Operational Readiness Review

1
Readiness ReviewCourse
ORR Team Leader Detailed Responsibilities Mod 6
2
Learning Objectives

• Describe the ORR Team Leaders detailed
  activities and considerations associated with
  planning and conducting an ORR/RA including

Authorization Authority Plan of Action Event
Dates Draft Implementation Plan Team Selection
Criteria Team Level of Experience Team
Qualification Requirements
Logistics/Planning Management of the
Team Interfaces - Oversight Entities -
Startup Authority - Facility
Contractor Necessary Briefings/Meetings ORR Final
Report
3
Readiness Review Process
6 Months Prior to RR
1 Year Prior to RR
4
Team Leader Roles and Responsibilities

• Reference DOE-HBK-3012-2003 for specific details
  on Team Leaders Roles and Responsibilities
• Assemble team,
• Begin developing implementation plan,
• Logistics - required room, equipment, security,
  training,
• Assemble document request,
• Arrange briefings,
• Arrange tours.

5
Team Selection Criteria

• Team Members and size of Team derived from the
  POA Breadth and Scope
• Selected by the Team Leader
• DOE O 425.1C Requirements
• Technical competence
• Assessment experience/training
• Independence in the Review area.
• Sample Forms Available
• Standard (3006-00) and DOE/NNSA Web Pages.
• Other Qualities
• Writing skills
• Team player
• Big Picture . . .

6
Plan of Action

• Is your writing guide used to develop your
  Implementation Plan
• Names you as the Team Leader
• Defines the Breadth and Scope of the RR
• Defines prerequisites
• Provides a proposed start date
• Used to Identify Team Members and Functional
  Areas to Review
• Approved by DOE/NNSA Authorization Authority for
  both CORR/CRA and DOE/NSA ORR/RA.

7
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

13
8
Implementation Plan

• Your responsibility . . . You draft it and
  approve it!
• You and the team prepare it
• You resolve/consider comments with oversight
  organizations (internal, external)
• What do you commit to do, to answer the question
  - are the criteria within the POA scope met?

9
Team Leader Briefings and Meetings

• Daily Team Meeting
• Shares information, contractor, DOE/NNSA . . .
• Team Synergy.
• Closeout Briefing
• Key Issues - Pre-Start Findings
• Startup Recommendation
• Finding Closure Recommendation.
• Follow-up As Required

10
Managing the Interfaces

• Interfaces
• Oversight Entities (DNFSB, EH)
• Authorization Authority
• Local DOE/NNSA Points of Contact
• Facility Contractor
• Good Practices
• Full Access - Best Practice
• No Secrets, be Open!
• Must be Fully Informed Brief periodically
• Initiate the Communication

11
Authorization Authority

• AA is your Boss
• Final Readiness Review report is for his/her
  decision
• Line decision maker for scope changes.
• Close Interface
• Regular briefings during review
• Immediate notification of major issues
• Formally direct you to commence the Readiness
  Review
• For CORR/CRA, a Senior Line Manager will fill
  this role.

12
ORR Final ReportKeys to Success

• Your Product!
• Suggested Format in Standard/website
• Select and provide an example to Team.
• Unclassified preferred as required . . .
• Key Elements (Order Requirements)
• Order Compliance as per POA
• Lessons Learned
• ISMS Statement
• Your Recommendation
• Addressed to Authorization/Startup Authority.

13
ORR Final ReportKeys to success

• Plan to complete before team leaves site . . .
• Define Timeline and expectations to team early .
  . .
• Provide example formats early-forms Summary . .
  .
• Develop the report skeleton and background early
  . . .
• Arrange for Admin support to edit, format,
  collate . . .
• Push daily input to individual forms . . .
• Emphasize timely factual accuracy . . .
• Describe the review/approval process to the team
  . . .
• Continuous classification review of product . . .

14
Team Leader (TL) Lesson Learned

• TL not qualified Selection criteria guidance
  not detailed enough (e.g., independence,
  experience)
• TL not assigned soon enough (POA timely
  approval)
• TL does not communicate expectations to team with
  enough lead time
• TL does not communicate drill/evolution
  expectations to facility
• Site access for team not gained ahead of time
• Logistic needs not communicated to site with
  enough lead time
• TL does not tailor CRADs based on Pre-Visit or
  Team not at Pre-Visit, or no Pre-Visit)
• CRAD assigned to TL .

15
If the Review Results are not Successful

• Significant team decision. Facts must support
• Sleep on it Confront team to defend conclusion.
• Discuss situation and options with Authorization
  Authority (Senior Contractor Management).
• Two Options
• Suspend the Review. Interim Report including
  what was done and areas not done.
• Final report for completed Functional Areas (FA)
  
• High level discussion and findings for incomplete
  FAs.
• Terminate the Review. Report results with basis
  for repeat of entire ORR/RA.

16
Final Thoughts

• Be Flexible with Start Date!
• You work for the AA
• IP is yours and the teams
• Be Alert to Recommend Pre-Event Activities
• Emergency Preparedness (EP) Drills
• Integrated Equipment Tests.
• Critical Team Interface Issue . . .
• You Must be Proactive . . .

17
Questions
18
Readiness ReviewCourse
ORR Team Leader Detailed Responsibilities Mod 6
19
Learning Objectives

• Describe the ORR Team Leaders detailed
  activities and considerations associated with
  planning and conducting an ORR/RA including

Authorization Authority Plan of Action Event
Dates Draft Implementation Plan Team Selection
Criteria Team Level of Experience Team
Qualification Requirements
Logistics/Planning Management of the
Team Interfaces - Oversight Entities -
Startup Authority - Facility
Contractor Necessary Briefings/Meetings ORR Final
Report
20
Readiness Review Process
6 Months Prior to RR
1 Year Prior to RR
21
Team Leader Roles and Responsibilities

• Reference DOE-HBK-3012-2003 for specific details
  on Team Leaders Roles and Responsibilities
• Assemble team,
• Begin developing implementation plan,
• Logistics - required room, equipment, security,
  training,
• Assemble document request,
• Arrange briefings,
• Arrange tours.

22
Team Selection Criteria

• Team Members and size of Team derived from the
  POA Breadth and Scope
• Selected by the Team Leader
• DOE O 425.1C Requirements
• Technical competence
• Assessment experience/training
• Independence in the Review area.
• Sample Forms Available
• Standard (3006-00) and DOE/NNSA Web Pages.
• Other Qualities
• Writing skills
• Team player
• Big Picture . . .

23
Plan of Action

• Is your writing guide used to develop your
  Implementation Plan
• Names you as the Team Leader
• Defines the Breadth and Scope of the RR
• Defines prerequisites
• Provides a proposed start date
• Used to Identify Team Members and Functional
  Areas to Review
• Approved by DOE/NNSA Authorization Authority for
  both CORR/CRA and DOE/NSA ORR/RA.

24
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

13
25
Implementation Plan

• Your responsibility . . . You draft it and
  approve it!
• You and the team prepare it
• You resolve/consider comments with oversight
  organizations (internal, external)
• What do you commit to do, to answer the question
  - are the criteria within the POA scope met?

26
Team Leader Briefings and Meetings

• Daily Team Meeting
• Shares information, contractor, DOE/NNSA . . .
• Team Synergy.
• Closeout Briefing
• Key Issues - Pre-Start Findings
• Startup Recommendation
• Finding Closure Recommendation.
• Follow-up As Required

27
Managing the Interfaces

• Interfaces
• Oversight Entities (DNFSB, EH)
• Authorization Authority
• Local DOE/NNSA Points of Contact
• Facility Contractor
• Good Practices
• Full Access - Best Practice
• No Secrets, be Open!
• Must be Fully Informed Brief periodically
• Initiate the Communication

28
Authorization Authority

• AA is your Boss
• Final Readiness Review report is for his/her
  decision
• Line decision maker for scope changes.
• Close Interface
• Regular briefings during review
• Immediate notification of major issues
• Formally direct you to commence the Readiness
  Review
• For CORR/CRA, a Senior Line Manager will fill
  this role.

29
ORR Final ReportKeys to Success

• Your Product!
• Suggested Format in Standard/website
• Select and provide an example to Team.
• Unclassified preferred as required . . .
• Key Elements (Order Requirements)
• Order Compliance as per POA
• Lessons Learned
• ISMS Statement
• Your Recommendation
• Addressed to Authorization/Startup Authority.

30
ORR Final ReportKeys to success

• Plan to complete before team leaves site . . .
• Define Timeline and expectations to team early .
  . .
• Provide example formats early-forms Summary . .
  .
• Develop the report skeleton and background early
  . . .
• Arrange for Admin support to edit, format,
  collate . . .
• Push daily input to individual forms . . .
• Emphasize timely factual accuracy . . .
• Describe the review/approval process to the team
  . . .
• Continuous classification review of product . . .

31
Team Leader (TL) Lesson Learned

• TL not qualified Selection criteria guidance
  not detailed enough (e.g., independence,
  experience)
• TL not assigned soon enough (POA timely
  approval)
• TL does not communicate expectations to team with
  enough lead time
• TL does not communicate drill/evolution
  expectations to facility
• Site access for team not gained ahead of time
• Logistic needs not communicated to site with
  enough lead time
• TL does not tailor CRADs based on Pre-Visit or
  Team not at Pre-Visit, or no Pre-Visit)
• CRAD assigned to TL .

32
If the Review Results are not Successful

• Significant team decision. Facts must support
• Sleep on it Confront team to defend conclusion.
• Discuss situation and options with Authorization
  Authority (Senior Contractor Management).
• Two Options
• Suspend the Review. Interim Report including
  what was done and areas not done.
• Final report for completed Functional Areas (FA)
  
• High level discussion and findings for incomplete
  FAs.
• Terminate the Review. Report results with basis
  for repeat of entire ORR/RA.

33
Final Thoughts

• Be Flexible with Start Date!
• You work for the AA
• IP is yours and the teams
• Be Alert to Recommend Pre-Event Activities
• Emergency Preparedness (EP) Drills
• Integrated Equipment Tests.
• Critical Team Interface Issue . . .
• You Must be Proactive . . .

34
Questions