Readiness Review Course

1. 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 Developing a Criteria and Review Approach Document (CRAD) – An Interactive Exercise - Mod 9 Nov 2006

2. Learning Objectives • Using the Core Requirements of DOE O 425.1C and the approved Plan of Action (POA), develop review Objectives. • Select appropriate requirements as Criteria that pertain to the Objectives from rules, contractual orders and standards, and other A/B List requirements. • Develop activities for the Implementation Plan (IP) Approach to evaluate the Criteria in a performance based manner. Nov 2006

3. POA Core Requirement Develop Performance Objective Requirements Develop Measurable Criteria Procedures Develop Review Approach Performance Requirements Observations Interviews Documents Developing the CRADs Principle Flow-down Nov 2006

4. Example of a Bad CRAD: Objective and Criteria • TRAINING (TR) • Objective: The Site has an excellent training program. • Criteria: • - Training covers all current and all important topics. • - All personnel have met all training requirements. • - Training complies with all National Education Association (NEA) standards. Nov 2006

5. Example of a Bad CRAD Review Approach • Record Reviews: • Read all training Records provided by the Site and verify that they meet all NEA standards. • Review training records for all personnel and validate that they are all current. • Interviews: • Interview persons responsible for establishing training requirements. • Interview instructors. • Observations: • Observe all Site training provided during the review period. • Watch any On-the-Job Training (OJT). Nov 2006

6. Interactive CRAD Exercise - Objectives 1. Form “groups” of 3 to 5 people. 2. Review the excerpts of the Provided Order and the Plan of Action (POA). 3. Develop Objectives for Training (TR) area Implementation Plan (IP). 4. We will discuss this part of the exercise in 15 minutes. Nov 2006

7. CRAD Exercise: Objectives • The TRAINING Objectives for this Facility and trained crew, for a new activity at Oak Ridge (OR) Y-12 Building 9212 Wet Chemistry Operations ORR (Rev 0 of August 2002) come from the Plan of Action (POA) excerpts of Sections 2.0 (Facility Description, page 1), 6.0 (Restart Discussion, page 2), and 7.0 (Proposed Breadth, pages 2-9) • See OR ORR IP (Rev 0 of 7 October 2002) excerpts: Training Objectives TR.1 and TR.2 (pages 37-39) . . . “Training and Qualification Programs . . . and Modifications to the facility for training and qualification. (Core Requirements 3 and 5 (425.1C))”. Nov 2006

8. Interactive CRAD Exercise - Criteria 1. Return to your “group.” 2. For the Objectives provided on the previous slide, review the excerpts of the training directives provided. 3. Establish (and Reference!) Criteria for the 2 Training Objectives. 4. We will discuss this exercise in 15 minutes. Nov 2006

9. CRAD Exercise: TR.1 and .2 Criteria • See OR ORR IP (Rev 0 of 7 October 2002) excerpts: Training Objectives TR.1 and TR.2 (pages 37-39) . . . “Training and Qualification Programs . . . and Modifications to the facility for training and qualification. (Core Requirements 3 and 5 (425.1C))”. Nov 2006

10. Interactive CRAD Exercise - Approach 1. Return to your “group.” 2. For the Criteria provided on the previous slides develop an Approach to evaluate documentation, interview personnel, and observe operations and equipment that will allow a reasonable judgment of the Criteria for the 2 Training Objectives. 3. We will discuss this exercise in 15 minutes. Nov 2006

11. CRAD Exercise: TR.1 and .2 Approach • See OR ORR IP (Rev 0 of 7 October 2002) excerpts: Training Objectives TR.1 and TR.2 (pages 37-39) . . . “Training and Qualification Programs . . . and Modifications to the facility for training and qualification. (Core Requirements 3 and 5 (425.1C))”. Nov 2006

12. Examples: Good CRAD, “OR Y-12 Wet Chemistry ORR” Training - 10/02 • “OR Y-12 Wet Chemistry ORR” Training CRAD Objectives, Criteria, and Approaches (DOE O 425.1C). • Key Principles for a CRAD: • Objectives come from Core Requirements and Plan of Action; • Criteria based on Requirements: Law, Contract, A/B List, etc… • Approach to address Criteria and able to be completed in allotted time. Nov 2006

13. CRAD Development and Use Summary • Objectives and Criteria meet the ORR / RA Scope and Breadth (POA). Criteria are requirements-based (and referenced). • Approach delineates ORR / RA Depth. • Approach: Record Review, Interviews, Observations met? Nov 2006

14. Questions Nov 2006

15. 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 Developing a Criteria and Review Approach Document (CRAD) – An Interactive Exercise - Mod 9 Nov 2006

16. Learning Objectives • Using the Core Requirements of DOE O 425.1C and the approved Plan of Action (POA), develop review Objectives. • Select appropriate requirements as Criteria that pertain to the Objectives from rules, contractual orders and standards, and other A/B List requirements. • Develop activities for the Implementation Plan (IP) Approach to evaluate the Criteria in a performance based manner. Nov 2006

17. POA Core Requirement Develop Performance Objective Requirements Develop Measurable Criteria Procedures Develop Review Approach Performance Requirements Observations Interviews Documents Developing the CRADs Principle Flow-down Nov 2006

18. Example of a Bad CRAD: Objective and Criteria • TRAINING (TR) • Objective: The Site has an excellent training program. • Criteria: • - Training covers all current and all important topics. • - All personnel have met all training requirements. • - Training complies with all National Education Association (NEA) standards. Nov 2006

19. Example of a Bad CRAD Review Approach • Record Reviews: • Read all training Records provided by the Site and verify that they meet all NEA standards. • Review training records for all personnel and validate that they are all current. • Interviews: • Interview persons responsible for establishing training requirements. • Interview instructors. • Observations: • Observe all Site training provided during the review period. • Watch any On-the-Job Training (OJT). Nov 2006

20. Examples: Good CRAD, “OR Y-12 Wet Chemistry ORR” Training - 10/02 • “OR Y-12 Wet Chemistry ORR” Training CRAD Objectives, Criteria, and Approaches (DOE O 425.1C). • Key Principles for a CRAD: • Objectives come from Core Requirements and Plan of Action; • Criteria based on Requirements: Law, Contract, A/B List, etc… • Approach to address Criteria and able to be completed in allotted time. Nov 2006

21. Interactive CRAD Exercise - Objectives 1. Form “groups” of 3 to 5 people. 2. Review the excerpts of the Provided Order and the Plan of Action (POA). 3. Identify What MCRs in the POA link to the functional area of Training 4. Develop Objectives for Training (TR) area that would be used in a CRAD for the Implementation Plan (IP). 4. We will discuss this part of the exercise in 15 minutes. Nov 2006

22. CRAD Exercise: Objectives • The TRAINING Objectives for this Facility and trained crew, for a new activity at Oak Ridge (OR) Y-12 Building 9212 Wet Chemistry Operations ORR (Rev 0 of August 2002) come from the Plan of Action (POA) excerpts Sections • 2.0 (Facility Description, page 1), • 6.0 (Restart Discussion, page 2), and • 7.0 (Proposed Breadth, pages 2-9) • Reference OR ORR IP (Rev 0 of 7 October 2002) excerpts: Training Objectives TR.1 and TR.2 (pages 37-39) . . . “Training and Qualification Programs . . . and Modifications to the facility for training and qualification. (Core Requirements 3 and 5 (425.1C))”. Nov 2006

23. CRAD Exercise: Objectives • Reference OR ORR IP excerpts: Training Objectives TR.1 and TR.2 (pages 37-39) . . . “Training and Qualification Programs . . . and Modifications to the facility for training and qualification. (Core Requirements 3 and 5 (425.1C))”. Nov 2006

24. Interactive CRAD Exercise - Criteria 1. Return to your “group.” 2. For the Objectives provided on the previous slide, review the excerpts of the training directives provided. 3. Establish (and Reference!) Criteria for the 2 Training Objectives. 4. We will discuss this exercise in 15 minutes. Nov 2006

25. CRAD Exercise: Criteria Nov 2006

26. CRAD Exercise: Criteria Nov 2006

27. Interactive CRAD Exercise - Approach 1. Return to your “group.” 2. For the Criteria provided on the previous slides develop an Approach to evaluate documentation, interview personnel, and observe operations and equipment that will allow a reasonable judgment of the Criteria for the 2 Training Objectives. 3. We will discuss this exercise in 15 minutes. Nov 2006

28. CRAD Exercise: TR.1 and .2 Approach • See OR ORR IP (Rev 0 of 7 October 2002) excerpts: Training Objectives TR.1 and TR.2 (pages 37-39) . . . “Training and Qualification Programs . . . and Modifications to the facility for training and qualification. (Core Requirements 3 and 5 (425.1C))”. Nov 2006

29. CRAD Development and Use Summary • Objectives and Criteria meet the ORR / RA Scope and Breadth (POA). Criteria are requirements-based (and referenced). • Approach delineates ORR / RA Depth. • Approach: Record Review, Interviews, Observations met? Nov 2006

30. Questions Nov 2006