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U.S. Department of Energy                       	POLICY
      Washington, D.C.				DOE P 226.1A
                                               			Approved:  5-25-07

SUBJECT:  DEPARTMENT OF ENERGY OVERSIGHT POLICY

PURPOSE AND SCOPE

The purpose of this Policy is to establish a Department-wide
oversight process to protect the public, workers, environment,
and national security assets effectively through continuous
improvement.  As used in this Policy, any reference to DOE is
also meant to include the National Nuclear Security
Administration (NNSA).

The scope of this Policy includes assurance systems implemented
through contracts and by DOE organizations that manage or operate
on site; assurance systems implemented by DOE line management
(both Headquarters and field elements);1 and DOE independent
oversight2 organizations.  This Policy covers such operational
aspects as environment, safety, and health; safeguards and
security; cyber security; and emergency management.

This Policy cancels and supersedes DOE P 226.1, Department of
Energy Oversight Policy, dated 6-10-05.

TERMINOLOGY

“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.

“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.

“Site programs” 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; and
emergency management programs.

“Site management systems” are 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.

POLICY

It is DOE policy to protect the public, workers, environment, and
national security assets and to perform its operations
effectively.  To meet this goal, all DOE organizations must
implement an assurance system that ensures compliance with
applicable requirements, pursues excellence through continuous
improvement, provides for timely identification and correction of
deficient conditions, and verifies the effectiveness of completed
corrective actions.  Additionally, DOE oversight programs must
determine whether programs, management systems, and assurance
systems comply with requirements and are effectively implemented.

It is DOE policy to implement assurance systems and oversight
programs that include four essential elements:

·    a comprehensive and rigorous assurance system implemented at
     all sites;
     
·    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 validity of the site assurance system;
     
·    DOE Headquarters line management oversight processes that
     are focused primarily on the DOE field elements. To the extent
     necessary, DOE Headquarters line management also looks at
     contractor activities to evaluate the implementation and
     effectiveness of field element line management oversight; and
     
·    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).
     
The four elements are designed to work as a comprehensive system
to provide assurance that DOE activities are safe and secure.
Oversight of high consequence activities, such as high hazard
nuclear operations, requires additional rigor, such as
instituting Central Technical Authorities for core nuclear safety
functions.  The assurance system puts responsibility and
accountability at the appropriate organizational level (both
Federal and contractor) to implement comprehensive and rigorous
processes that ensure adequate protection of the public, workers,
environment, and national security assets and effective and
efficient operations.  The DOE Headquarters and field element
line management oversight processes put responsibility and
accountability on line management to determine the effectiveness,
on an ongoing and regular basis, of site operations and to ensure
timely corrective actions if performance does not meet
expectations.  The independent oversight processes determine
whether Headquarters, field, and contractor line management are
effectively implementing their responsibilities and provide an
additional basis for credibility throughout the system.  These
assurance systems and oversight activities will be tailored to
meet the needs and unique differences of each site or activity.
Consistent with quality assurance objectives, thorough, rigorous
assessments and corrective actions are required to ensure
performance and quality improvement.

ATTRIBUTES OF EFFECTIVE OVERSIGHT

An effective oversight process incorporates the following
attributes into the four essential elements of oversight as
appropriate.

Program Plan
     
Documented program plans need to identify the program areas to be
reviewed, the periodicity of reviews, the reviews necessary to
maintain the baseline oversight program, the qualifications of
review personnel, and the source of review criteria.  Documented
program plans need to describe the various oversight methods
used, how they are used, and how the results of the various
methods are integrated and considered as a whole to give an
accurate oversight picture.

Continuous Improvement
     
Assurance systems and oversight processes will identify ways to
make programs more effective and efficient through improved
performance and report such opportunities to line managers for
their consideration.  Line managers at all levels are responsible
for using the results of DOE line and independent oversight
processes and assurance systems.  These results are to be used to
make informed decisions about corrective actions that will
improve the effectiveness and efficiency of their programs and
operations and about the acceptability of residual risks.  The
use of external, nationally recognized experts should be
considered to carry out independent risk and vulnerability
studies and to validate that contractor management systems meet
applicable standards.  DOE sites and DOE line management 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.  Processes for resolving disputes about oversight
findings and other significant issues shall also be implemented
and include provisions for independent technical reviews of
significant issues.

Requirements and Performance Objectives
     
DOE oversight programs and assurance systems will evaluate
performance against requirements and performance objectives,
which may include laws, regulations, national standards, DOE
directives, DOE-approved plans and program documents (e.g.,
security plans, authorization basis documents, and quality
assurance plans), 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.

Personnel Competence
     
Personnel responsible for managing and performing assurance and
oversight functions will possess experience, knowledge, skills,
and abilities commensurate with their responsibilities.  Line
managers are responsible for ensuring that their personnel with
oversight responsibilities meet applicable qualifications
standards.  Continuing training and professional development
activities are encouraged to supplement individual experience and
provide a means to maintain awareness of changes and advances in
the various fields of expertise.

Baseline Oversight Program and Priorities
     
Line management is responsible and accountable for establishing
and implementing a baseline oversight program that provides for
an adequate assessment of programs, management systems, and
assurance systems.  Clear and unambiguous lines of authority and
responsibility for performing line management oversight functions
will be established and maintained.  Line management will provide
its oversight processes with sufficient resources and access to
conduct an effective oversight program.  Site assurance systems
and DOE oversight processes will be tailored to be effective and
efficient and will take into account hazards and risks (including
risks associated with potentially hazardous activities and risks
to DOE missions including schedule, cost, and scope
uncertainties).  Oversight priorities are to be based on a
systematic analysis of hazards, risks, and past performance of
organizations, programs, and facilities, including previous
assessment results.  Higher hazard or risk activities (e.g.,
facilities with a higher nuclear material attractiveness level)
and less mature programs will be assessed more frequently and/or
in more depth.  The scope and results of reviews by external
regulators (e.g., the Environmental Protection Agency) and
organizations (e.g., the Defense Nuclear Facilities Safety Board)
are important factors in determining oversight priorities but are
not a substitute for effective line management oversight.

DOE Headquarters and field element line management 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.

Performance Indicators and Measures
     
Performance indicators and measures will be used as one mechanism
to help line management identify adverse trends and promote
improvements.  This data is considered in a variety of

management decisions, such as allocating resources, establishing
goals, identifying performance trends, identifying potential
problems, and applying lessons learned and good practices.  Site
performance criteria will focus on results and system-based
metrics to drive improvements in site programs and management
systems at DOE sites.

Self-Assessments of Line Management Functions
     
Line management must perform self-assessments of its activities,
including its oversight activities and activities necessary to
support site assurance and mission activities.  Headquarters,
field element, and contractor management organizations are
responsible for establishing effective management assessments and
line management oversight processes and to address shortcomings,
identified through self-assessments, in their oversight programs.

Federal Responsibility and Accountability for Activities
     
DOE line management will require that contracts adequately
delineate contractor responsibilities for programs, management
systems, and assurance programs.  Contractors will be responsible
under their contracts to provide these assurances DOE line
management and contractors may perform some assessments jointly
to increase efficiency and promote common understanding of
processes and results.  However, DOE line management is
responsible and accountable for understanding and accepting the
hazards and risks associated with activities.  To accomplish
this, DOE has the right and responsibility to perform oversight
at the level necessary to understand the hazards and risks, to
ensure compliance with applicable requirements, to pursue
excellence through continuous improvement, to ensure timely
identification and correction of deficient conditions, and to
verify the effectiveness of completed corrective actions.

BY ORDER OF THE SECRETARY OF ENERGY:

                                   CLAY SELL
                                   Deputy Secretary
_______________________________
1DOE 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 or Under Secretary and
ultimately to the Deputy Secretary and Secretary of Energy.

2Independent oversight refers exclusively to oversight by DOE
Headquarters organizations that do not have line management
responsibility for the activity.