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DOE O 226.1A 8-16-07
E R R A T A S H E E T
This Errata Sheet transmits the following minor change to
DOE O 226.1A, Implementation of Department of Energy
Oversight Policy, dated 7-31-07. Paragraph 8, should read
"CONTACT. Questions concerning this Order should be directed
to the Office of Health, Safety and Security at 301-903-6061."
The change is reflected in this Order.
This Errata Sheet must remain with DOE O 226.1A.
U.S. Department of Energy ORDER
Washington, D.C. DOE O 226.1A
Approved: 7-31-07
SUBJECT: IMPLEMENTATION OF DEPARTMENT OF ENERGY OVERSIGHT POLICY
1. PURPOSE. This Order provides direction for implementing
Department of Energy (DOE) P 226.1A, Department of Energy
Oversight Policy, dated 5-25-07, 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 key aspects of operations
essential to mission success.
2. CANCELLATION. This Order cancels DOE O 226.1,
Implementation of Department of Energy Oversight Policy,
dated 09-15-05. 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. (Go to
http://www.directives.doe.gov/references for the
current listing of Departmental elements). This list
automatically includes all Departmental elements
created after the Order is issued.
The Administrator of the National Nuclear Security
Administration (NNSA) will assure that NNSA employees
and contractors comply with their respective
responsibilities under this Order. Nothing in this
Order will be construed to interfere with the NNSA
Administrator’s authority under section 3212(d) of
Public Law (P.L.) 106-65 to establish Administration
specific policies, unless disapproved by the Secretary.
This Order applies to assurance systems implemented by
DOE contractors1 and DOE organizations that manage or
operate onsite; oversight programs implemented by DOE
line management2 (both Headquarters and field
elements); and DOE independent oversight
organizations.3 This Order covers such
operational aspects as environment, safety, and health;
safeguards and security; cyber security; and emergency
management.
b. DOE Contractors.
(1) The Contractor Requirements Document (CRD),
Attachment 1, sets forth requirements that are to
be applied to contractors with responsibility for
worker safety and health, security, cyber
security, or emergency management 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 when
incorporated consistent with the clause entitled,
“Laws, regulations, and DOE directives,” 48 CFR
970.5204-2.
(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.
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; and counterintelligence-
related activities of the Office of Intelligence
and Counterintelligence, this Order applies only
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 226.1A. 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. 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.
c. All applicable DOE organizations must establish and
implement an effective oversight program consistent
with DOE P 226.1A, the requirements of this Order, and
the applicable attachments to this Order (Attachment 1,
Contractor Requirements Document; Attachment 2, DOE
Line Management Oversight Processes; and Attachment 3,
Independent Oversight Processes), 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. DOE field elements must prepare
documented program plans and annual schedules for
both planned assessments and focus areas for
operational oversight.
(3) DOE Headquarters line management oversight
processes that are focused primarily on the DOE
field elements and also look at contractor
activities to the extent necessary, in order to
evaluate the implementation and effectiveness of
field element line management oversight. DOE
Headquarters elements must prepare documented
program plans and annual schedules for both
planned assessments and focus areas for
operational oversight.
(4) Independent oversight processes (see also DOE O
470.2B, Independent Oversight and Performance
Assurance Program) 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 (CTAs) for core nuclear safety
functions. Documented oversight program plans and
schedules must address the role of the CTAs and
their support staff.
d. Implementation must be accomplished on the following
schedule:
(1) Existing Environment, Safety and Health (ES&H)
oversight practices are contained in: Title 10 CFR
830 Subpart A, Quality Assurance; DOE O 414.1C,
Quality Assurance; DOE M 450.4-1, Integrated
Safety Management System Manual; and DOE O 450.1,
Environmental Protection Program. Other DOE
regulations and directives, such as the as the
Nuclear Safety Management Rule (10 CFR 830), the
Worker Health and Safety Program Rule (10 CFR
851), and DOE O 470.2B, Independent Oversight and
Performance Assurance Program contain related and
overlapping requirements and responsibilities.
These ES&H and QA oversight practices are to be
integrated and enhanced as needed to meet the
requirements of DOE P 226.1A and DOE O 226.1A for
a comprehensive and rigorous assurance system.”
(2) S&S Implementation of DOE O 226.1A by Departmental
elements is due 90 days after the effective date
of the Order.
(3) DOE O 151.1C Comprehensive Emergency Management
System, Chapter X, Readiness Assurance (Sections
1-3), and the CRD (Section 7) address contractor
self-assessments, field element evaluations, and
program office evaluations, and includes exercise
evaluations, use of performance indicators,
corrective actions (identification, tracking,
verification/validation through closure), and
lessons learned--management practices that are
consistent with the requirements of DOE P 226.1A
and DOE O 226.1A. Implementation of DOE O 226.1A
by Departmental elements is due 90 days after the
effective date of this Order.
(4) DOE O 205.1A, Department of Energy Cyber Security
Management Program, maintains long-standing
requirements for DOE line organizations to conduct
cyber security performance assurance activities
that meet the intent of DOE O 226.1A. These
activities include site assistance visits, program
reviews, compliance reviews, self-assessments,
management assessments, analysis of performance
measurement criteria, peer reviews, and
vulnerability analyses. DOE line management
organizations must comply with the provisions of
DOE O 226.1A within 90 days after the effective
date of the Order.
e. 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 1, Appendix A) and DOE
line management oversight process (Attachment 2).
5. RESPONSIBILITIES.
a. The Administrator, NNSA, the Under Secretary of Energy,
and the Under Secretary for Science. The
Administrator, NNSA, the Under Secretary of Energy, and
the Under Secretary for Science will maintain
operational awareness of nuclear operations. To assist
in these responsibilities, the Administrator, NNSA, the
Under Secretary of Energy, and the Under Secretary for
Science will each establish a Central Technical
Authority to 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 226.1A and this Order at
Headquarters and across field organizations, and
hold personnel accountable for implementing these
programs and processes.
(2) Design and implement line management oversight
programs for DOE Headquarters and field
organizations consistent with Attachment 2 or
comparably effective criteria established by the
responsible program office, and prepare and
maintain documented program plans and annual
schedules for both planned assessments and focus
areas for operational oversight.
(3) Assist the field elements in implementing and
improving documented oversight program plans and
schedules through direction and feedback.
(4) Revise program office specific policies and
directives to conform to DOE P 226.1A and this
Order within one year after the effective date of
this Order.
(5) Provide unfettered access to information and
facilities to conduct an effective oversight
program, consistent with applicable laws and
requirements.
(6) Require that DOE Headquarters, site offices, and
contractors regularly assess the effectiveness of
DOE-wide lessons learned processes to improve all
work processes (e.g., safety, security, etc) and
associated management systems.
(7) Establish and maintain appropriate qualification
standards for personnel with Headquarters and
field oversight responsibilities and clear,
unambiguous lines of authority and responsibility
for oversight.
(8) Establish and implement a comparably effective
site assurance system consistent with the
provisions of Attachments 1 and 2 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.
(9) Perform periodic reviews of contractor assurance
system programs and processes for consistency
across the complex and ensure that they reflect
industry best practices.
c. Central Technical Authorities (CTAs).
(1) Maintain awareness of the implementation of
nuclear safety requirements and guidance,
consistent with principles of Integrated Safety
Management across the organization (including, for
example, reviewing documented safety analyses,
authorization agreements and readiness reviews as
necessary to evaluate the adequacy of safety
controls and implementation).
(2) Periodically review and assess whether the number
of technically capable personnel is adequate to
fulfill nuclear safety responsibilities and
authorities.
d. Heads of Field Organizations/Heads of Contracting
Activities.
(1) Notify the contracting officer of affected
contracts so that the CRD will be incorporated
into those affected contracts under the process
established by DEAR 970.5204-2.
(2) Coordinate any requested exemptions to this Order
in accordance with DOE M 251.1-1B.
(3) Coordinate any interpretations of this Order with
the affected DOE elements to properly resolve
identified issues (for NNSA, provide non-binding
interpretations, as requested).
(4) Establish and implement line management oversight
programs and processes at the field element level
to meet the requirements of this Order, including
Attachment 2, and hold personnel accountable for
implementing these programs and processes.
Prepare and maintain documented program plans and
annual schedules for both planned assessments and
focus areas for operational oversight.
(5) Provide unfettered access to information and
facilities to conduct an effective oversight
program, consistent with applicable laws and
requirements.
(6) Establish and implement effective DOE line
management oversight processes consistent with the
provisions of Attachments 1 and 2 for Government-
owned and Government-operated facilities and DOE
sites under the field organizations’ cognizance.
(7) Review and 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.
(8) Revise field element policies and implementing
procedures and require that site-specific policies
and implementing procedures conform to DOE
P 226.1A during the established review and
revision cycle and ensure they are consistent with
this Order, to include Attachments 1 and 2, or
comparably effective criteria established by the
responsible program office.
(9) 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. Office of Health, Safety and Security. Serves as
Office of Primary Interest for DOE O 226.1A
(1) Coordinates any changes, revisions, or directives
developed in support of this Order.
(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. 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. (Applicable contracts
include those 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.”)
6. NECESSITY FINDING STATEMENT. In compliance with section
3174 of P.L. 104-201 (42 USC 7274k note), DOE hereby finds
that this Order is necessary for the protection of human
health and the environment or safety, fulfillment of current
legal requirements, and conduct of critical administrative
functions.
7. 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. Nothing in this paragraph
or associated with "DOE Oversight" will be construed or
undertaken in contravention of section 3212 of Public
Law 106-65.
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.
8. CONTACT. Questions concerning this Order should be directed
to the Office of Health, Safety and Security at 301-903-6061.
BY ORDER OF THE SECRETARY OF ENERGY:
CLAY SELL
Deputy Secretary
CONTRACTOR REQUIREMENTS DOCUMENT
DOE O 226.1A, 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.
Contractor implementation of the safety aspects should have
occurred 9/15/2006 per DOE O 226.1. Contractors must comply
with the S&S, Cyber Security, and emergency management
requirements of the CRD to this Order no later than 6 months
after the date the CRD has been incorporated into their
contracts.
Consistent with clauses 970.5223-1 (h) and 970.5223-1 (i) in
48 CFR 970.5223-1, 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. Depending
upon the complexity and hazards associated with the work,
the contractor may choose not to require the subcontractor
to submit a contractor assurance system program description
for the contractor’s review and approval. However,
contractors are still required to ensure that work
performance by subcontractors meets the applicable ES&H,
including quality assurance and ISM; S&S and Cyber Security;
and emergency management requirements.
2. REQUIREMENTS.
a. A comprehensive and integrated contractor assurance
system must be established, consistent with the hazards
and the risks associated with the work performed, 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,
verification of effectiveness, trend analysis, and
identification of continuous improvement
opportunities),
(5) lessons learned,
(6) performance measures.
c. The contractor must submit, for DOE 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; and
(4) cyber security. 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. Depending upon the
complexity and hazards associated with the work, the
contractor may choose not to require the subcontractor
to submit a contractor assurance system program
description for the contractor's review and approval.
However, contractors are still required to ensure that
work performed by subcontractors meets the requirements
of the existing Quality Assurance programs and
Integrated Safety Management systems.
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 clear and unambiguous
lines of authority and responsibility for personnel
performing oversight.
h. The contractor must provide unfettered access to
information and facilities for DOE oversight officials
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.
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 (e.g.,
O414.1C), 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; and emergency management 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, trend analysis, and
identification of continuous improvement
opportunities;
(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 must integrate 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; and emergency management.
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 ensure that required assessments by applicable DOE
directives are being performed; the effectiveness of safety
management programs, including programs that are credited in
the safety basis for nuclear facilities are being assessed
adequately; deficiencies are being self-identified; and
corrective actions are being taken in a timely and effective
manner. 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 (see also DOE Order 414.1C,
Criterion 9, “Management Assessment”).
(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 (see also DOE Order
414.1C, Criterion 10, “Independent Assessment”).
(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 (M 231.1-1,
Environment, Safety and Health Reporting Manual).
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 (see also DOE
Order 414.1C, Criterion 3, “Quality Improvement”).
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 (see also DOE Order 414.1C,
Criterion 3, “Quality Improvement”).
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
(see also DOE Order 414.1C, Criterion 3, “Quality
Improvement”).
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.
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
ensure that: required assessments by applicable
DOE directives are being performed; the
effectiveness of safety management programs,
including programs that are credited in the safety
basis for nuclear facilities are being assessed
adequately; deficiencies are being self-
identified; and corrective actions are being taken
in a timely and effective manner.
(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, and
(e) emergency management.
(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 that are
primarily focused on DOE field elements and may also
include contractor activities as necessary, to review
the adequacy of the scope and implementation of field
office self-assessment activities, field office
oversight activities, field office technical
capabilities, and field office assurance systems.
f. Oversight of high consequence activities, such as high
hazard nuclear operations, require additional rigor,
such as 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 CTAs and
their CNS/CDNS staffs 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. Continuous improvement opportunities are
identified and pursued.
2. PROCESSES. DOE line management must implement oversight
processes as described below.
a. Operational Awareness Activities. Operational
awareness refers to those activities taken by DOE line
personal to maintain cognizance of overall facility or
activity status, major changes planned, and overall
safety posture. The expected degree of operational
awareness varies based on distance from the work.
(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 assess 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; and cyber security.
(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; and cyber security
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; and emergency
management. 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; and emergency management
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.
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; and
emergency management.
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
Health, Safety and Security’s Office of Independent
Oversight 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.
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.
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.
3 Independent oversight refers exclusively to oversight by DOE
Headquarters organizations that do not have line management
responsibility for the activity.