Corrective Action Plans – Mod 13 Readiness Review Course Screening or Scoping Meeting (ORR vs RA, Authorization Authority (AA) Defined, Startup Notification Report (SNR) Discussed, Schedule) Startup Notification Report Prepared and Submitted AA Approves SNR and Nominates DOE Team Leader (TL) Readiness Review Process Begins Contractor Plan of Action (CPOA) Prepared DOE Plan of Action (POA) Prepared by DOE Line Mgr AA Reviews and Approves CPOA and POA Contractor RR Implementation Plan (IP) prepared by Contractor RR Team and approved by CTL DOE RR IP approved by TL Prerequisites met (MSA) Contractors RR and Final Report Corrective Action Plan (CAP) Submitted and Approved Prestart Findings Closed Contractor Issues Readiness to Proceed (RTP) DOE Endorsement of RTP and MSA AA Authorizes Start of RR to RR TL DOE RR and Final Report CAP Submitted and Approved AA Authorizes Startup DOE TL Pre-Assessment Preparation and Planning (Team Selected Pre-Site Visit, IP Drafted) Initial Team Mtg Corrective Action Plans – Mod 13 Nov 2006
Readiness Review Process Screening or Scoping Meeting (ORR vs RA, Authorization Authority (AA) Defined, Startup Notification Report (SNR) Discussed, Schedule) Startup Notification Report Prepared and Submitted AA Approves SNR and Nominates DOE Team Leader (TL) Readiness Review Process Begins Contractor Plan of Action (CPOA) Prepared DOE Plan of Action (POA) Prepared by DOE Line Mgr AA Reviews and Approves CPOA and POA Contractor RR Implementation Plan (IP) prepared by Contractor RR Team and approved by CTL DOE RR IP approved by TL Prerequisites met (MSA) Contractors RR and Final Report Corrective Action Plan (CAP) Submitted and Approved Prestart Findings Closed Contractor Issues Readiness to Proceed (RTP) DOE Endorsement of RTP and MSA AA Authorizes Start of RR to RR TL DOE RR and Final Report CAP Submitted and Approved AA Authorizes Startup DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted) 6 Months Prior to RR 1 Year Prior to RR Generally 2 weeks Nov 2006 Mod 13
Learning Objectives Discuss actions following ORR/RA. Describe the purpose, timing, and content of a Corrective Action Plan (CAP). Describe the ORR process and Team Members relate to the Corrective Action Plan. Describe the finding closure process. Nov 2006
Post ORR Activities Line management responsible for resolution of results . . . Thoughtfully evaluate the entire ORR Report: Review forms in detail; Issues or observations identified in the forms require management attention, even if not identified as findings; Some opportunities for improvement may not be listed as findings; Analyze the summary, conclusions, and lessons learned. Debrief counterparts, they should have details beyond the report. The ORR/RA cost a lot, get full value from the effort Nov 2006 Mod 13
Attributes of Corrective Action Plans (CAP) CAPs Required for each finding . . . ORR Standard (3006-00), Section 5.7.2 . . . Describe the Finding; Overall Programmatic Deficiency/Root Cause; Proposed Actions to Correct Deficiency; Timeline for Actions; Compensatory Measures if Needed! Nov 2006 Mod 13
Contractor ORR/RA Corrective Action Plans Completion of Contractor Corrective Action Plan is a prerequisite to the DOE/NNSA ORR/RA. Closure of Contractor ORR/RA items: Ensure the plan is implemented; Verify adequate closure process; Ensure Evidence for Closure. Items scheduled for closure past commencement of operations: Is the delay of closure appropriate/safe? ORR/RA Standard contains sample closure forms. Nov 2006 Mod 13
Closing Contractor ORR/RA (CORR/CRA) Findings Consider: critically reviewed by DOE/NNSA ORR/RA; CAP must contain ALL elements; CAP must consider programmatic deficiency / root causes; Evidence files must be adequate; Management should review closure evidence. DOE/NNSA ORR/RA Team will evaluate response to entire CORR/CRA report Nov 2006 Mod 13
DOE/NNSA ORR/RA Closure ORR/RA report may recommend who in line management should verify closure of findings. Closure verification and approval to start operations is line management’s responsibility. Corrective Action Plans and Closure Packages Required, including Findings Against DOE/NNSA. CAP approval by DOE/NNSA required: After the review, the ORR/RA Team Members may be called upon by line management to clarify Findings or to review corrective action plans . . . Nov 2006 Mod 13
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Corrective Action Plans – Mod 13 Readiness Review Course Screening or Scoping Meeting (ORR vs RA, Authorization Authority (AA) Defined, Startup Notification Report (SNR) Discussed, Schedule) Startup Notification Report Prepared and Submitted AA Approves SNR and Nominates DOE Team Leader (TL) Readiness Review Process Begins Contractor Plan of Action (CPOA) Prepared DOE Plan of Action (POA) Prepared by DOE Line Mgr AA Reviews and Approves CPOA and POA Contractor RR Implementation Plan (IP) prepared by Contractor RR Team and approved by CTL DOE RR IP approved by TL Prerequisites met (MSA) Contractors RR and Final Report Corrective Action Plan (CAP) Submitted and Approved Prestart Findings Closed Contractor Issues Readiness to Proceed (RTP) DOE Endorsement of RTP and MSA AA Authorizes Start of RR to RR TL DOE RR and Final Report CAP Submitted and Approved AA Authorizes Startup DOE TL Pre-Assessment Preparation and Planning (Team Selected Pre-Site Visit, IP Drafted) Initial Team Mtg Corrective Action Plans – Mod 13 Nov 2006
Readiness Review Process Screening or Scoping Meeting (ORR vs RA, Authorization Authority (AA) Defined, Startup Notification Report (SNR) Discussed, Schedule) Startup Notification Report Prepared and Submitted AA Approves SNR and Nominates DOE Team Leader (TL) Readiness Review Process Begins Contractor Plan of Action (CPOA) Prepared DOE Plan of Action (POA) Prepared by DOE Line Mgr AA Reviews and Approves CPOA and POA Contractor RR Implementation Plan (IP) prepared by Contractor RR Team and approved by CTL DOE RR IP approved by TL Prerequisites met (MSA) Contractors RR and Final Report Corrective Action Plan (CAP) Submitted and Approved Prestart Findings Closed Contractor Issues Readiness to Proceed (RTP) DOE Endorsement of RTP and MSA AA Authorizes Start of RR to RR TL DOE RR and Final Report CAP Submitted and Approved AA Authorizes Startup DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted) 6 Months Prior to RR 1 Year Prior to RR Generally 2 weeks Nov 2006 Mod 13
Learning Objectives Discuss actions following ORR/RA. Describe the purpose, timing, and content of a Corrective Action Plan (CAP). Describe the ORR process and Team Members relate to the Corrective Action Plan. Describe the finding closure process. Nov 2006
Post ORR Activities Line management responsible for resolution of results . . . Thoughtfully evaluate the entire ORR Report: Review forms in detail; Issues or observations identified in the forms require management attention, even if not identified as findings; Some opportunities for improvement may not be listed as findings; Analyze the summary, conclusions, and lessons learned. Debrief counterparts, they should have details beyond the report. The ORR/RA cost a lot, get full value from the effort Nov 2006 Mod 13
Attributes of Corrective Action Plans (CAP) CAPs Required for each finding . . . ORR Standard (3006-00), Section 5.7.2 . . . Describe the Finding; Overall Programmatic Deficiency/Root Cause; Proposed Actions to Correct Deficiency; Timeline for Actions; Compensatory Measures if Needed! Nov 2006 Mod 13
Contractor ORR/RA Corrective Action Plans Completion of Contractor Corrective Action Plan is a prerequisite to the DOE/NNSA ORR/RA. Closure of Contractor ORR/RA items: Ensure the plan is implemented; Verify adequate closure process; Ensure Evidence for Closure. Items scheduled for closure past commencement of operations: Is the delay of closure appropriate/safe? ORR/RA Standard contains sample closure forms. Nov 2006 Mod 13
Closing Contractor ORR/RA (CORR/CRA) Findings Consider: critically reviewed by DOE/NNSA ORR/RA; CAP must contain ALL elements; CAP must consider programmatic deficiency / root causes; Evidence files must be adequate; Management should review closure evidence. DOE/NNSA ORR/RA Team will evaluate response to entire CORR/CRA report Nov 2006 Mod 13
DOE/NNSA ORR/RA Closure ORR/RA report may recommend who in line management should verify closure of findings. Closure verification and approval to start operations is line management’s responsibility. Corrective Action Plans and Closure Packages Required, including Findings Against DOE/NNSA. CAP approval by DOE/NNSA required: After the review, the ORR/RA Team Members may be called upon by line management to clarify Findings or to review corrective action plans . . . Nov 2006 Mod 13
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