Readiness Review Course

Screening or Scoping Meeting (ORR vs RA, Authorization Authority (AA) Defined, Startup Notification Report (SNR) Discussed, Schedule) Contractor Plan of Action (CPOA) Prepared DOE Plan of Action (POA) Prepared by DOE Line Mgr AA Reviews and Approves CPOA and POA Startup Notification Report Prepared and Submitted Contractor RR Implementation Plan (IP) prepared by Contractor RR Team and approved by CTL DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted) AA Approves SNR and Nominates DOE Team Leader (TL) Prerequisites met (MSA) Readiness Review Process Begins Contractors RR and Final Report DOE RR IP approved by TL Corrective Action Plan (CAP) Submitted and Approved DOE RR and Final Report CAP Submitted and Approved Prestart Findings Closed Contractor Issues Readiness to Proceed (RTP) Prestart Findings Closed DOE Endorsement of RTP and MSA AA Authorizes Startup AA Authorizes Start of RR to RR TL Readiness ReviewCourse Plan of Action – Mod 5 Nov 2006

Learning Objectives • Describe the purpose, timing, and content of the Plans of Action . . . • Describe who generates and approves the Plan of Action . . . Nov 2006

Screening or Scoping Meeting (ORR vs RA, Authorization Authority (AA) Defined, Startup Notification Report (SNR) Discussed, Schedule) Contractor Plan of Action (CPOA) Prepared DOE Plan of Action (POA) Prepared by DOE Line Mgr AA Reviews and Approves CPOA and POA Startup Notification Report Prepared and Submitted Contractor RR Implementation Plan (IP) prepared by Contractor RR Team and approved by CTL DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted) AA Approves SNR and Nominates DOE Team Leader (TL) Prerequisites met (MSA) Readiness Review Process Begins Contractors RR and Final Report DOE RR IP approved by TL Corrective Action Plan (CAP) Submitted and Approved DOE RR and Final Report CAP Submitted and Approved Prestart Findings Closed Contractor Issues Readiness to Proceed (RTP) Prestart Findings Closed DOE Endorsement of RTP and MSA AA Authorizes Startup AA Authorizes Start of RR to RR TL Readiness Review Process 6 Months Prior to RR 1 Year Prior to RR Nov 2006

Plan of Action Purpose • Documents the “Breadth” of the Readiness Review • Defining the “Breadth” includes defining the: • Scope of the Review • Minimal Core Requirements to be reviewed • It’s the basis for the Implementation Plan; • Should Identify the Team Leader; • Specifies prerequisites, must address each core requirement • Proposed start dates Nov 2006

Plan of Action Purpose (cont) • By defining the Scope, you define the: • Geographical and physical boundaries of the review; • Which facilities are involved? • Which systems (process & support) are involved? • Administrative boundaries of the ORR • What Safety Management Programs/Procedures are involved? • Which Personnel groups? Support groups? Nov 2006

Plan of Action Defining the Scope of the ORR Plan of Action Defines ORR Breadth ORR Scope ORR Implementation Plan Defines Depth Nov 2006

POA Content Recommended Format Defined in Order and DOE-STD-3006-2000. . . • Cover page • Signature page • Table of Contents • Introduction • Facility Information (Responsible Contractor Organization, Mission, History) • NNSA Organizational interfaces and Approvals (NNSA ORR Official Reviews and Approvals, Designation of Action – Startup, Proposed ORR Team Leader, Requirement for Senior Technical Advisor) • Proposed Breadth of the ORR (Scope, ISM Guiding Principles, ORR Minimal Core Requirements (MCRs), DOE NNSA MCRS) • ORR Prerequisites (NNSA, Site Office, Contractor) • Schedule and Duration of the ORR • NNSA ORR Findings and Disposition • Document Distribution • Appendices - Acronyms EXAMPLE Nov 2006

POA Content • ORR Addresses all MCRs • MCRs excluded must be justified (i.e., recent, technically adequate, independent review, subjects that are not applicable, etc.); • “Graded Approach” used in defining the Breadth (applicable MCRs); • Presents “Content Scope” of Review: • Safety Management Programs interface discussion . . . • MCR Depth Discussion POA EXAMPLE Nov 2006

Graded Approach Reference DOE-STD-3006-2000, Appendix 1, Application of the Graded Approach, The graded approach is commensurate with: • The relative importance to safety, safeguards, and security; • The magnitude of any hazard involved; • The life cycle stage of a facility; • The programmatic mission of a facility; • The particular characteristics of a facility; • The cause and circumstances of the facility shutdown; • Complexity of the weapons-related or research activity; and • Other relevant factors. Nov 2006

Graded Approach The following factors and their implications should be considered in preparation of the plan-of-action and should be considered in developing the depth of the ORR: • Physical modifications to the facility; • Procedural changes; • Personnel changes; • Length of shutdown; • Overall hazard characteristics of the facility; • The complexity of the activity; Nov 2006

Graded Approach Continued…. • A new process or facility versus the restart of an existing activity; • The programmatic significance of the subsequent operations; • Introduction of new hazards; • Increase in existing hazards or risk; • Operating history of the facility; • Confidence in site-wide issues; • Issues raised through other internal or external reviews; • Lessons Learned Nov 2006

MCR Depth and Discussion Example: MCR 1 - Line management has established programs to ensure safe accomplishment of work (the authorization authority should identify in the plan of action those specific infrastructure programs of interest for the startup or restart). Personnel exhibit an awareness of public and worker safety, health, and environmental protection requirements and, through their actions, demonstrate a high-priority commitment to comply with these requirements. Performance Objectives: • Line management has established programs to ensure safe accomplishment of work. • Personnel exhibit an awareness of public and worker safety, health, and environmental protection requirements. • Line management and personnel, through their actions, demonstrate a high-priority commitment to comply with these requirements. Infrastructure programs for the startup or restart are to be defined within the POA, as part of the breadth of the review, and/or defined by the AA by formal correspondence. Nov 2006

MCR Depth and Discussion Example (Cont) MCR 1 - Line management has established programs to ensure safe accomplishment of work. Personnel exhibit an awareness of public and worker safety, health, and environmental protection requirements and, through their actions, demonstrate a high-priority commitment to comply with these requirements. • The NNSA ORR Team will confirm that ESA-TSE line management has established the following programs, and personnel can demonstrate a commitment to comply with programmatic requirements. The review will focus on contractual agreements between NNSA and LANL, and the implementation of site-specific documentation to verify that this MCR has been met. • Conduct of Operations • Configuration Management • Emergency Management • Environmental Compliance • Fire Protection • Maintenance Management POA Depth EXAMPLE Nov 2006

MCR Depth and Discussion Exercise How Many Performance Objectives can you identify within MCR 2? MCR 2 - Functions, assignments, responsibilities, and reporting relationships are clearly defined, understood, and effectively implemented with line management responsibility for control of safety. Nov 2006

MCR Depth and Discussion Exercise (Cont) MCR 2 - Functions, assignments, responsibilities, and reporting relationships are clearly defined, understood, and effectively implemented with line management responsibility for control of safety. Performance Objectives: • Functions are clearly defined with line management responsibility for control of safety. • Functions are clearly understood with line management responsibility for control of safety. • Functions are effectively implemented with line management responsibility for control of safety. • Assignments are clearly defined with line management responsibility for control of safety. • Assignments are clearly understood with line management responsibility for control of safety. • Assignments are effectively implemented with line management responsibility for control of safety. • Responsibilities are clearly defined with line management responsibility for control of safety. • Responsibilities are clearly understood with line management responsibility for control of safety. • Responsibilities are effectively implemented with line management responsibility for control of safety. • Reporting relationships are clearly defined with line management responsibility for control of safety. • Reporting relationships are clearly understood with line management responsibility for control of safety. • Reporting relationships are effectively implemented with line management responsibility for control of safety. MCR PO Examples Nov 2006

POA Preparation and Approval • Line management develops it; • DOE/NNSA and Contractor ORR/RA require a separate POA (Both POAs should agree in Scope and Breadth!); • Both Contractor and DOE POA receive approval from Authorization Authority . . . designated in the approved SNR . . .; • Recommendations/endorsements from appropriate subordinate offices and activities . . . ; • Copy to EH for comment . Nov 2006

POA Timing • The Earlier the better - 6 Months Prior to major ORR/RA is Recommended! • Allows for: • Proper Planning • Reviews and Input from Stakeholders . . . • Allows for Thorough Review Preparation: • Implementation Plan; • Team Preparations. Nov 2006

Questions Nov 2006