ORPS Data Entry - Creating a New Report


To create a new report:

  1. Select a Facility from the Facility dropdown menu on the ORPS Data Entry Selection screen shown below.

    ORPS Data Entry selection Screen
    ORPS Data Entry Selection Screen

  2. Select the New button to proceed to the ORPS Data Entry form shown below. The title, DRAFT ORPS Notification Report Facility Personnel Information will be displayed across the top of the screen.

    ORPS Data Entry Screen

    ORPS Data Entry Form
    NOTE:To scroll through the fields of the Data Entry Form, click the scrollbar to the right of the data entry fields. To view help on any field, click the link corresponding to a particular field. Online help explanations will appear in the frame to the right. To resize any of the frames shown in Figure 4, place the cursor on the frame border, and click and drag the frame to the desired size.

  3. Complete the fields of the ORPS Data Entry form as described in the following table:

Instructions for completing the ORPS Data Entry Form If this is a recurring event, check this box. Otherwise leave it blank. When this box is checked, the significance category will be set to "R" automatically regardless of what significance category is derived from the selected reportable criteria.
Field NameInstruction
Facility/Personnel Information
*1. Occurrence Report NumberThe occurrence report number is automatically generated by the system. It consists of: the following:
  • DOE Field Office
  • Area Office (if applicable)
  • DOE contractor
  • Facility
2. Facility NameSelect the Facility Name from the drop-down menu. Note, only facilities that you have authority with will show up in this drop-down menu.
3. Facility Function Code Select the Facility Function code from the drop-down menu which best describes the activity/function performed at the facility selected. Only one selection is allowed.

Facility Functions are listed below:
01 - Plutonium Processing and Handling
02 - SNM Storage
03 - Explosive
04 - Uranium Enrichment
05 - Uranium Conversion/ Processing and Handling
06 - Irradiated Fissile Material Storage
07 - Reprocessing
08 - Nuclear Waste Operations/Disposal
09 - Tritium Activities
10 - Fusion Activities
11 - Environmental Restoration Operations
12 - Category "A" Reactors
13 - Category "B" Reactors
14 - Solar Activities
15 - Fossil and Petroleum Reserves
16 – Accelerators
17 - Laboratory (For search only)
17A - Laboratory - Analytical
17B - Laboratory - Research & Development
18 - Power Mareting Administration
99 - Balance-of-Plant (For Search only)
99A - Balance-of-Plant - Offices
99B - Balance-of-Plant - Machine shops
99C - Balance-of-Plant - Site/outside utilities
99D - Balance-of-Plant - Safeguards/security
99E - Balance-of-Plant - Storage (except SNM)
99F - Balance-of-Plant - Laundries
99G – Balance of Plant – Infrastructure (Other Functions
not specifically listed in this Category)

4. Site NameThis field is automatically generated by the system, and indicates the logged users' site. This field may not be modified.
5. Manager DesigneeEnter the name, title, and phone number of the responsible facility manager or designee who approved this report, either by personally transmitting the electronic report or by signing the hard copy report. By selecting a facility manager name from the drop-down menu, the title and phone number fields will be filled in automatically, but may be overridden if necessary.

Only Facility Managers that are registered ORPS users will appear in the drop down menu. If the appropriate facility manager's name does not appear in the list, you may alternatively enter a name in the input box next to the drop-down menu. You will have to fill in the phone number and title as well. A selection made from the drop-down menu will override any information entered in the input box.

This field is required for all reports

6. Manager PhoneEnter a telephone number, including area code, for this person. Telephone number format is AAAPPPNNNN, where AAA is the area code, PPP is the prefix, and NNNN is the number. Any amount of punctuation may be included in any way desired, as long as 10 numeric digits are included and the field does not exceed 15 characters in total length.

This field is required for all reports.

7. Job TitleEnter the specific job title of the Manager/Designee.
8. Originator/TransmitterThis field is automatically generated by the system, and displays the user ID of the logged in user.
9. Originator PhoneThis displays the telephone number of the logged in user.
10. Originator/TitleThis field is automatically generated by the system, and displays the title of the logged in user.
11. Division/Project Identify the project or the contractor organization responsible for the facility at which the occurrence took place.

This field is required for all reports.

12. Secretarial OfficeSelect the DOE Secretarial Office to which this facility is operationally responsible from the drop-down menu.

Secretarial Offices:

BV – Bonneville Power Administration
EE - Energy Efficiency and Renewable Energy
EH - Environment, Safety & Health
EI - Energy Information Administration
EM - Environmental Management
FE - Fossil Energy
ME – Management, Budget and Evaluation
NA – National Nuclear Security AdministrationNE - Nuclear Energy, Science and Technology
NP - New Production Reactor (no new reports)
RW - Civilian Radioactive Waste Management
SC - Science
SE – Southeastern Power Administration
SO - Security
SW – Southwestern Power Administration
UE - Uranium Enrichment (no new reports)
WA – Western Area Power Administration

Only one Secretarial Office may be selected. If the facility is operationally responsible to more than one Secretarial Office, enter the Secretarial Office that is most directly involved in the specific work activity during which the occurrence took place.

This field is required for all reports.

13. System/Building/EquipmentIdentify all systems, equipment, or structural items involved in the occurrence, as applicable. In addition, in the case of component failures or defective parts or materials, provide such information as the manufacturer, model number, and size. The most significant item(s) should be listed here. Additional information can be provided in the Description of Occurrence.
14. Authorized Classifier/Reviewing OfficialEnter the name of the authorized classifier who reviewed this report and determined that it was unclassified and the date that the review was performed. Classified information MUST NOT be transmitted to the Occurrence Reporting and Processing System. For classified reports, an unclassified version of the report shall be submitted to ORPS.

For facilities where classified operations are conducted or classified information is generated, this field is required for all reports.

15. Classification DateEnter the date and time when the authorized classifier reviewed this report and determined that it was unclassified. The date must be entered MM/DD/YYYY format, and the time to military format (hhmm), with 0000 representing midnight on the second day. If the date is entered in MM/DD/YY format, you will receive an error message. Examples:

06/03/1996, not June 3, 1996
0630, not 6:30 AM
1830, not 6:30 PM

These fields are required for all reports.

16. UCNIWhen required and when appropriate UCNI guidance is available, a reviewing official shall make a final determination that the report contains (enter "Y" for Yes) or does not contain (enter "N" for No) UCNI. Where appropriate guidance is not available, a reviewing official shall make a preliminary review determination that the report may contain UCNI (enter "Y" for Yes) or does not contain UCNI (enter "N" for No). Reports with UCNI=Y cannot be transmitted to the database.
17. Plant AreaIndicate the name of the site-specific plant area (e.g., F-Area, M-Area) where the occurrence took place.

This field is required for all reports.

18. Discovery Date/TimeEnter the date and time when the facility staff discovered the event or condition being reported. The date must be entered in mm/dd/yyyy format. If you enter the incorrect format, you will receive an error message. The time must be entered in military format (hhmm), with midnight represented as 0000 on the second day.

Examples:

Enter 06/03/1996, not June 3, 1996
0630, not 6:30 AM
1830, not 6:30 PM

If you enter the date and time in the incorrect format, a message will be displayed requesting that you re-enter the information.

These fields are required for all reports.

19. Categorized Date/TimeEnter the date and time when the facility staff discovered the event or condition being reported. The date must be entered in mm/dd/yyyy format. If you enter the incorrect format, you will receive an error message. The time must be entered in military format (hhmm), with midnight represented as 0000 on the second day.

Examples:

Enter 06/03/1996, not June 3, 1996
0630, not 6:30 AM
1830, not 6:30 PM

If you enter the date and time in the incorrect format, a message will be displayed requesting that you re-enter the information.

These fields are required for all reports

Occurrence Description
20. Subject/Title of OccurrenceEnter a brief title or description (140 characters or less) that best details the nature, cause, and result of the occurrence.

This field is required for all reports.

21. Reporting CriteriaSelect one or more Reporting Criterion/Criteria as discussed in Section 6 of DOE Manual 232.1-2. All of the specific reporting criteria applicable for an occurrence should be identified.

NOTE: The Significance Category field will contain the highest significance category assoociated with the selected criteria. For example, if criteria with significance categories 4, 3, and 1 were selected, then the significance category would be 1.

To select Reporting criteria using the ORPS Data Entry Module:

Select the Reporting Criteria group, subgroup, and sequence from the dropdown menus. The definition of the selected Reporting Criterion will be displayed for review. To select the Reporting Criterion, click the Select button.

- OR -

If you know the exact Reporting Criterion number, enter the number manually into the Enter RC (Reporting Criteria) box and click the Select button.

- OR -

To review Reporting Criteria definitions, click the RC Lookup Table link. You may select Reporting Criteria directly from the RC Lookup Table. In the case of multiple RCs, the Significance Category (SC) is automatically set to the most severe case. For example, if RCs with significance categories 4, 3, and 1 were selected, then the highest significance category would be 1.

NOTE: Each Reporting Criterion listed in the RC Lookup Table is preceded by a number, for example, 1(1) *OE. In this example, 1(1) is the Reporting Criteria Number. The asterisk (*) indicates that this Reporting Criterion requires prompt notification to the OC. OE is the Significance Category. This code may be 1, 2, 3, 4, R, or OE. Other examples of Reporting Criteria Codes include 4B(4) 4 (Significance Cagegory 4), and 5B(1) 2 (Significance Category 2). Note that these examples do not require prompt notification.

The RC Lookup Table provides complete definitions of each RC. To choose a particular RC, click the Select button. Selected RCs will appear in your list of selected Reporting Criteria.

Significance Category This field is automatically assigned by the system and is dependent on the Reporting Criterion/Criteria.

Significance Categories include OE (emergency), 1, R, 2, 3, and 4, with OE being the most significant and 4 the least significant. The Significance Categories are defined as follows:

Category OE: Operational Emergency Occurrences are the most serious occurrences and require an increased alert status for onsite personnel and, in specified cases, for offsite authorities.

Category 1: Occurrences in this category are those that are not Operational Emergencies and that have a significant impact on safe facility operations, worker or public safety and health, regulatory compliance, or public/business interests

Category R: Occurrences in this category are those identified as recurring, as determined from the periodic performance analysis of occurrences across a site.

Category 2: Occurrences in this category are those that are not Operational Emergencies and that have a moderate impact on safe facility operations, worker or public safety and health, regulatory compliance, or public/business interests.

Category 3: Occurrences in this category are those that are not Operational Emergencies and that have a minor impact on safe facility operations, worker or public safety and health, regulatory compliance, or public/business interests.

Category 4: Occurrences in this category are those that are not Operational Emergencies and that have some impact on safe facility operations, worker or public safety and health, public/business interests.

23. Recurring Event If this is a recurring event, check this box. Otherwise leave it blank. When this box is checked, the significance category will be set to "R" automatically regardless of what significance category is derived from the selected reportable criteria.
24. Subcontractor Involved If a subcontractor is involved in this occurrence, choose Yes. Otherwise choose No. If Yes is selected, enter the name of the subcontractor(s).

This field is required for all reports.

25. Description of Occurrence The following instructions should be followed when entering the description of the occurrence:

a. The first paragraph of the Occurrence Description should relay the essential nature of the event (i.e., a summary of the occurrence in newspaper style).

b. All information should be clear and succinct. Avoid redundant and unnecessary text, and lengthy “log book” accounts, unless a discussion of the event in chronological order is considered essential to understanding the event.

c. Complex and more significant occurrences should warrant a greater level of detail. Significance Category 4 occurrences would likely need only a short paragraph under Occurrence Description. However, all reports should present enough information so that the general reader understands why the event needs to be reported and what the effect is.

d. Avoid jargon and uncommon or site/facility-specific abbreviations and acronyms. If used, acronyms should be initially spelled out.

e. Unless necessary to record and explain the event (e.g., suspect/counterfeit items or material), use general descriptions of equipment, procedures, etc., rather than presenting lengthy detailed titles and the numbers and letters assigned to those items.

f. Quantify the level of contamination, dose, release, and damage (e.g., estimate the acres of wild land burned) when possible, instead of merely stating a reportable limit was exceeded.

g. Use active rather than passive voice whenever possible. For example, write, “the electrician severed the conduit” rather than “the conduit was severed.”

The type of information to be provided in the description includes, but is not limited to, the following:

  • the method of discovery;
  • any component failures and the failure mode;
  • any personnel errors involved, including the type and result of the error;
  • any procedural problem encountered;
  • the response of any automatic or manual safety systems and the signals which initiated and terminated their operation;
  • the duration of any failures;
  • operator actions that affected the course of events;
  • the loss of any safety equipment.

When appropriate for clarification, photos, sketches, and drawings should be maintained with the occurrence report record. In addition, sites are encouraged but not required to make photos, sketches, and drawings available via a Web page, with the Web page address included as a hyperlink in the ORPS report.

For recurring events, include all pertinent information to describe how the event was determined to be recurring.

This field is required for all reports.

26. DOE HQ OC NotificationsFirst, select DOE-HQ OC Notification from the Notification dropdown menu.

Then in the edit boxes, enter the date and time when the DOE HQ Operations Center was notified and the name and organization of the person notified. The date format is MM/DD/YYYY.

Example: 06/30/1996, not June 3, 1996 or 6/30/96

The time format is military time: hhmm, with midnight represented as 0000 on the second day.

Examples:
0630, not 6:30 AM
1830, not 6:30 PM

When you have completed the edit boxes, click the Add button. The notification record will be displayed in a list above the edit boxes. You may add as many notifications as you wish.

These fields are required for all reports that are categorized as Operational Emergencies and Significance Category 1 occurrences. The field is also required for Significance Category 2 occurrences as directed by the Field Office. In addition, the field is required for specific Significance Category 2, 3, and 4 occurrences identified with an asterisk next to the reporting criterion.

27. Other NotificationsFirst, select Other Notification from the Notification dropdown menu.

Then n the edit boxes, enter the date(s) and time(s) of notification of state and local officials or other agencies and the name(s) and organization(s) of the individual(s) notified. Additional information can be provided in the Immediate Actions Taken field.

When you have completed the edit boxes, click the Add button. The notification record will be displayed in a list above the edit boxes. You may add as many notifications as you wish.

The date format is MM/DD/YYYY.

Example: 06/03/1996, not June 3, 1996 or 6/3/96

The time format is military time (hhmm), with midnight represented as 0000 on the second day.

Examples:
0630, not 6:30 AM
1830, not 6:30 PM

28. Operating Conditions at Facility at Time of OccurrenceDescribe the operational status of the facility or equipment at the time of the occurrence including, for example, pertinent temperatures, pressures, or other parameters necessary for evaluation of the occurrence and its consequences. If said information is not applicable, enter "Does not apply".

This field is required for all reports.

29. Activity CategoryFrom the dropdown menu, select the activity that best describes the ongoing activity at the time of the occurrence. This field is required for all reports.

Activity Categories:
01 - Construction
02 - Maintenance
03 - Normal Operations (other than Activities specifically listed in this Category)
04 - Start-up
05 - Shutdown
06 - Facility/System/Equipment Testing
07 - Training
08 - Transportation (For search only)
08A - Transportation Onsite
08B - Transportation Offsite
09 - Emergency Response
10 - Inspection/Monitoring
11 - Facility Decontamination/Decommissioning
12 - Research

30. Immediate Actions TakenDescribe the immediate or remedial actions taken to return the facility, system, or equipment item to service; to correct or alleviate the anomalous condition; and to record the results of those actions. These may include temporary measures to keep the facility in a safe standby condition or to permit continued operation of the facility without compromising safety until a more thorough investigation or permanent solution can be effected.

This field is required for all reports.

Spell Check and Full Screen EditClick Spell Check to spell check data entry into the Immediate Actions Taken text field. Click Full Screen Edit to display a popup screen that provides larger data entry work area. This option is available for the Description of Occurrence and Immediate Actions Taken long text fields. Click Return to return to the Data Entry module
31. CauseSelect the codes from the Causal Analysis Tree that best represent the causes of the occurrence. If you select A3 (Human Factors) as the Cause Code, select any associated causes (couplets) from the couplet selection list or choose a better couplet for the associated occurrence. This field is required for Final reports and optional for Short Form reports.

Detailed Instructions

Make a selection from the Group, Subgroup, and Category tocomplete the Cause Code. Click the Select button.

Select as many causes as desired from the dropdown menus.

- OR -

If you know the exact Cause Code number, enter the Cause Code manually into the edit field.

- OR -

To review Cause Code definitions, click the Cause Code Lookup Table link. A popup screen will be displayed with complete definitions for each cause code. Click the Select button to add a cause code to the list.

Human Couplets

Human couplets are cause codes that may be associated with an event when A3 (Human Factors) is selected as the main cause of the event. For example, a management methods problem may be associated with a Human Performance cause.

If you make a selection from Group A3 (Human Factors), you may select one or more associated causes. Highlight the A3 cause code, and click the Select Couplets button. The Select Couplet pop-up window is displayed. Click the Select button to add a couplet to the list of cause codes. The couplets will appear indented under the main A3 cause code.

32. Description of CauseDiscuss the causes of the occurrence to include all causes and the corrective actions identified, including causal analysis contributing to a recurring event. Do not repeat a description of the occurrence, but discuss the results of the causal analysis. The analysis methodology used shall be identified. A detailed description of the corrective actions is required to demonstrate that the identified actions will adequately address the cause(s) of the problem.

This field is required for all Final reports, except Short Form Reports.

33. Evaluation by ManagerWith the information available, the Facility Manager should provide his or her evaluation of the occurrence and its effect or possible effect on the plant, system, program, etc. The Facility Manager may later supplement this evaluation with additional entries in Update reports or in the Update/Final report.

This field is required for all Notification reports where "Further Evaluation Required" is "Yes" and "Before Further Operation" is "Yes". It is also required for all Update and Final reports, but it is optional for Short Form reports.

34. Further Evaluation RequiredIf this occurrence will require further evaluation, choose Yes, otherwise choose No. For Cancelled and Update/Final Reports, "Further Evaluation Required" must be "No". This field is required for Notification, Update, Final, and Short Form reports.

If further evaluation is required, specify if this occurrence will require further evaluation before further operation.

For Cancelled and Update/Final Reports, "Before Further Operation?" should be "No". This field is required for all reports where "Further Evaluation Required" is "Yes". If further evaluation is required before further operation, enter the name of the person who will perform further evaluation on this occurrence and the date when the further evaluation will be completed.

The date must be entered in MM/DD/YYYY format. If you enter the date in an incorrect format you will receive an error message.

Example: 06/03/1996, not June 3, 1996

This field is required for all reports where "Further Evaluation Required" is "Yes" and "Before Further Operation" is "Yes".

35. Integrated Safety Management (ISM) Codes Enter one or more ISM codes from the following list to identify an observed weakness(es) in the facility's implementation of the ISM program (e.g., failure to properly define the work scope, or failure to perform an adequate activity level hazards analysis).Available ISM codes are:
  1. Define Scope of Work - Missions are translated into work, expectations are set, tasks are identified and prioritized, and resources are allocated.
  2. Analyze the Hazards - Hazards are associated with the work identified, analyzed, and categorized.
  3. Develop and Implement Hazard Controls - Applicable standards and requirements are identified and agreed-upon, controls to prevent/mitigate hazards are identified, the safety envelope is established, and controls are implemented.
  4. Perform Work Within Controls - Readiness is confirmed and work is performed safely.
  5. Provide Feedback and Continuous Improvement - Feedback information on the adequacy of controls is gathered, opportunities for improving the definition and planning of work are identified and implemented, line and independent oversight is conducted, and, if necessary, regulatory enforcement actions occur.
  6. N/A (Not applicable to ISM Core Functions as determined by management review) - Items that do not fall into the realm of ISM Core Functions; e.g., Natural Phenomena, Wild Fires, Counterfeit/Suspect Parts, Notifications of non-compliance (Federal, State, Local), Legacy Issues that could not have been anticipated, End of Life equipment failures where maintenance is not an issue, etc.

This field is required for all Final reports, including Short Form Reports.

36. Lessons LearnedDescribe what lessons can be learned from this occurrence, in order to help prevent similar events from happening. This field is required for Final reports and optional for Short Form Reports.
37. Similar Occurrence Reports Indicate by their report numbers any similar occurrence(s) of which you are aware for this facility or other facilities, including similar occurrences contributing to a recurring event. A discussion describing the analysis of similar occurrence reports should be included in Field 30 or Field 31, as appropriate. Also, identify any known commercial reactor Licensee Event Reports (LER) or other related documents that describe similar occurrences. The purpose of this item is to identify, if recognized, occurrences that might suggest a generic problem. It also serves to identify generic problems that may result in single or common lessons learned. This field is required for Final reports and optional for Short Form Reports.
38. User Defined Fields (two of them)These optional fields can be used to store facility-specific information (e.g., a cross-reference to performance indicator data or a site-specific number or name). They cannot exceed 124 characters in length for each field.
39. Corrective Actions A facility may choose to use ORPS or its own local corrective action system to track and close out corrective actions (CA). However, in either case, enter a complete description of the CA and the target date when completion of the CA is anticipated. A complete list of corrective actions should be included in the report to ensure it can stand on its own (i.e., reviewers do not have to search for other reports, etc). For facilities using ORPS to track and closeout the corrective actions, the Actual Completion date is entered when the CA is completed and closed. For facilities that choose to use their local CA tracking systems, the Actual Completion Date is not required. However, the reference number of the CA stored in the local corrective action tracking system needs to be entered. All CA items entered in ORPS with local CA reference numbers are considered closed. Corrective Actions are required for Final reports and optional for Short Form Reports.
40. Facility Representative CommentsThe Facility Representative or designee can provide his or her evaluation of the occurrence, including an evaluation of the initial and proposed corrective actions and any follow-up by the facility personnel, and can describe any other actions that DOE has taken since the occurrence. The Facility Representative may supplement such information with subsequent additional entries, as appropriate. After completing the input, the Facility Representative’s name and date will be automatically entered by ORPS. If a Final Report is being rejected, the Facility Representative should use this space to indicate why. This field is optional on all occurrence report types except for reports that are already Final, including Short Form Reports. This field is required only on Final Reports rejected by the Facility Representative.
41. Program Manager CommentsThe Program Manager or designee can provide his or her evaluation of the occurrence, including an evaluation of the initial and proposed corrective actions and any follow-up, and can describe any other actions that DOE has taken since the occurrence. The Program Manager may include additional information, as appropriate. After completing the input, the Program Manager’s name and date will be automatically entered by ORPS. If a Final Report is being rejected, the Program Manager should use this space to indicate why. This field is optional on all occurrence report types except for reports that are already Final, including Short Form Reports. This field is required only on Final Reports rejected by the Program Manager.
Save Click this button to save the report. The report will be saved as a draft until all fields are completed properly.
Print Click this button to print the report to a local or network printer. The report will be displayed in a separate, printable web page. Choose File/Print from the browser menu.
Data Entry Homepage Click this button to return to the previous screen (Data Entry homepage). Be sure to click Save prior to clicking this button. Otherwise any data entered will be lost.
Validate Notification/update/finalThis button is used to ensure that the fields of the report have all been completed properly. A list of fields that have not been completed properly will be displayed. It is possible to save an incomplete report as a draft report.
Submit Notification/Update/Final After all the fields of the Data Entry screen have been completed, and all notifications and approvals have been processed, you may submit a report as a Final report. If the fields of the data entry form are not properly completed, the system will provide a list of fields that require further attention.


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