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 Preparing for the Review and Pre-Visit – Mod 7 Nov 2006

2. 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

3. Learning Objectives • Describe the purpose of ORR/RA preparation • Describe the activities, products, and responsibilities during a pre-visit including: • Preparation/ Planning • Acquiring unescorted facility access • Interview requests • Document requests • Evolution requests • Implementation Plan finalization • Biography/ Credentials submittal Nov 2006

4. Site POA Pre- Conduct Close-out Introduction Approval review Review meeting meeting visit ORR Time Line Follow-up Review Initial Team meeting 1 2 3 4 5 6 7 8 9 10 11 12 13 ORR Report Development of Implementation Plan, Generation & CRADs, & Checklists Review Nov 2006

5. Prior to the Pre-VisitAdvanced Planning (3 months prior to RR) • Initiate the process of selecting team members and administrator; • Identify Federal and Contractor POCs to assist Team Members; • Prepare a draft Implementation Plan including designation of functional areas and development of draft CRADs. • Send a letter or e-mail formalizing the notification of the RR to the site points of contact Nov 2006

6. Prior to the Pre-VisitAdvanced Planning (5 - 6 weeks to RR) • Team Leader arranges for: • Briefings/tours by facility management; • Access training; • Security and Computer Access; • Work area . . . ; • Ensure Implementation Plan can be executed with defined time period . . . Nov 2006

7. Prior to the Pre-VisitAdvanced Planning (5 - 6 weeks to RR) • Notify team members of requirements and site visits; • Security clearances; • Site specific training; • E-mail/Conference calls . . . • Encourage team members to review the Implementation Plan: • Identify and avoid areas of duplication; • Consolidate review areas where possible; • Identify omissions and oversights. • Assemble and mail data packets to team member Nov 2006

8. Documenting Qualifications • Team Leaders will determine and document qualifications of ORR/RA team members. • Team Leaders must ensure ORR/RA records contain the information to certify the qualification of team members: • Resumes; • Required reading; • Training records . . . Nov 2006

9. Name: Objectives Assigned: Employer / Normal Work Assignment: Summary of Technical Qualifications: (Bullet format please, no narrative) Summary of Assessment / ORR / Inspection Qualifications (bullets) Basis for Acceptable Independence Summary of Facility Familiarization: Required Reading Initials Liquid Stabilization Program Plan Interim Safety Analysis, Bldg. 371 and CWTS DOE Plan of Action DOE Implementation Plan ORR Standard: Writer’s Guide (Appendix 4) BLDG 371 OSRs (applicable to assigned FA) Training Date General Employee Radiological Training General Employee Training RADWORKER II Qualification Alarms, Sounds, and Response Training Nuclear Materials Safeguards Training Nuclear Criticality Safety Training Tour, Bldg 371, CWTS Areas Team Leader Signature: Qualification Summary (example) Nov 2006

10. Pre-Visit Meeting • Entire team participation . . . • Include Team “Site Residents” in visit activities! • Introduce team members to counterparts; • Identify site access, control, security and required Team equipment and computer issues; • Plan for the actual on-site review: • Identify documents to be reviewed (pre-review, and during review); • Identify potential personnel to be interviewed; • Identify potential systems to be reviewed; • Identify potential operations to be observed; • Develop proposed schedule for the review. Nov 2006

11. Pre-Visit Meeting – Agenda Items • Introduction of Team to the Site and Site Personnel . . . • Briefing of ORR/RA Process: • discussion of review objectives; • discussion of review methods; • discussion of review forms and format • discussion of the review schedule . . . • discussion of needs of team (documents, interviews, observations); • discussion of team member interfaces with observers Nov 2006

12. Pre-Visit Meeting – Agenda Items • Presentations by site/project management: • Site/activity management & organization; • Operations and interfaces; • Status of achieving readiness; projected schedule; • Any unique aspects of activity or project . . . • Perform a Facility Tour • Final Drafting of Implementation Plan CRADS • Scheduling of Team Member and Facility/Site Counterpart meetings and coordination (interviews, observations, and drills). . . Nov 2006

13. Document Request for Required Reading • Utilize pre-review visit to determine appropriate site documents; • Early and electronic is helpful; • Web Site Access; • Delivery via CD; • Minimize review of Draft Documents; • Obtain/review index of all relevant site/facility documents Nov 2006

14. Document Request for Required Reading (continued) • Documents that might be relevant to the review include: • Accident/Occurrence reports; • Shutdown documentation; • Other appraisals/audits/investigation reports; • Safety Analysis Report/Environmental Documentation Nov 2006

15. Observations and Interview Request • Identify potential interviewees (managers, operators, technicians, engineers); • Identify potential observations; • Exercise different shifts when possible and see a representative sample; • Exercise representative samples of staff / avoid dream teams; • Keep requests reasonable and be flexible; • Ensure you know how to evaluate what you asked for Nov 2006

16. An Effective ORR/RA • Avoid unnecessary duplication of: • Interviews, procedure reviews; • Drills, exercise observations . . . • Know the “time line” of the review: • Schedule driven; • Defined sequences; • Meet the review schedule. • Evaluate team requirements: • Issues beyond team expertise . . . • Conflicts of interest? • Communicate generic problems that could affect or impact other review areas . . . • Self Study - Re-familiarize yourself with the standards and directives you will be referencing Nov 2006

17. Summary • ORR/RA preparation begins well before the on-site review . . . • Utilize a pre-review site visit, “Pre-Visit,” to acquaint team with facility, counterparts, management system and coordinate; • Don't overlook administrative considerations; • Remember, it is the last chance to identify any changes needed in the Implementation Plan!! Nov 2006

18. Questions Nov 2006

19. 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 Preparing for the Review and Pre-Visit – Mod 7 Nov 2006

20. 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

21. Learning Objectives • Describe the purpose of ORR/RA preparation • Describe the activities, products, and responsibilities during a pre-visit including: • Preparation/ Planning • Acquiring unescorted facility access • Interview requests • Document requests • Evolution requests • Implementation Plan finalization • Biography/ Credentials submittal Nov 2006

22. Site POA Pre- Conduct Close-out Introduction Approval review Review meeting meeting visit ORR Time Line Follow-up Review Initial Team meeting 1 2 3 4 5 6 7 8 9 10 11 12 13 ORR Report Development of Implementation Plan, Generation & CRADs, & Checklists Review Nov 2006

23. Prior to the Pre-VisitAdvanced Planning (3 months prior to RR) • Initiate the process of selecting team members and administrator; • Identify Federal and Contractor POCs to assist Team Members; • Prepare a draft Implementation Plan including designation of functional areas and development of draft CRADs. • Send a letter or e-mail formalizing the notification of the RR to the site points of contact Nov 2006

24. Prior to the Pre-VisitAdvanced Planning (5 - 6 weeks to RR) • Team Leader arranges for: • Briefings/tours by facility management; • Access training; • Security and Computer Access; • Work area . . . ; • Ensure Implementation Plan can be executed with defined time period . . . Nov 2006

25. Prior to the Pre-VisitAdvanced Planning (5 - 6 weeks to RR) • Notify team members of requirements and site visits; • Security clearances; • Site specific training; • E-mail/Conference calls . . . • Encourage team members to review the Implementation Plan: • Identify and avoid areas of duplication; • Consolidate review areas where possible; • Identify omissions and oversights. • Assemble and mail data packets to team member Nov 2006

26. Documenting Qualifications • Team Leaders will determine and document qualifications of ORR/RA team members. • Team Leaders must ensure ORR/RA records contain the information to certify the qualification of team members: • Resumes; • Required reading; • Training records . . . Nov 2006

27. Name: Objectives Assigned: Employer / Normal Work Assignment: Summary of Technical Qualifications: (Bullet format please, no narrative) Summary of Assessment / ORR / Inspection Qualifications (bullets) Basis for Acceptable Independence Summary of Facility Familiarization: Required Reading Initials Liquid Stabilization Program Plan Interim Safety Analysis, Bldg. 371 and CWTS DOE Plan of Action DOE Implementation Plan ORR Standard: Writer’s Guide (Appendix 4) BLDG 371 OSRs (applicable to assigned FA) Training Date General Employee Radiological Training General Employee Training RADWORKER II Qualification Alarms, Sounds, and Response Training Nuclear Materials Safeguards Training Nuclear Criticality Safety Training Tour, Bldg 371, CWTS Areas Team Leader Signature: Qualification Summary (example) Nov 2006

28. Pre-Visit Meeting • Entire team participation . . . • Include Team “Site Residents” in visit activities! • Introduce team members to counterparts; • Identify site access, control, security and required Team equipment and computer issues; • Plan for the actual on-site review: • Identify documents to be reviewed (pre-review, and during review); • Identify potential personnel to be interviewed; • Identify potential systems to be reviewed; • Identify potential operations to be observed; • Develop proposed schedule for the review. Nov 2006

29. Pre-Visit Meeting – Agenda Items • Introduction of Team to the Site and Site Personnel . . . • Briefing of ORR/RA Process: • discussion of review objectives; • discussion of review methods; • discussion of review forms and format • discussion of the review schedule . . . • discussion of needs of team (documents, interviews, observations); • discussion of team member interfaces with observers Nov 2006

30. Pre-Visit Meeting – Agenda Items • Presentations by site/project management: • Site/activity management & organization; • Operations and interfaces; • Status of achieving readiness; projected schedule; • Any unique aspects of activity or project . . . • Perform a Facility Tour • Final Drafting of Implementation Plan CRADS • Scheduling of Team Member and Facility/Site Counterpart meetings and coordination (interviews, observations, and drills). . . Nov 2006

31. Document Request for Required Reading • Utilize pre-review visit to identify appropriate site documents; • Early and electronic is helpful; • Web Site Access; • Delivery via CD; • Minimize review of Draft Documents; • Obtain/review index of all relevant site/facility documents Nov 2006

32. Document Request for Required Reading (continued) • Documents that might be relevant to the review include: • Accident/Occurrence reports; • Shutdown documentation; • Other appraisals/audits/investigation reports; • Safety Analysis Report/Environmental Documentation Nov 2006

33. Observations and Interview Request • Identify potential interviewees (managers, operators, technicians, engineers); • Identify potential observations; • Exercise different shifts when possible and see a representative sample; • Exercise representative samples of staff / avoid dream teams; • Keep requests reasonable and be flexible; • Ensure you know how to evaluate what you asked for Nov 2006

34. An Effective ORR/RA • Avoid unnecessary duplication of: • Interviews, procedure reviews; • Drills, exercise observations . . . • Know the “time line” of the review: • Schedule driven; • Defined sequences; • Meet the review schedule. • Evaluate team requirements: • Issues beyond team expertise . . . • Conflicts of interest? • Communicate generic problems that could affect or impact other review areas . . . • Self Study - Re-familiarize yourself with the standards and directives you will be referencing Nov 2006

35. Summary • ORR/RA preparation begins well before the on-site review . . . • Utilize a pre-review site visit, “Pre-Visit,” to acquaint team with facility, counterparts, management system and coordinate; • Don't overlook administrative considerations; • Remember, it is the last chance to identify any changes needed in the Implementation Plan!! Nov 2006

36. Questions Nov 2006