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Corrective Action Plans – Mod 13

Screening or Scoping Meeting (ORR vs RA, Authorization Authority (AA) Defined, Startup Notification Report (SNR) Discussed, Schedule) . Contractor Plan of Action (CPOA) Prepared. DOE Plan of Action (POA) Prepared by DOE Line Mgr. AA Reviews and Approves CPOA and POA .

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Corrective Action Plans – Mod 13

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  1. Screening or Scoping Meeting (ORR vs RA, Authorization Authority (AA) Defined, Startup Notification Report (SNR) Discussed, Schedule) Contractor Plan of Action (CPOA) Prepared DOE Plan of Action (POA) Prepared by DOE Line Mgr AA Reviews and Approves CPOA and POA Startup Notification Report Prepared and Submitted Contractor RR Implementation Plan (IP) prepared by Contractor RR Team and approved by CTL DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted) AA Approves SNR and Nominates DOE Team Leader (TL) Prerequisites met (MSA) Readiness Review Process Begins Contractors RR and Final Report DOE RR IP approved by TL Corrective Action Plan (CAP) Submitted and Approved DOE RR and Final Report CAP Submitted and Approved Prestart Findings Closed Contractor Issues Readiness to Proceed (RTP) Prestart Findings Closed DOE Endorsement of RTP and MSA AA Authorizes Startup AA Authorizes Start of RR to RR TL Corrective Action Plans – Mod 13 Readiness ReviewCourse Nov 2006

  2. Screening or Scoping Meeting (ORR vs RA, Authorization Authority (AA) Defined, Startup Notification Report (SNR) Discussed, Schedule) Contractor Plan of Action (CPOA) Prepared DOE Plan of Action (POA) Prepared by DOE Line Mgr AA Reviews and Approves CPOA and POA Startup Notification Report Prepared and Submitted Contractor RR Implementation Plan (IP) prepared by Contractor RR Team and approved by CTL DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted) AA Approves SNR and Nominates DOE Team Leader (TL) Prerequisites met (MSA) Readiness Review Process Begins Contractors RR and Final Report DOE RR IP approved by TL Corrective Action Plan (CAP) Submitted and Approved DOE RR and Final Report CAP Submitted and Approved Prestart Findings Closed Contractor Issues Readiness to Proceed (RTP) Prestart Findings Closed DOE Endorsement of RTP and MSA AA Authorizes Startup AA Authorizes Start of RR to RR TL Readiness Review Process 6 Months Prior to RR 1 Year Prior to RR Generally 2 weeks Nov 2006 Mod 13

  3. Learning Objectives • Discuss actions following ORR/RA. • Describe the purpose, timing, and content of a Corrective Action Plan (CAP). • Describe the ORR process and Team Members relate to the Corrective Action Plan. • Describe the finding closure process. Nov 2006

  4. Post ORR Activities • Line management responsible for resolution of results . . . • Thoughtfully evaluate the entire ORR Report: • Review forms in detail; • Issues or observations identified in the forms require management attention, even if not identified as findings; • Some opportunities for improvement may not be listed as findings; • Analyze the summary, conclusions, and lessons learned. • Debrief counterparts, they should have details beyond the report. • The ORR/RA cost a lot, get full value from the effort Nov 2006 Mod 13

  5. Attributes of Corrective Action Plans (CAP) • CAPs Required for each finding . . . • ORR Standard (3006-00), Section 5.7.2 . . . • Describe the Finding; • Overall Programmatic Deficiency/Root Cause; • Proposed Actions to Correct Deficiency; • Timeline for Actions; • Compensatory Measures if Needed! Nov 2006 Mod 13

  6. Contractor ORR/RA Corrective Action Plans • Completion of Contractor Corrective Action Plan is a prerequisite to the DOE/NNSA ORR/RA. • Closure of Contractor ORR/RA items: • Ensure the plan is implemented; • Verify adequate closure process; • Ensure Evidence for Closure. • Items scheduled for closure past commencement of operations: • Is the delay of closure appropriate/safe? • ORR/RA Standard contains sample closure forms. Nov 2006 Mod 13

  7. Closing Contractor ORR/RA (CORR/CRA) Findings • Consider: • critically reviewed by DOE/NNSA ORR/RA; • CAP must contain ALL elements; • CAP must consider programmatic deficiency / root causes; • Evidence files must be adequate; • Management should review closure evidence. • DOE/NNSA ORR/RA Team will evaluate response to entire CORR/CRA report Nov 2006 Mod 13

  8. DOE/NNSA ORR/RA Closure • ORR/RA report may recommend who in line management should verify closure of findings. • Closure verification and approval to start operations is line management’s responsibility. • Corrective Action Plans and Closure Packages Required, including Findings Against DOE/NNSA. • CAP approval by DOE/NNSA required: • After the review, the ORR/RA Team Members may be called upon by line management to clarify Findings or to review corrective action plans . . . Nov 2006 Mod 13

  9. Questions Nov 2006

  10. Screening or Scoping Meeting (ORR vs RA, Authorization Authority (AA) Defined, Startup Notification Report (SNR) Discussed, Schedule) Contractor Plan of Action (CPOA) Prepared DOE Plan of Action (POA) Prepared by DOE Line Mgr AA Reviews and Approves CPOA and POA Startup Notification Report Prepared and Submitted Contractor RR Implementation Plan (IP) prepared by Contractor RR Team and approved by CTL DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted) AA Approves SNR and Nominates DOE Team Leader (TL) Prerequisites met (MSA) Readiness Review Process Begins Contractors RR and Final Report DOE RR IP approved by TL Corrective Action Plan (CAP) Submitted and Approved DOE RR and Final Report CAP Submitted and Approved Prestart Findings Closed Contractor Issues Readiness to Proceed (RTP) Prestart Findings Closed DOE Endorsement of RTP and MSA AA Authorizes Startup AA Authorizes Start of RR to RR TL Corrective Action Plans – Mod 13 Readiness ReviewCourse Nov 2006

  11. Screening or Scoping Meeting (ORR vs RA, Authorization Authority (AA) Defined, Startup Notification Report (SNR) Discussed, Schedule) Contractor Plan of Action (CPOA) Prepared DOE Plan of Action (POA) Prepared by DOE Line Mgr AA Reviews and Approves CPOA and POA Startup Notification Report Prepared and Submitted Contractor RR Implementation Plan (IP) prepared by Contractor RR Team and approved by CTL DOE TL Pre-Assessment Preparation and Planning (Team Selected Initial Team Mtg Pre-Site Visit, IP Drafted) AA Approves SNR and Nominates DOE Team Leader (TL) Prerequisites met (MSA) Readiness Review Process Begins Contractors RR and Final Report DOE RR IP approved by TL Corrective Action Plan (CAP) Submitted and Approved DOE RR and Final Report CAP Submitted and Approved Prestart Findings Closed Contractor Issues Readiness to Proceed (RTP) Prestart Findings Closed DOE Endorsement of RTP and MSA AA Authorizes Startup AA Authorizes Start of RR to RR TL Readiness Review Process 6 Months Prior to RR 1 Year Prior to RR Generally 2 weeks Nov 2006 Mod 13

  12. Learning Objectives • Discuss actions following ORR/RA. • Describe the purpose, timing, and content of a Corrective Action Plan (CAP). • Describe the ORR process and Team Members relate to the Corrective Action Plan. • Describe the finding closure process. Nov 2006

  13. Post ORR Activities • Line management responsible for resolution of results . . . • Thoughtfully evaluate the entire ORR Report: • Review forms in detail; • Issues or observations identified in the forms require management attention, even if not identified as findings; • Some opportunities for improvement may not be listed as findings; • Analyze the summary, conclusions, and lessons learned. • Debrief counterparts, they should have details beyond the report. • The ORR/RA cost a lot, get full value from the effort Nov 2006 Mod 13

  14. Attributes of Corrective Action Plans (CAP) • CAPs Required for each finding . . . • ORR Standard (3006-00), Section 5.7.2 . . . • Describe the Finding; • Overall Programmatic Deficiency/Root Cause; • Proposed Actions to Correct Deficiency; • Timeline for Actions; • Compensatory Measures if Needed! Nov 2006 Mod 13

  15. Contractor ORR/RA Corrective Action Plans • Completion of Contractor Corrective Action Plan is a prerequisite to the DOE/NNSA ORR/RA. • Closure of Contractor ORR/RA items: • Ensure the plan is implemented; • Verify adequate closure process; • Ensure Evidence for Closure. • Items scheduled for closure past commencement of operations: • Is the delay of closure appropriate/safe? • ORR/RA Standard contains sample closure forms. Nov 2006 Mod 13

  16. Closing Contractor ORR/RA (CORR/CRA) Findings • Consider: • critically reviewed by DOE/NNSA ORR/RA; • CAP must contain ALL elements; • CAP must consider programmatic deficiency / root causes; • Evidence files must be adequate; • Management should review closure evidence. • DOE/NNSA ORR/RA Team will evaluate response to entire CORR/CRA report Nov 2006 Mod 13

  17. DOE/NNSA ORR/RA Closure • ORR/RA report may recommend who in line management should verify closure of findings. • Closure verification and approval to start operations is line management’s responsibility. • Corrective Action Plans and Closure Packages Required, including Findings Against DOE/NNSA. • CAP approval by DOE/NNSA required: • After the review, the ORR/RA Team Members may be called upon by line management to clarify Findings or to review corrective action plans . . . Nov 2006 Mod 13

  18. Questions Nov 2006

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