TQP Accreditation Process Update

1. TQP Accreditation Process Update FTCP Meeting May 16, 2007 Pat Worthington

3. TQP ACCREDITATION PROCESS FLOWCHART Development and implementation of a Technical Qualification Program is requested by an organization in accordance with DOE M 426.1. TQP Accreditations are Voluntary. A comprehensive self evaluation is performed by the requesting organization of their Technical Qualification Program. Evaluation of the requesting organizations Technical Qualification Program is completed by an on-site accreditation review team. A recommendation is made by the independent TQP Accreditation Board. Continuous implementation and maintenance of the accredited Technical Qualification Program must be performed. Development and implementation of a Technical Qualification Program is requested by an organization in accordance with DOE M 426.1. TQP Accreditations are Voluntary. A comprehensive self evaluation is performed by the requesting organization of their Technical Qualification Program. Evaluation of the requesting organizations Technical Qualification Program is completed by an on-site accreditation review team. A recommendation is made by the independent TQP Accreditation Board. Continuous implementation and maintenance of the accredited Technical Qualification Program must be performed.

4. Self Evaluation Comprehensive documents on organization�s TQP. Written description of how objectives/criteria are met. Contains background information. Includes supporting documents. The Self Evaluation is a candid, comprehensive, stand-alone document that describes the requesting organization�s Technical Qualification Program. It contains a written description of how each objective and criteria is met including strengths, areas for improvement (AFIs) and noteworthy information. It also contains background information such as mission and organization description. Includes supporting documents such as procedures, examples, qualification records, reports, etc. The Self Evaluation is a candid, comprehensive, stand-alone document that describes the requesting organization�s Technical Qualification Program. It contains a written description of how each objective and criteria is met including strengths, areas for improvement (AFIs) and noteworthy information. It also contains background information such as mission and organization description. Includes supporting documents such as procedures, examples, qualification records, reports, etc.

5. Essential Elements of the Self Evaluation Process Oversight by senior managers. Participation of line managers and their staff. Strengths and problems are determined. Alternative perspectives are solicited. Significant problems are documented and investigated. Senior managers oversee the self-evaluation process. Line managers and their staffs actively participate in the self-evaluation process. Self-evaluations recognize strengths of the program as well as problems that need to be corrected. Alternative perspectives from other organizations or individuals are actively solicited. Significant problems are documented and investigated for root or contributing causes, and actions are taken to correct and prevent recurrence.Senior managers oversee the self-evaluation process. Line managers and their staffs actively participate in the self-evaluation process. Self-evaluations recognize strengths of the program as well as problems that need to be corrected. Alternative perspectives from other organizations or individuals are actively solicited. Significant problems are documented and investigated for root or contributing causes, and actions are taken to correct and prevent recurrence.

6. TQP Accreditation Review Team Team includes four to six members. Review Team Leader Approved by FTCP Chair STSM Senior, experienced DOE Manager Review Team Members Selected by Review Team Leader Includes peers and CDNS/CNS staff representative Receive Training on TQP Accreditation Process Accreditation Review Team includes four to six members depending on schedule availability. The Team Leader must be approved by the FTCP Chair, STSM qualified and an experienced DOE Manager. Team members and then selected by the Team Leader. The goal is to have diverse representation and if possible include CDNS/CNS staff representation. Once the Accreditation Review Team is comprised they will receive training on the TQP Accreditation process.Accreditation Review Team includes four to six members depending on schedule availability. The Team Leader must be approved by the FTCP Chair, STSM qualified and an experienced DOE Manager. Team members and then selected by the Team Leader. The goal is to have diverse representation and if possible include CDNS/CNS staff representation. Once the Accreditation Review Team is comprised they will receive training on the TQP Accreditation process.

7. Accreditation Review Team Activities Evaluate the status TQP implementation against the objectives and criteria by: Observing TQP activities Interviewing staff and management personnel Reviewing qualifications of personnel Examining TQP materials Results are discussed with staff and management. Final report is developed. The Accreditation Review Team evaluates the status TQP implementation against the objectives and criteria by: Observing TQP activities Interviewing staff and management personnel Reviewing qualifications of personnel Examining TQP materials Results are discussed with staff and management personnel at the site on a daily basis during the review. Final report is developed and provided to the TQP Accreditation Board The Accreditation Review Team evaluates the status TQP implementation against the objectives and criteria by: Observing TQP activities Interviewing staff and management personnel Reviewing qualifications of personnel Examining TQP materials Results are discussed with staff and management personnel at the site on a daily basis during the review. Final report is developed and provided to the TQP Accreditation Board

8. TQP Accreditation Board Six members experienced in TQP: One executive from NNSA One executive from ESE One executive from HS One field/site office manager One outside expert familiar with nuclear training and qualification programs Either the CDNS or CNS (depending on the program) A pool of Board members approved by their PSOs may be established. Board members must be knowledgeable about the TQP, receive training on the accreditation process, and be approved by their Program Secretarial Officer. Board members must be knowledgeable about the TQP, receive training on the accreditation process, and be approved by their Program Secretarial Officer.

9. TQP Accreditation Board Recommendation to Deputy Secretary Award initial accreditation � or possibly defer initial accreditation. Renew accreditation. Place accredited TQP on probation. Withdraw accreditation. Based on a majority vote, the TQP Accreditation Board will make one of the following recommendations to the Deputy Secretary: Award initial accreditation � or defer initial accreditation pending completion of corrective actions and additional Board review Renew accreditation. Place accredited Technical Qualification Programs on probation - A Technical Qualification Program placed on probation retains accredited status. Withdraw accreditation. The Deputy Secretary will make the final decision regarding TQP Accreditation. Based on a majority vote, the TQP Accreditation Board will make one of the following recommendations to the Deputy Secretary: Award initial accreditation � or defer initial accreditation pending completion of corrective actions and additional Board review Renew accreditation. Place accredited Technical Qualification Programs on probation - A Technical Qualification Program placed on probation retains accredited status. Withdraw accreditation. The Deputy Secretary will make the final decision regarding TQP Accreditation.

10. Maintaining Accreditation Organizations must maintain effective programs. Programs can be brought back to the Accreditation Board. TQP Accreditation is valid for four years. The TQP Accreditation Board may learn that one or more accreditation criteria are not being met for an accredited program. FTCP Chair may initiate a review commensurate with the apparent magnitude of the problem and the organization may be placed on probation. Organizations for those TQPs placed on probation must submit a corrective action plan to the TQP Accreditation Board within 30 days of being notified of probationary status. The TQP Accreditation Board will review the status of probationary programs on a quarterly basis and decide if the organization should remain on probation, if accreditation should be restored, or if accreditation should be withdrawn.The TQP Accreditation Board may learn that one or more accreditation criteria are not being met for an accredited program. FTCP Chair may initiate a review commensurate with the apparent magnitude of the problem and the organization may be placed on probation. Organizations for those TQPs placed on probation must submit a corrective action plan to the TQP Accreditation Board within 30 days of being notified of probationary status. The TQP Accreditation Board will review the status of probationary programs on a quarterly basis and decide if the organization should remain on probation, if accreditation should be restored, or if accreditation should be withdrawn.

11. TQP Accreditation Support Office The Office of Health, Safety and Security (HS-10) serves as the TQP Accreditation Support Office. HS-10 responsible for the overall management and coordination.

12. Accreditation Issues HS-10 maintains the schedule. Sandia Site Office in FY 07. HS Funding for FY-08 Accreditation Activities. Need final input from all sites by May 31, 2007. Call for FY-08 Accreditation Team Members. HS-10 will be maintaining the TQP Site Accreditation schedule and will e-mail it out to the FTCP agents periodically for review/input. So far, we have a few volunteers for the upcoming Sandia Accreditation Team � Ed Parsons, Frank Russo, and Ali Ghovanlou but we still need one or two more volunteers. Funding for the site accreditations was not included in the FY 2008 budget process, HS-10 will have to secure additional funding for site accreditations in FY 2008. We hope to do at least 3-4 in FY 2008 depending on funding. We will also be sending out a notice a little later this summer for volunteers for the FY 2008 Accreditations.HS-10 will be maintaining the TQP Site Accreditation schedule and will e-mail it out to the FTCP agents periodically for review/input. So far, we have a few volunteers for the upcoming Sandia Accreditation Team � Ed Parsons, Frank Russo, and Ali Ghovanlou but we still need one or two more volunteers. Funding for the site accreditations was not included in the FY 2008 budget process, HS-10 will have to secure additional funding for site accreditations in FY 2008. We hope to do at least 3-4 in FY 2008 depending on funding. We will also be sending out a notice a little later this summer for volunteers for the FY 2008 Accreditations.

13. CY-08 Accreditation Schedule Modifications Tentative Dates NNSA SC: July 2008 NNSA HQ: July 2008 ORP/RL: Sep 2008 ORO: Dec 2008 Need Tentative Dates in 2008/2009 for: ID LSO CBFO SRO

14. Sandia Accreditation Details Accreditation Team Identified and Trained Sandia Self Evaluation Report submitted Self Evaluation Report Review Completed Accreditation Visit Completed Accreditation Report Completed Accreditation Board Completed