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 ORR Team Leader Detailed Responsibilities – Mod 6 Nov 2006

2. Learning Objectives Describe the ORR Team Leader’s detailed activities and considerations associated with planning and conducting an ORR/RA including: Authorization Authority Plan of Action Event Dates Draft Implementation Plan Team Selection Criteria Team Level of Experience Team Qualification Requirements Logistics/Planning Management of the Team Interfaces: - Oversight Entities - Startup Authority - Facility Contractor Necessary Briefings/Meetings ORR Final Report Nov 2006

3. 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

4. Team Leader Roles and Responsibilities Reference DOE-HBK-3012-2003 for specific details on Team Leaders Roles and Responsibilities: • Assemble team, • Begin developing implementation plan, • Logistics - required room, equipment, security, training, • Assemble document request, • Arrange briefings, • Arrange tours. Nov 2006

5. Team Selection Criteria • Team Members and size of Team derived from the POA – Breadth and Scope • Selected by the Team Leader • DOE O 425.1C Requirements: • Technical competence; • Assessment experience/training; • Independence in the Review area. • Sample Forms Available: • Standard (3006-00) and DOE/NNSA Web Pages. • Other Qualities: • Writing skills; • Team player; • “Big Picture” . . . Nov 2006

6. Plan of Action • Is your writing guide – used to develop your Implementation Plan; • Names you as the Team Leader; • Defines the Breadth and Scope of the RR; • Defines prerequisites; • Provides a proposed start date; • Used to Identify Team Members and Functional Areas to Review • Approved by DOE/NNSA Authorization Authority for both CORR/CRA and DOE/NSA ORR/RA. Nov 2006

7. 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

8. Implementation Plan • Your responsibility . . . You draft it and approve it! • You and the team prepare it; • You resolve/consider comments with oversight organizations (internal, external); • What do you commit to do, to answer the question - are the criteria within the POA scope met? Nov 2006

9. Team Leader Briefings and Meetings • Daily Team Meeting: • Shares information, contractor, DOE/NNSA . . . • Team Synergy. • Closeout Briefing: • Key Issues - Pre-Start Findings; • Startup Recommendation; • Finding Closure Recommendation. • Follow-up As Required Nov 2006

10. Managing the Interfaces • Interfaces • Oversight Entities (DNFSB, EH); • Authorization Authority; • Local DOE/NNSA Points of Contact; • Facility Contractor; • Good Practices • Full Access - Best Practice; • No Secrets, be Open! • Must be Fully Informed; Brief periodically; • Initiate the Communication; Nov 2006

11. Authorization Authority • AA is your Boss: • Final Readiness Review report is for his/her decision; • Line decision maker for scope changes. • Close Interface: • Regular briefings during review; • Immediate notification of major issues; • Formally direct you to commence the Readiness Review; • For CORR/CRA, a Senior Line Manager will fill this role. Nov 2006

12. ORR Final ReportKeys to Success • Your Product! • Suggested Format in Standard/website: • Select and provide an example to Team. • Unclassified preferred; as required . . . • Key Elements (Order Requirements): • Order Compliance as per POA; • Lessons Learned; • ISMS Statement; • Your Recommendation; • Addressed to Authorization/Startup Authority. Nov 2006

13. ORR Final ReportKeys to success • Plan to complete before team leaves site . . . • Define Timeline and expectations to team early . . . • Provide example formats early-forms & Summary . . . • Develop the report skeleton and background early . . . • Arrange for Admin support to edit, format, collate . . . • Push daily input to individual forms . . . • Emphasize timely factual accuracy . . . • Describe the review/approval process to the team . . . • Continuous classification review of product . . . Nov 2006

14. Team Leader (TL) Lesson Learned • TL not qualified: Selection criteria guidance not detailed enough (e.g., independence, experience); • TL not assigned soon enough (POA timely approval); • TL does not communicate expectations to team with enough lead time; • TL does not communicate drill/evolution expectations to facility; • Site access for team not gained ahead of time; • Logistic needs not communicated to site with enough lead time; • TL does not tailor CRADs based on Pre-Visit or Team not at Pre-Visit, or no Pre-Visit); • CRAD assigned to TL . Nov 2006

15. If the Review Results are not Successful • Significant team decision. Facts must support: • Sleep on it; Confront team to defend conclusion. • Discuss situation and options with Authorization Authority (Senior Contractor Management). • Two Options: • Suspend the Review. Interim Report including what was done and areas not done. • Final report for completed Functional Areas (FA); • High level discussion and findings for incomplete FAs. • Terminate the Review. Report results with basis for repeat of entire ORR/RA. Nov 2006

16. Final Thoughts • Be Flexible with Start Date! • You work for the AA • IP is yours and the teams • Be Alert to Recommend Pre-Event Activities: • Emergency Preparedness (EP) Drills; • Integrated Equipment Tests. • Critical Team Interface Issue . . . • You Must be Proactive . . . Nov 2006

17. Questions Nov 2006

18. 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 ORR Team Leader Detailed Responsibilities – Mod 6 Nov 2006

19. Learning Objectives Describe the ORR Team Leader’s detailed activities and considerations associated with planning and conducting an ORR/RA including: Authorization Authority Plan of Action Event Dates Draft Implementation Plan Team Selection Criteria Team Level of Experience Team Qualification Requirements Logistics/Planning Management of the Team Interfaces: - Oversight Entities - Startup Authority - Facility Contractor Necessary Briefings/Meetings ORR Final Report 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 Nov 2006

21. Team Leader Roles and Responsibilities ReferenceDOE-HBK-3012-2003 for specific details on Team Leaders Roles and Responsibilities: • Assemble team, • Begin developing implementation plan, • Logistics - required room, equipment, security, training, • Assemble document request, • Arrange briefings, • Arrange tours. Nov 2006

22. Team Selection Criteria • Team Members and size of Team derived from the POA – Breadth and Scope • Selected by the Team Leader • DOE O 425.1C Requirements: • Technical competence; • Assessment experience/training; • Independence in the Review area. • Sample Forms Available: • Standard (3006-00) and DOE/NNSA Web Pages. • Other Qualities: • Writing skills; • Team player; • “Big Picture” . . . Nov 2006

23. Plan of Action • Is your writing guide – used to develop your Implementation Plan; • Names you as the Team Leader; • Defines the Breadth and Scope of the RR; • Defines prerequisites; • Provides a proposed start date; • Used to Identify Team Members and Functional Areas to Review • Approved by DOE/NNSA Authorization Authority for both CORR/CRA and DOE/NSA ORR/RA. Nov 2006

24. 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

25. Implementation Plan • Your responsibility . . . You draft it and approve it! • You and the team prepare it; • You resolve/consider comments with oversight organizations (internal, external); • What do you commit to do, to answer the question - are the criteria within the POA scope met? Nov 2006

26. Team Leader Briefings and Meetings • Daily Team Meeting: • Shares information, contractor, DOE/NNSA . . . • Team Synergy. • Closeout Briefing: • Key Issues - Pre-Start Findings; • Startup Recommendation; • Finding Closure Recommendation. • Follow-up As Required Nov 2006

27. Managing the Interfaces • Interfaces • Oversight Entities (DNFSB, EH); • Authorization Authority; • Local DOE/NNSA Points of Contact; • Facility Contractor; • Good Practices • Full Access - Best Practice; • No Secrets, be Open! • Must be Fully Informed; Brief periodically; • Initiate the Communication; Nov 2006

28. Authorization Authority • AA is your Boss: • Final Readiness Review report is for his/her decision; • Line decision maker for scope changes. • Close Interface: • Regular briefings during review; • Immediate notification of major issues; • Formally direct you to commence the Readiness Review; • For CORR/CRA, a Senior Line Manager will fill this role. Nov 2006

29. ORR Final ReportKeys to Success • Your Product! • Suggested Format in Standard/website: • Select and provide an example to Team. • Unclassified preferred; as required . . . • Key Elements (Order Requirements): • Order Compliance as per POA; • Lessons Learned; • ISMS Statement; • Your Recommendation; • Addressed to Authorization/Startup Authority. Nov 2006

30. ORR Final ReportKeys to success • Plan to complete before team leaves site . . . • Define Timeline and expectations to team early . . . • Provide example formats early-forms & Summary . . . • Develop the report skeleton and background early . . . • Arrange for Admin support to edit, format, collate . . . • Push daily input to individual forms . . . • Emphasize timely factual accuracy . . . • Describe the review/approval process to the team . . . • Continuous classification review of product . . . Nov 2006

31. Team Leader (TL) Lesson Learned • TL not qualified: Selection criteria guidance not detailed enough (e.g., independence, experience); • TL not assigned soon enough (POA timely approval); • TL does not communicate expectations to team with enough lead time; • TL does not communicate drill/evolution expectations to facility; • Site access for team not gained ahead of time; • Logistic needs not communicated to site with enough lead time; • TL does not tailor CRADs based on Pre-Visit or Team not at Pre-Visit, or no Pre-Visit); • CRAD assigned to TL . Nov 2006

32. If the Review Results are not Successful • Significant team decision. Facts must support: • Sleep on it; Confront team to defend conclusion. • Discuss situation and options with Authorization Authority (Senior Contractor Management). • Two Options: • Suspend the Review. Interim Report including what was done and areas not done. • Final report for completed Functional Areas (FA); • High level discussion and findings for incomplete FAs. • Terminate the Review. Report results with basis for repeat of entire ORR/RA. Nov 2006

33. Final Thoughts • Be Flexible with Start Date! • You work for the AA • IP is yours and the teams • Be Alert to Recommend Pre-Event Activities: • Emergency Preparedness (EP) Drills; • Integrated Equipment Tests. • Critical Team Interface Issue . . . • You Must be Proactive . . . Nov 2006

34. Questions Nov 2006