Readiness Review Course 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 AA Authorizes Startup DOE TL Pre-Assessment Preparation and Planning (Team Selected Pre-Site Visit, IP Drafted) Initial Team Mtg Readiness Review Course Preparing for the Review and Pre-Visit – Mod 7 Nov 2006

Readiness Review Process 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 AA Authorizes Startup DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted) 6 Months Prior to RR 1 Year Prior to RR 3 Months Prior to RR Nov 2006

Learning Objectives Describe the purpose of ORR/RA preparation Describe the activities, products, and responsibilities during a pre-visit including: Preparation/ Planning Acquiring unescorted facility access Interview requests Document requests Evolution requests Implementation Plan finalization Biography/ Credentials submittal Nov 2006

Development of Implementation Plan, ORR Time Line POA Approval Initial Pre- review visit Site Introduction meeting Conduct Review Close-out meeting Follow-up Review Team meeting 1 2 3 4 5 6 7 8 9 10 11 12 13 ORR Report Development of Implementation Plan, Generation & CRADs, & Checklists Review Nov 2006

Prior to the Pre-Visit Advanced Planning (3 months prior to RR) Initiate the process of selecting team members and administrator; Identify Federal and Contractor POCs to assist Team Members; Prepare a draft Implementation Plan including designation of functional areas and development of draft CRADs. Send a letter or e-mail formalizing the notification of the RR to the site points of contact Nov 2006

Prior to the Pre-Visit Advanced Planning (5 - 6 weeks to RR) Team Leader arranges for: Briefings/tours by facility management; Access training; Security and Computer Access; Work area . . . ; Ensure Implementation Plan can be executed with defined time period . . . Nov 2006

Prior to the Pre-Visit Advanced Planning (5 - 6 weeks to RR) Notify team members of requirements and site visits; Security clearances; Site specific training; E-mail/Conference calls . . . Encourage team members to review the Implementation Plan: Identify and avoid areas of duplication; Consolidate review areas where possible; Identify omissions and oversights. Assemble and mail data packets to team member Nov 2006

Documenting Qualifications Team Leaders will determine and document qualifications of ORR/RA team members. Team Leaders must ensure ORR/RA records contain the information to certify the qualification of team members: Resumes; Required reading; Training records . . . Nov 2006

Qualification Summary (example) Name: Objectives Assigned: Employer / Normal Work Assignment: Summary of Technical Qualifications: (Bullet format please, no narrative) Summary of Assessment / ORR / Inspection Qualifications (bullets) Basis for Acceptable Independence Summary of Facility Familiarization: Required Reading Initials Liquid Stabilization Program Plan Interim Safety Analysis, Bldg. 371 and CWTS DOE Plan of Action DOE Implementation Plan ORR Standard: Writer’s Guide (Appendix 4) BLDG 371 OSRs (applicable to assigned FA) Training Date General Employee Radiological Training General Employee Training RADWORKER II Qualification Alarms, Sounds, and Response Training Nuclear Materials Safeguards Training Nuclear Criticality Safety Training Tour, Bldg 371, CWTS Areas Team Leader Signature: Nov 2006

Pre-Visit Meeting Entire team participation . . . Include Team “Site Residents” in visit activities! Introduce team members to counterparts; Identify site access, control, security and required Team equipment and computer issues; Plan for the actual on-site review: Identify documents to be reviewed (pre-review, and during review); Identify potential personnel to be interviewed; Identify potential systems to be reviewed; Identify potential operations to be observed; Develop proposed schedule for the review. Nov 2006

Pre-Visit Meeting – Agenda Items Introduction of Team to the Site and Site Personnel . . . Briefing of ORR/RA Process: discussion of review objectives; discussion of review methods; discussion of review forms and format discussion of the review schedule . . . discussion of needs of team (documents, interviews, observations); discussion of team member interfaces with observers Nov 2006

Pre-Visit Meeting – Agenda Items Presentations by site/project management: Site/activity management & organization; Operations and interfaces; Status of achieving readiness; projected schedule; Any unique aspects of activity or project . . . Perform a Facility Tour Final Drafting of Implementation Plan CRADS Scheduling of Team Member and Facility/Site Counterpart meetings and coordination (interviews, observations, and drills). . . Nov 2006

Document Request for Required Reading Utilize pre-review visit to determine appropriate site documents; Early and electronic is helpful; Web Site Access; Delivery via CD; Minimize review of Draft Documents; Obtain/review index of all relevant site/facility documents Nov 2006

Document Request for Required Reading (continued) Documents that might be relevant to the review include: Accident/Occurrence reports; Shutdown documentation; Other appraisals/audits/investigation reports; Safety Analysis Report/Environmental Documentation Nov 2006

Observations and Interview Request Identify potential interviewees (managers, operators, technicians, engineers); Identify potential observations; Exercise different shifts when possible and see a representative sample; Exercise representative samples of staff / avoid dream teams; Keep requests reasonable and be flexible; Ensure you know how to evaluate what you asked for Nov 2006

An Effective ORR/RA Avoid unnecessary duplication of: Interviews, procedure reviews; Drills, exercise observations . . . Know the “time line” of the review: Schedule driven; Defined sequences; Meet the review schedule. Evaluate team requirements: Issues beyond team expertise . . . Conflicts of interest? Communicate generic problems that could affect or impact other review areas . . . Self Study - Re-familiarize yourself with the standards and directives you will be referencing Nov 2006

Summary ORR/RA preparation begins well before the on-site review . . . Utilize a pre-review site visit, “Pre-Visit,” to acquaint team with facility, counterparts, management system and coordinate; Don't overlook administrative considerations; Remember, it is the last chance to identify any changes needed in the Implementation Plan!! Nov 2006

Questions Nov 2006 23

Readiness Review Course 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 AA Authorizes Startup DOE TL Pre-Assessment Preparation and Planning (Team Selected Pre-Site Visit, IP Drafted) Initial Team Mtg Readiness Review Course Preparing for the Review and Pre-Visit – Mod 7 Nov 2006

Readiness Review Process 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 AA Authorizes Startup DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted) 6 Months Prior to RR 1 Year Prior to RR 3 Months Prior to RR Nov 2006

Learning Objectives Describe the purpose of ORR/RA preparation Describe the activities, products, and responsibilities during a pre-visit including: Preparation/ Planning Acquiring unescorted facility access Interview requests Document requests Evolution requests Implementation Plan finalization Biography/ Credentials submittal Nov 2006

Development of Implementation Plan, ORR Time Line POA Approval Initial Pre- review visit Site Introduction meeting Conduct Review Close-out meeting Follow-up Review Team meeting 1 2 3 4 5 6 7 8 9 10 11 12 13 ORR Report Development of Implementation Plan, Generation & CRADs, & Checklists Review Nov 2006

Prior to the Pre-Visit Advanced Planning (3 months prior to RR) Initiate the process of selecting team members and administrator; Identify Federal and Contractor POCs to assist Team Members; Prepare a draft Implementation Plan including designation of functional areas and development of draft CRADs. Send a letter or e-mail formalizing the notification of the RR to the site points of contact Nov 2006

Prior to the Pre-Visit Advanced Planning (5 - 6 weeks to RR) Team Leader arranges for: Briefings/tours by facility management; Access training; Security and Computer Access; Work area . . . ; Ensure Implementation Plan can be executed with defined time period . . . Nov 2006

Prior to the Pre-Visit Advanced Planning (5 - 6 weeks to RR) Notify team members of requirements and site visits; Security clearances; Site specific training; E-mail/Conference calls . . . Encourage team members to review the Implementation Plan: Identify and avoid areas of duplication; Consolidate review areas where possible; Identify omissions and oversights. Assemble and mail data packets to team member Nov 2006

Documenting Qualifications Team Leaders will determine and document qualifications of ORR/RA team members. Team Leaders must ensure ORR/RA records contain the information to certify the qualification of team members: Resumes; Required reading; Training records . . . Nov 2006

Qualification Summary (example) Name: Objectives Assigned: Employer / Normal Work Assignment: Summary of Technical Qualifications: (Bullet format please, no narrative) Summary of Assessment / ORR / Inspection Qualifications (bullets) Basis for Acceptable Independence Summary of Facility Familiarization: Required Reading Initials Liquid Stabilization Program Plan Interim Safety Analysis, Bldg. 371 and CWTS DOE Plan of Action DOE Implementation Plan ORR Standard: Writer’s Guide (Appendix 4) BLDG 371 OSRs (applicable to assigned FA) Training Date General Employee Radiological Training General Employee Training RADWORKER II Qualification Alarms, Sounds, and Response Training Nuclear Materials Safeguards Training Nuclear Criticality Safety Training Tour, Bldg 371, CWTS Areas Team Leader Signature: Nov 2006

Pre-Visit Meeting Entire team participation . . . Include Team “Site Residents” in visit activities! Introduce team members to counterparts; Identify site access, control, security and required Team equipment and computer issues; Plan for the actual on-site review: Identify documents to be reviewed (pre-review, and during review); Identify potential personnel to be interviewed; Identify potential systems to be reviewed; Identify potential operations to be observed; Develop proposed schedule for the review. Nov 2006

Pre-Visit Meeting – Agenda Items Introduction of Team to the Site and Site Personnel . . . Briefing of ORR/RA Process: discussion of review objectives; discussion of review methods; discussion of review forms and format discussion of the review schedule . . . discussion of needs of team (documents, interviews, observations); discussion of team member interfaces with observers Nov 2006

Pre-Visit Meeting – Agenda Items Presentations by site/project management: Site/activity management & organization; Operations and interfaces; Status of achieving readiness; projected schedule; Any unique aspects of activity or project . . . Perform a Facility Tour Final Drafting of Implementation Plan CRADS Scheduling of Team Member and Facility/Site Counterpart meetings and coordination (interviews, observations, and drills). . . Nov 2006

Document Request for Required Reading Utilize pre-review visit to identify appropriate site documents; Early and electronic is helpful; Web Site Access; Delivery via CD; Minimize review of Draft Documents; Obtain/review index of all relevant site/facility documents Nov 2006

Document Request for Required Reading (continued) Documents that might be relevant to the review include: Accident/Occurrence reports; Shutdown documentation; Other appraisals/audits/investigation reports; Safety Analysis Report/Environmental Documentation Nov 2006

Observations and Interview Request Identify potential interviewees (managers, operators, technicians, engineers); Identify potential observations; Exercise different shifts when possible and see a representative sample; Exercise representative samples of staff / avoid dream teams; Keep requests reasonable and be flexible; Ensure you know how to evaluate what you asked for Nov 2006

An Effective ORR/RA Avoid unnecessary duplication of: Interviews, procedure reviews; Drills, exercise observations . . . Know the “time line” of the review: Schedule driven; Defined sequences; Meet the review schedule. Evaluate team requirements: Issues beyond team expertise . . . Conflicts of interest? Communicate generic problems that could affect or impact other review areas . . . Self Study - Re-familiarize yourself with the standards and directives you will be referencing Nov 2006

Summary ORR/RA preparation begins well before the on-site review . . . Utilize a pre-review site visit, “Pre-Visit,” to acquaint team with facility, counterparts, management system and coordinate; Don't overlook administrative considerations; Remember, it is the last chance to identify any changes needed in the Implementation Plan!! Nov 2006

Questions Nov 2006 23