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 Implementation Plan - Mod 8 Nov 2006

Learning Objectives • Describe the purpose, timing, and content of an Implementation Plan • Describe how an Implementation Plan is developed and modified • Describe who reviews and approves the Implementation Plan 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 3 Months Prior to RR Nov 2006

Implementation Plan (IP) • Drafted by Team Leader • Developed by the Team; • Approved by the Team Leader; • Provides the depth - derived from the POA (Breadth) Nov 2006

Implementation Plan (IP) • The IP documents: • The process the team uses to conduct the review and the rational for that process; • Includes the selection of criteria and review approaches to be used; • The procedures the team uses to develop findings and conclusions; • The criteria used in finding categorization (pre/post-start); • Provided to DOE/NNSA/EH for comment. Nov 2006

Implementation Plan vs Plan of Action Defining the Scope of the ORR Plan of Action Defines ORR Breadth ORR Scope ORR Implementation Plan Defines Depth Nov 2006 7

Implementation Plan Contents • Introduction/Background; • Purpose; • Scope; • ORR Prerequisites; • Overall Approach; • ORR Preparations; • ORR Process - Criteria and Review Approaches Document (CRADs) used for the review; • Administration; • Reporting and Resolutions; • Schedule; and • Appendices. DOE-STD-3006-2000 Details Nov 2006 4

Implementation Plan Developed … • Using the BREADTH and SCOPE - POA • minimum core requirements to be addressed • physical boundaries of the readiness review • administrative boundaries of the readiness review • By Subject Matter Experts - Team Members • Using the GRADED APPROACH defined in the POA • Using the Site-Specific Requirements Nov 2006

IP Development Using the POA Breadth(MCRs to be Reviewed) • 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 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. POA Depth EXAMPLE Nov 2006

Team Members Identified Using the Breadth of the POA • The NNSA ORR Team will confirm … • Conduct of Operations SME • Configuration Management SME • Emergency Management SME • Environmental Compliance SME • Fire Protection SME • Maintenance Management SME MCR 1 - Line management … Nov 2006

Team Member Identification By Core Requirement Objective 1 Core Requirement - 1 Objective 2 Objective 3 Functional Area SME Objective 1 Core Requirement - 2 Objective 2 11 Nov 2006

Team Member Identification By Core Requirement - Example MCR #7 … Safety Systems and systems essential to worker and public safety are defined… Authorization Basis SME Safety Basis Objectives MCR #10 … There are adequate and correct .. Safety limits… 12 Nov 2006

Engineering Support Fire Protection Occupational Safety (IH/IS) Management Configuration Management Procedures Radiation Protection Procedures Level of Knowledge Operations Safety Envelope DOE Organization Training and Qualification Quality Assurance Software Quality Assurance Criticality Safety Environmental Protection and Waste Management Team Member Selection, Typical Functional Areas Nov 2006 13

IP Development using the Graded Approachfrom POA • Physical modifications to the facility; • Procedural changes; • Personnel changes; • Length of shutdown; • Overall hazard characteristics of the facility; • The complexity of the activity; • 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

Graded Approach Example Consideration for New Starts . . • Verification without significant reference points: • Training and qualification of workers; • New procedures; • New Equipment. • May drive the ORR to be more thorough and comprehensive than for review of a process that has significant on-site experience. • Maturity of Site Infrastructure and results of previous reviews (Safety Management Programs). Nov 2006

The Graded Approach Example Considerations for Restarts • Physical Modifications to the facility . . . • Changes to the Authorization Basis . . . • Procedural changes . . . • Personnel and Management changes . . . • Length of shutdown . . . . • Overall hazard characteristics of the facility . . . • Increase in hazards or risk . . . • Training / expertise issues . . . Nov 2006 17

IP Development Using Requirements • Contractual Requirements (List A/B, S/RIDs, WSS)! • DOE Codes, Orders, Standards, or Regulations • Industry Standards, or Regulations (i.e, IEEE, ANSI, ASME) • Site Specific Requirements Nov 2006

Requirements are used to … • Define controls such as: • Engineered Controls - Structures, Systems, Components (SSC); • Administrative Controls - Policies, procedures, programs, and documentation; • Personnel Protective Equipment (rad protection clothing, hard hats, respirators, glasses, etc.) Nov 2006 18

Example of Regulatory Requirements used in Controlling Hazards Essential hardware systems are defined - Engineered Controls: • Containing Geometry - ANS 8.1 • Effluent Recovery System - 420.1 • Fire Suppression System - 420.1 • Confinement Ventilation - DSA • Mechanical Guarding - 29 CFR 1910 Nov 2006 21

Example of Regulatory Requirements used in Controlling Hazards Essential programs are defined - Administrative Controls (SMP) CFR 830.204: • Training - 5480.20, 29CFR 1910.147 • Operations - 5480.19 • Emergency Response - 151.1 • Configuration Control - 5480.19 • Inspection/Surveillance/Maintenance - 431.1, 5480.19, CFR 830.120 Nov 2006 22

Criteria and Review Approach Document (CRAD) • Derived from the Performance Objectives defined by the MCR. • CRAD includes the: • Objectives - high level review topic from Core Requirement; • Criteria - elements of the Objective, including references; • Review Approach - documents, interviews, and observations. Nov 2006 10

POA Core Requirement Develop Performance Objective Requirements Develop Measurable Criteria Procedures Develop Review Approach Performance Requirements Observations Interviews Documents Developing the CRADs for the IP Nov 2006

The Implementation Plan • Implementation Plan (IP) approved by the Team Leader, with Team Member inputs. • The Team Leader will provide (not for approval) the ORR Implementation Plan to: • EH for review and comment for all startups and restarts; • To the Authorization Authority; • To Appropriate PSO as Required. • Do not commit in the Implementation Plan to more than the ORR/RA schedule can support! • Match the POA’s scope . . . Nov 2006 8

Structuring the Implementation Plan • Establish technical areas of importance . . . • Allocate areas into Functional Areas (FAs) . . . • Identify personnel with needed competencies to address each Functional Area . . . • Subdivide Core Requirements into selected Functional Areas . . . . • Develop CRADs Example IP Nov 2006 9