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U.S. DEPARTMENT OF ENERGY ORDER
Washington, D.C. DOE O 226.1
Approved: 9-15-05
Review: 9-15-07
SUBJECT: IMPLEMENTATION OF DEPARTMENT OF ENERGY OVERSIGHT POLICY
1. OBJECTIVE. This Order provides direction for implementing Department of Energy
(DOE) P 226.1, Department of Energy Oversight Policy, dated 06-10-05, which
establishes DOE policy for assurance systems and processes established by DOE
contractors and oversight programs performed by DOE line management and
independent oversight organizations. The objective of the Order is to ensure that
contractor assurance systems and DOE oversight programs are comprehensive and
integrated for all aspects of operations essential to mission success.
2. CANCELLATION. This Order cancels DOE P 450.5, Line Environment, Safety and
Health Oversight, dated 06-26-97. Cancellation of a directive does not, by itself, modify
or otherwise affect any contractual obligation to comply with such a directive. Canceled
directives that are incorporated by reference in a contract must remain in effect until the
contract is modified to delete the reference to the requirements in the canceled directives.
3. APPLICABILITY.
a. Departmental Elements. Except for the exclusions in paragraph 3c, this Order
applies to all Departmental elements (see Attachment 1 for a complete list of
Departmental elements). This Order automatically applies to Departmental
elements created after it is issued.
The Administrator of the National Nuclear Security Administration (NNSA) shall
assure that NNSA employees and contractors comply with their respective
responsibilities under this Order.
This Order applies to assurance systems implemented by DOE contractors [FOOTNOTE 1] and
DOE organizations that manage or operate onsite; oversight programs
implemented by DOE line management [FOOTNOTE 2] (both Headquarters and field elements);
and DOE independent oversight [FOOTNOTE 3] organizations. This Order covers such
operational aspects as environment, safety, and health; safeguards and security;
cyber security; emergency management; and business operations.
b. DOE Contractors.
(1) The Contractor Requirements Document (CRD), Attachment 2, sets forth
requirements that are to be applied to contractors with responsibility for
worker safety and health at DOE sites or facilities.
(2) Except for the exclusions in paragraph 3c, the CRD sets forth
requirements of this Order that will apply to contractors whose contracts
include the CRD. The CRD applies to all DOE contracts consistent with
the clause entitled, “Laws, regulations, and DOE directives,”
48CFR970.5204-2.
(3) The office identified in the Responsibilities paragraph is responsible for
notifying the contracting officer which contracts are affected by the
requirements described in this Order. Once notified, the contracting
officer is responsible for incorporating the CRD into each affected
contract via the Laws, regulations, and DOE directives clause (48 CFR
970.5204-2) of the contract.
(4) Regardless of the performer of the work, the contractor is responsible for
compliance with the requirements of the CRD that are incorporated in its
contract. An affected contractor is responsible for flowing down the
requirements of the CRD to subcontractors at any tier to the extent
necessary to ensure the contractors compliance with the requirements and
the safe performance of work.
(5) The pertinent requirements of this CRD shall also be made applicable to
other DOE contracts that contain the clauses 48 CFR 952.204-2,
“Security”; 48 CFR 952.204-70, “Classification/Declassification”; and/or
48 CFR 952.223-71, “Integration of Environment, Safety and Health into
Work Planning and Execution. See paragraph 5f below.
c. Exclusions.
(1) This Order does not apply to activities conducted under the authority of
the Director, Naval Nuclear Propulsion Program, as assigned by Executive
Order 12344.
(2) With respect to intelligence-related activities of the Director, Office of
Intelligence, and Counterintelligence-related activities of the Office of
Defense Nuclear Counterintelligence and the Office of
Counterintelligence, this Order applies only to information protection and
cyber security measures, pursuant to Executive Order 12333.
(3) Consistent with Secretarial Delegation Order Number 00-033.00A to the
Administrator and Chief Executive Officer, Bonneville Power
Administration, this Order does not apply to oversight of environmental
programs or occupational safety and health programs at Bonneville Power
Administration.
(4) This Order does not apply to the Office of the Inspector General.
(5) Requirements in this Order that overlap or duplicate requirements of the
Nuclear Regulatory Commission (NRC) related to radiation protection,
nuclear safety (including quality assurance), and safeguards and security
of nuclear material, do not apply to the design, construction, operation,
and decommissioning of Office of Civilian Radioactive Waste
Management (RW) facilities. This exemption does not apply to
requirements for which the NRC defers to DOE or does not exercise
regulatory jurisdiction.
4. REQUIREMENTS.
a. This Order establishes the minimum requirements for implementing DOE
P 226.1. This Order does not preclude requirements in existing or new directives
from being more rigorous for operations or activities where it has been
determined that the risk or hazard necessitates more rigor.
b. An oversight policy committee must be established to ensure ownership of this
Order.
c. Where determined to be necessary, additional directives must be developed to
effectively implement Attachments 2, 3, and 4 (e.g., DOE Safety Oversight
Manual) to this Order. Oversight programs will implement the requirements of
these directives when they are issued.
d. Oversight and assurance processes may identify DOE directives or site-specific
requirements that conflict, are unclear, or are incomplete. Deficiencies in DOE
requirements will be brought to the attention of the responsible DOE
Headquarters policy organization (the Office of Primary Interest) for resolution.
Deficiencies in site-specific requirement will be brought to the attention of the
contracting officer.
e. All applicable DOE organizations must establish and implement an effective
oversight program consistent with DOE P 226.1, the requirements of this Order,
and the applicable attachments to this Order, to include the following.
(1) A comprehensive and rigorous assurance system at all sites implemented
by the contractor (for Government-owned/contractor-operated sites) and
Federal organizations (for Government-owned/Government-operated
sites) that manage or operate DOE sites, facilities, or operations.
(2) DOE field element line management oversight processes, such as
inspections, reviews, surveillances, surveys, operational awareness, and
walkthroughs that evaluate programs and management systems and the
effectiveness of the site assurance system.
(3) DOE Headquarters line management oversight processes that are focused
on the DOE field elements and also look at contractor activities to evaluate
the implementation and effectiveness of field element line management
oversight.
(4) Independent oversight processes that are performed by DOE organizations
that do not have line management responsibility for the management of
the activity and thus provide an independent perspective for senior
management on the effectiveness of programs and activities at all
organizational levels (Headquarters, field, and contractor).
(5) These four essential elements of an oversight program must be designed to
work as a comprehensive system to provide assurance that DOE activities
are safe and secure.
(6) Oversight of high consequence activities, such as high hazard nuclear
operations, require additional rigor, such as instituting Central Technical
Authorities for core nuclear safety functions.
f. For activities and programs at Government-owned and Government-operated
facilities and sites that are not under the cognizance of a DOE field organization,
DOE Headquarters program offices will establish and implement comparably
effective oversight processes consistent with requirements for the contractor
assurance system (Attachment 2, Appendix A) and DOE line management
oversight process (Attachment 3).
5. RESPONSIBILITIES.
a. The Administrator, NNSA, and the Under Secretary for Energy, Science, and
Environment will establish a Central Technical Authority that will maintain
operational awareness, especially with respect to complex, high-hazard nuclear
operations, for ensuring that the Department’s safety policies and requirements
are adequate and properly implemented.
b. Administrator, NNSA; Cognizant Secretarial Officers; DOE and NNSA
Procurement Executives; and Program Secretarial Officers.
(1) Establish oversight programs and processes to implement DOE P 226.1
and this Order at Headquarters and across field organizations.
(2) Design and implement line management oversight programs for DOE
Headquarters and field organizations consistent with Attachment 3 or
comparably effective criteria established by the responsible program
office.
(3) Revise program office specific policies and directives to conform to DOE
P 226.1 and this Order within one year after the effective date of this
Order.
(4) Provide unfettered access to information and facilities to conduct an
effective oversight program, consistent with applicable laws and
requirements.
(5) Require that DOE Headquarters, field offices, and sites regularly assess
the effectiveness of DOE-wide lessons learned processes to improve all
work processes (e.g., safety, security, and business operations) and
associated management systems.
(6) Establish and maintain appropriate qualification standards for personnel
with Headquarters and field oversight responsibilities and clear,
unambiguous lines of authority and responsibility for oversight.
(7) Establish and implement a comparably effective site assurance system
consistent with the provisions of Attachments 2 and 3 for activities and
programs at Government-owned and Government-operated
facilities/activities and DOE sites that are not under the cognizance of a
DOE field organization.
(8) Initially approve and thereafter annually review and approve integrated
safety management system description updates, unless approval authority
is delegated to the DOE field element.
(9) Perform periodic reviews of contractor assurance system programs and
processes for consistency across the complex and ensure that they reflect
industry best practices.
(10) Initially approve and thereafter annually review and approve contractor
assurance system program descriptions updates unless approval authority
is delegated to the DOE field element.
c. Offices of Primary Interest will establish a process to resolve and issue official
interpretations of requirements contained in directives under their responsibility.
d. Heads of Field Organizations/Heads of Contracting Activities.
(1) Incorporate the CRD (Attachment 2) into all DOE contracts pursuant to
48 CFR 970.5204-2, “Laws, regulations, and DOE directives,” by
notifying contracting officers of affected contracts.
(2) Maintain appropriate qualification standards for personnel with oversight
responsibilities and clear, unambiguous lines of authority and
responsibility for oversight.
(3) Establish and implement line management oversight programs and
processes consistent with the requirements of this Order, to include
Attachment 3, or comparably effective criteria established by the
responsible program office.
(4) Provide unfettered access to information and facilities to conduct an
effective oversight program, consistent with applicable laws and
requirements.
(5) Establish and implement effective DOE line management oversight
processes consistent with the provisions of Attachments 2 and 3 for
Government-owned and Government-operated facilities and DOE sites
under the field organizations’ cognizance.
(6) Review, concur, and forward contractor assurance system program
descriptions for Headquarters line management approval. If approval
authority is delegated by the Headquarters organization, approve
contractor assurance system program descriptions. If existing processes
(e.g., quality assurance program or integrated safety management
description documents) provide adequate descriptions of the contractor
assurance programs, or if such processes can be modified to provide
adequate descriptions, submittals under these processes can be used to
meet this requirement.
(7) Revise field element policies and implementing procedures and require
that site-specific policies and implementing procedures conform to DOE
P 226.1 during the established review and revision cycle but no later than
one year after the effective date of this Order; and ensure they are
consistent with this Order, to include Attachments 2 and 3, or comparably
effective criteria established by the responsible program office.
(8) Use the results of DOE line and independent oversight and contractor
assurance systems to make informed decisions about corrective actions
and the acceptability of risks and to improve the effectiveness and
efficiency of programs and site operations.
e. Oversight Policy Committee. The oversight policy committee is ultimately
responsible for the ownership of DOE O 226.1. The oversight policy committee
is chaired by the Office of Management, Budget and Evaluation and is comprised
of a policy representative from the Office of Security and Safety Performance
Assurance; Office of the Chief Information Officer; the National Nuclear Security
Administration; and Office of Environment, Safety and Health.
(1) Coordinates any changes, revisions, or directives developed in support of
this Order with the full participation of the oversight policy committee.
(NOTE: This does not diminish responsibility from any of the individual
members of the oversight policy committee; for example, the development
of a safety-specific manual would be the responsibility of the Office of
Environment, Safety and Health.)
(2) Coordinates any requested exemptions to or interpretations of this Order
with all other affected DOE elements to properly resolve the
exemption/interpretation request.
f. Secretarial Staff Offices.
(1) DOE organizations performing independent oversight under the direct
authority of the Secretary of Energy, such as the Office of Security and
Safety Performance Assurance, shall conduct independent oversight
processes in accordance with the requirements of this Order for
independent oversight (Attachment 4) or comparably effective criteria
established by the director of the independent oversight program.
(2) DOE policy organizations will revise or develop and maintain the
necessary directives to effectively implement this order. For example, the
Office of Environment, Safety and Health will develop and maintain DOE
environment, safety and health policies, regulations, technical standards,
and other directives, and is responsible for enforcement under the Price-
Anderson Amendments Act. Additionally, the Office of Environment,
Safety and Health will develop and maintain a DOE Safety Oversight
Manual.
g. The Procurement Executives of DOE and NNSA. The Procurement Executives of
DOE and NNSA shall implement the pertinent requirements of the CRD of this
Order in the Department of Energy Acquisition Regulation or other appropriate
procurement directive, including the prescription of any necessary contract
clause(s) for those contracts specified in paragraph 3b(5) above.
h. Contracting Officers , once notified, must incorporate the CRD without
modification into their contracts as soon as practicable but no later than 6 months
after the effective date of this Order.
6. DEFINITIONS.
a. “Assurance systems” encompass all aspects of the processes and activities
designed to identify deficiencies and opportunities for improvement, report
deficiencies to the responsible managers, complete corrective actions, and share in
lessons learned effectively across all aspects of operation.
b. “DOE Oversight” encompasses activities performed by DOE organizations to
determine whether Federal and contractor programs and management systems,
including assurance and oversight systems are performing effectively and/or
complying with DOE requirements. Oversight programs include operational
awareness activities, onsite reviews, assessments, self-assessments, performance
evaluations, and other activities that involve evaluation of contractor
organizations and Federal organizations that manage or operate DOE sites,
facilities, or operations.
c. “Site programs” refers to programs that protect the public, workers, environment,
and national security interests or support essential mission activities. Site
programs specifically include environment, safety, and health; safeguards and
security; cyber security; emergency management; and business operations
programs.
d. “Site management systems” refers to required management systems that provide
the framework for a set of related site programs. Site management systems
specifically include Integrated Safety Management, Integrated Safeguards and
Security Management, and Quality Assurance Programs.
7. CONTACT. Questions concerning this Order should be directed to the Office of
Management Communications at 202-586-8829.
SAMUEL W. BODMAN
Secretary of Energy
ATTACHMENT 1. DOE DEPARTMENTAL ELEMENTS TO WHICH DOE O 226.1, IMPLEMENTATION
OF DEPARTMENT OF ENERGY OVERSIGHT POLICY, IS APPLICABLE
Office of the Secretary
Office of the Chief Information Officer
Office of Civilian Radioactive Waste Management
Office of Counterintelligence
Departmental Representative to the Defense Nuclear Facilities Safety Board
Office of Economic Impact and Diversity
Office of Electricity Delivery and Energy Reliability
Office of Energy Efficiency and Renewable Energy
Energy Information Administration
Office of Environment, Safety and Health
Office of Environmental Management
Office of Fossil Energy
Office of General Counsel
Office of Intelligence
Office of Legacy Management
Office of Management, Budget and Evaluation/Chief Financial Officer
National Nuclear Security Administration
Office of Nuclear Energy, Science and Technology
Office of Public Affairs
Office of Science
Office of Security and Safety Performance Assurance
Bonneville Power Administration
Southeastern Power Administration
Southwestern Power Administration
Western Area Power Administration
ATTACHMENT 2. CONTRACTOR REQUIREMENTS DOCUMENT, DOE O 226.1, IMPLEMENTATION OF DEPARTMENT OF ENERGY
OVERSIGHT POLICY
1. RESPONSIBILITIES. The contractor must comply with the following requirements to
ensure establishment of implementing procedures for the provisions of this Contractor
Requirements Document (CRD), compliance with applicable requirements, and effective
and efficient performance.
Regardless of the performer of the work, the contractor is responsible for complying with
the requirements of this CRD. The contractor is responsible for flowing down the
requirements of this CRD to subcontractors at any tier to the extent necessary to ensure
the contractor’s compliance with the requirements.
2. REQUIREMENTS.
a. A comprehensive and integrated contractor assurance system [CRD FOOTNOTE 1] must be established
to identify and address program and performance deficiencies, opportunities for
improvement, provide the means and requirements to report deficiencies to the
responsible managers and authorities, establish and effectively implement
corrective and preventive actions, and share lessons learned across all aspects of
operations.
b. The contractor assurance system will address the criteria described in Appendix A
to this CRD, or other comparably effective criteria established by responsible
DOE line management, for activities such as the following:
(1) assessments (including self-assessments or management assessments,
operational awareness or management walk-throughs, quality assurance
assessments, and internal independent assessments),
(2) event reporting (including reporting, analyzing, trending operational
events, accidents and injuries),
(3) worker feedback mechanisms,
(4) issues management (including analysis of causes, identification of
corrective actions, corrective action tracking, monitoring and closure, and
verification of effectiveness),
(5) lessons learned, and
(6) performance measures.
c. The contractor must submit, for DOE annual review and approval, detailed
contractor assurance system program descriptions to address the following aspects
of operations: (1) environment, safety, and health; (2) safeguards and security;
(3) emergency management; (4) cyber security; and (5) business practices. If
existing processes (e.g., quality assurance program or integrated safety
management description documents) provide adequate descriptions of the
contractor assurance system, or if such processes can be modified to provide
adequate descriptions, submittals under these processes can be used to meet this
requirement.
d. The contractor assurance system must include self-evaluations of compliance with
applicable laws, regulations, national standards, DOE directives, DOE-approved
plans and program documents (e.g., security plans, authorization basis documents,
and quality assurance program), site-specific procedures/manuals, criteria review
and approach documents, contractual performance objectives, and other
contractually mandated requirements.
e. Contractor personnel who manage and perform assurance functions must possess
experience, knowledge, skills, and abilities commensurate with their
responsibilities.
f. The contractor must establish and maintain appropriate qualification standards for
personnel with oversight responsibilities.
g. The contractor must establish and clear, unambiguous lines of authority and
responsibility for personnel performing oversight.
h. The contractor must provide unfettered access to information and facilities to
conduct an effective oversight program, consistent with applicable laws and
requirements.
i. Oversight and assurance processes may identify DOE directives or site-specific
requirements that conflict, are unclear, or are incomplete. Deficiencies in DOE
requirements must be brought to the attention of the contracting officer and
forwarded to the responsible DOE Headquarters policy organization (the Office of
Primary Interest) for resolution.
APPENDIX A TO THE CONTRACTOR REQUIREMENTS DOCUMENT
CONTRACTOR ASSURANCE SYSTEMS
1. REQUIREMENTS.
a. DOE contractors must establish a comprehensive and integrated contractor
assurance system in accordance with quality assurance requirements (as stated in
10 CFR Part 830, Subpart A, or other applicable regulations), applicable DOE
directives, and contract terms and conditions. A contractor’s assurance processes
must encompass all of the various activities designed to—
(1) identify deficiencies and opportunities for improvement,
(2) report deficiencies to the responsible managers and authorities, and
(3) implement effective corrective actions.
b. Assurance activities must encompass environment, safety, and health; safeguards
and security; cyber security; emergency management; and business operations
and must include—
(1) assessments (including self-assessments, management assessments, and
internal independent assessments as defined by laws, regulations, and
DOE directives such as quality assurance program requirements) and other
structured operational awareness activities (e.g., management
walk-throughs);
(2) incident/event reporting processes, including accident investigations;
(3) worker feedback mechanisms;
(4) issues management, including causal analysis, identification of corrective
actions and recurrence controls, corrective action tracking and monitoring,
closure of corrective actions and verification of effectiveness, and trend
analysis;
(5) lessons-learned programs; and
(6) performance indicators/measures.
c. Contractor assurance system data must be documented and readily available to
DOE. Results of assurance processes must be periodically analyzed, compiled,
and reported to DOE in support of the formal contract evaluation.
d. Contractors will establish processes for corporate audits, third-party certifications,
or external reviews by experts in designing and implementing the contractor’s
assurance system.
e. Program effectiveness can be certified by third parties to provide management
with assurance that program elements meet national standards and reviewers’
expectations. Although third-party certification can complement internal
assurance systems, it is not a substitute for rigorous internal assurance system
processes.
f. Contractors must monitor and evaluate all work performed under their contracts,
including the work of subcontractors.
2. ASSESSMENTS. A rigorous and credible assessment program is the cornerstone of
effective, efficient management of programs such as environment, safety, and health;
safeguards and security; cyber security; emergency management; and business processes.
Contractors will be responsible for developing, implementing, and performing
comprehensive assessments of all facilities, systems, and organizational elements,
including subcontractors, on a recurring basis. The scope and frequency of assessments
must be specified in site plans and program documents (e.g., the quality assurance
program) and must meet or exceed the requirements of applicable DOE directives.
External peers or subject matter experts may be utilized to support assessment activities.
a. Self-Assessment is used to evaluate performance at all levels periodically and to
determine the effectiveness of policies, requirements, and standards and the
implementation status.
(1) Management self-assessments (also called management assessments) are
performed by contractor management, and are developed (scope and
review criteria) based on the nature of the facility/activity being assessed
and the hazards and risks to be controlled.
(2) Self-assessments, which focus on hands-on work and the implementation
of administrative processes, involve workers, supervisors, and managers to
encourage identification and resolution of deficiencies at the lowest level
practicable (e.g., workplace inspections and post-job reviews).
(3) Support organizations will perform self-assessments of their performance
and the adequacy of their processes.
(4) Contractor, at all levels, will assess the implementation and adequacy of
their processes, including analysis of the collective results of lower-level
self-assessments.
(5) Self-assessment results will be documented commensurate with the
significance of and risks associated with activities being evaluated.
Deficiencies will be accurately described and documented for evaluation
and correction using formal issues management processes.
b. Internal independent assessments will be performed by contractor organizations
or personnel that have authority and independence from line management, to
support unbiased evaluations.
(1) The assessments will be formally planned and scheduled based on the risk,
hazards, and the complexity of the processes and activities to be evaluated.
(2) Independent evaluators will be appropriately trained and qualified and
have knowledge of the areas assessed.
(3) Reviewers will be dedicated contractor staff, members of external
organizations, or both.
(4) Although independent assessments are applied to individual activities and
processes, they will typically focus on entire facilities or projects, and
programs and management processes that are used by multiple
organizations.
(5) Internal independent assessments will concentrate on performance and
observation of work activities and the results of process implementation.
3. EVENT REPORTING. Formal programs will be established and effectively
implemented to identify issues and report, analyze, and address operational events,
accidents, and injuries.
a. Reportable occurrences that meet occurrence reporting and processing system
thresholds and associated corrective actions will be evaluated, documented, and
reported as required by the DOE directive.
b. For activities covered by the Price-Anderson Amendments Act, nuclear and
worker safety and health issues (e.g., noncompliance) meeting DOE reporting
thresholds should be self-reported through the DOE-wide Noncompliance
Tracking System to mitigate the severity level of the violation and potential
financial penalties.
c. Trending analysis of events, accidents, and injuries is performed in accordance
with structured/formal processes.
4. WORKER FEEDBACK. In addition to structured assessments, DOE contractors will
establish and implement processes to solicit feedback from workers and work activities.
Common feedback mechanisms are described in site plans/program documents and
include the following:
a. employee concerns programs,
b. telephone or intranet “hotline” processes for reporting concerns or questions,
c. pre-job briefs,
d. job hazard walk-downs by workers prior to work,
e. post-job reviews,
f. employee suggestion forms,
g. safety meetings,
h. employee participation in committees and working groups, and
i. labor organization input.
5. ISSUES MANAGEMENT. Contractors must ensure that a comprehensive, structured
issues management system is in place. This system must provide for the timely and
effective resolution of deficiencies, and be an integral part of effective contractor
assurance system.
a. Program and performance deficiencies, regardless of their source, must be
captured in a system or systems that provide for effective analysis, resolution, and
tracking. Issues management must include structured processes for—
(1) determining the risk, significance, and priority of deficiencies;
(2) evaluating the scope and extent of the condition or deficiency (e.g.,
applicability to other equipment, activities, facilities, or organizations);
(3) determining event reportability under applicable requirements (e.g.,
Price-Anderson Amendments Act, Occurrence Reporting and Processing
System, security incident reporting);
(4) identifying root causes (applied to all items using a graded approach based
on risk);
(5) identifying and documenting suitable corrective actions and recurrence
controls, based on analyses, to correct the conditions and prevent
recurrence;
(6) identifying individuals/organizations responsible for implementing
corrective actions;
(7) establishing appropriate milestones for completion of corrective actions,
including consideration of significance and risk;
(8) tracking progress toward milestones such that responsible individuals and
managers can ensure timely completion of actions and resolution of issues;
(9) verifying that corrective actions are complete;
(10) validating that corrective actions are effectively implemented and
accomplish their intended purposes, using a graded approach based on
risk; and
(11) ensuring that individuals and organizations are accountable for performing
their assigned responsibilities.
b. Issues management will provide a process for rapidly determining the impact of
identified weaknesses and taking timely action to address conditions of immediate
concern. For such conditions, interim corrective actions (e.g., stopping work,
shutting down activities, or revising a procedure) are to be taken as soon as a
condition is identified and without waiting until a formal report is issued.
c. Processes for analyzing deficiencies, individually and collectively, must be
established to enable the identification of programmatic or systemic issues.
Process products will be used by management to monitor progress in addressing
known systemic issues and to optimize the allocation of assessment resources.
d. Sites must have effective processes for communicating issues up the management
chain to senior management, using a graded approach that considers hazards and
risks. The processes must provide sufficient technical basis to allow managers to
make informed decisions and must include provisions for communicating and
documenting dissenting opinions. Processes for resolving disputes about
oversight findings and other significant issues must be implemented. The
processes must include provisions for independent technical reviews of significant
issues.
6. LESSONS LEARNED. Formal programs must be established to communicate lessons
learned during work activities, process reviews, and event analyses to potential users and
applied to future work activities. Contractors must identify, apply, and exchange lessons
learned with the rest of the DOE complex. Contractors must review and apply lessons
learned identified by other DOE organizations and external sources to prevent similar
occurrences.
7. PERFORMANCE MEASURES. Contractors must identify, monitor, and analyze data
measuring the performance of facilities, programs, and organizations. The data must be
used to demonstrate performance improvement or deterioration relative to identified
goals. Using a program to analyze and correlate data, contractors must suggest further
improvements and identify good practices and lessons learned. To accomplish these
objectives, contractors must establish programs that identify, gather, verify, analyze,
trend, disseminate, and make use of performance indicators.
Performance indicator data must be considered in allocating resources, establishing goals,
identifying performance trends, identifying potential problems, and applying lessons
learned and good practices. Quantitative performance indicators/measures also may be
considered in evaluating performance and establishing oversight priorities. However,
quantitative performance measures provide only a partial indication of system
effectiveness and must be considered in combination with other appraisal and operational
awareness results.
ATTACHMENT 3. DOE LINE MANAGEMENT
(BOTH HEADQUARTERS AND FIELD ELEMENTS)
OVERSIGHT PROCESSES
1. REQUIREMENTS. DOE Headquarters and field element line management maintain
sufficient knowledge of site and contractor activities to make informed decisions about
hazards, risks and resource allocation, provide direction to contractors, and evaluate
contractor performance. The effectiveness of contractor assurance systems, the hazards
at the site/activity, and the degree of risk are factors in determining the scope and
frequency of DOE line management assessments and operational awareness activities.
a. DOE line management oversight must:
(1) Ensure contractor compliance with requirements. DOE line management
must periodically examine contractor programs and their implementation
at the work-activity level to assess that DOE requirements and external
regulatory requirements are met effectively. Deficiencies must be brought
to the attention of contractor management and addressed in a timely
manner.
(2) Ensure the adequacy of contractor assurance systems. DOE line
management must review contractor assurance systems periodically to
gauge that contractors are assessing site activities adequately,
self-identifying deficiencies, and taking timely and effective corrective
actions.
(3) Evaluate contractor performance. DOE line management must
periodically evaluate contractor performance in accordance with the
provisions of their contracts.
(4) Ensure compliance with requirements applicable to DOE line
management. DOE line management organizations must establish and
implement oversight processes for monitoring their internal operations and
completing required activities, such as reviewing and approving safety
analysis reports and security plans, performing emergency management
functions, adjudicating security clearances, implementing computer
security programs at DOE office buildings, operating classified and
sensitive information identification and protection programs, and
operating employee concerns programs and other such functions.
b. DOE line management must set expectations and communicate them to
contractors. This will be implemented through formal contract mechanisms and
direct communication between DOE and contractor managers.
(1) Particular attention must be devoted to ensuring that requirements and
expectations are established in contractual documents, including
performance indicators, measures, objectives, and criteria.
(2) Performance expectations must be established through the development
and approval of required program documents for -
(a) quality assurance,
(b) integrated safety management (including the environmental
management system),
(c) integrated safeguards and security management,
(d) cyber security,
(e) emergency management, and
(f) business operations.
(3) DOE line management must verify that plans submitted by contractors
clearly delineate actions to be taken and describe programs that meet DOE
requirements and expectations.
(4) Indicators and performance measures must be established and periodically
reviewed by DOE line management and communicated to contractors to
provide tools for monitoring performance in meeting expectations.
(5) In addition to collecting and analyzing long-term indicators of interest
complex-wide, contractor-specific performance objectives and criteria and
appropriate incentives must be identified and specified in contract
documents. Objectives and criteria must be challenging and focused on
improving performance in known areas of weakness.
(6) If the contractor assurance system is not adequate, DOE line management
will provide direction to the contractor through such measures as
contractual provisions and required program documents (e.g., quality
assurance program).
c. To promote efficiency, DOE field organizations will perform most onsite
operational awareness and assessment activities on behalf of the responsible DOE
line management organization. However, DOE Headquarters, Field Managers,
and support or Service Center staff may conduct “for cause” reviews, reviews
pursuant to other requirements in this Order, discretionary assessments, or provide
support to field elements during assessments.
d. DOE line management must have effective processes for communicating line
oversight results and other issues up the DOE line management chain, using a
graded approach based on the hazards and risks. The processes must provide
sufficient technical basis to allow senior DOE managers to make informed
decisions and must include provisions for communicating and documenting
dissenting opinions. Processes for resolving disputes about oversight findings and
other significant issues must also be implemented and include provisions for
independent technical reviews of significant issues.
e. DOE Headquarters line management personnel must regularly review the results
of DOE field organization oversight and other information to maintain awareness
of site conditions and trends and to determine the effectiveness of field line
management oversight processes. DOE Headquarters line management must
establish appropriate oversight activities to review the adequacy of the scope and
implementation of field office self-assessment activities, field office oversight
activities, and field office assurance systems.
f. Oversight of high consequence activities, such as high hazard nuclear operations,
require additional rigor, such as instituting Central Technical Authorities (CTA)
for core nuclear safety functions. Oversight of operations with the potential for
high consequence events such as nuclear facilities and operations require
additional oversight that must include Headquarters awareness and assessment
activities. For high-consequence nuclear operations, the CTAs will maintain
awareness of the content of applicable DOE line oversight programs, plans, and
processes, and contractor assurance systems by monitoring, evaluation and trend
analyses, and by participation in oversight activities. The CTAs will also
maintain awareness of the state of implementation of these line management
programs, plans, and processes, and contractor assurance systems by monitoring
associated assessment reports. The CTA support staff will also conduct and
participate in various DOE Headquarters line oversight review activities as
defined in the associated Headquarters oversight programs. Based on these
activities the CTA will communicate identified issues and trends to line
management, provide advice concerning technical solutions or options, and be
able to follow up to ensure proper closure or implementation.
g. The oversight program will provide a balance between reviews of documentation
(e.g., plans, procedures, and records) and adequacy of implementation through
performance tests and observation of actual work activities at the facilities.
h. Oversight program activities will provide for a similar balance between
evaluations of systems (such as the DOE integrated safety management system
and integrated safeguards and security management system), programs (e.g.,
radiation protection), facilities, and implementation of individual elements of
those systems (e.g., specific work activities).
i. DOE line management oversight will coordinate assessment activities with site
assurance system activities to promote efficient use of resources and may conduct
some assessments jointly with contractors. However, DOE line management
must maintain an adequate baseline oversight program that includes sufficient
standalone assessments of contractor management systems and site programs.
j. DOE line management (primarily through field organizations) will implement a
baseline line management oversight program that focuses resources on selected
assessments, operational awareness activities, performance measure monitoring
and improvement, and assessment of assurance systems. For sites that need
improvement in site programs, management systems, or assurance systems (e.g.,
insufficient rigor or comprehensiveness in existing systems), DOE line
management will conduct more frequent assessments focusing on areas needing
improvement.
k. DOE Headquarters and field element line management will regularly assess site
assurance systems to determine the appropriate level of overlap and redundancy
of DOE Headquarters and field element line management oversight. Accordingly,
DOE line management organizations may increase their frequency and/or depth
based on performance deficiencies or events or may decrease the frequency
and/or depth of line management oversight assessments to reflect sustained
effective site performance. Although external organization reviews and the
effectiveness of assurance systems are considered in determining DOE line
management oversight priorities and the scope and frequency of oversight
activities, DOE line management must always maintain an adequate minimum
baseline oversight program that enables DOE line management to understand the
hazards and risks of activities.
l. The effectiveness of the contractor assurance system will be determined based on
objective criteria. DOE line management will establish criteria for determining
the effectiveness of site programs, management systems, and contractor assurance
systems that include consideration of previous assessment results (internal and
external), effectiveness of completed corrective actions, demonstrated success in
self-identifying and correcting deficiencies, the existence of rigorous and well
documented programs, and evidence of sustained management support for site
programs, management systems, and assurance systems.
m. DOE Headquarters and field line management will establish documented program
plans that describe their oversight activities and will develop an annual schedule
of planned assessments and focus areas for operational awareness. Modifications
to the schedule are expected in response to changing circumstances, but
modifications are approved by DOE line management in accordance with defined
processes.
n. DOE oversight programs and assurance systems will evaluate performance
against requirements and performance objectives to include laws, regulations,
national standards, DOE directives, DOE-approved plans and program documents
(e.g., security plans, authorization basis documents, and quality assurance
program), site-specific procedures/manuals, criteria review and approach
documents, other contractually mandated requirements, and contractual
performance objectives. Requirements and performance objectives are
established and interpreted through approved processes so that they are relevant to
the site and mission.
2. PROCESSES. DOE line management must implement oversight processes as described
below.
a. Operational Awareness Activities. DOE line management, primarily through
field organizations, must conduct routine day-to-day monitoring of work
performance through facility tours/walk-throughs, work observation, document
reviews, meeting attendance and participation, and ongoing interaction with
contractor workers, support staff, and management.
(1) DOE line management must rigorously review and critique contractor
processes and performance in identifying, evaluating, and reporting events
and safety issues that are required to be reported by laws, regulations, or
DOE directives to determine whether issues are properly screened,
evaluated, and reported.
(2) DOE line management must evaluate and monitor the contractor
evaluations and corrective actions for events and issues and assesses
whether effective recurrence controls are identified and implemented.
(3) Operational awareness activities must be documented either individually
or in periodic (e.g., weekly or monthly) summaries.
(4) Deficiencies in programs or performance identified during operational
awareness activities must be communicated to the contractor for resolution
through a structured issues management process, which can be managed
by the DOE field organization or the contractor.
b. Assessments of Facilities, Operations, and Programs. DOE line management
must establish and implement assessment programs to determine contractor
compliance with requirements.
(1) DOE line management assessments will be planned and scheduled based
on requirements, analysis of hazards and risks, past performance, and
effectiveness of contractor assurance systems for organizations, facilities,
operations, and programs.
(2) In addition to scheduled assessments, “for cause” reviews will be
performed when circumstances warrant (e.g., when events indicate
degradation of a system).
(3) Assessments will be performed in support of facility startup and restart or
review and will review and approve required program documents (e.g.,
authorization basis documents).
(4) Assessments must include reviews of site qualification standard programs,
training programs, and individual training and qualifications as they relate
to environment, safety, and health; safeguards and security; emergency
management; cyber security; and business practices.
(5) Assessment results, including findings, must be documented and provided
to the contractor for timely resolution.
(6) Deficiencies identified by DOE assessments or other DOE reviews must
be addressed in a structured issues management process. DOE verifies
that contractor corrective actions are complete and effective in addressing
deficiencies before they are closed out in the issues management system.
(7) DOE line management must maintain a baseline assessment program that
provides assurance that DOE managers have an accurate picture of the
status and effectiveness of site programs and that deficiencies are
identified in a timely manner.
(8) DOE line management will perform “for cause” reviews and assessments
in support of startup/restart and program document reviews as warranted.
(9) Oversight must include structured and rigorous processes for validating
the accuracy of information collected during assessments. DOE line
management requires that findings must be tracked and resolved through
structured and formal processes, including provisions for review of
corrective action plans.
(10) DOE line management must verify that corrective actions are complete
and performed in accordance with requirements before findings identified
by DOE assessments or reviews are closed, and requires that deficiencies
are analyzed both individually and collectively to identify causes and
prevent recurrences.
c. Assessments of Contractor Assurance Systems. DOE requires that contractor
assurance systems address all organizations, facilities, and program elements.
(1) DOE line management must assess implementation and effectiveness of
contractor assurance systems for environment, safety, and health;
safeguards and security; emergency management; cyber security; and
business practices systems and their subelements (e.g., radiation protection
within environment, safety, and health) by examining the following:
(a) assessment methods (e.g., whether sufficient emphasis is placed on
observation of work activities);
(b) the frequency, breadth, and depth of self-assessments;
(c) line management involvement in self-assessments;
(d) evaluators’ technical expertise and qualifications;
(e) the number and nature of findings identified; and
(f) the degree of rigor applied to self-assessment.
(2) DOE line management must regularly assess the effectiveness of
contractor issues management and corrective action processes, lessons
learned processes, and other feedback mechanisms (e.g., worker
feedback). DOE line management must also evaluate contractor processes
for communicating information, including dissenting opinions, up the
management chain.
(3) DOE line management must validate that contractor corrective actions
have been implemented and are effective in resolving deficiencies and
preventing recurrence.
(4) DOE line management must also regularly assess the contractor’s
reporting processes and performance to assess that contractors meet
reporting requirements for events and incidents of security, environment,
safety, health, cyber security, and emergency management concern and
take effective actions to prevent recurrence of deficiencies or findings.
(5) For sites where contractors report the results of performance measures to
DOE (e.g., as part of a contractual provision), DOE must regularly assess
the effectiveness of processes for collecting, evaluating, and reporting
performance data to ascertain the accuracy, completeness, and validity of
the performance measures.
d. Evaluations of Contractor Performance. As contracting officers, DOE line
management must periodically evaluate contractor performance in meeting
contractual requirements and expectations.
(1) A combination of DOE line management oversight, contractor
self-assessments, and other performance indicators (e.g., performance
measures and event reports) must be used to evaluate contractor
performance.
(2) DOE line management must evaluate the effectiveness of management
programs, including environment, safety, and health; safeguards and
security; cyber security; emergency management; and business processes.
Poor performance in these areas must have significant negative
consequences on evaluations and fee determination. In accordance with
contract provisions, evaluations must be used to reward significant
accomplishments and/or performance improvements.
(3) Quantitative performance indicators and measures may be used to support
the evaluation of a contractor; however, such indicators provide only a
partial indication of system effectiveness and must be considered in
combination with assessment results.
(4) Evaluations must be based on an analysis of the results of relevant
information obtained or developed during the performance period,
including contractual performance measures and objectives, DOE line
management oversight, contractor self-assessments, operational
history/events, and reviews by DOE and external organizations.
e. Self-Assessments of DOE Line Management Functions and Performance. DOE
Headquarters and field organizations must have a structured, documented
self-assessment program for environment, safety, and health; safeguards and
security; cyber security; emergency management; and business operations to
comply with DOE requirements. DOE organizations must perform
self-assessments of programmatic and line management oversight processes and
activities (e.g., security surveys, facility representative programs, personnel
qualification standards, and training programs) to assess whether requirements
and management expectations are met. The frequency of assessments of these
functions must be commensurate with the hazards and risks related to the activity
being assessed. Continuous improvement mechanisms (e.g., corrective action
processes) must be in place to improve the effectiveness and efficiency of
oversight programs and site operations.
ATTACHMENT 4. INDEPENDENT OVERSIGHT PROCESSES
1. REQUIREMENTS. Independent oversight will be conducted under the direct authority
of the Secretary of Energy, and the results will be provided to DOE line management and
other appropriate interested parties (e.g., Congress or other Federal/State agencies).
Independent oversight performance evaluations at DOE sites provide an independent
perspective on the effectiveness of DOE line management and contractors in ensuring
that site operations are performed safely, securely, and in compliance with applicable
requirements.
To ensure consistent implementation of oversight processes, the director of each
independent oversight program will ensure that independent oversight is accomplished in
accordance with DOE directives (e.g., DOE O 470.2B, Independent Oversight and
Performance Assurance) and other written work processes and established criteria (e.g.,
inspector protocols/guides and performance test methodologies).
2. FOCUS. Independent oversight processes focus on areas of potential risk to DOE, such
as environment, safety, and health; safeguards and security; cyber security; emergency
management; and business processes.
a. In establishing priorities, independent oversight programs must select specific
sites, facilities, programs, and activities for review through a planning process that
considers risks, hazards, past performance, facility conditions, changes in mission
or operations, changes in contractors or management organizations, and other
such factors.
b. A selective sampling approach must provide sufficient independent reviews of
sites and programs while minimizing overlap with the DOE line management
oversight activities conducted by the DOE Headquarters and field organizations.
c. Written plans with evaluation criteria will be developed for major assessments.
The current and historical effectiveness of the DOE line management oversight
programs and contractor feedback and improvement processes is a major factor in
determining the scope, breadth, and depth of an inspection. In addition,
independent oversight priorities and the sampling approach may change over time
as conditions change or at the direction of the Secretary of Energy.
d. At the conclusion of independent oversight inspections, reports detailing
assessment activities and results will be documented and disseminated to DOE
line management. The independent oversight report development process and
validation process will be documented in written work instructions to ensure that
information collected during assessments and resulting findings are based on
factually accurate and valid information.
e. Independent oversight must provide a balance between reviews of documentation
(e.g., procedures and records) and adequacy of implementation through
performance tests and observation of work activities. A similar balance must be
achieved for evaluations of systems (such as the DOE integrated safety
management and integrated safeguards and security management systems),
programs (e.g., radiation protection), facilities, and implementation of individual
elements of those systems (e.g., specific work activities).
f. Independent oversight activities, such as Office of Independent Oversight and
Performance Assurance inspections, differ from DOE line management
assessments in that they focus on the combined effectiveness of contractors and
DOE line management in establishing site programs that meet DOE expectations.
The selective evaluation of program implementation by contractors provides an
indication of the effectiveness of DOE line management in providing direction
and ensuring contractor performance.
FOOTNOTE 1: DOE contractors are those that operate under contracts governed by 48 CFR 970.5204-2, Laws, Regulations, and DOE
Directives; however, this Policy should also apply to contracts governed by 48 CFR 952.204-2, Security Requirements;
48 CFR 952.204-70, Classification/Declassification; and/or 48 CFR 952.223-71, Integration of Environment, Safety, and Health
into Work Planning and Execution.
FOOTNOTE 2: DOE line management refers to the management chain with responsibility for the site. This chain typically extends from the
responsible site organization (e.g., site office or field office) to the responsible program office through the Under Secretary and
ultimately to the Deputy Secretary and Secretary of Energy.
FOOTNOTE 3: Independent oversight refers exclusively to oversight by DOE Headquarters organizations that do not have line management
responsibility for the activity.
CRD FOOTNOTE 1: As used in this CRD, contractor assurance system encompass all aspects of the activities designed to identify
deficiencies and opportunities for improvement, report deficiencies to the responsible managers and authorities, and
ensure that corrective and preventive actions are established and effectively implemented. These activities include
assessments (including self-assessments, management assessments, and internal independent assessments as
defined by laws, regulations, and DOE Orders), operational awareness activities (e.g., management walk-throughs),
quality assurance programs, lessons-learned programs, accident investigations, worker feedback mechanisms,
performance indicators/measures, event reporting processes, analysis of causes, identification of corrective actions
and recurrence controls, corrective action tracking and monitoring, closure of corrective actions and verification of
effectiveness, and analysis of trends.
AVAILABLE ONLINE AT: INITIATED BY:
http://www.directives.doe.gov Office of Security and Safety Performance Assurance