1. DOE-EFCOG ISM & QA Spring 2018 Strategic Planning & Direction
Tricia Allen
Director, ESHQA&CA, SRR
Vince Grosso
QA Program & Field Support Manager, NNSS

2. Agenda Welcome and Kickoff Tricia Allen Safety Message Joe Fulgham
SRNS Welcome Stuart MacVean
SRR Welcome Tom Foster
DOE Welcome Mike Budney
DOE Liaison Update Pat Worthington
DOE Accident Investigation and Prevention Program Gary Staffo
Office of Quality Assurance and Nuclear Safety Management Christian Palay Programs (AU-32) Update
Safety Working Group Update Jan Preston
Task Group Updates
QA Policy and Procedures Mike Sheridan
QA Software Vickie Pope
QA Supply Chain Bill Wingfield
Safety Culture/High Reliability Organization Rick Hartley/Cindy Caldwell
Human Performance Improvement Greg Weatherby/Chuck Ramsey
Contractor Assurance System Darlene Murdoch
Closing Tricia Allen
Task Group Working Sessions All

3. Welcome to SRS Safety Message
Joe Fulgham
Manager, Supplier QA and Site Programs, SRNS

4. Safety Topic
Safety is #1 priority at SRS - go home in the same shape as you arrived
SRS covers 310 sq. miles - much of it is undeveloped land
Be very cautious of deer, turkeys, coyotes & hogs crossing roadways
Only hands-free phones may be used while driving onsite
Speed limits are monitored very closely – follow all postings
15 MPH at the Barricades
10 MPH in the Parking Lots
Parking lots
Some are pull through while others are not
Pedestrians ALWAYS have the right of way
Do not park in the wrong direction
Do not cut across parking lots

5. Cyber Security Topic Personally Owned Electronic Equipment (POEE)
Do not charge a cellphone with a govt. computer! This is the most common “Incident of Security Concern”
Do not connect thumb drives, computers and/or network devices to the SRS Network
POEE is prohibited from using audio or video recording and data transfer
No connectivity is allowed between the SRS systems and your POEE
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6. Security Topics
Privately-owned vehicles are subject to random search upon entry and exit
Some items not allowed inside the SRS boundary
Firearms (including toy or simulated guns) and ammunition, explosive materials, hand-held weapons
Alcoholic beverages, illegal drugs & knives with blades over 3 inches long
Reference the Site Point of Entry Briefing brochure
Security Badges
Wear badges photo side out, above the waist, and on the front of the body
Challenge System is strong across the site – if challenged be courteous
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7. Emergency Preparedness
When you hear announcements over the PA, stop what you’re doing and listen
Evacuation: maps are at building entry ways – review them for rally points
766-H is rectangular and positioned North to South
Rm is on the north end of the building
Exit the classroom and go left out of the doors and walk towards the north end of the parking lot. Meet at the Site Training Sign. Our Alternate Evacuation Rally Point: we go out of the classroom to the left and out of the doors, turn left and proceed to the grassy area.
Other rooms:
Exit the classroom and exit the nearest outside door depending on where you are located in the building
Severe weather - remain here sheltered in place.
If you have an emergency on site
From a site land line: call
From a cell phone: call
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8. Stuart MacVean President & CEO, SRNS
SRNS Welcome
Stuart MacVean
President & CEO, SRNS

9. Tom Foster President & Project Manager, SRR
SRR Welcome
Tom Foster
President & Project Manager, SRR

10. Mike Budney Savannah River Site Manager
DOE Welcome
Mike Budney
Savannah River Site Manager

11. DOE-HQ Update Pat Worthington
Director, Office of Health and Safety (AU-10)
Office of Environment, Health, Safety and Security
DOE

12. DOE Accident Investigation and Prevention Program
Working Together for Accident Prevention and Worker Safety and Health - EFCOG and the DOE Accident Investigation and Prevention Program
Gary T. Staffo, PE, CSP, CPE
Manager - US DOE Accident Investigation and Prevention (AIP) Program
Office of Environment, Health, Safety and Security

13. Office of Environment, Health, Safety and Security
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
Thank you, Energy Facility Contractors Group (EFCOG) Workshop Attendees
Accident Investigation Program (AIP) and EFCOG Quality Assurance & Integrated Safety Management Common Purpose
Prevention – Identify and analyze causal factors to address organizational, systemic, and human performance for continuous improvement.
Lessons Learned (LL) – Review events to improve DOE mission operational and safety performance.
Integrated Safety Management (ISM) – Reinforce the core functions and guiding principles.
Quality Assurance (QA) – Maintain operational excellence, safety, and cost effectiveness for continual performance improvement.
High Reliability Organization (HRO) – Promote the values and concepts of a learning organization.
Office of Environment, Health, Safety and Security
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14. Office of Environment, Health, Safety and Security
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
Presentation Purpose
Share information and provide feedback on integrating the AIP Program and the EFCOG QA and ISM Working Groups findings for prevention.
Determine AIP, QA, and ISM significant program issues and provide ideas for continuous improvement.
Improve communications between the AIP Program and EFCOG Working Groups at HQ and in the Field.
Identify AIP Program and EFCOG Points of Contact.
Establish an AIP Program and EFCOG dialogue.
Office of Environment, Health, Safety and Security
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15. The Presentation Focuses On:
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
The Presentation Focuses On:
Addressing the working relationship between the DOE AIP Program and EFCOG Worker Safety and Health Programs at HQ and in the Field.
DOE Order B, Accident Investigations, and the DOE-HDBK , Accident and Operational Safety Analysis, and how they can be used by EFCOG Program Representatives with the Field sites for prevention and continuous improvement for DOE mission support.
Integrating the AIP Program, and the EFCOG Worker Safety and Health Programs for prevention.
Office of Environment, Health, Safety and Security
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16. DOE Order for Accident Investigations
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE Order for Accident Investigations
DOE Order 225.1B, dated March 4, 2011, states the requirements for AIs.
Appointment of AI Boards is now the responsibility of the heads of program elements (NA-1, EM-1, SC-1, FE-1, etc.).
The DOE Power Marketing Administrations are EXEMPT from the DOE Order. All (Except BPA Recent change to HPI) have similar internal AI Directives, and attend the DOE AI training course.
The Naval Nuclear Propulsion Program under the Director’s authority implements DOE O 225.1B requirements in an equivalent manner.
Only one set of criteria for triggering AIs (Type A and B merged into one – Federally Led Investigation).
Office of Environment, Health, Safety and Security
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17. DOE AIP Program Concept of Operations
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE AIP Program Concept of Operations
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Office of Environment, Health, Safety and Security

18. DOE AIP Program Quality Lessons Learned
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE AIP Program Quality Lessons Learned
DOE AIP Program has a proud history:
AEC – Atomic Energy Commission
ERDA – Energy Research Development Admin.
SSDC – System Safety Development Center
MORT – Management Oversight Risk Tree
Federal Accident Investigation Boards (AIBs):
Receive management and administrative support
Are objective and unbiased
Focus on prevention (not compliance or blame)
Use consistent methodology and techniques
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Office of Environment, Health, Safety and Security

19. DOE AIP Program Techniques
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE AIP Program Techniques
Three Core Analytical Techniques
Change Analysis
Barrier Analysis
Events and Causal Factors Analysis
Integrated Safety Management System
7 Principles
5 Core Functions
Human Performance
Culture
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Office of Environment, Health, Safety and Security

20. DOE AIP Program Quality Lessons Learned
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE AIP Program Quality Lessons Learned
Quality Review - DOE O 225.1B Requirements Section 4. C. (3)(c)4
Determine Facts
Analyze Facts
Core Analytical Techniques
Objective/Unbiased
Causal Factors
Direct
Root
Contributing
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Office of Environment, Health, Safety and Security

21. DOE O 225.1B, Accident Investigations
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE O 225.1B, Accident Investigations
Section 5. RESPONSIBILITIES: c. Heads of Field Elements.
(2) After incorporating this Order into contracts, ensure its implementation and identify, to the Head of the Headquarters Element and AU, a single point of contact to act as liaison to Headquarters on matters pertaining to the Accident Investigation Program.
(3) Provide for the necessary on-site support to the AI Board, as requested by the Chairperson, to facilitate the timely and effective completion of the accident investigation.
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Office of Environment, Health, Safety and Security

22. DOE O 225.1B, Accident Investigations
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE O 225.1B, Accident Investigations
DOE O 225.1B, Contractor Requirements Document (CRD)
The contractor must support Federal investigations of accidents related to activities under their contract. The contractor must:
Establish and maintain a capability to respond to accidents, mitigate accident consequences, assist in collecting and preserving evidence, and assist during the conduct of the investigation. The assistance provided must include preserving and documenting the accident scene to the extent that it is under the control of the contractor.
Prepare, implement, and track to completion approved corrective action plans that are identified for their action by the AIB.
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Office of Environment, Health, Safety and Security

23. Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE O 225.1B, Accident Investigations Accident Investigation Determination Criteria
DETERMINATION TO APPOINT A DOE FEDERAL AIB
The Heads of Headquarters Elements must consider the criteria identified in Appendix A of DOE O 225.1B, the value of the knowledge to be gained by conducting the investigation, and other relevant factors, to determine whether an Accident Investigation Board (AIB) must be appointed.
DETERMINATION NOT TO APPOINT A DOE FEDERAL AIB
The Heads of Headquarters Elements must document the determination, immediately notify AU-1, and provide the rationale for not appointing Federal AIB.
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Office of Environment, Health, Safety and Security

24. Office of Environment, Health, Safety and Security
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE O 225.1B, Accident Investigations Accident Investigation Determination Criteria
Human Effects
Any fatality from injury or exposure
Hospitalization more than five calendar days
Any single accident resulting in three or more employees having lost- workday cases
Motor Vehicle Accidents while on official Government business, if the consequences result in meeting any of the criteria above
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Office of Environment, Health, Safety and Security

25. Office of Environment, Health, Safety and Security
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE O 225.1B, Accident Investigations The Accident Investigation Criteria
Radiation
Radiation exposure exceeding by a factor of 2 or more 10 CFR Part external dose limits
Radiation exposure exceeding 1 rem effective dose for embryo/fetus of a declared pregnant worker, a minor, or a member of the public
Confirmed monitoring result indicating an intake of radioactive material by an employee equivalent to two or more times the annual limit on intake (ALI)
Confirmed monitoring result indicating an intake of radioactive material to a declared pregnant worker; a minor; or a member of the public equivalent to 20% or more of an ALI
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Office of Environment, Health, Safety and Security

26. Office of Environment, Health, Safety and Security
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE O 225.1B, Accident Investigations The Accident Investigation Criteria
Environmental
Environmental release of a hazardous material from a DOE facility in an amount greater than five times the reportable quantities specified in 40 CFR Part 302
Release of a hazardous material from a DOE facility that meets the criterion for classification as a Site Area or General Emergency in DOE Order 151.1C
Any offsite transportation incident involving hazardous materials that would require immediate notice pursuant to 40 CFR Part 302
Facilities under 29 CFR Part , Process Safety Management of Highly Hazardous Chemicals, an incident that resulted in, or could reasonably have resulted in, a catastrophic release of a highly hazardous chemical in the workplace
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Office of Environment, Health, Safety and Security

27. Office of Environment, Health, Safety and Security
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE O 225.1B, Accident Investigations The Accident Investigation Criteria
Property
Estimated loss of, or damage to, DOE property equal to or greater than $2.5 million or requiring estimated costs equal to or greater than $2.5 million for cleaning, decontaminating, renovating, replacing, or rehabilitating property
Any unplanned nuclear criticality
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Office of Environment, Health, Safety and Security

28. Office of Environment, Health, Safety and Security
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE O 225.1B, Accident Investigations The Accident Investigation Criteria
Other
Any accident or series of accidents for which an AIB is deemed appropriate by the Secretary or Deputy Secretary
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Office of Environment, Health, Safety and Security

29. Office of Environment, Health, Safety and Security
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE AIP Program Review
DOE O 225.1B and DOE HDBK
AU-23 is the Office of Primary Interest (OPI) for DOE O 225.1B and DOE HDBK
Feedback and active participation from the EFCOG QA & ISM Working Groups and Workshop Attendees is welcomed as part of the DOE AIP Program Working Group review of DOE O B and DOE HDBK in FY-2018.
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Office of Environment, Health, Safety and Security

30. Office of Environment, Health, Safety and Security
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE Handbook approach incorporates QA & ISM into the AIP Accident Analysis and Operational Safety Techniques
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Office of Environment, Health, Safety and Security

31. EFCOG and DOE AIP Program Path Forward for Prevention
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
EFCOG and DOE AIP Program
Path Forward for Prevention
Address the working relationship between the DOE AIP Program and the DOE EFCOG community and DOE Field sites.
Improve the DOE EFCOG community understanding of how the AIP Program functions, its requirements, prevention philosophy, approach and process, and lessons learned.
Work together on how the AIP Program can work with EFCOG and the DOE complex for continuous improvement in safety and health to enhance the DOE mission.
Encourage use of the core analytical techniques daily for improving fact finding and casual analysis in all investigations.
Develop, from this experience in the field, a graded and tailored systematic approach for events that do not meet the DOE O 225.1B criteria for an FAIB.
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Office of Environment, Health, Safety and Security

32. DOE National Training Center (NTC) Courses
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE National Training Center (NTC) Courses
EIP-400, Accident Investigation (AI) (Classroom)
EIP-120DE, Accident Investigation Overview (Online)
EIP-200V, HPI Event Investigation (Classroom)
DOE-320, Causal Analysis and Corrective Action (Classroom)
ISC-202DV, Legal Aspects of Inquiries (Online)
ISC-301, Conduct of Inquiries (Classroom)
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Office of Environment, Health, Safety and Security

33. DOE National Training Center (NTC) Courses
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
DOE National Training Center (NTC) Courses
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Office of Environment, Health, Safety and Security

34. Office of Environment, Health, Safety and Security
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
We need more people to participate as AI Board Members and Subject Matter Experts!
Consider enrolling in an upcoming DOE AI Course through CHRIS for Federal staff, or the National Training Center (NTC) LMS for contractors.
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Office of Environment, Health, Safety and Security

35. Links, Websites, Resources
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
Links, Websites, Resources
For more information:
DOE Order 225.1B, Accident Investigations: documents/200-series/ BOrder-b
Accident Prevention and Investigation Program: safety-policy-guidance-reports/doe-accident-prevention-and-investigation-program
Accident Investigation Reports:
DOE Handbook (DOE-HDBK ) Accident Investigation and Prevention, Volumes 1 and 2: DOE HDBK Vol DOE HDBK Vol. 2
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36. Office of Environment, Health, Safety and Security
Working Together For Accident Prevention and Worker Safety and Health – EFCOG and the DOE Accident Investigation and Prevention Program
Questions?
Keep going for inContact:
Gary T. Staffo
Phone:
Forrestal: Room 6F094, Suite 7
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Office of Environment, Health, Safety and Security

37. EFCOG QA & ISM Working Group from the NS
Update for the
EFCOG QA & ISM Working Group
from the
Office of Quality Assurance & Nuclear Safety Management Programs
April 24, 2018
Christian Palay, Director (AU-32)
Briefing Outline
Introductions
Organization & Personnel
Directives and Standards
Challenges
Priorities
Contact Information

38. Organization & Personnel
Office of Nuclear Safety
(AU-30)
Garrett Smith (Director)
Tom Hiltz
Alan Levin
Quality Assurance & Nuclear Safety Management Programs
(AU-32)
Nuclear Safety Basis & Facility Design
(AU-31)
Pranab Guha (Acting Director)
Brian DiNunno
Caroline Garzon
Mike Hillman
Sharon Jasim-Hanif
Jim Bisker
Sam Rosenbloom
Patrick Frias
Christian Palay (Director)
Duli Agarwal
Sonya Barnette
Brendan Burns
Jeff Feit
James Heffner
Earl Hughes
Kathy Knight
James Shaw

39. Rules, Directives & Standards
Quality Assurance
10 CFR 830, Part A, (QA Rule)
DOE Order 414.1D, (QA Order)
DOE Guide B (QA Assessments)
DOE Guide G B (QA Guide)
DOE Guide G (Software QA Guide)
DOE-HDBK-1221, (S/CI)
CGD Handbook
Operations
DOE-STD-1030
DOE-STD-1031
DOE-STD-1032
DOE-STD-1033
DOE-STD-1034
DOE-STD-1035
DOE-STD-1036
DOE-STD-1037
DOE-STD-1038
DOE-STD-1039
DOE-STD-1040
DOE-STD-1041
DOE-STD-1042
DOE-STD-1043
DOE-STD-1044
DOE-STD-1045
DOE-HDBK-1214
C.O.O. Handbook
Facility Reps
DOE-STD-1063
Maintenance
DOE-STD-1073
DOE-STD-3024
Readiness Reviews
DOE-STD-3006
DOE-HDBK-3012
Training
DOE-STD-1070
DOE-HDBK-1076
DOE-HDBK-1078
DOE-HDBK-1118
Filter Test Facility
STD-3020
STD-3025
HDBK-1221

40. Priorities Complete Commercial Grade Dedication Handbook
Re-charter the DOE Quality Council
Provide direct assistance to DOE & NNSA Program Offices and their Field Elements for effective implementation
Develop training for important quality policies
Suspect/Counterfeit Item Prevention
Commercial Grade Dedication
Graded Approach
Assess the need to revise DOE O 414.1D and the related guides

41. Succession Planning for Key Quality Assurance Personnel
Challenges
Succession Planning for Key Quality Assurance Personnel
Application of DOE Order 414.1D beyond Nuclear Safety Applications
Inconsistent Use of Graded Approach
Coherent DOE Voice on Voluntary Consensus Standards Committees
Define graded approach and ephazize the implementation versus the requirements

42. Contact Information
Christian Palay, Director Office of Quality Assurance & Nuclear Safety Management Programs
Office Number:
address:

43. Safety Working Group (SWG) Update
Jan Preston
Safety Working Group Vice Chair
April 2018

44. Plus ~20 associated Task Groups
Safety Working Group
John McDonald – Chair
Jan Preston – Vice Chair
Alice Lewis – Secretary
Engineering Practices SG
Cherri DeFigh-Price – Chair
Vacant – Vice Chair
Tobin Oruch – Secretary
Integrated Safety Management SG
Patricia Allen – Chair
Vacant – Vice Chair
Linda Collier – Secretary
Nuclear & Facility Safety SG
Jeff Buczek – Chair
Tihn Tran – Vice Chair
Zack Brounstein – Secretary
Regulatory & Enforcement SG
Deborah Jenkins – Co-Chair
Kathy Brack – Co-Chair
Vacant – Secretary
Quality Assurance SG
Vince Grosso – Chair
Vacant – Vice Chair
Matthew Alt – Secretary
Sustainability and Environment SG
Monica Witt – Chair
Thom Kato – Vice Chair
Frank Rukavina – Vice Chair
Vacant – Secretary
Worker Safety & Health SG
Mary Flora– Chair
Steve Harris – Vice Chair
Mark Brynildson – Secretary
Plus ~20 associated Task Groups
Revision Date 10/5/2017

45. Working Group Activities
SWG Best Practices issued in FY2017:
BP 193: Adoption of NFPA 70E 2015 in place of NFPA 70E 2012
BP 194: Calculation Spreadsheet for DC Arc Flash Hazard; DC Arc Flash Calculator
BP 195: Contractor Assurance System Effectiveness Validation
BP 199: Regulatory Summary of 10 CFR (QA Rule)
BP 200: Incidental Welding: Welding Activities Not Covered by a Code or Standard
BP 201: Welding Program Ownership
BP 202: Lines of Inquiry for Flow down Requirements and Subcontractor Implementation of 10 CFR 851
Continuing good working relationships with DOE and widespread meeting participation by Contractors

46. Working Group Activities
2018 Annual Work Plan approved – Planned initiatives include (list not all inclusive):
Refining the CAS Effectiveness Validation BP and developing an associated CAS Assessment Plan;
Developing an HPI Coaching Guide on effective leadership traits/behaviors;
Developing a Safety Culture Program Evaluation Guide;
Develop Work Management-specific metrics;
Develop SQA Auditing Protocols White Paper (standardized expectations/guidelines)
Finalization of a Commercial Grade Dedication Handbook and develop CGD training;
Support utilization of a single tool for supplier quality data (several MASL initiatives).

47. Working Group Activities
Emphasis on cross-group collaborations:
Safety Culture TG teaming with DOE SCIP
SWG Work Planning and Human Performance Task Groups
Engineering and Project Management on Startup/Commissioning
Engineering and Nuclear Safety
Joint DOE/EFCOG team reviewing NFP Codes/Standard
Safety Culture (SCIP) emphasis at upcoming DOE annual Nuclear Facilities Safety Workshop
Be on the lookout for other partnering opportunities, such as:
CAS and Project Execution?
Safety Culture and CAS?
Various opportunities to partner with Training?
Focus on application (vs. strictly academic) opportunities

48. SWG Topics: 10CFR851 Update

49. Moury Memo Highlights
If gaps are identified, include a written abatement plan and schedule in the revised WSHP 90 days prior (10/18/2018) to support a compliance date of 01/17/19
Local DOE Field Office approves the WSHP changes
Considerations for an abatement plan:
Compliance is not possible or technically feasible
Risk/Benefit
Funding
Code of Record
Project duration
Interim worker protection measures
Implementation schedule impact on hazard abatement

50. SWG Topics: EA-31 SC Reviews

51. SWG Topics: Field Deployment of CAS Effectiveness BP
Various EFCOG Members (e.g., AECOM, Fluor) have used BP to guide field reviews; experience generally viewed as constructive
Emphasis on Opportunities for Improvement – no “Findings” (not compliance reviews)
Focused on local interpretation and UTILITY of CAS functions – if not being used to support decision-making, then it may be a waste of resources
Common conclusion – if CAS is not senior leadership owned/driven, it struggles

52. SWG Topics: Single Supplier List
Joint EFCOG / DOE Task Team
Recommendations are focused on EM contractors
Encouraging/enabling EM contractors to use a shared, single NQA-1 approved supplier list
A single supplier qualification process can provide reliable suppliers with high potential for big cost savings
EFCOG QA Supply Chain TG coordinating path forward
Update/status briefed to EFCOG Board in March 2018; lots of positive energy and support

53. SWG Topics: Single Supplier List (continued)
Joint EFCOG/DOE Report in late 2017
Short term Actions by June 2018
EM contractors gain access to MASL – 30%
Contractors confirm use of 3rd party audits – 13/16
Data entry guidance issued – complete
Enter info for qualified suppliers – in progress
Monthly EFCOG meetings to track progress
Biannual EFCOG meetings to track progress
5 –MSA, CHPRC, WRPS,SRNS, SRS
1 not participating – WTP based on legal opinion
2 unsure
8 plan to participate
AT least one vendor is complaining about the number of DOE audits – 4 in one year
New contracts may include MASL
Need BOD emphasis on use of MASL – to follow
Parsons SR does not have entrust
PMA not EFCOG member. Portsmouth mission alliance

54. SWG Topics: Regulatory Reduction
As requested by DOE, regulatory reduction issues were elicited and considered by the SWG; 5 taken forward to Board
Total complex wide savings potential per year is estimated at ~$ M
Negligible risk increase from the recommendations
Several suggestions were forwarded to the other applicable working groups for consideration
DOE representatives feedback was solicited
The difficulty factor characterizes effort to complete the task when there is DOE agreement on the issue
EFCOG Board discussed recommendations with senior DOE Leadership during March meetings

55. SWG Regulatory Reduction Recommendations
Freeze Original Contract Requirement Set
[Difficulty: Easy] X
Tailored Application of Requirements
Reduce Submittals to DOE [Difficulty: Easy]
Reduce Hardcopy Records [Difficulty: Easy]
Non-Safety Equipment Procurement
**(non-DOE) [Difficulty: Medium]
Requirements Clarification [Difficulty: Medium]

56. SWG Objectives (unchanged)
Advocate for ISM across Department
Find and share Best Practices
Exchange Operating Experiences
Maintain a network of Subject Matter Experts
Identify opportunities to save/avoid costs while assuring safe operations
Support training and development

57. QA Policy and Procedures
Mike Sheridan
ACTING, WTCC Manager of Quality
Waste Treatment Completion Company, LLC
Carl Wharton
Principal Software Quality Assurance Engineer
Sandia National Laboratories

58. QA Policy and Procedures
Spring 2018 Meeting Goals
Finalize BP “Large-Scale Capital Asset Projects”
Finalize Whitepaper – “Objective Evidence”
Comment Resolution – Whitepaper/Best Practice (BP) – “Graded Approach”
Discuss Potential for Future Whitepapers:
Quality Absolutes
Conditional Release
Signature Accountability
Graded Approach for NQA-1 Subpart 2.25 [RW-0333P, QARD]
Completed initial recommendation review for revision of EM-QA-001*
Intergroup discussion with Software QA Group regarding “Firmware” policies
Complete CY18 Objectives & Deliverables
Fall CY18 Meeting Planning
Initial Development of CY19 Objectives & Deliverables
Challenges
Rightsizing QA BPs for Diverse DOE Programs (e.g. Weapons, Cleanup, etc.)
Same as other groups, member time availability, different time zones, etc.
[* EM QA Corporate Board 2017 Project Plan, Focus Area #1 – Update & Streamline EM QAP –Toro/Sheridan]

59. QA Policy and Procedures
FY18 Goals and Deliverables
Release BP “Large-Scale Capital Asset Projects”
Comment Resolution & Finalize Whitepaper for “Graded Approach for NQA /9a”
Complete support for recommended revision of EM-QA-001*
Development of Proposed Initiatives & Evaluate as Potential BPs
Possible P&P collaboration with EM and EFCOG SQA on CGD Handbook & CGD Handbook/firmware, etc.
[* EM QA Corporate Board 2017 Project Plan, Focus Area #1 – Update & Streamline EM QAP –Toro/Sheridan

60. Vicky Pope LLNL SQA Manager Lawrence Livermore National Laboratory
Software QA
Vicky Pope
LLNL SQA Manager
Lawrence Livermore National Laboratory

61. Software QA (SQA) Spring Goals
Catalog the primary mission and cohesiveness of QA/SQA at each site
Review examples of SQA-related CRADs
Discuss qualification of frequently-updated acquired codes
Discuss Policy and Procedures (P&P’s) Graded Approach White Paper and software risk grading approaches
Refine the Software Commercial Grade Dedication (CGD) Handbook and examples
Work on the Firmware White Paper
Begin work on the Safety Management & Control System software (SMACs) White Paper

62. SQA FY18 Goals and Deliverables
Continue WebEx meetings between EFCOG meetings to address immediate SQA-related issues
Finish the Software CGD Handbook by Fall
Finish the Firmware White Paper by Fall or Spring FY19, at latest
Start SMACs White Paper
Define activities/suggestions within white papers by site missions

63. SQA Spring Goals
Catalog the primary mission and cohesiveness of QA/SQA at each site
Review examples of SQA-related CRADs
Discuss qualification of frequently-updated acquired codes
Discuss P&P’s Graded Approach White Paper and software risk grading approaches
Refine the Software CGD Handbook and examples
Work on the Firmware White Paper
Begin work on the SMACs White Paper

64. SQA FY18 Goals and Deliverables
Continue WebEx meetings between EFCOG meetings to address immediate SQA-related issues
Finish the Software CGD Handbook by Fall
Finish the Firmware White Paper by Fall or Spring FY19, at latest
Start SMACs White Paper
Define activities/suggestions within white papers by site missions

65. Supply Chain Quality Bill Wingfield Joe Fulghum
EFCOG-Supply Chain Chairman
Los Alamos National Laboratory
Product Agency Quality (PAQ) Assurance
Joe Fulghum
Manager, Supplier QA and Site Programs, SRNS

66. Supply Chain Quality Tasks
Spring 2018 Meeting Goals
Master Approved Supplier List (MASL) – Use Improvement
Commercial Grade Dedication (CGD) Handbook Writing Team will be meeting (re: EFCOG TASK SC & 03 CGD HANDBOOK AND TRAINING)
Provide examples to AU-32 for consideration into the DOE CGD Handbook.
Support DOE-AU Benchmarking Efforts
DOE-AU will be revising the DOE CGD Handbook based on input and benchmarking.
SC & SC still open?

67. Supply Chain Quality Tasks
Challenges – MASL
Increase usage/participation:
DOE Environmental Management (EM) to incentivize 16 DOE EM site contractors to use the MASL
Five are using the MASL [SRNS (includes SRR) & MSA, CHPRC, & WRPS
Eight are interested in putting suppliers into the MASL [WIPP-NWP; DUF6-MCS (1 supplier in MASL); ICP; Four Rivers Nuclear Partnership; SST (1 supplier in MASL); FBP; URS/CH2M; and CH2WV].
Two unsure [PMA (Not currently EFCOG member); Savannah River-Parsons/SWPF]
One will not use the MASL (BNI)
MASL – Import/Export – KCP Honeywell working with SRNS as 1st trial case
MASL Cost Avoidances – How do we get additional cost avoidances identified?
SC & SC still open?

68. Supply Chain Quality Tasks
FY18 Goals and Deliverables
Continue to support the CGD Handbook Writing initiative
Nuclear Industry Assessment Committee (NIAC) vs NQA-1 Audit Checklists Comparison consensus
EFCOG’s Supplier Audit Schedules shared
Other Discussions
Tues PM
EFCOG BOD & DOE-EM HQ Discussions on MASL – Jan Preston, Fluor
CGD Writing Team Status & Case Studies – Duli Agarwal, DOE-HQ
NQA-1 Committee Activities – Ron Schrotke, NQA-1 Committee Chair
Fuel Oil, Lubricant, etc. for SSCs White Paper – Carl Wharton
Minimizing Introduction of S/CI in Supply Chain – David Driver, DOE-IG
Kobe Steel S/CI Discussion – Carl Wharton
SC & SC still open?

69. Supply Chain Quality Tasks
4/25 Wed
MASL Demonstrations – Bill Wingfield, LANL
SNL – TRUST in Supplier Assessment Lines of Inquiry – Dennis Owens, SNL
SNL – Subcontractor Risk Assessments – Mark Schaefer, SNL
CUI New Law & Export Control to Suppliers and Sub-tier suppliers – Lesa Brownwell, KCP
Task SC-1701 MASL – Import / Export Status – Joe Fulghum, SRNS
Task SC MASL Cost Avoidance, how to get more ID’d – Bill Wingfield, LANL
Task SC Suspect / Counterfeit Item Status – Bill Wingfield, LANL
CGD Handbook Writing Team Status – Duli Agarwal, Damon Haley, & John Headricks
4/26 Thurs AM
NQA-1 vs NIAC Audit Checklist Comparison/Gaps – Richard Turlington, SRNS
Notification of Supplier’s acceptance based on 3rd party or JSEP audits – Alice Lewis PNNL
Supplier Audit Schedules – Julie Snelling PNNL
4/26 Thurs PM
Tour of SRS
SC & SC still open?

70. Safety Culture/High Reliability Organization (HRO)
Cindy Caldwell
Rick Hartley

71. Safety Culture/HRO Spring 2018 Meeting Goals Challenges
Begin developing safety culture Subject Matter Expert (SME) Practitioners Guide.
Share culture good practices.
Challenges
No standardized way to develop safety culture SME’s with credentials and experience to lead culture efforts and bring consistency in the culture arena to DOE.
FY18 Goals and Deliverables
Leverage the collective EFCOG education and experience to publish a guide to develop Safety Culture SME’s.

72. Human Performance Improvement
Chuck Ramsey
EFCOG HPI Task Group Chair
Mike Petrowski
EFCOG HPI Task Group Co-Chair
Lloyd Keith

73. Human Performance Improvement
Spring 2018 Meeting Goals
Progress on Tasks (next slide)
Learn
DOE Performance and Reliability, Riz Shah
Learning Teams, Bill Rigot
Human Performance Improvement (HPI) Efforts at…
SRNS, Jack Alexander
SRNL, Brett Barnett
INL, David Boyce
Accountability, independence, and Discretion Appraisal (AIDA) Job Evaluation Tool, Andy Hobbs
Dynamic Learning Activities
Success/Challenges Session

74. Human Performance Improvement
Task No.
Title
Lead
Members
Projected Completion
13-1a
Leadership
 Chuck Ramsey
TBD
CY2018
18-1
Develop and Review HPI Training Program with National Training Center
Fundamentals
Practitioners
Knowledge Workers
Managers/Supervisors
Kimbel Leffew
Tricia Allen
Tyson Allen
David Boyce
Dave Pechulis
9/30/2021
Individual products earlier
Curriculum Development 9/30/19
18-2
Business Case for HPI
Dave Paulson
Tommy Rowe
Rick Henry
CY2018 
18-3
Guidelines and examples of HPI Metrics
Chuck Ramsey
Matt Ault
Christine Kerr
18-4
HPI Site Assessment Tool
Nancy Van
Paula Pallan
Carol Ritz
18-5
Dynamic Learning Activity Catalog
Lloyd Keith
Bill Leonard
18-6
Guidelines for HPI Strategic Plan Development
Vacant
Mike Petrowski
CY2019 

75. Contractor Assurance System
Darlene Murdoch
Director, Operational Excellence, SRNS
Jita Ellis
IIE Team Technical Advisor
Contractor Assurance, SRR

76. Contractor Assurance System (CAS)
Spring 2018 Meeting Goals
DOE Expectations and Communicating
Discussions Implementing for Site-Wide Contractor Assurance System
Assessment Frame Works
Group Sessions
Risk Informed Assessment Planning/Self Assessment Program
Causal Analysis Program and Performance
Determining the Significance of Events/Issues Investigation
Determining / Measuring CAS Effectiveness
Benchmarking
Sharing
Learning
Development of a Best Practices Guide (continued in the Fall)

77. Contractor Assurance System (CAS)
Products and Tools Available for Use
Maturity Model (DOE Order Requirements)
Contractor Assurance System Effectiveness Validation Tools
Wide Compassing Line of Inquiry (LOI’s) (NNSA, EM, Office of Science etc.)
Assessment Plan
To Be Used With EFCOG Best Practice (Contractor Assurance System Effectiveness Validation Tool)