Readiness Review Program

Draft 12/15/2006

FUNCTIONAL AREA GOAL: DOE/NNSA Headquarters and Field organizations and their contractors responsible for the startup and operation of nuclear facilities have defined and implemented contractual requirements to manage, evaluate, and approve the startup and restart of nuclear facilities and activities.

REQUIREMENTS:

• DOE Order 425.1C, Startup and Restart of Nuclear Facilities
• DOE P 450.4, Safety Management System Policy
• DOE/NNSA Safety Management Functions, Responsibilities and Authorities Manual

GUIDANCE:

• DOE-STD-3006-2000, Planning and Conduct of Operational Readiness Reviews
• DOE-HDBK- 3012-2003, Operational Readiness Review Team Leaders Handbook
• DOE G 450.4-1B, Integrated Safety Management System Guide

Performance Objective 1: Contractor Program Documentation

Contracts between DOE/NNSA and the contractors who operate DOE/NNSA nuclear facilities contain adequate requirements concerning management, evaluation and approval of the startup and restart of the nuclear facilities and activities. Contractors have developed comprehensive processes/procedures for performing Operational Readiness Reviews (ORRs) and Readiness Assessments (RAs).

Criteria:

• 1. The contracts with contractors who operate DOE/NNSA nuclear facilities contain requirements for the startup and restart of nuclear facilities.
   
• 2. Contract management processes require periodic review to ensure the contracts are accurate and define requirements for all work associated with the startup and restart of nuclear facilities and activities.
   
• 3. DOE/NNSA contractors who operate nuclear facilities have a formal process to flowdown contract requirements into implementing processes/procedures to ensure that the contract requirements for startup and restart of nuclear facilities and activities are fully met.
   
• 4. DOE/NNSA contractors who operate nuclear facilities have developed implementing processes/procedures for startup and restart of nuclear facilities and activities that fully comply with contract requirements including:
  • Planning to achieve readiness to commencing nuclear operations.
  • Preparation and submittal of a Startup Notification Report (SNR) that meets the following:
  • Submitted at least annually, recommended quarterly, and projects at least 1 year ahead.
  • Includes every startup or restart, other than routine resumption after a short, planned interruption
  • Updates information from previous SNRs
  • Brief description of operation or facility to be started or restarted. For substantial modifications, description of modifications and safety basis changes.
  • Hazard Category of operation or facility
  • Reason provided for non-operation/ shutdown and duration since last operations
  • Provides projected startup date
  • Criteria for proposed type of review provided (e.g., ORR or RA)
  • Requires basis/justification for type of review
  • Identifies authorization authority
  • Addresses review and approval, including DOE/NNSA field office
    • Line management preparation and approval of readiness review Plans of Action (POA)
  • Defines depth and breadth of review of ORR or RA.
  • Addresses core requirements
  • Written 4-6 months prior to startup
  • Forwarding POAs to HQ for review, when required.
  • Meets Order requirements
    • Program requires Implementation Plans (IP) written by the Team Lead.
    • Develops criteria and review approach document to fully assess scope defined by the POA.
  • Identifies team members
  • Meets Order requirements
    • Line management process for achieving readiness and self-assessments of readiness.
    • Program addresses requirements and format of completed assessment reports.
    • Program addresses findings and observations, and associated corrective action plans.
    • Actions for requesting and obtaining approval to start nuclear operations.

Suggested lines of inquiry and review approach for this performance objective - tbd

Performance Objective 2: Contractor Program Implementation:

The Contractor readiness review processes and procedures are effectively implemented for startup and restart activities.

Criteria:

1. 1Contractors incorporate readiness activities into long-range project planning and scheduling.
    
2. The readiness review processes and procedures are incorporated into the site Integrated Safety Management System.
    
3. SNRs are completed and approved with accurate and complete descriptions of planned startups and restarts in accordance with Contractor processes and procedures.
    
4. POAs are developed, reviewed, and approved 4-6 months prior to the projected startup and in accordance with Order requirements for defining the depth and breadth of the review.
    
5. Contractors plan, achieve, and verify readiness, including the performance of a self-assessment prior to the startup of the independent assessment process.
    
6. Contractor Team Leads prepare for review and approval IPs for readiness reviews that fully address the depth and breadth defined by the POA, and in accordance with Order requirements.
    
7. Readiness review reports are prepared and issued in a timely manner, fully describing the results of the review.
    
8. Corrective action plans for findings are formally prepared, and activities tracked until completion.
    
9. The Contractor Readiness Review processes/procedures incorporate appropriate functions and principles of the Site Integrated Safety Management System.

Suggested lines of inquiry and review approach for this performance objective - tbd

Performance Objective 3: DOE/NNSA Line Management Oversight: 

DOE/NNSA HQ and Field/Site Offices provide effective oversight of the contractor readiness review program through their role in the review and approval of plans and reports, and assessments of contractor's efforts in achieving readiness, contractor self-assessments, and DOE/NNSA assessments and daily oversight.

Criteria:

• 1. DOE/NNSA site and field offices have developed written procedures that capture the requirements for startup and restart of nuclear facilities.
   
• 2. DOE/NNSA site and field office procedures include the following:
  • Requiring, reviewing, and approving SNRs including:
    • Evaluation criteria for adequacy, and
    • Criteria for determining the appropriate level of readiness review required.
  • Determination of when an ORR and RA is required, including the startup or restart of program work associated with operating facilities when the new or restarted program work does not require DOE approval of changes to facility limits or requirements as stated in authorization basis documents.
  • Overseeing the contractor readiness activities including responding to the contractor Readiness to Proceed Memorandum.
  • Evaluating of POAs and IPs when required, including evaluation criteria.
  • Supporting ORR and RA Teams when requested and as appropriate.
  • Conducting readiness reviews.
  • Issuing authorization to start nuclear operations when required.
  • Tracking and verification of timely closure of post-start findings.
  • Forwarding documents such as SNRs, POAs, and IPs tHQ for review when required.

Suggested lines of inquiry and review approach for this performance objective - tbd
 

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