1. The Federal Oversight and Contractor Assurance System Directives Safety Culture Improvement Panel Meeting September 7, 2016
Patricia R. Worthington, PhD
Director, Office of Health and Safety (AU-10)
Office of Environment, Health, Safety and Security
U.S. Department of Energy

2. The Federal Oversight and CAS Directives Set
DOE P 226.1B, Department of Energy Oversight Policy, 2011, Cancelled
DOE P 226.2, Policy for Federal Oversight and Contractor Assurance, 2016
DOE O 226.1B, Implementation of Department of Energy Oversight Policy, 2011
DOE G A, Federal Management Oversight of Department of Energy Nuclear Facilities, 2014

3. History of The Federal Oversight and CAS Directives Set
DOE institutionalized its expectations and requirements for contractor assurance systems and Federal oversight as early as 1997.
1997 – DOE P 450.5, Line Environment, Safety and Health Oversight.
ESH  contractor assessment and Federal oversight programs.
Linked to Integrated Safety Management (ISM).

4. History continued…
2005 – DOE P 226.1, Department of Energy Oversight Policy, and DOE O
Established requirements for contractor assurance systems and Federal oversight programs (attachment 3).
Scope included operational aspects of environment, safety, health, safeguards and security, cyber security, emergency management and business operations.
Contractor Requirements Document (CRD).

5. History continued…
2007 – DOE P 226.1A, Department of Energy Oversight Policy, and DOE O 226.1A.
Removed business operations.
Contained CRD.
Provided schedule for safeguards and security, cyber security, and emergency management.
Integrated Worker Safety and Health, Nuclear Safety, and ISM for a comprehensive and rigorous assurance system.

6. History continued…
2011 – DOE P 226.1B, Department of Energy Oversight Policy, and DOE O 226.1B.
Streamlined and used the 2007 Policy and Order as foundation
Core requirements from 226 Order used to develop selected Contractor H Clauses.
Developed Guide (2014).

7. 2016 Policy Change
2016 – DOE P 226.2, Policy for Federal Oversight and Contractor Assurance Systems.
Reinstated business and financial systems in the scope of the policy.
Established expectations for relationships between contractor and corporate parents organizations.
Contained the term “contractor assurance system” within the title to reflect Federal and contractor users.

8. Next Steps for the Federal Oversight and CAS Directives Set
Short Term
DOE-wide awareness to further promote clarity and integration of the revised 226 Policy (expectations) with the existing 226 Order (requirements).
Long Term
Utilize outcomes of EFCOG CAS Working Group to further improve implementation of the 226 requirements and expectations (Policy, Order, and Guide)
Composition of Working Group - Laboratories, Contractors and Federal Field and HQ, from NNSA, SC, NE, and EM from multiple sites, projects, and Laboratories.
Tool to gauge the maturity of Contractor Assurance Programs.
Lessons-learned from benchmarking of 8 contractor CASs.

9. The Federal Oversight and Contractor Assurance Directives
DOE P 226.1B, Department of Energy Oversight Policy, 2011, Cancelled
DOE P 226.2, Policy for Federal Oversight and Contractor Assurance, 2016
DOE O 226.1B, Implementation of Department of Energy Oversight Policy, 2011
DOE G A, Federal Management Oversight of Department of Energy Nuclear Facilities, 2014

10. DOE G 226.1-2A Section 4.1.7 Safety Culture
Information of significance to SCIP
Literature reviews
EFCOG, DNFSB , memoranda from DOE senior leadership
Monitoring Safety Culture
Cross-cutting area
Assessments and Criteria Review and Approach Documents