1. Contractor Assurance Systems (CAS) Summit August 23, 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. History of CAS
DOE institutionalized its expectations and requirements for contractor assurance systems and Federal oversight as early as 1997, and efforts to strengthen these processes continues today.

3. History of CAS
1997 – DOE P 450.5, Line Environment, Safety and Health Oversight, dated June 26, 1997
- ESH  contractor assessment programs and Federal oversight programs.
- Applicable to contractors for laboratory, M&O, integrated management contractor, and support contractor for GOGO.
- Linked to Integrated Safety Management (ISM).
- CAS not visible in the title of the policy.
- No associated order.

4. History of CAS
2005 – DOE P 226.1, Department of Energy Oversight Policy, dated June 10, 2005
2005 – DOE O 226.1, Implementation of Department of Energy Oversight Policy, dated September 15, 2005
- Assurance systems 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.
- Order included Contractor Requirements Document (CRD).
- CAS not visible in the title of the policy and order.

5. History of CAS
2007 – DOE O 226.1A, Implementation of Department of Energy Oversight Policy, dated July 31, 2007
2007 – DOE P 226.1A, Department of Energy Oversight Policy, dated May 25, 2007
- Removed business operations from scope.
- CRD.
- Provided schedule for safeguards and security, cyber security, and emergency management.
- Integration of Worker Safety and Health, Nuclear Safety, and Management Systems with Rules and Directives “for a comprehensive and rigorous assurance system.”
- CAS not visible in the title of the policy and order.

6. History of CAS
2011 – DOE P 226.1B, Department of Energy Oversight Policy, dated April 25, 2011
2011 – DOE O 226.1B, Implementation of Department of Energy Oversight Policy, dated April 25, 2011
- Included in the DOE-wide Directives Reform Initiative ― 33 directives.
- Focused on streamline, tailoring and flexibility; pushing accountability to lowest level, reducing redundancy; requirements appropriately only in order or rules, with guidance in guidance documents.
- Core requirements from 226 Order used to develop Contractor H Clauses.
- Working Group Co-Chairs ― Jeff Smith and Pat Worthington with Senior Managers and SMEs from across DOE Federal programs and Laboratory and contractor organizations.
- CAS not visible in the title of the policy and order.

7. History of CAS
2016 – DOE P 226.2, Policy for Federal Oversight and Contractor Assurance Systems, dated August 9, 2016
- Reinstated business and financial systems in the scope of the policy.
- Established expectations for relationships between contractor, Federal, and corporate parents organizations.
- Title contains the term “contractor assurance system” and appropriately informs the reader that it is applicable to Federal and contractor users.
- The new 226 set of directives now includes the new Policy and existing Order, and Guide.

8. Short-Term Vision for CAS
Continue to build on the 1997 foundation for strong assessment processes that evolved into an understanding and appreciation for strong, mature, and transparent assurance systems.
- Initiate a DOE-wide awareness campaign to provide continuity and promote clarity and integration of the revised 226 Policy (expectations) with the existing 226 Order (requirement).
- The existing 226 Order has served the Department well and is the basis for several Contract Clauses (e.g., H Clause).
- Focus on implementation of existing 226 Order.

9. Long Term Vision for CAS
Utilize outcomes of EFCOG Safety Working Group to further improve implementation of the 226 set of directives (Policy, Order, and Guide)
- Composition of Working Group is contractors from NNSA, SC, NE, and EM from multiple sites, projects, and Laboratories.
- Developing tool to gauge the maturity of Contractor Assurance Programs.
- Utilize lessons-learned from benchmarking of 8 contractor CASs.
- Identified 7 best practices.
Self-assessments
Feedback and lessons-learned
Issues management
Performance evaluation
Management oversight/review boards
Contract governance processes
Involvement with corporate parents, third party reviews

10. CAS as a Part of a System of Oversight
Site contractor assurance systems should include assurance systems and processes established by DOE contractors and Federal oversight programs and should be comprehensive and integrated for key aspects of operations essential to mission success.