1. Nov 20061 Readiness Review Course Implementation Plan - Mod 8 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 Prestart Findings Closed AA Authorizes Startup DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted)

2. Nov 20062 Learning Objectives Describe the purpose, timing, and content of an Implementation Plan Describe how an Implementation Plan is developed and modified Describe who reviews and approves the Implementation Plan

3. Nov 20063 Readiness Review Process 1 Year Prior to RR 6 Months Prior to RR 3 Months Prior to RR 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 Prestart Findings Closed AA Authorizes Startup DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted)

4. Nov 20064 Implementation Plan (IP) Drafted by Team Leader Developed by the Team; Approved by the Team Leader; Provides the depth - derived from the POA (Breadth)

5. Nov 20065 Implementation Plan (IP) The IP documents: –The process the team uses to conduct the review and the rational for that process; –Includes the selection of criteria and review approaches to be used; –The procedures the team uses to develop findings and conclusions; –The criteria used in finding categorization (pre/post-start); Provided to DOE/NNSA/EH for comment.

6. Nov 20066 7 Implementation Plan vs Plan of Action Defining the Scope of the ORR Plan of Action Defines ORR Breadth ORR Implementation Plan Defines Depth ORR Scope

7. Nov 20067 4 Implementation Plan Contents Introduction/Background;Purpose;Scope; ORR Prerequisites; Overall Approach; ORR Preparations; ORR Process - Criteria and Review Approaches Document (CRADs) used for the review; Administration; Reporting and Resolutions; Schedule; and Appendices. DOE-STD-3006-2000 Details

8. Nov 20068 Implementation Plan Developed … Using the BREADTH and SCOPE - POA – minimum core requirements to be addressed – physical boundaries of the readiness review – administrative boundaries of the readiness review By Subject Matter Experts - Team Members Using the GRADED APPROACH defined in the POA Using the Site-Specific Requirements

9. Nov 20069 IP Development Using the POA Breadth (MCRs to be Reviewed) The NNSA ORR Team will confirm that ESA-TSE line management has established the following programs, and personnel can demonstrate a commitment to comply with programmatic requirements. The review will focus on contractual agreements between NNSA and LANL, and the implementation of site-specific documentation to verify that this MCR has been met. –Conduct of Operations –Configuration Management –Emergency Management –Environmental Compliance –Fire Protection –Maintenance Management MCR 1 - Line management has established programs to ensure safe accomplishment of work. Personnel exhibit an awareness of public and worker safety, health, and environmental protection requirements and, through their actions, demonstrate a high-priority commitment to comply with these requirements. POA Depth EXAMPLE

10. Nov 200610 Team Members Identified Using the Breadth of the POA The NNSA ORR Team will confirm … –Conduct of Operations SME –Configuration Management SME –Emergency Management SME –Environmental Compliance SME –Fire Protection SME –Maintenance Management SME MCR 1 - Line management …

11. Nov 200611 Team Member Identification By Core Requirement Functional Area Core Requirement - 1 Core Requirement - 2 SME Objective 1 Objective 2 Objective 3 Objective 1 Objective 2

12. Nov 200612 Team Member Identification By Core Requirement - Example MCR #7 … Safety Systems and systems essential to worker and public safety are defined… MCR #10 … There are adequate and correct.. Safety limits… Safety Basis Objectives Authorization Basis SME

13. Nov 200613 Team Member Selection, Typical Functional Areas –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

14. Nov 200614 IP Development using the Graded Approach from POA Physical modifications to the facility; Procedural changes; Personnel changes; Length of shutdown; Overall hazard characteristics of the facility; The complexity of the activity; A new process or facility versus the restart of an existing activity; The programmatic significance of the subsequent operations; Introduction of new hazards; Increase in existing hazards or risk; Operating history of the facility; Confidence in site-wide issues; Issues raised through other internal or external reviews; Lessons Learned

15. Nov 200615 Graded Approach Example Consideration for New Starts.. Verification without significant reference points: – Training and qualification of workers; – New procedures; – New Equipment. May drive the ORR to be more thorough and comprehensive than for review of a process that has significant on-site experience. Maturity of Site Infrastructure and results of previous reviews (Safety Management Programs).

16. Nov 200616 17 The Graded Approach Example Considerations for Restarts Physical Modifications to the facility... Changes to the Authorization Basis... Procedural changes... Procedural changes... Personnel and Management changes... Personnel and Management changes... Length of shutdown.... Length of shutdown.... Overall hazard characteristics of the facility... Overall hazard characteristics of the facility... Increase in hazards or risk... Increase in hazards or risk... Training / expertise issues... Training / expertise issues...

17. Nov 200617 IP Development Using Requirements Contractual Requirements (List A/B, S/RIDs, WSS)! DOE Codes, Orders, Standards, or Regulations Industry Standards, or Regulations (i.e, IEEE, ANSI, ASME) Site Specific Requirements

18. Nov 200618 Requirements are used to … Define controls such as: –Engineered Controls - Structures, Systems, Components (SSC); –Administrative Controls - Policies, procedures, programs, and documentation; –Personnel Protective Equipment (rad protection clothing, hard hats, respirators, glasses, etc.)

19. Nov 200619 21 Example of Regulatory Requirements used in Controlling Hazards Essential hardware systems are defined - Engineered Controls: –Containing Geometry - ANS 8.1 –Effluent Recovery System - 420.1 –Fire Suppression System - 420.1 –Confinement Ventilation - DSA –Mechanical Guarding - 29 CFR 1910

20. Nov 200620 22 Example of Regulatory Requirements used in Controlling Hazards Essential programs are defined - Administrative Controls (SMP) CFR 830.204: – Training - 5480.20, 29CFR 1910.147 – Operations - 5480.19 – Emergency Response - 151.1 – Configuration Control -5480.19 – Inspection/Surveillance/Maintenance - 431.1, 5480.19, CFR 830.120

21. Nov 200621 10 Criteria and Review Approach Document (CRAD) Derived from the Performance Objectives defined by the MCR. CRAD includes the: –Objectives - high level review topic from Core Requirement; –Criteria - elements of the Objective, including references; –Review Approach - documents, interviews, and observations. Derived from the Performance Objectives defined by the MCR. CRAD includes the: –Objectives - high level review topic from Core Requirement; –Criteria - elements of the Objective, including references; –Review Approach - documents, interviews, and observations.

22. Nov 200622 Developing the CRADs for the IP Develop Performance Objective POA Core Requirement Requirements Develop Measurable Criteria Develop Review Approach Procedures Performance Requirements Documents Interviews Observations

23. Nov 200623 8 The Implementation Plan Implementation Plan (IP) approved by the Team Leader, with Team Member inputs. The Team Leader will provide (not for approval) the ORR Implementation Plan to: – EH for review and comment for all startups and restarts; –To the Authorization Authority; –To Appropriate PSO as Required. Do not commit in the Implementation Plan to more than the ORR/RA schedule can support! Match the POA’s scope...

24. Nov 200624 9 Structuring the Implementation Plan Establish technical areas of importance... Allocate areas into Functional Areas (FAs)... Identify personnel with needed competencies to address each Functional Area... Subdivide Core Requirements into selected Functional Areas.... Develop CRADs Establish technical areas of importance... Allocate areas into Functional Areas (FAs)... Identify personnel with needed competencies to address each Functional Area... Subdivide Core Requirements into selected Functional Areas.... Develop CRADs Example IP

25. Nov 200625 Readiness Review Course Implementation Plan - Mod 8 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 Prestart Findings Closed AA Authorizes Startup DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted)

26. Nov 200626 Learning Objectives Describe the purpose, timing, and content of an Implementation Plan Describe how an Implementation Plan is developed and modified Describe who reviews and approves the Implementation Plan

27. Nov 200627 Readiness Review Process 1 Year Prior to RR 6 Months Prior to RR 3 Months Prior to RR 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 Prestart Findings Closed AA Authorizes Startup DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted)

28. Nov 200628 Implementation Plan (IP) Drafted by Team Leader Developed by the Team; Approved by the Team Leader; Provides the depth - derived from the POA (Breadth)

29. Nov 200629 Implementation Plan (IP) The IP documents: –The process the team uses to conduct the review and the rational for that process; –Includes the selection of criteria and review approaches to be used; –The procedures the team uses to develop findings and conclusions; –The criteria used in finding categorization (pre/post-start); Provided to DOE/NNSA/EH for comment.

30. Nov 200630 7 Implementation Plan vs Plan of Action Defining the Scope of the ORR Plan of Action Defines ORR Breadth ORR Implementation Plan Defines Depth ORR Scope

31. Nov 200631 4 Implementation Plan Contents Introduction/Background;Purpose;Scope; ORR Prerequisites; Overall Approach; ORR Preparations; ORR Process - Criteria and Review Approaches Document (CRADs) used for the review; Administration; Reporting and Resolutions; Schedule; and Appendices. DOE-STD-3006-2000 Details

32. Nov 200632 Implementation Plan Developed … Using the BREADTH and SCOPE - POA – minimum core requirements to be addressed – physical boundaries of the readiness review – administrative boundaries of the readiness review By Subject Matter Experts - Team Members Using the GRADED APPROACH defined in the POA Using the Site-Specific Requirements

33. Nov 200633 IP Development Using the POA Breadth (MCRs to be Reviewed) The NNSA ORR Team will confirm that ESA-TSE line management has established the following programs, and personnel can demonstrate a commitment to comply with programmatic requirements. The review will focus on contractual agreements between NNSA and LANL, and the implementation of site-specific documentation to verify that this MCR has been met. –Conduct of Operations –Configuration Management –Emergency Management –Environmental Compliance –Fire Protection –Maintenance Management MCR 1 - Line management has established programs to ensure safe accomplishment of work. Personnel exhibit an awareness of public and worker safety, health, and environmental protection requirements and, through their actions, demonstrate a high-priority commitment to comply with these requirements.

34. Nov 200634 Team Members Identified Using the Breadth of the POA The NNSA ORR Team will confirm … –Conduct of Operations SME –Configuration Management SME –Emergency Management SME –Environmental Compliance SME –Fire Protection SME –Maintenance Management SME MCR 1 - Line management …

35. Nov 200635 11 Team Member Identification By Core Requirement Functional Area Core Requirement - 1 Core Requirement - 2 SME Objective 1 Objective 2 Objective 3 Objective 1 Objective 2

36. Nov 200636 12 Team Member Identification By Core Requirement - Example MCR #7 … Safety Systems and systems essential to worker and public safety are defined… MCR #10 … There are adequate and correct.. Safety limits… Safety Basis Objectives Authorization Basis SME

37. Nov 200637 13 Team Member Selection, Typical Functional Areas –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

38. Nov 200638 IP Development using the Graded Approach from POA Physical modifications to the facility; Procedural changes; Personnel changes; Length of shutdown; Overall hazard characteristics of the facility; The complexity of the activity; A new process or facility versus the restart of an existing activity; The programmatic significance of the subsequent operations; Introduction of new hazards; Increase in existing hazards or risk; Operating history of the facility; Confidence in site-wide issues; Issues raised through other internal or external reviews; Lessons Learned

39. Nov 200639 Graded Approach Example Consideration for New Starts.. Verification without significant reference points: – Training and qualification of workers; – New procedures; – New Equipment. May drive the ORR to be more thorough and comprehensive than for review of a process that has significant on-site experience. Maturity of Site Infrastructure and results of previous reviews (Safety Management Programs).

40. Nov 200640 17 The Graded Approach Example Considerations for Restarts Physical Modifications to the facility... Changes to the Authorization Basis... Procedural changes... Procedural changes... Personnel and Management changes... Personnel and Management changes... Length of shutdown.... Length of shutdown.... Overall hazard characteristics of the facility... Overall hazard characteristics of the facility... Increase in hazards or risk... Increase in hazards or risk... Training / expertise issues... Training / expertise issues...

41. Nov 200641 IP Development Using Requirements Contractual Requirements (List A/B, S/RIDs, WSS)! DOE Codes, Orders, Standards, or Regulations Industry Standards, or Regulations (i.e, IEEE, ANSI, ASME) Site Specific Requirements

42. Nov 200642 18 Requirements are used to … Define controls such as: –Engineered Controls - Structures, Systems, Components (SSC); –Administrative Controls - Policies, procedures, programs, and documentation; –Personnel Protective Equipment (rad protection clothing, hard hats, respirators, glasses, etc.)

43. Nov 200643 21 Example of Regulatory Requirements used in Controlling Hazards Essential hardware systems are defined - Engineered Controls: –Containing Geometry - ANS 8.1 –Effluent Recovery System - 420.1 –Fire Suppression System - 420.1 –Confinement Ventilation - DSA –Mechanical Guarding - 29 CFR 1910

44. Nov 200644 22 Example of Regulatory Requirements used in Controlling Hazards Essential programs are defined - Administrative Controls (SMP) CFR 830.204: – Training - 5480.20, 29CFR 1910.147 – Operations - 5480.19 – Emergency Response - 151.1 – Configuration Control -5480.19 – Inspection/Surveillance/Maintenance - 431.1, 5480.19, CFR 830.120

45. Nov 200645 10 Criteria and Review Approach Document (CRAD) Derived from the Performance Objectives defined by the MCR. CRAD includes the: –Objectives - high level review topic from Core Requirement; –Criteria - elements of the Objective, including references; –Review Approach - documents, interviews, and observations. Derived from the Performance Objectives defined by the MCR. CRAD includes the: –Objectives - high level review topic from Core Requirement; –Criteria - elements of the Objective, including references; –Review Approach - documents, interviews, and observations.

46. Nov 200646 Developing the CRADs for the IP Develop Performance Objective POA Core Requirement Requirements Develop Measurable Criteria Develop Review Approach Procedures Performance Requirements Documents Interviews Observations

47. Nov 200647 8 The Implementation Plan Implementation Plan (IP) approved by the Team Leader, with Team Member inputs. The Team Leader will provide (not for approval) the ORR Implementation Plan to: – EH for review and comment for all startups and restarts; –To the Authorization Authority; –To Appropriate PSO as Required. Do not commit in the Implementation Plan to more than the ORR/RA schedule can support! Match the POA’s scope...

48. Nov 200648 9 Structuring the Implementation Plan Establish technical areas of importance... Allocate areas into Functional Areas (FAs)... Identify personnel with needed competencies to address each Functional Area... Subdivide Core Requirements into selected Functional Areas.... Develop CRADs Establish technical areas of importance... Allocate areas into Functional Areas (FAs)... Identify personnel with needed competencies to address each Functional Area... Subdivide Core Requirements into selected Functional Areas.... Develop CRADs Example IP