U.S. Department of Energy’s Consolidated Audit Program FY 2012 Overview

1. U.S. Department of Energy’sConsolidated Audit ProgramFY 2012 Overview Jorge FerrerManager, DOE Consolidated Audit Program Oak Ridge Office ASP Workshop 2012Idaho Falls, Idaho September 17-20, 2012 1

2. DOECAP’s Mission to Improve 2

3. Active DOECAP Participants 3

4. Laboratory Audits in FY2012

5. Laboratory Audits in FY2012 6

6. Laboratory Auditors FY2012 SITE TOTALAUDIT AREA TOTAL Oak Ridge 11 (Ops Team-4) Lead 12 Livermore 5 Quality Assurance 29 Idaho 6 Organic Analyses 16 Hanford 7 (RL-2, PNNL-3, ORP-2) Inorganic Analyses 21 Nevada 4 Radiochemistry 14 Savannah River 4 LIMS 6 Albuquerque 3 Haz & Rad Mgmt. 12 Legacy Mgmt. 2 Aquatic Toxicity 1 Berkley 3 NDA 2 Paducah 3 Sandia 1 New Lead: S. Aderholdt, G. Clark, S. Donivan Brookhaven 1 AITS Completed: 17 Headquarters 1 New Auditors: 15 Other 1 7

7. Distribution of FY2012 Laboratory Findings

8. Analytical Laboratory Common Findings • Training not completed or not documented • Technical Demonstrations of Capability (Initial & Continuing) • Ethics training • LIMS security training • Safety and Personal Protective Equipment (PPE) training • Radiation control training • Inadequate or incomplete SOP content • Practices not consistent with SOP direction • Deficiencies in sample receipt practices, particularly radiological screening practices 9

9. Analytical Laboratory Common Findings (cont.) • Performance Test failures • Internal auditing deficiencies • None performed • Schedule not established or maintained • No Corrective Action follow-up • Not reported to management • Calibration or calibration verification deficiencies • Logbook/Notebook deficiencies • Waste disposal inadequate or facilities being used for waste disposal not adequately reviewed 10

10. DOECAP Treatment Storage andDisposal Facility Audits 11

11. TSDFs Audited in FY2012 12

12. TSDF Auditors FY2012 SITE TOTALAUDIT AREA TOTAL Oak Ridge 18 (Ops Team-4) Lead 11 Savannah River 7 Quality Assurance 20 Idaho 7 Sampling & Data Quality 10 Hanford 5 (RL-2, PNNL-1, ORP-2) Waste Operations 24 Nevada 2 Environ. Compliance 20 Brookhaven 4 Radiological Control 9 Pantex 1 Indust. & Chem. Safety 10 Los Alamos 3 Transportation 15 Berkley 1 Livermore 2 EMCBC 4 Headquarters 3 Thomas Jefferson 1 New Leads: None Sandia 3 AITs Completed: 13 Paducah 1 New Auditors: 12 13

13. Distribution of FY2012 TSDF Findings

14. TSDF Common Findings • Incomplete or inadequate SOP content • Practices do not match SOP direction • Inadequate personnel training • Incomplete training documentation and records • Inadequate labeling and posting (containers, placards, safety, etc.) • Inappropriate storage of chemical and equipment • Inadequate compliance with permits and regulatory requirements 15

15. FY2012 Findings Review DOECAP conducted: 31 audits in FY2012 90% of all FY2011 audit findings were closed during FY2012 audits: 90% of the Lab findings 87% of the TSDF findings New Findings Identified Lab & TSDF since 2007: FY2007 = 374 FY2010 = 227 FY2008 = 216 FY2011 = 215 FY2009 = 277 FY2012 = 191 16

16. FY2012 Program Accomplishments • Increased number of qualified Auditors & Leads • Laboratory Lead Auditors from 11 to 12 • TSDF Lead Auditors 11 – no change from FY11 • Laboratory Auditors from 56 to 61 • TSDF Auditors from 61 to 62 • Three new modifications were made to the EDS to increase the drop box efficiency, clarify the audit schedule and to free up space in the EDS. + 3N – 2L = + 1 + 15N - 10L = +5 + 12N – 11 L = +1 17

17. FY2012 ProgramAccomplishments (cont.) • Initiatives to increase field participation • Memos to field managers • Meetings with field managers • Continued implementation of new contract initiatives for cost reduction • Notification of audit reports to field managers • 2011 ASP Annual Report • 2012 ASP Workshop • The asbestos event resulted in a minimal disruption to the ASP program in Oak Ridge 19

18. FY2012 Program Challenges • Maintaining the strength of the Program with reduced budgets throughout the Complex. • Different approaches to fulfill audit needs. • Obtaining accurate information regarding laboratory and TSDF facility usage in order to appropriately prioritize audit schedules. • Diligent evaluation of the input data to make sound decisions. • Completing the integration of the DOE and DoD laboratory requirements documents, new laboratory checklists, and auditor training. • Explore alternatives for the future of EDS. 20

19. FY2012 Program Challenges (cont.) • Filling Audit Teams with Qualified DOECAP Auditors • Adding Qualified Auditors • Lab Areas: Data Quality for Radiochemistry, LIMS, Hazardous and Radioactive Materials Management, and Aquatic Toxicity • TSDF Areas: Sampling and Analytical Data Quality, Industrial & Chemical Safety, and Radiological Control • Pairing Auditor-In-Training with Experienced Auditors 21

20. DOECAP is an Integrated Participatory Program = Urgent Need

21. Tentative Laboratory Audits for FY2013

22. Tentative Laboratory Audits for FY2013 (cont.) 24

23. Tentative TSDF Auditsfor FY2013 25

24. DOECAP Operations Team Jorge Ferrer - DOE Oak Ridge Federal DOECAP Manager Phone: (865) 576-6638 E-mail:  ferrerja@oro.doe.gov Richard Martin – DOE Oak Ridge Todd Hardt – Pro2Serve, Inc. Federal Deputy DOECAP Manager DOECAP Operations Team Leader E-mail: martinrw@oro.doe.gov Email: hardttl@oro.doe.gov Joe Pardue - Pro2Serve, Inc. Susan Aderholdt - Pro2Serve, Inc. DOECAP Technical Operations Coord. DOECAP Corrective Actions Coord. E-mail: parduegjjr@oro.doe.gov E-mail:  aderholdtsl@oro.doe.gov Rhonda Jobe - Pro2Serve, Inc. DOECAP Doc. Control Coord. E-mail:  joberd@oro.doe.gov 26