, the contractor would identify appropriate hazard
controls to protect workers from the identified hazards prior to
initiating work activities. Selection of hazard controls would take
into account all hazards to ensure the development of an integrated set
of hazard controls. The contractor would prioritize and implement
abatement actions for identified hazards according to risk, implement
interim protective measures pending final abatement, and protect
workers from imminent danger.
Subpart B provides that a DOE contractor responsible for one or
more covered workplaces at a DOE site would submit to DOE, for its
approval, a written worker safety and health program describing site-
specific methods and provisions for complying with the program
requirements. At sites with multiple contractors responsible for
various workplaces at the site, the contractors would coordinate with
each other to ensure that the worker safety and health programs at the
site are integrated and consistent. Beginning one year after the
publication of the final rule, no work could proceed at a covered DOE
workplace without a safety and health program in place that had been
approved by the CSO or the DOE site manager if approval authority were
delegated by the CSO. To ensure consistency throughout program offices
and across DOE, however, the CSO or site manager would consult with the
Assistant Secretary for Environment, Safety and Health in the
evaluation and approval of contractor programs. To ensure timely
evaluation and processing of each contractor-submitted program and to
avoid work stoppage due to unnecessary delays, the CSO or the Site
Manager would be obligated to act on a contractor-submitted program
within 90 days of receipt of the program. DOE requests comments as to
how the efficiency of the approval process might be increased and, in
particular, as to the need for separate DOE approval of sub-elements of
a worker safety and health program.
A contractor would maintain the worker safety and health program
for a workplace by evaluating and updating the worker safety and health
program to reflect changes in the work and associated hazards. The
process for defining the scope of work, analyzing the hazards
associated with the work, and identifying the applicable standards
should be an iterative process performed continually to monitor changes
in workplace activities and processes and to provide feedback on
program performance. Through this process, a contractor would evaluate
significant changes or additions to workplace activities to identify
new hazards and to assess whether the existing program effectively
addressed the scope and nature of the work and related hazards. This
iterative process would provide the contractor with the information
necessary to make changes and improvements to all aspects of the
program as needed. On an annual basis, the contractor would either
submit its updated worker safety and health program to DOE for approval
or, if no changes are made to the program over the past year, a letter
to that effect.
Most contractors already have worker safety and health programs in
effect. DOE expects contractors to build on these existing programs and
not to duplicate work already undertaken to meet existing contractual
obligations. For example, under paragraph 9 of the DOE Order 440.1A,
Contractor Requirements document, DOE contractors have for almost a
decade been required to: ``Identify existing and potential workplace
hazards and evaluate risk of associated worker injury and illness;
analyze or review: (1) Designs for new facilities and modifications to
existing facilities and equipment; (2) operations and procedures; and
(3) equipment, product, and services; assess worker exposure to
chemical, physical, biological, or ergonomic hazards through
appropriate workplace monitoring (including personal, area, wipe, and
bulk sampling); biological monitoring; and observation; evaluate
workplaces and activities (accomplished routinely by workers,
supervisors, and managers and periodically by qualified worker
protection professionals); and report and investigate accidents,
injuries, and illnesses and analyze related data for trends and lessons
learned.'' Similarly, under the Integration of Environment, Health and
Safety into Work Planning and Execution clause, contractors are
required to: Identify and evaluate workplace hazards, select an agreed-
upon set of safety and health standards to address those specific
hazards, and implement administrative and engineering controls to
prevent or mitigate specific workplace hazards.
Section 851.4 of the supplemental proposal sets forth the proposed
general duties of a contractor responsible for a covered workplace.
Specifically, the contractor would be responsible for: Ensuring the
workplace is free from recognized workplace hazards that are causing or
are likely to cause death or serious bodily harm; providing workers
adequate protection from the hazards identified for the workplace;
complying with the workplace safety and health requirements set forth
in subpart C of the supplemental proposal that are applicable to the
hazards identified for the workplace; complying with any compliance
order issued by the Secretary that is applicable to the workplace;
ensuring work is performed in accordance with the worker health and
safety program for the covered workplace; and reporting to DOE and
investigate each occurrence, including any near miss incident, that
causes or gives raise to a significant likelihood of death or serious
bodily harm to a worker.
Section 851.1 of the supplemental proposal would limit its scope to
contractor activities at DOE sites. Federal employees would continue to
be covered by existing programs for federal employees. Section 851.1
also would exclude contractor employees at DOE sites currently
regulated by OSHA. DOE believes this exclusion is appropriate since
there are no defense nuclear facilities located at these sites and the
contractors responsible for workplaces at these sites do not have
Price-Anderson indemnification agreements in their contracts.
III. Procedural Review Requirements
A. Review Under Executive Order 12866
Today's proposed regulatory action has been determined to be a
``significant regulatory action'' under Executive Order 12866,
``Regulatory Planning and Review'' (58 FR 51735, October 4, 1993), as
amended by Executive Order 13258 (67 FR 9385, February 26, 2002).
Accordingly, DOE submitted this notice of proposed rulemaking to the
Office of Information and Regulatory Affairs of the Office of
Management and Budget, which has completed its review.
B. Review Under Executive Order 12988
With respect to the review of existing regulations and the
promulgation of new regulations, Section 3(a) of Executive Order 12988,
``Civil Justice Reform'' (61 FR 4779, February 7, 1996) imposes on
Federal agencies the general duty to adhere to the following
requirements: Eliminate drafting errors and needless ambiguity, write
regulations to minimize litigation, provide a clear legal standard for
affected conduct rather than a general standard, and promote
simplification and burden reduction. Section 3(b)
[[Page 3815]]
requires Federal agencies to make every reasonable effort to ensure
that a regulation, among other things: Clearly specifies the preemptive
effect, if any, adequately defines key terms, and addresses other
important issues affecting the clarity and general draftsmanship under
guidelines issued by the Attorney General. Section 3(c) of Executive
Order 12988 requires Executive agencies to review regulations in light
of applicable standards in Section 3(a) and Section 3(b) to determine
whether they are met or it is unreasonable to meet one or more of them.
DOE has completed the required review and determined that, to the
extent permitted by law, the proposed rule meets the relevant standards
of Executive Order 12988.
C. Review Under Executive Order 13132
Executive Order 13132 (64 FR 43255, August 10, 1999), imposes
certain requirements on agencies formulating and implementing policies
or regulations that preempt State law or that have federalism
implications. Agencies are required to examine the constitutional and
statutory authority supporting any action that would limit the
policymaking discretion of the States and carefully assess the
necessity for such actions.
Today's regulatory action has been determined not to be a ``policy
that has federalism implications,'' that is, it does not have
substantial direct effects on the states, on the relationship between
the national government and the states, nor on the distribution of
power and responsibility among the various levels of government under
Executive Order 13132 (64 FR 43255, August 10, 1999). Accordingly, no
``federalism summary impact statement'' was prepared or subjected to
review under the Executive Order by the Director of the Office of
Management and Budget.
D. Review Under Executive Order 13175
Under Executive Order 13175 (65 FR 67249, November 6, 2000) on
``Consultation and Coordination with Indian Tribal Governments,'' DOE
may not issue a discretionary rule that has tribal implications and
imposes substantial direct compliance costs on Indian tribal
governments. DOE has determined that the proposed rule would not have
such effects and concluded that Executive Order 13175 does not apply to
this proposed rule.
E. Review Under the Regulatory Flexibility Act
The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 et seq.)
requires that an agency prepare an initial regulatory flexibility
analysis for any regulation which a general notice of proposed
rulemaking is required, unless the agency certifies that the rule, if
promulgated, will not have a significant economic impact on a
substantial number of small entities (5 U.S.C. 605(b)).
Today's proposed regulation would establish DOE's requirements for
worker safety and health at DOE sites. The contractors who manage and
operate DOE facilities would be principally responsible for
implementing the rule requirements. DOE considered whether these
contractors are ``small businesses,'' as that term is defined in the
Regulatory Flexibility Act's (5 U.S.C. 601(3)). The Regulatory
Flexibility Act's definition incorporates the definition of small
business concerns in the Small Business Act, which the Small Business
Administration (SBA) has developed through size standards in 13 CFR
part 121. The DOE contractors subject to the proposed rule exceed the
SBA's size standards for small businesses. In addition, DOE expects
that any potential economic impact of this proposed rule on small
businesses would be minimal because DOE sites perform work under
contracts to DOE or the prime contractor at the site. DOE contractors
are reimbursed through their contracts with DOE for the costs of
complying with DOE safety and health program requirements. They would
not, therefore, be adversely impacted by the requirements in this
proposed rule. For these reasons, DOE certifies that today's proposed
rule, if promulgated, would not have a significant economic impact on a
substantial number of small entities, and therefore, no regulatory
flexibility analysis has been prepared. See 68 FR 7990 at III.1. and
III.1.c. (February 19, 2003).
F. Review Under the Paperwork Reduction Act
The information collection provisions of this proposed rule are not
substantially different from those contained in DOE contracts with DOE
prime contractors covered by this rule and were previously approved by
the Office of Management and Budget (OMB) and assigned OMB Control No.
1910-5103. That approval covered submission of a description of an
integrated safety management system required by the Integration of
Environment, Health and Safety into Work Planning and Execution clause
set forth in the DOE procurement regulations. 48 CFR 952.223-71 and
970.5223-1, 62 FR 34842, 34859-60 (June 17, 1997). If contractors at a
DOE site fulfill their contractual responsibilities for integrated
safety management properly, the worker safety and health program
required by the proposed regulations should require little if any new
analysis or new documents to the extent that existing analysis and
documents are sufficient for purposes of the proposed regulations.
Accordingly, no additional Office of Management and Budget clearance is
required by the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.) and the procedures implementing that Act, 5 CFR 1320.1 et seq.
G. Review Under the National Environmental Policy Act
DOE currently implements its broad authority to regulate worker
safety and health through internal DOE directives incorporated into
contracts to manage and operate DOE facilities, contract clauses and
DOE regulations. This proposed rule would implement the statutory
mandate to promulgate worker safety and health regulations for DOE
facilities that would provide a level of protection for workers at DOE
facilities that is substantially equivalent to the level of protection
currently provided to such workers and to provide procedures to ensure
compliance with the rule. DOE anticipates that the contractor's work
and safety programs required by this regulation would be based on
existing programs and that this rule would generally not require the
development of a new program. DOE has therefore concluded that
promulgation of these regulations would fall into the class of actions
that would not individually or cumulatively have a significant impact
on the human environment as set forth in the DOE regulations
implementing the National Environmental Policy Act of 1969 (42 U.S.C.
4321 et seq.). Specifically, the rule would be covered under the
categorical exclusion in paragraph A6 of Appendix A to subpart D, 10
CFR part 1021, which applies to the establishment of procedural
rulemakings. Accordingly, neither an environmental assessment nor an
environmental impact statement is required.
H. Review Under the Unfunded Mandates Reform Act
Title II of the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-
4) requires each Federal agency to prepare a written assessment of the
effects of any Federal mandate in a proposed or final agency regulation
that may result in the expenditure by states, tribal, or local
governments, on the aggregate, or by the private sector, of $100
million in
[[Page 3816]]
any one year. The Act also requires a Federal agency to develop an
effective process to permit timely input by elected officials of state,
tribal, or local governments on a proposed significant
intergovernmental mandate, and requires an agency plan for giving
notice and opportunity to provide timely input to potentially affected
small governments before establishing any requirements that might
significantly or uniquely affect small governments. DOE has determined
that the proposed rule published today does not contain any Federal
mandates affecting small governments, so these requirements do not
apply.
I. Review Under Executive Order 13211
Executive Order 13211 (Actions Concerning Regulations That
Significantly Affect Energy, Supply, Distribution, or Use), 66 FR 28355
(May 22, 2001) requires preparation and submission to OMB of a
Statement of Energy Effects for significant regulatory actions under
Executive Order 12866 that are likely to have a significant adverse
effect on the supply, distribution, or use of energy. DOE has
determined that the proposed rule published today would not have a
significant adverse effect on the supply, distribution, or use of
energy and thus the requirement to prepare a Statement of Energy
Effects does not apply.
J. Review Under the Treasury and General Government Appropriations Act,
1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a
``Family Policymaking Assessment'' for any proposed rule that may
affect family well-being. The proposed rule has no impact on the
autonomy or integrity of the family as an institution. Accordingly, DOE
has concluded that it is not necessary to prepare a Family Policymaking
Assessment.
K. Review Under the Treasury and General Government Appropriations Act,
2001
The Treasury and General Government Appropriations Act, 2001 (44
U.S.C. 3516, note) provides for agencies to review most dissemination
of information to the public under guidelines established by each
agency pursuant to general guidelines issued by OMB. OMB's guidelines
were published at 67 FR 8452 (Feb. 22, 2002), and DOE's guidelines were
published at 67 FR 62446 (Oct. 7, 2002). DOE has reviewed today's
notice of proposed rulemaking under the OMB and DOE guidelines, and has
concluded that it is consistent with applicable policies in those
guidelines.
IV. Public Comment Procedures
A. Written Comments
Interested individuals are invited to participate in this
proceeding by submitting data, views, or arguments. Three copies of
written comments should be submitted to the address indicated in the
ADDRESSES section of this notice. To help DOE review the submitted
comments, commenters are requested to reference the provision to which
they refer where possible.
All information provided by commenters will be available for public
inspection at the DOE Freedom of Information Reading Room, Room 1E-190,
1000 Independence Avenue, SW., Washington, DC 20585 between the hours
of 8:30 a.m. and 4:30 p.m., Monday through Friday, except Federal
Holidays. The docket file material for this rulemaking will be under
EH-RM-04-WSHP.
DOE also intends to enter all written comments on a Web site
specially established for this proceeding. The Internet Web site is
https://www.eh.doe.gov/rulemakingwsh.
To assist DOE in making public comments available on a website,
interested persons are to submit an electronic version of their written
comments in accordance with the instructions in the DATES section of
this notice of proposed rulemaking.
If you submit information that you believe to be exempt by law from
public disclosure, you should submit one complete copy, as well as two
copies from which the information claimed to be exempt by law from
public disclosure has been deleted. DOE is responsible for the final
determination with regard to disclosure or nondisclosure of the
information and for treating it accordingly under the Freedom of
Information Act section on ``Handling Information of a Private
Business, Foreign Government, or an International Organization,'' 10
CFR 1004.11.
B. Public Hearings
Public hearings will be held at the time, date, and place indicated
in the DATES and ADDRESSES sections of this notice of proposed
rulemaking. Any person who is interested in making an oral presentation
should, by 4:30 p.m. on the date specified, make a phone request to the
number in the DATES section of this notice of proposed rulemaking. The
person should provide a daytime phone number where he or she may be
reached. Persons requesting an opportunity to speak will be notified as
to the approximate time they will be speaking. Each presentation is
limited to 10 minutes. Persons making oral presentations should bring
three copies of their statement to the hearing and submit them at the
registration desk.
DOE reserves the right to select the persons who will speak. In the
event that requests exceed the time allowed, DOE also reserves the
right to schedule speakers' presentations and to establish the
procedures for conducting the hearing. A DOE official will be
designated to preside at each hearing, which will not be judicial or
evidentiary. Only those persons conducting the hearing may ask
questions. Any further procedural rules needed to conduct the hearing
properly will be announced by the DOE presiding official.
A transcript of each hearing will be made available to the public.
DOE will retain the record of the full hearing, including the
transcript, and make it available on the Web site specially established
for this proceeding. The Internet Web site is https://www.eh.doe.gov/
rulemakingwsh. If DOE must cancel the hearing, it will make every
effort to give advance notice.
List of Subjects in 10 CFR Part 851
Civil penalty, Hazardous substances, Incorporation by reference,
Occupational safety and health, Safety, Reporting and recordkeeping
requirements.
Issued in Washington, DC on January 14, 2005.
John Spitaleri Shaw,
Assistant Secretary for Environment, Safety and Health.
For the reasons set forth in the preamble, title 10, chapter III of
the Code of Federal Regulations is proposed to be amended by adding
part 851 to read as set forth below.
PART 851--WORKER SAFETY AND HEALTH PROGRAM
Subpart A--General Provisions
Sec.
851.1 Scope and exclusions.
851.2 Purpose.
851.3 Definitions.
851.4 General rule.
851.5 Compliance Order.
851.6 Interpretations.
851.7 Information and records.
851.8 Compliance date.
851.9 Enforcement.
851.10 Workers rights.
Subpart B--Worker Safety and Health Program
851.100 Worker safety and health program.
[[Page 3817]]
851.101 Approval and maintenance of the worker safety and health
program.
Subpart C--Safety and Health Requirements
851.200 Worker safety and health requirements.
851.201 Worker safety and health standards.
851.202 Construction safety.
851.203 Fire protection.
851.204 Explosives safety.
851.205 Pressure retaining component safety.
851.206 Motor vehicle safety.
851.207 Biological safety.
851.208 Firearms safety.
851.209 Industrial hygiene.
851.210 Occupational medicine.
Subpart D--Exemption Relief
851.300 Exemptions.
851.301 Exemption criteria.
851.302 Terms and conditions.
Subpart E--Enforcement Process
851.400 Investigations and inspections.
851.401 Settlement.
851.402 Preliminary notice of violation.
851.403 Final notice of violation.
851.404 Administrative appeal.
851.405 Direction to NNSA contractors.
Appendix A To Part 851--General Statement of Enforcement Policy
Authority: 42 U.S.C. 2201(i)(3), (p); 42 U.S.C. 2282c; 42 U.S.C.
5801 et seq.; 42 U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.
Subpart A--General Provisions
Sec. 851.1 Scope and exclusions.
(a) The worker safety and health requirements in this part govern
the conduct of contractor activities at DOE sites, with the exception
of sites listed in paragraph (b) of this section.
(b) This part does not apply to a DOE site:
(1) Regulated by the Occupational Safety and Health Administration
(OSHA) on [date on which final rule is issued]; or
(2) Operated under the authority of the Director, Naval Nuclear
Propulsion, pursuant to Executive Order 12344, as set forth in Public
Law 98-525, 42 U.S.C. 7158 note.
(c) This part does not apply to radiological hazards to the extent
regulated by 10 CFR parts 820, 830 or 835.
Sec. 851.2 Purpose.
This part establishes the:
(a) Safety and health requirements that a contractor responsible
for a covered workplace must implement through a worker safety and
health program that provides its workers with a safe and healthful
workplace in which workplace hazards are abated, controlled or
otherwise mitigated in a manner that provides reasonable assurance that
workers are adequately protected from identified hazards; and
(b) Procedures for investigating whether a violation of a
requirement has occurred, for determining the nature and extent of any
such violation, and for imposing an appropriate remedy.
Sec. 851.3 Definitions.
Activity-level hazard analysis means an analysis of work-related
hazards relating to a specific job activity, task, operation or
process.
AEA means the Atomic Energy Act of 1954, 42 U.S.C. 2011 et seq.
Cognizant Secretarial Officer means the Assistant Secretary, Deputy
Administrator, Program Office Director, or equivalent DOE official who
has primary line management responsibility for a contractor.
Compliance Order means an Order issued by the Secretary to a
contractor that mandates a remedy, work stoppage, or other action to
address a situation that violates, potentially violates, or otherwise
is inconsistent with a requirement of this part.
Consent order means any written document, signed by the Director
and a contractor, containing stipulations or conclusions of fact or law
and a remedy acceptable to both DOE and the contractor.
Contractor means any entity under contract with DOE, or a
subcontractor to such an entity, and includes any affiliated entity
such as a parent organization.
Director means a DOE Official to whom the Secretary has assigned
the authority to investigate the nature and extent of compliance with
the requirements of this part.
DOE means the United States Department of Energy, including the
National Nuclear Security Administration.
DOE site means a DOE-owned or leased area or location where
activities and operations are performed at one or more facilities or
locations by a contractor.
Final notice of violation means a document that determines a
contractor has violated or is continuing to violate a requirement of
this part and includes:
(1) A statement specifying the requirement of this part to which
the violation relates;
(2) A concise statement of the basis for the determination;
(3) Any remedy, including the amount of any civil penalty; and
(4) A statement explaining the reasoning behind any remedy.
Final Order means an order of DOE that represents final agency
action and, if appropriate, imposes a remedy with which the recipient
of the order must comply.
General Counsel means the General Counsel of DOE.
Hazard control means a procedure, practice, means, method,
operation, work process, or other control used to prevent, abate or
mitigate workplace hazards and associated risks.
Interpretation means a statement by the General Counsel concerning
the meaning or effect of a requirement of this part which relates to a
specific factual situation but may also be a ruling of general
applicability if the General Counsel determines such action to be
appropriate.
NNSA means the National Nuclear Security Administration.
Preliminary notice of violation means a document that sets forth
the preliminary conclusions that a contractor has violated or is
continuing to violate a requirement of this part and includes:
(1) A statement specifying the requirement of this part to which
the violation relates;
(2) A concise statement of the basis for alleging the violation;
(3) Any remedy, including the amount of any proposed civil penalty;
and
(4) A statement explaining the reasoning behind any proposed
remedy.
Remedy means any action (including but not limited to, the
assessment of civil penalties, the reduction of fees or other payments
under a contract, the requirement of specific actions, or the
modification, suspension or recission of a contract) necessary or
appropriate to rectify, prevent, or penalize a violation of a
requirement of this part, including a compliance order issued by the
Secretary pursuant to this part.
Secretary means the Secretary of Energy.
Site Manager means the DOE official who has primary responsibility
for overall management of a DOE site.
Worker means a person who performs work for or on behalf of DOE,
including an independent contractor, a DOE contractor or subcontractor
employee, or any other person who performs work at a covered workplace.
Workplace hazard means a physical, chemical, biological, or
radiological hazard with any potential to cause illness, injury, or
death to a person.
Workplace safety and health programmatic requirements means a set
of requirements that addresses related workplace hazards in a
comprehensive manner, including requirements on construction safety,
fire protection, firearms safety, explosives safety, industrial
hygiene, occupational
[[Page 3818]]
medicine, pressure safety motor vehicle safety, and biosurety.
Workplace safety and health requirement means a workplace safety
and health standard or programmatic requirement.
Workplace safety and health standard means a standard which
addresses a workplace hazard by establishing limits, requiring
conditions, or prescribing the adoption or use of one or more
practices, means, methods, operations, or processes.
Sec. 851.4 General rule.
The contractor responsible for a covered workplace must:
(a) Ensure the workplace is free from recognized workplace hazards
that are causing or are likely to cause death or serious bodily harm;
(b) Provide workers adequate protection from the hazards identified
for the workplace;
(c) Comply with the workplace safety and health requirements set
forth in subpart C of this part that are applicable to the hazards
identified for the workplace;
(d) Comply with any compliance order issued by the Secretary
pursuant to Sec. 851.5 that is applicable to the workplace;
(e) Ensure work is performed in accordance with the worker health
and safety program for the covered workplace; and
(f) Report to DOE and investigate each occurrence, including any
near miss incident that causes or gives raise to a significant
likelihood of death or serious bodily harm to a worker.
Sec. 851.5 Compliance Order.
(a) The Secretary may issue to any contractor a Compliance Order
that:
(1) Identifies a situation that violates, potentially violates, or
otherwise is inconsistent with a requirement of this part;
(2) Mandates a remedy, work stoppage, or other action; and,
(3) States the reasons for the remedy, work stoppage, or other
action.
(b) A Compliance Order is a final order that is effective
immediately unless the Order specifies a different effective date.
(c) Within 15 calendar days of the issuance of a Compliance Order,
the recipient of the Order may request the Secretary to rescind or
modify the Order. A request does not stay the effectiveness of a
Compliance Order unless the Secretary issues an order to that effect.
Sec. 851.6 Interpretations.
(a) The Office of the General Counsel is responsible for
formulating and issuing any interpretation concerning a requirement in
this part.
(b) Any written or oral response to any written or oral question
which is not provided pursuant to paragraph (a) of this section does
not constitute an interpretation and does not provide any basis for
action inconsistent with a requirement of this part.
Sec. 851.7 Information and records.
(a) A contractor must maintain complete and accurate records as
necessary to substantiate compliance with the requirements of this
part, including but not limited to records on inventory information,
hazard assessment, exposure measurements, exposure controls, and worker
injuries and illnesses.
(b) A contractor may neither conceal nor destroy any information
concerning non-compliance or potential non-compliance with the
requirements of this part.
(c) Any information pertaining to a requirement in this part
provided to DOE by any contractor or maintained by any contractor for
inspection by DOE shall be complete and accurate in all material
respects.
(d) Nothing in this part shall relieve any contractor from
safeguarding classified, confidential, and controlled information,
including Restricted Data or national security information, in
accordance with the applicable provisions of federal statutes and the
rules, regulations, and orders of any federal agency.
Sec. 851.8 Compliance date.
Contractors must achieve compliance with the requirements of this
part no later than [Insert date 1 year from effective date of the
rule], unless an exemption granted pursuant to subpart D of this part
provides otherwise.
Sec. 851.9 Enforcement.
(a) A contractor that has entered into an agreement of
indemnification under section 170d. of the AEA(or any subcontractor or
supplier thereto) and that violates (or whose employee violates) any
requirement of this part is subject to a civil penalty of up to $70,000
for each such violation. If any violation under this subsection is a
continuing violation, each day of the violation shall constitute a
separate violation for the purpose of computing the civil penalty.
(b) A contractor that violates any requirement of this part is
subject to a reduction in fees or other payments under a contract with
DOE, pursuant to the contract's Conditional Payment of Fee clause.
(c) DOE may not penalize a contractor under both paragraphs (a) and
(b) of this section for the same violation of a requirement of this
part.
(d) For contractors listed in subsection d. of section 234A of the
AEA, 42 U.S.C. 2282a(d), the total amount of civil penalties under
paragraph (a) and contract penalties under paragraph (b) of this
section may not exceed the total amount of fees paid by DOE to the
contractor in that fiscal year.
(e) DOE may not penalize a contractor under both sections 234A and
234C of the AEA for the same violation.
Sec. 851.10 Workers rights.
(a) Workers at a covered workplace have the right, without
reprisal, to participate in activities described in this section on
official time;
(b) Workers at a covered workplace also have the right, without
reprisal to:
(1) Have access to:
(i) DOE safety and health publications;
(ii) The worker safety and health program for the covered
workplace;
(iii) The standards, controls, and procedures applicable to the
covered workplace;
(iv) The safety and health poster that informs the worker of
relevant rights and responsibilities.
(2) Be notified when monitoring results indicate the worker was
overexposed to hazardous materials;
(3) Observe monitoring or measuring of hazardous agents and have
the results of his or her own exposure monitoring;
(4) Accompany DOE personnel during an inspection of the workplace;
(5) Request and receive results of inspections and accident
investigations;
(6) Express concerns related to worker safety and health;
(7) Decline to perform an assigned task because of a reasonable
belief that, under the circumstances, the task poses an imminent risk
of death or serious bodily harm to the worker coupled with a reasonable
belief that there is insufficient time to seek effective redress
through the normal hazard reporting and abatement procedures; and
(8) Stop work when the worker discovers employee exposures to
imminently dangerous conditions or other serious hazards; provided that
any stop work authority must be exercised in a justifiable and
responsible manner in accordance with established procedures.
[[Page 3819]]
Subpart B--Worker Safety and Health Program
Sec. 851.100 Worker safety and health program.
(a) A contractor responsible for one or more workplaces at a DOE
site must establish and maintain a worker safety and health program
that ensures:
(1) Workplaces are free from recognized workplace hazards that are
causing or are likely to cause death or serious bodily harm; and
(2) Workers are adequately protected from identified hazards.
(b) A worker safety and health program must:
(1) Include provisions for:
(i) Defining the scope of the work to be performed prior to its
initiation;
(ii) Identifying relevant features of the work environment,
including designs and features of facilities, equipment, operations and
procedures important to a safe and healthful workplace prior to the
initiation of work activities;
(iii) Identifying and evaluating general workplace hazards,
specific job hazards, and potential hazards that may arise from
unforeseeable conditions;
(iv) Undertaking routine activity-level hazard analyses to:
(A) Evaluate designs of new facilities and modifications to
existing facilities and equipment for potential workplace hazards; and
(B) Evaluate operations and procedures to identify workplace
hazards;
(v) Considering all hazards, including radiological hazards, in
order to ensure development of an integrated set of hazard controls to
protect workers;
(vi) Assessing the risk of associated injury and illness to workers
from the identified hazards;
(vii) Assessing worker exposure to chemical, physical, biological,
radiological, or safety workplace hazards through appropriate workplace
monitoring;
(viii) Documenting assessments for chemical, physical, biological,
and safety workplace hazards using recognized exposure assessment and
testing methodologies and use of accredited and certified laboratories;
(ix) Recording observations, testing and monitoring results; and
(x) Reviewing safety and health information.
(2) Provide for the prevention, abatement and mitigation of
identified workplace hazards through:
(i) Prioritization and implementation of actions according to the
potential hazard to workers;
(ii) Implementation of interim protective measures pending final
action;
(iii) Protection of workers from imminently dangerous conditions;
(iv) Selection of hazard controls based on the following hierarchy:
(A) Elimination of the hazard;
(B) Engineered controls;
(C) Work practices and administrative controls; and
(D) Personal protective equipment; and
(v) Emphasis on reducing hazards to workers when purchasing
equipment and services.
(3) Provide for the effective implementation of the worker safety
and health requirements of subpart C of this part in a manner tailored
to:
(i) Reflect activities and hazards associated with a particular
work environment;
(ii) Take into account special circumstances at a covered workplace
that is, or is expected to be, permanently closed and that is expected
to be demolished, or title to which is expected to be transferred to
another entity for reuse on behalf of an entity other than DOE; and
(iii) Achieve national security missions of the Department of
Energy in an efficient and timely manner.
(4) Identify the hazard controls to be used to provide adequate
protection from identified hazards at the activity level in a tailored
manner for a particular work environment or the process for selecting
and identifying such controls in the future prior to the initiation of
work activities;
(5) Identify situations for which the contractor has concluded an
exemption pursuant to subpart D is needed and the process for
identifying other such situations in the future;
(6) Provide for feedback on the worker safety and health program
and for its continuous improvement;
(7) Ensure that all workers are provided with information and
training needed to perform their duties in a safe and healthful manner;
(8) Ensure the worker safety and health program is consistent and
integrated with other safety activities at the workplace;
(9) Contain provisions to ensure compliance by subcontractors; and
(10) Document the process of developing and maintaining the worker
safety and health program at a level commensurate with the complexity
and hazards associated with the workplace.
Sec. 851.101 Approval and maintenance of the worker safety and health
program.
(a) By July 25, 2005, contractors must submit for DOE approval a
written worker safety and health program that meets the requirements of
Sec. 851.100.
(1) If a contractor is responsible for more than one covered
workplace at a DOE site, the contractor must establish and maintain a
single worker safety and health program for the workplaces at the site
for which the contractor is responsible.
(2) If more than one contractor is responsible for covered
workplaces at a DOE site, each contractor must:
(i) Establish and maintain a worker safety and health program for
the workplaces for which the contractor is responsible; and
(ii) Coordinate with the other contractors responsible for covered
workplaces at the site to ensure that the worker safety and health
programs at the site are integrated and consistent.
(b) The Cognizant Secretarial Officer or, if approval authority is
delegated by the Cognizant Secretarial Officer, the Site Manager must
review and approve the contractor's worker safety and health program,
in consultation with the Assistant Secretary for Environment, Safety
and Health, within 90 days after receipt from the contractor. Beginning
January 26, 2006, no work may be performed at a covered workplace
unless the Cognizant Secretarial Officer or the Site Manager has
approved the worker safety and health program for the workplace.
(c) A contractor must maintain its worker safety and health program
by:
(1) Evaluating and updating the worker safety and health program at
least annually to reflect when significant changes or additions in the
activities and hazards are made, or a change in contractors occurs;
(2) Annually submitting to the Cognizant Secretarial Officer or, if
approval authority is delegated by the Cognizant Secretarial Officer,
the DOE Site Manager either an updated worker safety and health program
for approval or a letter stating that no changes are necessary in the
currently approved worker safety and health program;
(3) Performing an internal audit of its worker safety and health
program no less frequently than every 36 months and transmitting the
results of the audit to the DOE Site Manager, the Cognizant Secretarial
Officer, the Assistant Secretary for Environment, Safety and Health,
and the Director; and
(4) Incorporating in the worker safety and health program any
changes, conditions, or workplace safety and health standards directed
by DOE.
[[Page 3820]]
Subpart C--Safety and Health Requirements
Sec. 851.200 Worker safety and health requirements.
(a) A contractor responsible for a covered workplace must comply
with the worker safety and health requirements set forth in this
subpart as applicable to the workplace hazards identified for
facilities and activities under its control.
(b) Nothing in this subpart shall be construed to limit the
authority of DOE to impose additional requirements on a contractor.
Sec. 851.201 Worker safety and health standards.
(a) The following regulations of the Occupational Safety and Health
Administration (OSHA) in effect as of [Insert Effective Date of Final
Rule]:
(1) 29 CFR part 1910, Occupational Safety and Health Standards,
except 29 CFR part 1910.109;
(2) 29 CFR part 1915, Occupational Safety and Health Standards for
Shipyard Employment;
(3) 29 CFR part 1917, Marine Terminals;
(4) 29 CFR part 1918, Safety and Health Regulations for
Longshoring;
(5) 29 CFR part 1926, Safety and Health Regulations for
Construction; and
(6) 29 CFR part 1928, Occupational Safety and Health Standards for
Agriculture.
(b) The National Fire Protection Association (NFPA) codes and
standards listed in Table 1 below.
Table 1.--National Fire Protection Association Codes and Standards
------------------------------------------------------------------------
NFPA No. Title Edition
------------------------------------------------------------------------
1.................................. Uniform Fire Code..... 2003
10................................. Standard for Portable 2002
Fire Extinguishers.
11A................................ Standard for Medium- 1999
and High-Expansion
Foam Systems.
11................................. Standard for Low-, 2002
Medium-, and High-
Expansion Foam.
12................................. Standard on Carbon 2000
Dioxide Extinguishing
Systems.
12A................................ Standard on Halon 1301 1997
Fire Extinguishing
Systems.
13................................. Standard for the 2002
Installation of
Sprinkler Systems.
14................................. Standard for the 2003
Installation of
Standpipe and Hose
Systems.
15................................. Standard for Water 2001
Spray Fixed Systems
for Fire Protection.
16................................. Standard for the 2003
Installation of Foam-
Water Sprinkler Foam-
Water Spray Systems.
17A................................ Standard for Wet 2002
Chemical
Extinguishing Systems.
17................................. Standard for Dry 2002
Chemical
Extinguishing Systems.
20................................. Standard for the 2003
Installation of
Stationary Pumps for
Fire Protection.
22................................. Standard for Water 2003
Tanks for Private
Fire Protection.
24................................. Standard for the 2002
Installation of
Private Fire Service
Mains and Their
Appurtenances.
25................................. Standard for 2002
Inspection, Testing,
and Maintenance of
Water-Based Fire
Protection Systems.
30A................................ Codes for Motor Fuel 2003
Dispensing Facilities
and Repair Garages.
30................................. Flammable and 2003
Combustible Liquids
Code.
31................................. Standard for the 2001
Installation of Oil-
Burning Equipment.
33................................. Standard for Spray 2003
Application Using
Flammable or
Combustible Materials.
37................................. Standard for the 2002
Installation and Use
of Stationary
Combustion Engines
and Gas.
45................................. Standard on Fire 2000
Protection for
Laboratories Using
Chemicals.
50A................................ Standard for Gaseous 1999
Hydrogen Systems at
Consumer sites.
50B................................ Standard for Liquefied 1999
Hydrogen Systems at
Consumer Sites.
50................................. Standard for Bulk 2001
Oxygen Systems at
Consumer Sites.
51................................. Standard for the 2002
Design and
Installation of
Oxygen Fuel Gas
Systems for Welding,
Cutting, and Allied
Processes.
51B................................ Standard for Fire 2003
Prevention During
Welding, Cutting, and
Other Hot Work.
52................................. Compressed Natural Gas 2002
(CNG) Vehicu