Nov 2006Nov 200611
Readiness ReviewReadiness ReviewCourseCourse
Implementation Plan - Mod 8Implementation 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 ApprovesCPOA 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
SelectedInitial Team Mtg
Pre-Site Visit, IP Drafted)
Nov 2006Nov 200622
Learning ObjectivesLearning Objectives
Describe the purpose, timing, and content of an Describe the purpose, timing, and content of an Implementation PlanImplementation Plan
Describe how an Implementation Plan is developed Describe how an Implementation Plan is developed and modifiedand modified
Describe who reviews and approves the Describe who reviews and approves the Implementation PlanImplementation Plan
Nov 2006Nov 200633
Readiness Review ProcessReadiness Review Process
1 YearPrior to RR
6 MonthsPrior to RR
3 MonthsPrior 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 ApprovesCPOA 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 SelectedInitial Team Mtg
Pre-Site Visit, IP Drafted)
Nov 2006Nov 200644
Implementation Plan (IP)Implementation Plan (IP)
Drafted by Team LeaderDrafted by Team LeaderDeveloped by the Team; Developed by the Team; Approved by the Team Leader;Approved by the Team Leader;Provides the depth - derived from the POA Provides the depth - derived from the POA (Breadth)(Breadth)
Nov 2006Nov 200655
Implementation Plan (IP)Implementation Plan (IP)
The IP documents: The IP documents: – The process the team uses to conduct the review The process the team uses to conduct the review
and the rational for that process; and the rational for that process; – Includes the selection of criteria and review Includes the selection of criteria and review
approaches to be used;approaches to be used;– The procedures the team uses to develop findings The procedures the team uses to develop findings
and conclusions; and conclusions; – The criteria used in finding categorization The criteria used in finding categorization
(pre/post-start);(pre/post-start);
Provided to DOE/NNSA/EH for comment.Provided to DOE/NNSA/EH for comment.
Nov 2006Nov 2006667
Implementation Plan vs Plan of Implementation Plan vs Plan of Action Action
Defining the Scope of the ORR
Plan of Action Defines ORR Breadth
OR
R
Impl
emen
tati
on P
lan
Def
ines
Dep
th
ORR Scope
Nov 2006Nov 2006774
Implementation Plan ContentsImplementation Plan Contents
Introduction/Background;Introduction/Background;
Purpose;Purpose;
Scope;Scope;
ORR Prerequisites;ORR Prerequisites;
Overall Approach;Overall Approach;
ORR Preparations;ORR Preparations;
ORR Process - Criteria and Review Approaches Document (CRADs) used for the review;ORR Process - Criteria and Review Approaches Document (CRADs) used for the review;
Administration;Administration;
Reporting and Resolutions;Reporting and Resolutions;
Schedule; andSchedule; and
Appendices.Appendices.
DOE-STD-3006-2000 Details
Nov 2006Nov 200688
Implementation Plan Developed …Implementation Plan Developed …
Using the BREADTH and SCOPE - POAUsing the BREADTH and SCOPE - POA– minimum core requirements to be addressedminimum core requirements to be addressed– physical boundaries of the readiness reviewphysical boundaries of the readiness review– administrative boundaries of the readiness reviewadministrative boundaries of the readiness review
By Subject Matter Experts - Team MembersBy Subject Matter Experts - Team Members
Using the GRADED APPROACH defined in the POAUsing the GRADED APPROACH defined in the POA
Using the Site-Specific RequirementsUsing the Site-Specific Requirements
Nov 2006Nov 200699
IP Development Using the POA BreadthIP Development Using the POA Breadth(MCRs to be Reviewed)(MCRs to be Reviewed)
The NNSA ORR Team will confirm that ESA-TSE line management has established the 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 following programs, and personnel can demonstrate a commitment to comply with programmatic requirements. The review will focus on contractual agreements between programmatic requirements. The review will focus on contractual agreements between NNSA and LANL, and the implementation of site-specific documentation to verify that this NNSA and LANL, and the implementation of site-specific documentation to verify that this MCR has been met. MCR has been met.
– Conduct of Operations Conduct of Operations – Configuration Management Configuration Management – Emergency Management Emergency Management – Environmental Compliance Environmental Compliance – Fire Protection Fire Protection – Maintenance ManagementMaintenance 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
Nov 2006Nov 20061010
Team Members Identified Team Members Identified Using the Breadth of the POA Using the Breadth of the POA
The NNSA ORR Team will confirm …The NNSA ORR Team will confirm …
– Conduct of Operations SMEConduct of Operations SME– Configuration Management SMEConfiguration Management SME– Emergency Management SMEEmergency Management SME– Environmental Compliance SMEEnvironmental Compliance SME– Fire Protection SMEFire Protection SME– Maintenance Management SMEMaintenance Management SME
MCR 1 - Line management …
Nov 2006Nov 20061111
11
Team Member Identification By Team Member Identification By Core RequirementCore Requirement
FunctionalArea
Core Requirement - 1
Core Requirement - 2
SME
Objective 1
Objective 2
Objective 3
Objective 1
Objective 2
Nov 2006Nov 20061212
12
Team Member Identification By Team Member Identification By Core Requirement - ExampleCore 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
Nov 2006Nov 2006131313
Team Member Selection, Team Member Selection, Typical Functional Areas Typical Functional Areas
– Engineering SupportEngineering Support– Fire ProtectionFire Protection– Occupational Safety (IH/IS)Occupational Safety (IH/IS)– ManagementManagement– Configuration ManagementConfiguration Management– ProceduresProcedures– Radiation ProtectionRadiation Protection– ProceduresProcedures– Level of KnowledgeLevel of Knowledge
– OperationsOperations– Safety EnvelopeSafety Envelope– DOE OrganizationDOE Organization– Training and QualificationTraining and Qualification– Quality AssuranceQuality Assurance– Software Quality Software Quality
AssuranceAssurance– Criticality SafetyCriticality Safety– Environmental Protection Environmental Protection
and Waste Managementand Waste Management
Nov 2006Nov 20061414
IP Development using the Graded ApproachIP Development using the Graded Approachfrom POAfrom POA
Physical modifications to the facility; Physical modifications to the facility; Procedural changes;Procedural changes;Personnel changes;Personnel changes;Length of shutdown; Length of shutdown; Overall hazard characteristics of the facility; Overall hazard characteristics of the facility; The complexity of the activity; The complexity of the activity; A new process or facility versus the restart of an existing activity; A new process or facility versus the restart of an existing activity; The programmatic significance of the subsequent operations; The programmatic significance of the subsequent operations; Introduction of new hazards; Introduction of new hazards; Increase in existing hazards or risk; Increase in existing hazards or risk; Operating history of the facility; Operating history of the facility; Confidence in site-wide issues; Confidence in site-wide issues; Issues raised through other internal or external reviews; Issues raised through other internal or external reviews; Lessons LearnedLessons Learned
Nov 2006Nov 20061515
Graded Approach Example Graded Approach Example Consideration for New Starts . .Consideration for New Starts . .
Verification without significant reference points:Verification without significant reference points:
– Training and qualification of workers;Training and qualification of workers;
– New procedures;New procedures;
– New Equipment.New Equipment.
May drive the ORR to be more thorough and comprehensive May drive the ORR to be more thorough and comprehensive than for review of a process that has significant on-site than for review of a process that has significant on-site experience.experience.
Maturity of Site Infrastructure and results of previous reviews Maturity of Site Infrastructure and results of previous reviews (Safety Management Programs).(Safety Management Programs).
Nov 2006Nov 2006161617
The Graded Approach Example The Graded Approach Example Considerations for Restarts Considerations for Restarts
Physical Modifications to the facility . . . Physical Modifications to the facility . . .
Changes to the Authorization Basis . . . 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 . . .
Nov 2006Nov 20061717
IP Development Using IP Development Using RequirementsRequirements
Contractual Requirements Contractual Requirements (List A/B, S/RIDs, (List A/B, S/RIDs, WSS)!WSS)!DOE Codes, Orders, Standards, or RegulationsDOE Codes, Orders, Standards, or RegulationsIndustry Standards, or Regulations (i.e, IEEE, Industry Standards, or Regulations (i.e, IEEE, ANSI, ASME)ANSI, ASME)Site Specific RequirementsSite Specific Requirements
Nov 2006Nov 2006181818
Requirements are used to …Requirements are used to …
Define controls such as: Define controls such as: – Engineered Controls - Structures, Systems, Engineered Controls - Structures, Systems,
Components (SSC); Components (SSC); – Administrative Controls - Policies, procedures, Administrative Controls - Policies, procedures,
programs, and documentation;programs, and documentation;– Personnel Protective Equipment (rad protection Personnel Protective Equipment (rad protection
clothing, hard hats, respirators, glasses, etc.)clothing, hard hats, respirators, glasses, etc.)
Nov 2006Nov 2006191921
Example of Regulatory Requirements Example of Regulatory Requirements used in Controlling Hazardsused in Controlling Hazards
Essential Essential hardwarehardware systems are defined - Engineered systems are defined - Engineered Controls:Controls:– Containing Geometry - ANS 8.1Containing Geometry - ANS 8.1– Effluent Recovery System - 420.1Effluent Recovery System - 420.1– Fire Suppression System - 420.1Fire Suppression System - 420.1– Confinement Ventilation - DSAConfinement Ventilation - DSA– Mechanical Guarding - 29 CFR 1910Mechanical Guarding - 29 CFR 1910
Nov 2006Nov 2006202022
Example of Regulatory Requirements Example of Regulatory Requirements used in Controlling Hazardsused in Controlling Hazards
EssentialEssential programs programs are defined - Administrative are defined - Administrative Controls (SMP) CFR 830.204:Controls (SMP) CFR 830.204:
– Training - 5480.20, 29CFR 1910.147Training - 5480.20, 29CFR 1910.147
– Operations - 5480.19Operations - 5480.19
– Emergency Response - 151.1Emergency Response - 151.1
– Configuration Control -Configuration Control - 5480.195480.19
– Inspection/Surveillance/Maintenance - 431.1, 5480.19, Inspection/Surveillance/Maintenance - 431.1, 5480.19, CFR 830.120CFR 830.120
Nov 2006Nov 2006212110
Criteria and Review Approach Criteria and Review Approach Document (CRAD)Document (CRAD)
Criteria and Review Approach Criteria and Review Approach Document (CRAD)Document (CRAD)
Derived from the Performance Objectives defined by the MCR. Derived from the Performance Objectives defined by the MCR.
CRAD includes the:CRAD includes the:– Objectives - high level review topic from Core Requirement;Objectives - high level review topic from Core Requirement;– Criteria - elements of the Objective, including references;Criteria - elements of the Objective, including references;– Review Approach - documents, interviews, and observations. Review Approach - documents, interviews, and observations.
Derived from the Performance Objectives defined by the MCR. Derived from the Performance Objectives defined by the MCR.
CRAD includes the:CRAD includes the:– Objectives - high level review topic from Core Requirement;Objectives - high level review topic from Core Requirement;– Criteria - elements of the Objective, including references;Criteria - elements of the Objective, including references;– Review Approach - documents, interviews, and observations. Review Approach - documents, interviews, and observations.
Nov 2006Nov 20062222
Developing the CRADs Developing the CRADs for the IPfor the IP
Develop Performance Objective
POA Core Requirement
Requirements Develop Measurable Criteria
Develop Review Approach
Procedures
Performance Requirements
Documents
Interviews
Observations
Nov 2006Nov 200623238
The Implementation PlanThe Implementation PlanImplementation Plan (IP) approved by the Team Leader, Implementation Plan (IP) approved by the Team Leader, with Team Member inputs.with Team Member inputs.
The Team Leader will provide (not for approval) the ORR The Team Leader will provide (not for approval) the ORR Implementation Plan to:Implementation Plan to:
– EH for review and comment for all startups and EH for review and comment for all startups and restarts;restarts;
– To the Authorization Authority; To the Authorization Authority;
– To Appropriate PSO as Required.To Appropriate PSO as Required.
Do Do not not commit in the Implementation Plan to more than commit in the Implementation Plan to more than the ORR/RA schedule can support!the ORR/RA schedule can support!
Match the POA’s scope . . .Match the POA’s scope . . .
Nov 2006Nov 200624249
Structuring the Implementation PlanStructuring the Implementation PlanStructuring the Implementation PlanStructuring the Implementation Plan
Establish technical areas of importance . . . Establish technical areas of importance . . .
Allocate areas into Functional Areas (FAs) . . . Allocate areas into Functional Areas (FAs) . . .
Identify personnel with needed competencies to address Identify personnel with needed competencies to address each Functional Area . . . each Functional Area . . .
Subdivide Core Requirements into selected Functional Subdivide Core Requirements into selected Functional Areas . . . .Areas . . . .
Develop CRADsDevelop CRADs
Establish technical areas of importance . . . Establish technical areas of importance . . .
Allocate areas into Functional Areas (FAs) . . . Allocate areas into Functional Areas (FAs) . . .
Identify personnel with needed competencies to address Identify personnel with needed competencies to address each Functional Area . . . each Functional Area . . .
Subdivide Core Requirements into selected Functional Subdivide Core Requirements into selected Functional Areas . . . .Areas . . . .
Develop CRADsDevelop CRADs
Example IP
Nov 2006Nov 20062525
Readiness ReviewReadiness ReviewCourseCourse
Implementation Plan - Mod 8Implementation 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 ApprovesCPOA 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
SelectedInitial Team Mtg
Pre-Site Visit, IP Drafted)
Nov 2006Nov 20062626
Learning ObjectivesLearning Objectives
Describe the purpose, timing, and content of an Describe the purpose, timing, and content of an Implementation PlanImplementation Plan
Describe how an Implementation Plan is developed Describe how an Implementation Plan is developed and modifiedand modified
Describe who reviews and approves the Describe who reviews and approves the Implementation PlanImplementation Plan
Nov 2006Nov 20062727
Readiness Review ProcessReadiness Review Process
1 YearPrior to RR
6 MonthsPrior to RR
3 MonthsPrior 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 ApprovesCPOA 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 SelectedInitial Team Mtg
Pre-Site Visit, IP Drafted)
Nov 2006Nov 20062828
Implementation Plan (IP)Implementation Plan (IP)
Drafted by Team LeaderDrafted by Team LeaderDeveloped by the Team; Developed by the Team; Approved by the Team Leader;Approved by the Team Leader;Provides the depth - derived from the POA Provides the depth - derived from the POA (Breadth)(Breadth)
Nov 2006Nov 20062929
Implementation Plan (IP)Implementation Plan (IP)
The IP documents: The IP documents: – The process the team uses to conduct the review The process the team uses to conduct the review
and the rational for that process; and the rational for that process; – Includes the selection of criteria and review Includes the selection of criteria and review
approaches to be used;approaches to be used;– The procedures the team uses to develop findings The procedures the team uses to develop findings
and conclusions; and conclusions; – The criteria used in finding categorization The criteria used in finding categorization
(pre/post-start);(pre/post-start);
Provided to DOE/NNSA/EH for comment.Provided to DOE/NNSA/EH for comment.
Nov 2006Nov 200630307
Implementation Plan vs Plan of Implementation Plan vs Plan of Action Action
Defining the Scope of the ORR
Plan of Action Defines ORR Breadth
OR
R
Impl
emen
tati
on P
lan
Def
ines
Dep
th
ORR Scope
Nov 2006Nov 200631314
Implementation Plan ContentsImplementation Plan Contents
Introduction/Background;Introduction/Background;
Purpose;Purpose;
Scope;Scope;
ORR Prerequisites;ORR Prerequisites;
Overall Approach;Overall Approach;
ORR Preparations;ORR Preparations;
ORR Process - Criteria and Review Approaches Document (CRADs) used for the review;ORR Process - Criteria and Review Approaches Document (CRADs) used for the review;
Administration;Administration;
Reporting and Resolutions;Reporting and Resolutions;
Schedule; andSchedule; and
Appendices.Appendices.
DOE-STD-3006-2000 Details
Nov 2006Nov 20063232
Implementation Plan Developed …Implementation Plan Developed …
Using the BREADTH and SCOPE - POAUsing the BREADTH and SCOPE - POA– minimum core requirements to be addressedminimum core requirements to be addressed– physical boundaries of the readiness reviewphysical boundaries of the readiness review– administrative boundaries of the readiness reviewadministrative boundaries of the readiness review
By Subject Matter Experts - Team MembersBy Subject Matter Experts - Team Members
Using the GRADED APPROACH defined in the POAUsing the GRADED APPROACH defined in the POA
Using the Site-Specific RequirementsUsing the Site-Specific Requirements
Nov 2006Nov 20063333
IP Development Using the POA BreadthIP Development Using the POA Breadth(MCRs to be Reviewed)(MCRs to be Reviewed)
The NNSA ORR Team will confirm that ESA-TSE line management has established the 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 following programs, and personnel can demonstrate a commitment to comply with programmatic requirements. The review will focus on contractual agreements between programmatic requirements. The review will focus on contractual agreements between NNSA and LANL, and the implementation of site-specific documentation to verify that this NNSA and LANL, and the implementation of site-specific documentation to verify that this MCR has been met. MCR has been met.
– Conduct of Operations Conduct of Operations – Configuration Management Configuration Management – Emergency Management Emergency Management – Environmental Compliance Environmental Compliance – Fire Protection Fire Protection – Maintenance ManagementMaintenance 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.
Nov 2006Nov 20063434
Team Members Identified Team Members Identified Using the Breadth of the POA Using the Breadth of the POA
The NNSA ORR Team will confirm …The NNSA ORR Team will confirm …
– Conduct of Operations SMEConduct of Operations SME– Configuration Management SMEConfiguration Management SME– Emergency Management SMEEmergency Management SME– Environmental Compliance SMEEnvironmental Compliance SME– Fire Protection SMEFire Protection SME– Maintenance Management SMEMaintenance Management SME
MCR 1 - Line management …
Nov 2006Nov 20063535
11
Team Member Identification By Team Member Identification By Core RequirementCore Requirement
FunctionalArea
Core Requirement - 1
Core Requirement - 2
SME
Objective 1
Objective 2
Objective 3
Objective 1
Objective 2
Nov 2006Nov 20063636
12
Team Member Identification By Team Member Identification By Core Requirement - ExampleCore 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
Nov 2006Nov 2006373713
Team Member Selection, Team Member Selection, Typical Functional Areas Typical Functional Areas
– Engineering SupportEngineering Support– Fire ProtectionFire Protection– Occupational Safety (IH/IS)Occupational Safety (IH/IS)– ManagementManagement– Configuration ManagementConfiguration Management– ProceduresProcedures– Radiation ProtectionRadiation Protection– ProceduresProcedures– Level of KnowledgeLevel of Knowledge
– OperationsOperations– Safety EnvelopeSafety Envelope– DOE OrganizationDOE Organization– Training and QualificationTraining and Qualification– Quality AssuranceQuality Assurance– Software Quality Software Quality
AssuranceAssurance– Criticality SafetyCriticality Safety– Environmental Protection Environmental Protection
and Waste Managementand Waste Management
Nov 2006Nov 20063838
IP Development using the Graded ApproachIP Development using the Graded Approachfrom POAfrom POA
Physical modifications to the facility; Physical modifications to the facility; Procedural changes;Procedural changes;Personnel changes;Personnel changes;Length of shutdown; Length of shutdown; Overall hazard characteristics of the facility; Overall hazard characteristics of the facility; The complexity of the activity; The complexity of the activity; A new process or facility versus the restart of an existing activity; A new process or facility versus the restart of an existing activity; The programmatic significance of the subsequent operations; The programmatic significance of the subsequent operations; Introduction of new hazards; Introduction of new hazards; Increase in existing hazards or risk; Increase in existing hazards or risk; Operating history of the facility; Operating history of the facility; Confidence in site-wide issues; Confidence in site-wide issues; Issues raised through other internal or external reviews; Issues raised through other internal or external reviews; Lessons LearnedLessons Learned
Nov 2006Nov 20063939
Graded Approach Example Graded Approach Example Consideration for New Starts . .Consideration for New Starts . .
Verification without significant reference points:Verification without significant reference points:
– Training and qualification of workers;Training and qualification of workers;
– New procedures;New procedures;
– New Equipment.New Equipment.
May drive the ORR to be more thorough and comprehensive May drive the ORR to be more thorough and comprehensive than for review of a process that has significant on-site than for review of a process that has significant on-site experience.experience.
Maturity of Site Infrastructure and results of previous reviews Maturity of Site Infrastructure and results of previous reviews (Safety Management Programs).(Safety Management Programs).
Nov 2006Nov 2006404017
The Graded Approach Example The Graded Approach Example Considerations for Restarts Considerations for Restarts
Physical Modifications to the facility . . . Physical Modifications to the facility . . .
Changes to the Authorization Basis . . . 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 . . .
Nov 2006Nov 20064141
IP Development Using IP Development Using RequirementsRequirements
Contractual Requirements Contractual Requirements (List A/B, S/RIDs, (List A/B, S/RIDs, WSS)!WSS)!DOE Codes, Orders, Standards, or RegulationsDOE Codes, Orders, Standards, or RegulationsIndustry Standards, or Regulations (i.e, IEEE, Industry Standards, or Regulations (i.e, IEEE, ANSI, ASME)ANSI, ASME)Site Specific RequirementsSite Specific Requirements
Nov 2006Nov 2006424218
Requirements are used to …Requirements are used to …
Define controls such as: Define controls such as: – Engineered Controls - Structures, Systems, Engineered Controls - Structures, Systems,
Components (SSC); Components (SSC); – Administrative Controls - Policies, procedures, Administrative Controls - Policies, procedures,
programs, and documentation;programs, and documentation;– Personnel Protective Equipment (rad protection Personnel Protective Equipment (rad protection
clothing, hard hats, respirators, glasses, etc.)clothing, hard hats, respirators, glasses, etc.)
Nov 2006Nov 2006434321
Example of Regulatory Requirements Example of Regulatory Requirements used in Controlling Hazardsused in Controlling Hazards
Essential Essential hardwarehardware systems are defined - Engineered systems are defined - Engineered Controls:Controls:– Containing Geometry - ANS 8.1Containing Geometry - ANS 8.1– Effluent Recovery System - 420.1Effluent Recovery System - 420.1– Fire Suppression System - 420.1Fire Suppression System - 420.1– Confinement Ventilation - DSAConfinement Ventilation - DSA– Mechanical Guarding - 29 CFR 1910Mechanical Guarding - 29 CFR 1910
Nov 2006Nov 2006444422
Example of Regulatory Requirements Example of Regulatory Requirements used in Controlling Hazardsused in Controlling Hazards
EssentialEssential programs programs are defined - Administrative are defined - Administrative Controls (SMP) CFR 830.204:Controls (SMP) CFR 830.204:
– Training - 5480.20, 29CFR 1910.147Training - 5480.20, 29CFR 1910.147
– Operations - 5480.19Operations - 5480.19
– Emergency Response - 151.1Emergency Response - 151.1
– Configuration Control -Configuration Control - 5480.195480.19
– Inspection/Surveillance/Maintenance - 431.1, 5480.19, Inspection/Surveillance/Maintenance - 431.1, 5480.19, CFR 830.120CFR 830.120
Nov 2006Nov 2006454510
Criteria and Review Approach Criteria and Review Approach Document (CRAD)Document (CRAD)
Criteria and Review Approach Criteria and Review Approach Document (CRAD)Document (CRAD)
Derived from the Performance Objectives defined by the MCR. Derived from the Performance Objectives defined by the MCR.
CRAD includes the:CRAD includes the:– Objectives - high level review topic from Core Requirement;Objectives - high level review topic from Core Requirement;– Criteria - elements of the Objective, including references;Criteria - elements of the Objective, including references;– Review Approach - documents, interviews, and observations. Review Approach - documents, interviews, and observations.
Derived from the Performance Objectives defined by the MCR. Derived from the Performance Objectives defined by the MCR.
CRAD includes the:CRAD includes the:– Objectives - high level review topic from Core Requirement;Objectives - high level review topic from Core Requirement;– Criteria - elements of the Objective, including references;Criteria - elements of the Objective, including references;– Review Approach - documents, interviews, and observations. Review Approach - documents, interviews, and observations.
Nov 2006Nov 20064646
Developing the CRADs Developing the CRADs for the IPfor the IP
Develop Performance Objective
POA Core Requirement
Requirements Develop Measurable Criteria
Develop Review Approach
Procedures
Performance Requirements
Documents
Interviews
Observations
Nov 2006Nov 200647478
The Implementation PlanThe Implementation PlanImplementation Plan (IP) approved by the Team Leader, Implementation Plan (IP) approved by the Team Leader, with Team Member inputs.with Team Member inputs.
The Team Leader will provide (not for approval) the ORR The Team Leader will provide (not for approval) the ORR Implementation Plan to:Implementation Plan to:
– EH for review and comment for all startups and EH for review and comment for all startups and restarts;restarts;
– To the Authorization Authority; To the Authorization Authority;
– To Appropriate PSO as Required.To Appropriate PSO as Required.
Do Do not not commit in the Implementation Plan to more than commit in the Implementation Plan to more than the ORR/RA schedule can support!the ORR/RA schedule can support!
Match the POA’s scope . . .Match the POA’s scope . . .
Nov 2006Nov 200648489
Structuring the Implementation PlanStructuring the Implementation PlanStructuring the Implementation PlanStructuring the Implementation Plan
Establish technical areas of importance . . . Establish technical areas of importance . . .
Allocate areas into Functional Areas (FAs) . . . Allocate areas into Functional Areas (FAs) . . .
Identify personnel with needed competencies to address Identify personnel with needed competencies to address each Functional Area . . . each Functional Area . . .
Subdivide Core Requirements into selected Functional Subdivide Core Requirements into selected Functional Areas . . . .Areas . . . .
Develop CRADsDevelop CRADs
Establish technical areas of importance . . . Establish technical areas of importance . . .
Allocate areas into Functional Areas (FAs) . . . Allocate areas into Functional Areas (FAs) . . .
Identify personnel with needed competencies to address Identify personnel with needed competencies to address each Functional Area . . . each Functional Area . . .
Subdivide Core Requirements into selected Functional Subdivide Core Requirements into selected Functional Areas . . . .Areas . . . .
Develop CRADsDevelop CRADs
Example IP