1 Department of Energy Washington, DC 20585 

July 19, 2002 

Mr. Martin J. Virgilio, Director 

Office of Nuclear Materials Safety and Safeguards 

U.S. Nuclear Regulatory Commission 

Two White Flint North 

Rockville, MD 20852 

Dear Mr. Virgilio: 

During the September and December 2001 Quality Assurance (QA) meetings, the 

development of the Performance Improvement Transition Plan was presented and 

discussed with you and your staff. This Plan was focused on the root cause analysis for 

Corrective Action Reports (CAR) BSC-01-C-001 and BSC-01-C-002. As discussed in 

my April 5, 2002 letter to you, we have prepared the attached Management Improvement 

Initiatives that address the CAR BSC-01-C-001 and BSC-01-C-002, evaluates the 

assessment results from 15 source documents and charters a path forward for overall 

OCRWM improvements. This Plan focuses on five key areas: 

* Program Roles, Responsibilities, Authority, and Accountability 

* Quality Assurance Pr9grams and Processes 

• Program Procedures 

* Corrective Action Program 

* Safety-Conscious Work Environment. 

It also includes a crosswalk to the source document (Appendix A) and the corrective 

actions for CAR BSC-01-C-001 and BSC-01-C-002 (Appendix B). 

As noted in the Plan, I will be focusing my attention on the critical first step of clearly 

defining roles, responsibilities, authority, and accountability across the Office of Civilian 

Radioactive Waste Management to define ownership of and accountability for Program 

functions. I will hold my management team accountable to ensure these improvements 

are implemented, schedules are met, and that progress is sustained.
2

This is an aggressive initiative that will require change within the organization and strong 

management support. I am fully committed to these Management Improvement 

Initiatives and will keep you informed of our progress. 

Sincerely, 

Dr. Margaret S.Y. Chu, Director 

Office of Civilian Radioactive 

Waste Management 

Enclosure: 

Report entitled "Management Improvement Initiatives," 

PLN-CRW-AD-000009, July 2002
3

cc w/encl: 

D. D. Chamberlain, NRC, Arlington, TX 

R. M. Latta, NRC, Las Vegas, NV 

B. J. Garrick, ACNW, Rockville, MD 

Richard Major, ACNW, Rockville, MD 

W. D. Barnard, NWTRB, Arlington, VA 

Budhi Sagar, CNWRA, San Antonio, TX 

W. C. Patrick, CNWRA, San Antonio, TX 

Steve Kraft, NEI, Washington, DC 

J. H. Kessler, EPRI, Palo Alto, CA 

J. R. Egan, Egan & Associates, McLean, VA 

R. R. Loux, State of Nevada, Carson City, NV 

Margie Paslov-Thomas, State of Nevada, Carson City, NV 

Alan Kalt, Churchill County, Fallon, NV 

Irene Navis, Clark County, Las Vegas, NV 

George McCorkell, Esmeralda County, Goldfield, NV 

Leonard Fiorenzi, Eureka County, Eureka, NV 

Andrew Remus, Inyo County, Independence, CA 

Michael King, Inyo County, Edmonds, WA 

Mickey Yarbro, Lander County, Battle Mountain, NV 

Lola Stark, Lincoln County, Caliente, NV 

L. W. Bradshaw, Nye County, Pahrump, NV 

David Chavez, Nye County, Tonopah, NV 

Josie Larson, White Pine County, Ely, NV 

Arlo Funk, Mineral County, Hawthorne, NV 

R. I. Holden, National Congress of American Indians, Washington, DC 

Allen Ambler, Nevada Indian Environmental Coalition, Fallon, NV 

N. H. Williams, BSC, Las Vegas, NV 

K. G. Hess, BSC, Las Vegas, NV 

Don Pearman, BSC, Las Vegas, NV 

CMS Coordinator, BSC, Las Vegas, NV 

cc wfo encl: 

C. W. Reamer, NRC, Rockville, MD 

J. R. Schlueter, NRC, Rockville, MD 

J. T. Greeves, NRC, Rockville, MD 

R. A. Milner, DOE/HQ (RW-2), FORS 

S. E. Gomberg, DOE/HQ (RW-52), FORS 

N. H. Slater-Thompson, DOE/HQ (RW-52), FORS 

R. B. Murthy, DOE/OQA (RW-3), Las Vegas, NV 

J. R. Dyer, DOE/YMSCO, Las Vegas, NV 

D. G. Horton, DOE/YMSCO, Las Vegas, NV
4 

cc w/o encl: (continued) 

M. E. Van Der Puy, DOE/YMSCO, Las Vegas, NV 

G. W. Hellstrom, DOE/YMSCO, Las Vegas, NV 

S. P. Mellington, DOE/YMSCO, Las Vegas, NV 

J. D. Ziegler, DOE/YMSCO, Las Vegas, NV 

C. A. Kouts, DOE/YMSCO (RW-2), FORS 

OL&RC Library 

Records Processing Center = "8" 

(ENCL = READILY AVAILABLE)
QA: N/A

Office of Civilian Radioactive Waste Management

MANAGEMENT IMPROVEMENT INITIATIVES 

PLN-CRW-AD-000009 

Revision 0

July 2002 

U.S. Department of Energy 

Office of Civilian Radioactive Waste Management 

Washington, D. C.
QA: N/A

Office of Civilian Radioactive Waste Management

MANAGEMENT IMPROVEMENT INITIATIVES 

PLN-CRW-AD-000009 

Revision 0

July 2002 

U.S. Department of Energy 

Office of Civilian Radioactive Waste Management 

Washington, D.C.
Prepared by:

Director, Office of Project Support 

Yucca Mountain Site Characterization Office

7/iY/o t

Date

Approval:

M. Chu C 

Director 

Office of Civilian Radioactive Waste Management

Date

PLN-CRW-AD-000009 REV 0 July 2002
CHANGE HISTORY

Interim 

Change No.

Effective 

Date Description of Change

0 07/25/2002 Initial issue

PLN-CRW-AD-000009 REV 0

Revision 

Number

0

iii July 2002
FOREWORD

In assuming the responsibilities as Director of the U.S. Department of Energy Office of Civilian 

Radioactive Waste Management in April 2002, I began my commitment to conduct a thorough 

review of the Program, including the readiness of the Yucca Mountain Site Characterization 

Project to proceed with an application for a U.S. Nuclear Regulatory Commission license. In 

this review, I focused on progress to date and the key future actions required for the Office of 

Civilian Radioactive Waste Management to succeed. 

From my review, I observed changes that have been made in the Yucca Mountain Site 

Characterization Project during the past two years. The U.S. Department of Energy and Bechtel 

SAIC Company, LLC have made a number of positive changes to date, including improvements 

in the integration of Bechtel SAIC Company, LLC; U.S. Department of Energy; U.S. Geological 

Survey; and National Laboratory efforts. In addition, there is a strong commitment among the 

Yucca Mountain Site Characterization Project team to performing work correctly, in a 

safety- and quality-conscious manner. My review also indicated that additional improvements 

are needed to ensure that the U.S. Department of Energy is able to deliver a high-quality license 

application to the U.S. Nuclear Regulatory Commission. 

To position the U.S. Department of Energy to be a successful U.S. Nuclear Regulatory 

Commission licensee and to enable us to meet the mandated requirements for a safely operating 

high-level nuclear waste repository, I have identified the following areas in which improvements 

are needed: 

"* Program roles, responsibilities, authority, and accountability 

"* Quality Assurance Programs and processes 

"* Program procedures 

"* Corrective Action Program 

"* Safety-conscious work environment. 

In this document, I have identified the actions that the Office of Civilian Radioactive Waste 

Management will implement to achieve improvement in each of the areas listed above and have 

included effectiveness indicators that will be used to measure progress. I believe that by 

improving these five areas, the underlying root causes for the larger management issues and most 

of the more detailed deficiencies the Program has been experiencing will be corrected, and 

sustained performance improvements will be achieved. 

A key element in formulating these actions is my personal recognition that managers' behaviors 

and accountability need to change. I will be focusing my personal attention on clearly defining 

roles, responsibilities, authority, and. accountability across the Office of Civilian Radioactive 

Waste Management to define ownership of and accountability for Program functions. In 

accomplishing this critical first step, I will put in motion the improvements for the Quality 

Assurance Program and its related processes, improvements to streamline and enhance the 

usability of our procedures, much-needed improvements in the Corrective Action Program, and 

improvements in our safety-conscious work environment. I will be assessing our progress on a 

continuing basis and I will hold my management team accountable to ensure these improvements 

are sustained and that the Office of Civilian Radioactive Waste Management is self-identifying

PLN-CRW-AD-000009 REV 0 iv July 2002
and fixing its problems. I will ensure that timely and effective corrective actions are 

implemented so that problems are promptly and effectively resolved. 

In the following sections of this document, I have described the actions that will be taken in each 

of the five key areas. Experts with experience in the successful conduct of government and 

commercial nuclear power programs have reviewed these actions, and their comments have been 

incorporated. Improvement actions are now underway in each area, with responsibilities for 

implementation delineated and accountability for results well understood by my management 

team. 

In summary, I am making the required resources to implement these actions available to my 

management team; I will personally review our progress on a regular basis; and I will report our 

progress to the U.S. Nuclear Regulatory Commission as part of our ongoing communications. I 

believe that the actions identified in this document will position the Office of Civilian 

Radioactive Waste Management Program to successfully obtain a license to operate a safe and 

efficient nuclear waste repository system. 

Dr. Margaret S.Y. Chu 

Director 

Office of Civilian Radioactive Waste Management 

PLN-CRW-AD-000009 REV 0 v July 2002
CONTENTS 

Page 

A C R O N Y M S ............................................................................................................................... viii 

1. IN TR O D U CTIO N ..................................................................................................................... 1 

2. PU R PO SE ................................................................................................................................. 2 

3. SC O PE ...................................................................................................................................... 2 

4. RESPONSIBILITIES ....................................................................................................... 2 

5. DISCUSSION OF ACTION PLANS IN FIVE KEY AREAS ............................................ 3 

5.1 PROGRAM ROLES, RESPONSIBILITIES, AUTHORITY, AND 

ACCOUNTABILITY .................................................................................................. 4 

5.2 QUALITY ASSURANCE PROGRAMS AND PROCESSES ................................... 6 

5.3 PROGRAM PROCEDURES ...................................................................................... 8 

5.4 CORRECTIVE ACTION PROGRAM ..................................................................... 10 

5.5 SAFETY-CONSCIOUS WORK ENVIRONMENT ................................................ 12 

6. MANAGEMENT APPROACH - COMMITMENT TO EFFECTIVENESS 

EV AL U A TIO N ....................................................................................................................... 14 

6.1 EFFECTIVENESS REVIEW AND CLOSURE PROCESS ..................................... 14 

6.2 EFFECTIVENESS INDICATORS ........................................................................... 15 

APPENDIX A - CROSSWALK OF SOURCE DOCUMENTS ............................................ A-1 

APPENDIX B - ACTION SUMMARIES FOR CARs BSC-01-C-001 AND 002, 

AND OTHER RECOMMENDED ACTIONS PERTAINING TO 

MODELING AND SOFTWARE ................................................................ B-1

PLN-CRW-AD-000009 REV 0 vi July 2002
TABLES 

Page 

1. Roles, Responsibilities, Authority, and Accountability Action Plan ..................................... 5 

2. Quality Assurance Programs and Processes Action Plan ....................................................... 7 

3. Program Procedures Action Plan ........................................................................................... 9 

4. Corrective Action Program Plan .............................................................................................. 11 

5. Safety-Conscious Work Environment Action Plan .............................................................. 13 

A-1. Crosswalk of Source Documents ....................................................................................... A-2 

A-2. List of Documents ............................................................................................................ A-40 

B-1. Action Summary for BSC-O1-C-O01 .................................................................................. B-2 

B-2. Action Summary for BSC-O1-C-002 .................................................................................. B-8 

B-3. Crosswalk of Other Recommended Actions Pertaining to Modeling and 

Software ............................................................................................................................ B-20 

PLN-CRW-AD-000009 REV 0 vii July 2002
ACRONYMS 

BSC Bechtel SAIC Company, LLC 

CAR corrective action report 

DOE U.S. Department of Energy 

DR deficiency report 

HIRD harassment, intimidation, retaliation, or discrimination 

HQ Headquarters 

MIl Management Improvement Initiatives 

NRC U.S. Nuclear Regulatory Commission 

OCRWM Office of Civilian Radioactive Waste Management 

OQA Office of Quality Assurance 

QA quality assurance 

QARD Quality Assurance Requirements and Description 

R2A2 roles, responsibilities, authority, and accountability 

SCWE safety-conscious work environment 

USGS U.S. Geological Survey 

YMP Yucca Mountain Site Characterization Project

PLN-CRW-AD-000009 REV 0 Viii July 2002
1. INTRODUCTION

Over the past several years, the Yucca Mountain Site Characterization Project (YMP) has had a 

number of accomplishments, including the accumulation and analysis of more than 20 years of 

site characterization data, completion of one major tunnel and one drift to explore the potential 

repository site, study of the geology, and extensive testing of potential materials and components 

at U.S. Department of Energy (DOE) National Laboratories. These efforts were led by the DOE 

Office of Civilian Radioactive Waste Management (OCRWM) and were supported by the U.S. 

Geological Survey (USGS); several National Laboratories; Bechtel SAIC Company, LLC 

(BSC); and other contractor organizations. 

Noteworthy accomplishments from YMP include the development and execution of methods for 

collecting and analyzing site characterization data, the development of new mining and drilling 

techniques that preserve the characteristics necessary for effective data collection, and the 

development of a wide range of complex computer-based algorithms and models. In developing 

the database on which a site selection recommendation could be made, contributing scientists 

and engineers used customary technical practices of interactive development, expert 

knowledge-based decision-making, and peer review validation of analysis activities. The 

pioneering nature of early Program research efforts created a collegial, academic culture among 

institutions whose staff accomplished work in accordance with unique protocols and processes. 

In 1998, senior Program managers agreed that products developed during earlier years, while 

technically sufficient, might not have the traceability necessary to support a license application. 

As a result, management began developing initiatives to help implement a transition from a 

research-driven work environment toward the nuclear regulatory work environment. 

Reaffirming the need for such a transition was the identification of several significant conditions 

adverse to quality by the Office of Quality Assurance (OQA). 

In 2001, OQA identified conditions adverse to quality regarding modeling of long-term 

repository performance and software development. These conditions were documented in 

corrective action reports (CARs) BSC-01-C-001 and -002. The significance of these new 

observations was compounded by their similarity to those identified in 1998. Consequently, 

during the period May through August 2001, YMP conducted root cause analyses that identified 

weaknesses in management systems, quality processes, and organizational roles and 

responsibilities. These analyses addressed quality issues associated with model validation and 

software qualification activities, and discrepancies identified in the Total System Performance 

Assessment for Site Recommendation and related technical products. Follow-up reviews 

verified the quality and technical soundness of the site recommendation products. 

As a result of the root cause analyses, senior management recognized the need for a sustained, 

OCRWM Program-level management initiative to: 

"* Establish clear roles, responsibilities, authority, and accountability (R2A2) within and 

among the DOE, BSC, USGS, and other contractor organizations 

"* Clarify elements of the quality assurance (QA) program and improve the effectiveness 

of its implementation

PLN-CRW-AD-000009 REV 0 I July 2002
* Help drive the organization to a culture consistent with that found in a U.S. Nuclear 

Regulatory Commission (NRC)-regulated environment. 

By a letter dated January 31, 2002, DOE submitted the document OCRWM Management 

Improvement Initiatives to the NRC. That document did not meet previous commitments or 

expectations. The letter of April 5, 2002, from the Director of OCRWM to the NRC Director of 

Nuclear Material Safety and Safeguards acknowledged this and committed OCRWM to 

submitting a revised document that reflects the following: 

"* Actions to address deficiencies and recommendations from OCRWM Program 

assessments 

"* Remedial and corrective actions to address key CARs 

"* Other relevant actions to improve OCRWM management practices. 

In March 2002, a project team was convened to improve the original document. In June 2002, 

the revised document was subjected to a thorough review by an independent group of experts 

with experience in successfully conducting government and commercial nuclear power 

programs. The following sections represent the work product of the OCRWM managers, federal 

employees, and contractor employees who were involved in the analysis and development of 

action plans to address weaknesses in the identified key areas, as well as the comments received 

from the independent review by outside experts. 

2. PURPOSE 

This document was developed to address weaknesses in implementation of OCRWM QA 

requirements and establish a foundation of continuous improvement. The ultimate goal of the 

Management Improvement Initiatives (MI) is to ensure YMP work products consistently meet 

quality objectives and are fully defensible. 

3. SCOPE 

This MII includes a set of actions to address QA deficiencies being managed in accordance with 

AP- 16.1 Q, Management of Conditions Adverse to Quality. The MII incorporates a broader set of 

management actions necessary to address weaknesses identified in other venues, including the 

results of critical self-analyses and independent program assessments. As such, the MII is 

considered a comprehensive corrective action plan necessary to address weaknesses in the 

implementation of the OCRWM QA requirements and attain a level of performance expected of 

an NRC license applicant. 

4. RESPONSIBILITIES 

The action plans in Section 5 define management and organizational responsibilities.

PLN-CRW-AD-000009 REV 0 2 July 2002
5. DISCUSSION OF ACTION PLANS IN FIVE KEY AREAS

The five key areas discussed in this section were identified after analyzing information from a 

range of sources. A senior management team reviewed information from the following sources: 

" The deficiencies and recommendations identified in various assessments of OCRWM 

functions and the actions identified to address these assessment findings. This included 

the eight sources of information discussed at the September 6, 2001, Quarterly QA 

Meeting between DOE and the NRC. 

"* Remedial actions and actions to preclude recurrence of the conditions noted in the two 

CARs that identified problems with modeling and software. 

"* Planned actions that are within, or will be within, NRC regulatory purview and subject 

to the OCRWM QA program requirements. 

"* Other identified improvements. 

The observed Program weaknesses were analyzed to determine the programmatic areas where 

improvement was needed, and five key areas for improvement emerged. Once these five key 

areas were established, action plans were developed. These actions address the Program's 

weaknesses and envelope the lower-level individual deficiencies and recommended actions 

identified in the information sources. In this way, the underlying root causes for the larger 

management issues, and most of the more detailed deficiencies the Program has been 

experiencing, will be corrected, and sustained performance improvements will be achieved. 

Of significant near-term importance is the need to define, clearly and formally, the roles and 

responsibilities both within and between DOE and the contractor organizations. Without this, it 

is not possible to build accountability into the management of OCRWM. In addition, there is a 

need to focus on making step change improvements in the following key OCRWM processes: 

QA, procedures, corrective action management, and SCWE. Details of the planned improvement 

actions are provided in Sections 5.1 through 5.5. Appendix A provides a crosswalk of the source 

documents to the five key improvement areas and other appropriate sections of this management 

improvement initiative document. Appendix B identifies the actions to address CARs 

BSC-0O-C-001 and -002.

PLN-CRW-AD-0009 REV 0 3 July 2002
5.1 PROGRAM ROLES, RESPONSIBILITIES, AUTHORITY, AND 

ACCOUNTABILITY 

Objective: Clearly define R2A2 across the OCRWM Program to define ownership of and 

accountability for Program functions, and to successfully support the licensing process. 

Current Condition: The OCRWM organization, processes, procedures, and skills are structured 

to support the scientific studies required to determine site suitability, rather than preparing 

OCRWM to support the activities necessary to license a repository. This structure has led to 

confusion over R2A2 as the Program transitions toward obtaining a license for repository 

construction. 

Desired Condition: The OCRWM organization is aligned to support licensing activities in a 

manner that clarifies R2A2. Managers understand and accept their responsibilities and are 

accountable for results. 

Approach: DOE will realign the OCRWM organization and management approach, including 

realignment of the DOE and BSC relationship, clarification of management's R2A2, and 

definition of expectations of management and management processes. The following are key 

elements of the organization realignment: 

" Realign the OCRWM organization to: 

- Streamline DOE's management structure and oversight functions 

- Reinforce the DOE role of setting goals and expectations, providing policy 

guidance, and measuring performance of Program execution 

- Ensure integration across the various Program elements, including effective 

interfaces within the DOE, with involved states and federal organizations, and with 

other organizations 

- Assign a single point of responsibility for each critical Program function, including 

QA, Program procedures, Corrective Action Program management, and SCWE. 

" Clarify and strengthen the OCRWM relationship with BSC to ensure that DOE 

establishes Program goals and performance expectations for the contractor and then 

holds the contractor accountable for performing the necessary work. DOE and BSC will 

realign their respective organizations to focus on this new way of doing business to 

support the licensing process. Rigor and discipline will be employed to ensure that 

direction provided to contractors is provided only by a contracting officer or contracting 

officer's representative. 

" Clarify management R2A2 within the OCRWM organization to ensure that managers 

understand their respective roles and responsibilities and that commensurate authority 

accompanies assigned responsibilities. Managers will be held accountable for fulfilling 

their responsibilities.

PLN-CRW-AD-000009 REV 0 4 July 2002
Prepare an OCRWM Program Manual that documents the OCRWM management 

processes, documents management R2A2, and addresses the responsibilities and 

interfaces for each of the requirements in the BSC contract. 

An independent assessment process will provide feedback to senior OCRWM management 

regarding progress, issues, and recommendations for keeping the organization aligned and 

focused on the licensing effort during this important transition. In addition, the DOE annual 

performance appraisals for managers and supervisors will reflect performance criteria relative to 

their assigned roles and responsibilities to allow senior management to hold them accountable. 

Table 1. Roles, Responsibilities, Authority, and Accountability Action Plan 

Action Statement Responsible Target Date 

Manager 

DOE will issue a policy statement identifying the expectations of OCRWM Chu 8/02 

management. (DOE 

Headquarters 

[HQ]) 

DOE will clarify R2A2 within the OCRWM organization to ensure Chu 9/02 

commensurate authority accompanies assigned responsibilities. (DOE HO) 

Dyer 

(DOE YMP) 

DOE staff will be oriented through various communications methods to the Runkle 10/02 

realigned organization and the associated R2A2. This realignment will allow (DOE HO) 

DOE to manage overall Program performance and hold BSC accountable Dyer 

for performance (i.e., quality, schedule, and cost). (DOE YMP) 

BSC staff will be oriented to the realigned organization and the associated Pearman 10/02 

R2A2. (BSC) 

DOE will issue a Program Manual that provides the implementing Runkle 10/02 

requirements that will guide the organization realignment to support the (DOE HO) 

licensing process. Dyer 

(DOE YMP) 

Pearman 

(BSC) 

DOE annual performance appraisals will be revised to reflect manager Runkle 12/02 

performance criteria relative to the appropriate R2A2. (DOE HO) 

Effectiveness Indicators: 

1. Program quality and schedule performance show consistently improving trends. 

2. Deficiency reports (DRs) and CARs related to R2A2 show a consistently decreasing 

trend to within established control limits.

Responsible Manager: M,. Chu (DOE HQ) 

/ 

Date

PLN-CRW-AD-000009 REV 0

Signature (-I

5 July 2002
5.2 QUALITY ASSURANCE PROGRAMS AND PROCESSES

Objective: The OCRWM QA program implements applicable regulatory requirements and the 

associated QA processes to support effective line organization implementation of quality 

practices that ensure the quality of technical products to support the license application. 

Current Condition: Activities are currently being carried out in a quality manner; however, our 

performance requires improvement to fully support our mission of safe, high-quality design, 

construction, and operation of a high-level waste repository that meets the NRC requirements for 

a license. In some cases, quality is being achieved through the inspection process, or "inspected 

into" products by OQA, rather than being routinely implemented by the line organizations. The 

OCRWM Quality Assurance Requirements and Description (QARD), DOE/RW-0333P, contains 

a combination of requirements, commitments, and guidance that is confusing and difficult to 

implement. 

Desired Condition: Roles and responsibilities for implementation of the QA program are 

clearly defined such that OQA and the line organizations understand their respective roles. The 

OCRWM QARD contains the necessary and sufficient quality requirements that are clearly 

identified and are traceable to source documents. Line management and individuals performing 

quality-related work understand the quality requirements applicable to their work and are held 

accountable for adherence to the requirements. Program procedures are user-friendly and 

provide sufficient guidance with a minimum of administrative burden to allow compliance with 

requirements and achievement of quality as a routine part of daily business. 

Approach: The actions to improve quality focus on line management's responsibility and 

accountability for implementing quality at the working level. Clearly defining QA R2A2s will 

be accomplished as part of implementing the actions identified in Section 5.1. In addition, the 

QA program is being aligned with a logical flowdown of necessary and sufficient requirements 

through review and revision of the OCRWM QARD. This will ensure that applicable 

requirements are identified and documented, and that requirements in the QARD are generally 

traceable back to regulatory drivers. The QARD will be supplemented with policies where 

appropriate to communicate OCRWM management expectations. The QA program and 

processes will meet regulatory requirements for QA and will fully support the licensing process. 

Procedure improvements (addressed in Section 5.3) will institutionalize quality processes and 

ensure technical products are correct and support license application activities.

PLN-CRW-AD-000009 REV 0 6 July 2002
Table 2. Quality Assurance Programs and Processes Action Plan

Action Statement Responsible Target Date 

Manager 

DOE will issue a policy statement identifying the expectations of OCRWM Chu 8/02 

management, including line management's ownership of the QA program as (DOE HO) 

the principal means of achieving quality. (This action will be completed in 

conjunction with R2A2 actions; see Section 5.1.) 

DOE will clarify R2A2 within the OCRWM organization, including the R2A2 Chu 9/02 

for DOE and BSC OA. (This action will be completed in conjunction with (DOE HQ) 

R2A2 actions; see Section 5.1.) 

DOE and BSC respective staffs will be oriented to the realigned DOE and Runkle 10/02 

BSC QA R2A2s through various communication methods. (This action will (DOE HO) 

be completed in conjunction with R2A2 actions; see Section 5.1.) Pearman 

(BSC) 

The QARD will be reviewed and revised as necessary to ensure that Runkle 11/02 

applicable requirements are identified, documented, and traceable to (DOE HO) 

regulatory drivers. (Internal and external review cycle will follow.) 

DOE annual performance appraisals will be revised to include performance Runkle 12/02 

criteria that address line managements responsibility to implement the (DOE HQ) 

OCRWM QA program. 

Effectiveness Indicators: 

1. Number of high-priority self-identified DRs and CARs compared to the total number of 

high-priority identified DRs and CARs (self-identified/total identified goal is greater than 

80 percent). 

2. Average closure time for high-priority corrective action DRs and CARs and the number 

of delinquent corrective actions for high-priority QA-related DRs and CARs show a 

decreasing trend to within established control limits.

Responsible Manager:

Signature

G. Runkle (DOE HQ) 

t/e18/02 

Vate

PLN-CRW-AD-000009 REV 0 7 July 2002
5.3 PROGRAM PROCEDURES

Objective: Institute more effective and efficient work control procedures consistent with 

standard nuclear industry practices. Procedures are user-friendly and provide sufficient guidance 

with a minimum of administrative burden to allow compliance with safety and quality 

requirements as a routine part of daily business. 

Current Condition: Procedures are typically overly prescriptive and inefficient. In many cases, 

unnecessary and repetitive administrative requirements (e.g., rigid procedure format and 

redundant requirements in multiple procedures) overcome substantive content and impede work 

execution. In addition, the National Laboratories and USGS personnel do not feel their proposed 

procedure comments and revisions are adequately addressed. 

In March 2002, DOE and BSC completed a joint evaluation of procedure ownership. As a result, 

many procedures have been transferred from DOE to BSC. 

Desired Condition: An effective and efficient set of separate DOE and BSC procedures are 

implemented that address the applicable requirements, are commensurate with the complexity 

and safety and quality significance of the task, and fully support licensing activities. DOE and 

BSC have separate and discrete procedure sets to control their respective activities. 

Approach: The realignment and streamlining of work processes and procedures begins with the 

clear identification of the work scope and responsibilities of each organization, principally DOE 

and BSC. (The laboratories and USGS will work in accordance with BSC procedures.) This 

will be accomplished as part of R2A2 actions identified earlier in this document. Both DOE and 

BSC will review their respective procedure sets and, where appropriate, procedures will be 

revised in accordance with the revision of the QARD described in Section 5.2 to reflect 

organizational realignment described in Section 5.1 and to make them more effective and 

efficient. Applicable procedures proven effective in the commercial nuclear industry will be 

adopted and tailored for use, as appropriate. New or revised procedures will be issued in 

compliance with requirements. Personnel that will use the new or revised procedures will be 

trained prior to implementing the new procedures. Procedure improvements will implement 

applicable regulatory requirements, and will fully support the licensing process.

PLN-CRW-AD-000009 REV 0 8 July 2002
Table 3. Program Procedures Action Plan

Action Statement Responsible Target Date 

Manager 

DOE will clarify R2A2 within the OCRWM organization, including clear Chu 9/02 

identification of the work scope and responsibilities for procedure (DOE HO) 

development and implementation of each organization. (This action will be 

completed in conjunction with R2A2 actions; see Section 5.1.) 

DOE and BSC will review their respective procedure sets and define Horton 10/02 

procedure hierarchies based on their work requirements. (DOE YMP) 

Williams 

(BSC) 

New or revised procedures will be issued in compliance with OCRWM Horton Starting 11/02 

requirements using a phased approach. (DOE YMP) 

Williams Starting 11/02 

(BSC) 

Personnel that will use the new or revised procedures will be trained prior to Van Der Puy Starting 11/02 

implementing the procedures. (DOE YMP) 

Williams Starting 11/02 

(BSC) 

Effectiveness Indicators: 

1. Decreasing number of DRs and CARs with a cause code of ineffective procedures.

2. Average cycle time for procedure revisions shows a 

established control limits. 

3. Average age of procedure Interim Change Notices shows 

established control limits.

Responsible Manager:

decreasing trend to within 

a decreasing trend to within

D. Horton (DOE YMP) 

/ate "

PLN-CRW-AD-000009 REV 0 9 July 2002
5.4 CORRECTIVE ACTION PROGRAM

Objective: Implement a single Corrective Action Program to ensure deficiencies and needed 

improvements are identified, prioritized, and documented, and that timely and effective 

corrective actions are taken to preclude recurrence of adverse conditions. 

Current Condition: Multiple corrective action management systems exist for identifying, 

tracking, and resolving deficiencies. The current systems require knowledge of various reporting 

systems and forms to report different categories of conditions. The current forms and processes 

required for identifying and fixing deficiencies are burdensome and do not yield useful reports 

that can be used by management to identify trends and corrective actions, prioritized schedules 

for completion, and responsible individuals. Routine self-assessments are not being used 

consistently to achieve continuous improvement. Root cause analyses are not embraced 

consistently as an effective tool to prevent recurrence of deficiencies or to identify and resolve 

broader management issues. Corrective actions are not completed in a timely manner. 

Desired Condition: A single Program-wide Corrective Action Program exists that: 

"* Assists with the management of corrective actions and provides managers ready access 

to information about corrective actions, their closure status, and the assigned responsible 

individuals. 

"* Allows deficiencies and adverse conditions to be readily evaluated and prioritized and 

categorized according to safety and quality significance; and that allows individual 

assignment of responsibility and accountability for action. 

"• Is user-friendly and an integral part of the way line management conducts business, and 

allows actions to correct and minimize recurrence of the conditions to be identified and 

completed in a timely fashion. 

"* Allows trends to be evaluated and reported to management so they can anticipate and 

mitigate adverse conditions, communicate lessons learned, and facilitate improvement 

through the use of focused self-assessments. 

Approach: Although implementation of corrective action is a line function, the Director of 

OQA will be assigned responsibility for and be held accountable for administration of the 

Corrective Action Program. This individual will be held accountable for ensuring the Corrective 

Action Program is substantially improved to function at a level consistent with nuclear industry 

practices. A DOEIBSC task team will define OCRWM's needs, will evaluate the current 

corrective action management systems, and will establish requirements and specifications for the 

single Corrective Action Program. BSC will be assigned the responsibility for implementation 

and day-to-day management of the single Corrective Action Program. In addition, OCRWM 

senior management will clearly communicate line management's responsibility and 

accountability to conduct self-assessments and identify needed improvements and conditions 

adverse to quality and enter them into the Corrective Action Program (see Section 5.1). It is a 

line management function to identify, define, prioritize, and implement timely and effective 

corrective actions, and OCRWM senior management will hold line management accountable for

PLN-CRW-AD-000009 REV 0 10 July 2002
successful execution of these functions. DOE and contractor employees will be made aware of 

the new, simplified, more effective Corrective Action Program and how to use it. OQA will be 

held accountable for administering and monitoring the effectiveness of the Corrective Action 

Program, including monitoring performance metrics such as the average time to close corrective 

actions, in addition to emergence and recurrence rates. OQA will provide a monthly report to 

OCRWM senior management so action can be taken if near-term improvements are not realized. 

Table 4. Corrective Action Program Plan 

Action Statement Responsible Target Date 

Manager 

The Director of OQA will be assigned responsibility and held accountable for Chu 8/02 

a single improved OCRWM Corrective Action Program. (DOE HQ) 

DOE will form a task team to establish the Program requirements and Horton 9/02 

specifications for the Corrective Action Program. (DOE YMP) 

BSC will implement a single OCRWM Corrective Action Program consistent Pearman 2/03 

with nuclear industry practices, including tracking, trending, reporting, and (BSC) 

closure verification processes. 

BSC will define and implement a self-assessment program, a lessons Pearman 3/03 

learned program, and a method to identify and correct adverse conditions. (BSC) 

Effectiveness Indicators: 

1. Number of repetitive conditions (decreasing trend). 

2. Average closure duration for high-priority DRs and CARs (decreasing trend to within 

established control limits). 

3. Less than 10 percent of the high priority DR and CAR closures are delinquent.

Responsible Manager: M. Chu (DOE HQ)/R. Dyer (DOE YMP) 

D/ate

PLN-CRW-AD-000009 REV 0 I1I July 2002
5.5 SAFETY-CONSCIOUS WORK ENVIRONMENT

Objective: Foster and sustain an environment in which employees feel free to raise concerns 

without fear of reprisal, and with confidence that issues will be addressed promptly and 

appropriately. 

Current Condition: Some personnel do not know what a SCWE is, and others behave in ways 

contrary to a SCWE. Some employees do not fully understand the OCRWM Concerns Program 

and expectations for implementation. Employee concerns are not consistently addressed in a 

timely manner. Management involvement in the evaluation of employee concerns and trends is 

less than adequate. However, currently senior management (OCRWM Director, YMP Project 

Manager, and BSC Deputy General Manager) is tracking progress on open employee concerns 

on a weekly basis. 

Some managers and staff do not act consistently according to a common set of values and are not 

held accountable. This has led to overemphasis on meeting schedules, less-than-desired attention 

to quality, and some behaviors inconsistent with a SCWE. Conflicts between individuals and 

organizations are not resolved, leading to distractions in the workplace and delays in completing 

work products. An issue escalation process is not defined. 

Desired Condition: An environment exists in which employees feel free to raise concerns 

without fear of harassment, intimidation, retaliation, or discrimination (HIRD), and with 

confidence that their issues will be addressed promptly. OCRWM organizations embrace a 

SCWE, and management enforces expected behaviors. Personal and organizational 

accountability focuses on sustaining a SCWE. Open communication exists, with conflicts 

identified and resolved in a timely manner at the lowest level possible, or escalated promptly, if 

necessary. 

OCRWM Concerns Program processes provide for prompt, efficient, and effective means of 

prioritizing, addressing, and closing employee concerns. An environment exists in which 

employees willingly identify problems, prompt feedback occurs, and timely and effective 

resolution of concerns is routine. Affected management is involved in developing the proposed 

resolution to employee concerns. 

The BSC Concerns Program is fully functional and focused on ensuring that employee concerns 

are addressed in a prompt and meaningful manner. Managers and supervisors are aware of their 

SCWE responsibilities and are held accountable for maintaining a SCWE. 

Approach: OCRWM has issued a SCWE Policy that communicates senior management 

expectations. Program personnel will be trained on the SCWE Policy. The training will 

emphasize the relationship between a SCWE and nuclear safety. A SCWE will be sustained 

through continuous reinforcement and communications efforts. An issue escalation process will 

be developed, and decisions will be communicated. SCWE-type concerns will be monitored, 

tracked, and reported to senior management. Management will identify and enforce 

consequences of non-compliance through performance appraisals and/or disciplinary actions. 

OCRWM will improve the performance and effectiveness of the OCRWM Concerns Program, 

and BSC will implement a BSC Concerns Program. Employees and managers will be trained 

and will develop an understanding of the SCWE policy requirements and how they relate to

PLN-CRW-AD-000009 REV 0 12 July 2002
OCRWM work activities. Responsibilities and accountabilities of supervisors/managers to 

establish and maintain a work environment where employees can express their ideas and 

concerns without fear of HIRD will be strongly emphasized. 

Table 5. Safety-Conscious Work Environment Action Plan 

Action Statement Responsible Target Date 

Manager 

On April 30, 2002, the OCRWM Program Director and the YMP Project Chu Completed 

Manager issued a revised and expanded SCWE policy. This policy has (DOE HO) 5/02 

been communicated to employees through meetings and project communiquds. The YMP Project Manager and the BSC Deputy General 

Manager are designated as SCWE change champions. 

DOE will implement SCWE and employee concerns program performance Runkle Completed metrics into BSC contract assessment. (DOE HQ) 7/02 

DOE will modify the BSC contract and other DOE contracts to require the Runkle 8/02 - BSC 

implementation of the Program SCWE policy requirements. (DOE HO) 10/02 - Others 

DOE will eliminate the backlog of open OCRWM employee concerns and Runkle 8/02 

shorten the life-cycle for addressing concerns. (DOE HO) 

DOE will establish a DOE policy and procedures regarding expectations to Dyer 8/02 

escalate issues in an expedient manner. (DOE YMP) 

BSC will establish a BSC policy and procedures regarding expectations to Pearman 8/02 

escalate issues in an expedient manner. (BSC) 

DOE and BSC will develop and/or revise SCWE-related Program-wide Van Der Puy 8/02 

employee and supervisor/manager training modules based upon nuclear (DOE YMP) industry practices. Turner 

(BSC) 

BSC will establish internal BSC mechanisms for reporting, investigating, and Pearman 9/02 

resolving employee concerns. (BSC) 

DOE and BSC will conduct employee and supervisor/manager SCWE Van Der Puy 12/02 

training. (DOE YMP) 

Turner 

(BSC) 

An external SCWE expert group will evaluate YMP-wide SCWE. Chu 7/03 

(DOE HQ) 

Effectiveness Indicators: 

1. Number of substantiated HIRD employee concerns (generally decreasing). 

2. Cycle time for addressing employee concerns. Goal: Less than 30 days for routine 

concerns and less than 90 days for HIRD concerns that involve complex issues or 

complex concerns. 

3. External evaluation SCWE assessment results show positive changes.

Responsible Manager:

P gifig -Ua I

J. Ziegler (DOE YMP) 

/ ____._

PLN-CRW-AD-000009 REV 0 13 July 2002
6. MANAGEMENT APPROACH - COMMITMENT TO EFFECTIVENESS 

EVALUATION 

Defining the organizational R2A2 is a critical first step in addressing the weaknesses in the key 

areas noted in Section 5 in a manner that is both effective and long-lasting. OCRWM senior 

management will communicate the management approach to both federal and contractor 

employees to ensure that the need for change is communicated, accepted, and enforced 

throughout the organization. To guide these activities, a Management Alignment Plan and a 

Communication Plan will be used. More detailed activity schedules will be maintained by the 

Responsible Manager to implement the action plans described in this document. In addition, the 

indicators detailed in this section will allow the measurement of progress to determine the 

effectiveness of these improvement initiatives. 

Key elements of the approach to implementing these action plans include: 

* Establishing a vision, supporting policies, and procedures that yield continuous 

improvement in OCRWM operations and quality products. 

"* Establishing an operating environment that is characterized by rigor, discipline, 

safety-consciousness, formality, and accountability. Roles and responsibilities will be 

clear and explicit. 

"* Creating a team of "change agents" that is competent and dedicated to continuous 

improvement, and that values self-identification and timely closure of issues. 

"* Ensuring that OCRWM is successful by measuring performance and providing the 

necessary resources to implement improvements. 

The DOE and BSC management team is committed to a process of continuous improvement. 

This team and the Director of OCRWM will be reviewing progress on a regular basis. In 

addition, the teams will continue to seek best practices and lessons learned from other industry 

groups such as utilities, the Nuclear Energy Institute, and the Institute of Nuclear Power 

Operations. 

OCRWM will continue to report progress regularly to the NRC to demonstrate both the 

effectiveness with which these plans are being carried out and the tangible accomplishments that 

result. 

6.1 EFFECTIVENESS REVIEW AND CLOSURE PROCESS 

A process will be instituted to ensure that the action plans are carried out and are effective in 

improving performance. Key steps in this process include the following: 

1. The Responsible Manager will review and approve completion of the action. 

2. OCRWM OQA will review and agree that the action is completed.

PLN-CRW-AD-000009 REV 0 14 July 2002
3. Upon OQA agreement that the action plans have been completed, experts from outside 

DOE will review the overall effectiveness of the action plans. 

After the third step has been completed, DOE will advise the NRC of the final closure results. 

6.2 EFFECTIVENESS INDICATORS 

Goals must be established to manage and hold OCRWM accountable for positive change. The 

goals listed below establish the desired end state. It is understood that the desired normal end 

state may not be achievable over a short time frame because OCRWM is changing the 

fundamental way business is conducted. Therefore, if necessary, interim goals will be 

established to measure progress toward achieving the end state goals. 

R2A2 

1. Program quality and schedule performance show consistently improving trends. 

2. DRs and CARs related to R2A2 show a consistently decreasing trend to within 

established control limits. 

QA Programs and Processes 

1. Number of high-priority self-identified DRs and CARs compared to the total number of 

high-priority identified DRs and CARs (self-identified/total identified goal is greater than 

80 percent). 

2. Average closure time for high-priority corrective action DRs and CARs and the number 

of delinquent corrective actions for high-priority QA-related DRs and CARs show a 

decreasing trend to within established control limits. 

Program Procedures 

1. Decreasing number of DRs and CARs with a cause code of ineffective procedures. 

2. Average cycle time for procedure revisions shows a decreasing trend to within 

established control limits. 

3. Average age of procedure Interim Change Notices shows a decreasing trend to within 

established control limits. 

Corrective Action Program 

1. Number of repetitive conditions (decreasing trend). 

2. Average closure duration for high-priority DRs and CARs (decreasing trend to within 

established control limits). 

3. Less than 10 percent of the high priority DR and CAR closures are delinquent.

PLN-CRW-AD-000009 REV 0 15 July 2002
SCWE

1. Number of substantiated HIRD employee concerns (generally decreasing). 

2. Cycle time for addressing employee concerns. Goal: Less than 30 days for routine 

concerns and less than 90 days for HIRD concerns that involve complex issues or 

complex concerns. 

3. External evaluation SCWE assessment results show positive changes.

PLN-CRW-AD-000009 REV 0 16 July 2002
APPENDIX A 

CROSSWALK OF SOURCE DOCUMENTS

PLN-CRW-AD-000009 REV 0 July 2002
APPENDIX A

CROSSWALK OF SOURCE DOCUMENTS 

Index: 

Table A-i. Crosswalk of Source Documents 

Table A-2. List of Documents 

Table A-i Legend: 

Column 1 identifies source document (listed in Table A-2) and a statement reference number. 

Where listed more than once, the statement has been broken down to individual elements, and 

mapped to different MII locations. 

Column 2 presents the recommendation, expectation, or commitment statement; where 

applicable, page and/or section number is also listed. 

Column 3 indicates where statement is enveloped in the MII or otherwise dispositioned.

PLN-CRW-AD-000009 REV 0 A-] July 2002
Table A-1. Crosswalk of Source Documents

V 

0 

t'3

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

AOS-01 Develop a comprehensive DOE/Contractor plan (Performance FOREWORD AND SECTION 1, 

Improvement Transition Plan) (the "Plan") to drive a transition INTRODUCTION. 

to a level of performance necessary to prepare for the potential 

pursuit of a license to construct the repository. (Submit to NRC 

December 15, 2001). (AOS, page 1, 2nd para.) 

NRCI-01 DOE stated that it will develop a comprehensive corrective FOREWORD AND SECTION 1, 

action plan that will address the causes of problems identified INTRODUCTION. 

during its investigation and a Performance Improvement 

Transition Plan to improve the level of performance of QA 

program implementation. (NRC 1, page 2, 4th para., 2nd 

sentence) 

AOS-01 Develop a comprehensive DOE/Contractor plan (Performance FOREWORD, SECTION 1, 

Improvement Transition Plan) (the "Plan") to drive a transition INTRODUCTION, AND SECTION 5, 

to a level of performance necessary to prepare for the potential DISCUSSION OF ACTION PLANS IN 

pursuit of a license to construct the repository. (Submit to NRC FIVE KEY AREAS. 

December 15, 2001). The Plan will specifically address: TSPA Results of the Technical Document root 

root cause results and recommendations including root and cause analysis report are listed as "TD" 

common causes. (AOS, page 1, 2nd para., bullet 2) items in this crosswalk.

tC
Table A-1. Crosswalk of Source Documents (Continued)

t'

0t

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

AOS-01 Develop a comprehensive DOE/Contractor plan (Performance FOREWORD, SECTION 1, 

Improvement Transition Plan) (the "Plan") to drive a transition INTRODUCTION, AND SECTION 5, 

to a level of performance necessary to prepare for the potential DISCUSSION OF ACTION PLANS IN 

pursuit of a license to construct the repository. (Submit to NRC FIVE KEY AREAS. 

December 15, 2001). The Plan will specifically address: This was addressed in Section 3.3.5 of the 

Review of results of vertical and horizontal document in process Technical Document root cause analysis 

reviews conducted on the S&ER, PSSE, and SSPA for the report, the results of which are listed as 

purpose of ensuring that any additional adverse trends are "TD" items in this crosswalk. The PSSE 

included in the Plan. (AOS, page 1, 2nd para., bullet 3) was not specifically listed as being 

reviewed in the root cause analysis report, 

but was considered and verified with the 

author. 

AOS-01 Develop a comprehensive DOE/Contractor plan (Performance FOREWORD, SECTION 1, 

Improvement Transition Plan) (the "Plan") to drive a transition INTRODUCTION, AND SECTION 5, 

to a level of performance necessary to prepare for the potential DISCUSSION OF ACTION PLANS IN 

pursuit of a license to construct the repository. (Submit to NRC FIVE KEY AREAS. 

December 15, 2001). The Plan will specifically address: The Results of TSPA Audit indicated no new 

results of the TSPA audit will be integrated into the Plan. actions beyond those for CAR-BSC-0I-C

(AOS, page 1, 2nd para., bullet 4) 001. See Murthy, 2002 

MOL.20020509.0259. 

AOS-01 Develop a comprehensive DOE/Contractor plan (Performance FOREWORD, SECTION 1, 

Improvement Transition Plan) (the "Plan") to drive a transition INTRODUCTION, AND SECTION 5, 

to a level of performance necessary to prepare for the potential DISCUSSION OF ACTION PLANS IN 

pursuit of a license to construct the repository. (Submit to NRC FIVE KEY AREAS. 

December 15,2001). The Plan will specifically address: Results of this review indicated no 

Results of self-assessments performed over the last six months. significant issues beyond those already 

(AOS, page 1, 2nd para., bullet 6) addressed in the MII. m 

t• 8 

t•
Table A-1. Crosswalk of Source Documents (Continued)

z 

*2 

0

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

AOS-01 Develop a comprehensive DOE/Contractor plan (Performance FOREWORD, SECTION 1, 

Improvement Transition Plan) (the "Plan") to drive a transition INTRODUCTION, AND SECTION 5, 

to a level of performance necessary to prepare for the potential DISCUSSION OF ACTION PLANS IN 

pursuit of a license to construct the repository. (Submit to NRC FIVE KEY AREAS. 

December 15, 2001). The Plan will specifically address: A lessons learned analysis was conducted 

Lessons learned from previous corrective actions including and documented, the results of which are 

what is different with this plan versus previous initiatives. How addressed in the MII and listed as "LL" in 

is DOE going to prevent recurrence? (AOS, page 1, 2nd para., the crosswalk. 

bullet 7) 

AOS-01 Develop a comprehensive DOE/Contractor plan (Performance FOREWORD, SECTION 1, 

Improvement Transition Plan) (the "Plan") to drive a transition INTRODUCTION, AND SECTION 5, 

to a level of performance necessary to prepare for the potential DISCUSSION OF ACTION PLANS IN 

pursuit of a license to construct the repository. (Submit to NRC FIVE KEY AREAS. 

December 15, 2001). The Plan will specifically address: The results of the FY2001 Quality 

Quality Assurance Management Assessment (QAMA) Review Assurance Management Assessments of 

Results. (AOS, page 1, 2nd para., bullet 8) OCRWM and BSC are addressed in this 

MI1 and listed as "QAMA" and "QAMA 

BSC" in the crosswalk. 

LL-0 1 The need for change must be accepted, communicated, and SECTION 6, MANAGEMENT 

enforced throughout the organization. Senior management APPROACH. 

should personally communicate the seriousness of the need for 

change. Face-to-face meetings with all project personnel, 

perhaps at the department level, should be considered. 

Consequences to the organization of the failure to change must 

be communicated. (LL Recommendation 1, bullet 1)
Table A-1. Crosswalk of Source Documents (Continued)

I 

C 

LA 

'-4

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

LL-01 The need for change must be accepted, communicated, and SECTION 6, MANAGEMENT 

enforced throughout the organization. Personal and APPROACH. 

organizational benefits of change must also be defined. (LL 

Recommendation 1, bullet 3) 

LL-01 The need for change must be accepted, communicated, and SECTION 6, MANAGEMENT 

enforced throughout the organization. The capability of the APPROACH. 

existing project leadership to lead the needed change to a 

nuclear licensing environment should be assessed, with 

weaknesses addressed. Development of mentoring relationships 

with industry experts who have experienced culture change 

should be considered. (LL Recommendation 1, bullet 4) 

LL-0I The need for change must be accepted, communicated, and SECTION 6, MANAGEMENT 

enforced throughout the organization. Change champions APPROACH. 

should be identified and supported. Where obvious champions 

do not exist, efforts to develop the desired attributes or hire new 

personnel should be considered. (LL Recommendation 1, 

bullet 5) 

LL-02 Senior Management must demonstrate sustained, personal SECTION 6, MANAGEMENT 

commitment to OMII. Senior management must assure the APPROACH. 

implementation of the OMII will result in sustained 

organizational and process change, not just the completion of 

planned actions. (LL Recommendation 2, bullet 1) 

LL-02 Senior Management must demonstrate sustained, personal SECTION 6, MANAGEMENT 

commitment to OMII. Progress must be consistently APPROACH. 

communicated throughout the organization until completion. 

(LL Recommendation 2, bullet 3)
Table A-1. Crosswalk of Source Documents (Continued)

z 

S

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

LL-02 Senior Management must demonstrate sustained, personal SECTION 6, MANAGEMENT 

commitment to OMII. Barriers to success must be actively APPROACH. 

sought out and eliminated. (LL Recommendation 2, bullet 4) 

LL-02 Senior Management must demonstrate sustained, personal SECTION 6, MANAGEMENT 

commitment to OMII. Successes must be publicly APPROACH. 

acknowledged. (LL Recommendation 2, bullet 5) 

OMII- I Conduct a series of management meetings to communicate SECTION 6, MANAGEMENT 

information from the lessons learned evaluation and future APPROACH. 

expectations. These meetings should have two different focuses 

depending on the level of involvement in the original OMII. 

The general management team should be briefed on the lessons 

learned evaluation findings and actions that are being taken by 

management to prevent recurrence. Detailed examples of the 

management actions need to be reviewed to tie the action to the 

lesson learned finding being addressed. These meetings should 

clearly communicate the fact that the corrective actions being 

taken are different from previous corrective actions to improve 

performance in that senior management will be held 

accountable for specific actions. For those persons directly 

involved in the January 31, OMII development, additional 

information should be made available to clearly communicate 

roles and actions associated with why OMII contained 

inaccuracies and associated corrective actions taken. In 

addition, training should be provided to address listening and 

conflict resolution skills. (OMII LL Recommendation 1)

t,3
Table A-1. Crosswalk of Source Documents (Continued)

,z 

r) 

V 

0 

>4

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

OMII-2 Issue a letter(s) to specific individuals, sections, and SECTION 6, MANAGEMENT 

departments to clearly define performance expectations, APPROACH. 

responsibilities and authorities. Specific individuals are to be 

identified to clearly communicate to the organization the lead 

and point of contact for the item or issue. The purpose of these 

letters is to clarify roles and responsibilities in the organization 

and reestablish accountability. A series of checks and balances 

should be implemented in the Project to ensure effective 

re-establishment of accountability (e.g., letters to outside 

organizations, CARs, etc., should be selected at random for 

detailed accuracy verification and verification of conflict 

escalation). A series of confirmatory assessments, audits and/or 

surveillances should be utilized to verify line organization 

performance. (OMII LL Recommendation 2)
Table A-1. Crosswalk of Source Documents (Continued)

z 

0D 

00

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

OMII-3 The DOE Project Manager and BSC President and General SECTION 6, MANAGEMENT 

Manager should either redirect an existing Deputy Manager or APPROACH. 

establish a new Deputy Manager position. The Deputy 

Manager(s) are to: as a minimum work as a team to provide a 

conflict resolution forum, identify conflicts for issue escalation, 

perform independent assessment of CAR/DR, identify 

management initiatives necessary to prevent inaccurate 

submittals, and monitor progress in re-engaing personnel in the 

organization. Senior Managers and Deputy Manager(s) should 

receive training in listening, conflict resolution, and managing 

organizational change. The Deputy Manager(s) will champion 

the changes identified and provide frequent feedback to the 

Senior Managers on progress and issues encountered in 

implementing the necessary actions. The Deputy Manager(s) 

will be held accountable for successful overall OMII 

implementation and effectiveness. (OMII LL 

Recommendation 3) 

LL-02 Senior Management must demonstrate sustained, personal FOREWORD AND SECTION 6, 

commitment to OMII. Senior management must be actively MANAGEMENT APPROACH. 

engaged in monitoring OMII progress and effectiveness, and RW-I commitment affirmed in MII 

make adjustments when necessary to assure success. (LL introduction. 

Recommendation 2, bullet 2) 1 1

I

C,
Table A-1. Crosswalk of Source Documents (Continued)

z IV r0

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

NRC 1-02 DOE will submit the Performance Improvement Transition Plan FOREWORD, SECTION 1, 

to NRC by December 15, 2001, which will specifically address INTRODUCTION, AND SECTION 5, 

the following items: DISCUSSION OF ACTION PLANS IN FIVE KEY AREAS. 

- Software and modeling results and corrective action report These issues are addressed in responses to 

(CAR) root cause analysis results and recommendations 

including root, generic, and common causes, AOS- I needs, and are not tracked 

- TSPA root cause results and recommendations including 

root and common causes, 

Review of results of vertical and horizontal document in 

process reviews conducted on the S&ER, PSSE, and SSPA 

for the purpose of ensuring that any additional adverse 

trends are included in the Plan. 

- The results of the TSPA audit will be integrated into the 

Performance Improvement Transition Plan. 

- Coordination of the DOE Integrated Safety Management 

System (ISMS) with QA Program Initiatives including 

closure of ISMS issues resulting from self-assessment(s). 

- Results of self-assessments performed over the last six 

months. 

- Lessons learned from previous corrective actions including 

what is different with this plan versus previous initiatives. 

- QA Management Assessment (QAMA) Review Results. 

(NRC1I,_page_2, 4th para.,_3rd sentence)

C,
Table A-1. Crosswalk of Source Documents (Continued)

10 

0

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

NRC 1-03 DOE and BSC Senior Project Managers will be assigned to SECTION 6, MANAGEMENT 

manage and monitor corrective action implementation. (NRC APPROACH. 

1, page 3, Ist para., 1st sentence) 

NRC 1-04 Performance measures will be defined to evaluate both the SECTION 6, MANAGEMENT 

progress of implementation and the effectiveness of the actions APPROACH. 

taken to ensure continuous improvement. (NRC 1, page 3, 1st 

para., 2nd sentence) 

NRC 1-05 BSC QA personnel will conduct performance based and SECTION 6, MANAGEMENT 

compliance based audits and surveillances of in-process work to APPROACH. 

confirm that the corrective actions taken are implemented and 

effective. (NRC 1, page 3, 2nd para., 1st sentence). 

NRC 1-06 The DOE Office of QA will conduct audits, progressive SECTION 6, MANAGEMENT 

reviews, and verification of corrective and preventive action APPROACH. 

implementation as it is completed. DOE committed to provide 

the scope and time frame of DOE and BSC oversight activities 

as part of the plan to be delivered on December 15, 2001. DOE 

will provide audit and review schedules for these DOE and BSC 

activities to the NRC as they are developed and updated. 

(NRC 1, page 3, 2nd para., 2nd-4th sentences) 

NRCI-07 Establish NRC/DOE dialogue on the Performance metrics prior SECTION 6, MANAGEMENT 

to inclusion in the Transition Plan scheduled for submittal to the APPROACH. 

NRC in December 2001. (NRC 1, Attachment 1, item 11) Informal communications conducted 

during development of the M11.
Table A-1. Crosswalk of Source Documents (Continued)

I 

10 

ro SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

NRC2-01 ... OQA and BSC QA activities to monitor the implementation SECTION 6, MANAGEMENT 

of the Transition Plan .... indicated that elements of the APPROACH. 

Transition Plan, under the jurisdiction of the QARD, would be 

subject to OQA and BSC QA oversight (e.g., the corrective 

actions addressed by the transition plan for the model validation 

and software CARs). ... QA would be providing oversight to 

ensure that the performance measures/metrics, addressed by the 

Transition Plan, accurately reflected the progress being made in 

a given area. .... line management has the responsibility to 

ensure that the Transition Plan is properly implemented. (NRC 

2, page 3, 5th para.) 

NRC3-01 DOE stated that it will develop a comprehensive corrective FOREWORD, SECTION 1, 

action plan that will address the causes of problems and a plan INTRODUCTION, AND SECTION 5, 

to improve the level of performance of its quality assurance DISCUSSION OF ACTION PLANS IN 

program implementation. This plan will consider and address FIVE KEY AREAS. 

items such as: 1) results of DOE's reviews of the documents See also NRC 1-02. 

supporting the site recommendation; 2) root-cause analysis for 

the various quality assurance problems; 3) lessons learned from 

past corrective action plans; 4) accountability; 5) performance 

measures; 6) upgrading and enhancing procedures; and 7) 

audits, surveillances, self assessments, and management 

oversight to confirm that the corrective actions are being 

implemented and are effective. (NRC 3, Enclosure 2, page 2, 

5th para.)
Table A-1. Crosswalk of Source Documents (Continued)

:z 

Io 

0 

N)

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

QAMA-02 The YMSCO Project Manager should provide a single focus on SECTION 1, INTRODUCTION AND 

improving human performance and enhancing professionalism SECTION 5, DISCUSSION OF ACTION 

rather than on discrete initiatives such as nuclear culture, PLANS IN FIVE KEY AREAS. 

integrated safety management, safety conscious work 

environment, etc. YMSCO management should rely on proven 

INPO tools and guidance, including the use of self-assessments 

by the line organizations, on improving human performance and 

enhancing professionalism. (QAMA, Section 4.2, 

Recommendation 2) 

QAMA-BSC-01 Determine why the process for root cause determination and SECTION 1, INTRODUCTION AND 

corrective actions of repetitive and significant issues has been SECTION 5, DISCUSSION OF ACTION 

ineffective. (QAMA-BSC, Section 3.1 Recommendation 1, 2nd PLANS IN FIVE KEY AREAS. 

phrase) A lessons learned analysis was conducted 

and documented, the results of which are 

listed as "LL" in the crosswalk. 

QAMA-BSC-01 Take the appropriate action to preclude this situation from SECTION 1, INTRODUCTION AND 

recurring. (QAMA-BSC, Section 3.1 Recommendation 1, 3rd SECTION 5, DISCUSSION OF ACTION 

phrase) PLANS IN FIVE KEY AREAS.
Table A-1. Crosswalk of Source Documents (Continued)

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SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

QAMA-BSC-02 There should be a single focus on improving human SECTION 1, INTRODUCTION AND 

performance and enhancing professionalism, with effective SECTION 5, DISCUSSION OF ACTION 

implementation of the QA Program as a prerequisite, rather than PLANS IN FIVE KEY AREAS. 

on discrete initiatives such as the nuclear culture initiative or 

integrated safety management. Management needs to promptly 

address the problems that were recently identified by the root 

cause analysis team (report dated July 19, 2001), and issues 

identified by surveys and self-assessments. Plans should 

include metrics to measure effectiveness of corrective action, 

manager counseling, individual accountability, training, and 

possibly seeding the organization with new staff (effective 

leaders with proven track records) to influence change. 

(QAMA-BSC, Section 3.2 Recommendation 2) 

TD- 17 DOE and the M&O must accept that manager behavior and SECTION 6, MANAGEMENT 

expectations need to change. (TD Section 4.5.2.2, 2nd APPROACH. 

sentence) 

TD- 17 DOE and the M&O should celebrate the many past SECTION 6, MANAGEMENT 

achievements of the Project. (TD Section 4.5.2.2, 1st sentence) APPROACH. 

TD- 17 Develop a performance improvement plan that incorporates the SECTION 1,INTRODUCTION AND 

recommendations from the Modeling and Software Root Cause SECTION 5, DISCUSSION OF ACTION 

Analysis and this Root Cause Analysis, including performance PLANS IN FIVE KEY AREAS. 

indicators, communicate the plan and performance indicators to 

the DOE, NRC and employees. (TD Section 4.5.2.2, 3rd 

sentence)

I-,.
Table A-1. Crosswalk of Source Documents (Continued)

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SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

AOS-02 Key decisions and some actions that are proceeding in parallel SECTION 5.1, PROGRAM R2A2. 

with, and will be addressed in, the Plan development will be 

presented at the September 7, 2001 management meeting. They 

include: Procedure ownership and designation of interpretive 

authorities being aligned within BSC organization. (AOS, 

page 1, 5th para., bullet 3) 

AOS-02 Key decisions and some actions that are proceeding in parallel SECTION 5.1, PROGRAM R2A2. 

with, and will be addressed in, the Plan development will be 

presented at the September 7, 2001 management meeting. They 

include: Values/Expectations/Consequences are being defined. 

(AOS, page 1, 5th para., bullet 4) 

AOS-02 Key decisions and some actions that are proceeding in parallel SECTION 5.1, PROGRAM R2A2. 

with, and will be addressed in, the Plan development will be 

presented at the September 7, 2001 management meeting. They 

include: Roles, Responsibilities, Accountability, and Authority 

are being defined within DOE and BSC as well as between 

DOE and BSC. (AOS, page 1, 5th para., bullet 5 ) 

LL-0I The need for change must be accepted, communicated, and SECTION 5.1, PROGRAM R2A2. 

enforced throughout the organization. Performance evaluation 

plans for all project personnel must be revised to ensure the 

expected performance attributes are institutionalized at a 

personal level. (LL Recommendation 1, bullet 2)

t__
Table A-1. Crosswalk of Source Documents (Continued)

n 

U,

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

MP-TSPA-03 Organization Responsibility/Accountability - it is anticipated SECTION 5.1, PROGRAM R2A2. 

that the root cause determinations could find that improved 

responsibility and accountability are needed for project related 

work. Consequently, the BSC management team is prepared to 

enhance the responsibility and accountability on the project. 

(MP-TSPA, page 4, bullet 2) 

OMII-4 BSC should establish a senior review board reporting directly to SECTION 5.1, PROGRAM R2A2. 

the BSC President and General Manager. The Board is to 

provide YMP Senior Managers with an independent review of 

significant project issues and plans. Board members should not 

be employees of BSC or DOE. They should have the following 

experience: NRC licensing, turning troubled organizations 

around, successful DOE project management etc. The Deputy 

Manager(s) are to status the board of project progress, 

significant issues and organizational performance. The Board 

will provide the BSC President and General Manager with a 

written report for each Board meeting. The report will contain 

at a minimum a description of what was reviewed, personnel 

contacted, and any applicable recommendations. (OMII LL 

Recommendation 4)

t•-
Table A-1. Crosswalk of Source Documents (Continued)

"0 r'

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

QAMA-03 YMSCO should establish a firm date for developing a SECTION 5.1, PROGRAM R2A2. 

management plan, approach, and organizational structure that 

aligns the authorities and roles and responsibilities of the 

YMSCO and BSC organizations. YMSCO and BSC managers 

should be involved in reaching and promptly implementing 

these decisions, and be held accountable for effective 

implementation. In evaluating how best to structure the 

YMSCO organization, and the roles, responsibilities, and 

authorities, YMSCO should evaluate the structure of other 

successful government and private sector projects. As 

OCRWM's role and organization are defined, YMSCO should 

identify any required changes in staffing or skill mix, and set a 

date for implementing these changes. (QAMA, Section 4.3, 

Recommendation 3)

tJ
Table A-1. Crosswalk of Source Documents (Continued)

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0 

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SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

QAMA-BSC-05 BSC should identify a complete set of functions that are needed SECTION 5.1, PROGRAM R2A2. 

to group the programmatic requirements applicable for all 

project phases. The scope of each function should be defined, 

management expectations for each function should be 

established, requirements should be allocated to each function, 

the BSC individual responsible for the integrity of the function 

should be established, requirements should be allocated to each 

function, the BSC individual responsible for the integrity of the 

function should be identified, and metrics to measure the 

performance of each function should be established. The 

programmatic document hierarchy should be constructed around 

the identified functions to ensure proper allocation of 

programmatic requirements. BSC needs to achieve compliance 

with procedure AP-REG-006, Identification and maintenance of 

the YMP Requirements Baseline. (QAMA-BSC, Section 3.4, 

Recommendation 5) 

SCWE-08 Clarifying the respective roles and responsibilities of senior site SECTION 5.1, PROGRAM R2A2. 

management and the OCRWM Concerns Program, including a 

more precise understanding of the interface, and then 

communication of these roles to the OCRWM workforce. In 

this regard, the OCRWM Concerns Program should be 

reviewed to assure: (SCWE Section lll.B.3.a, bullet 6, 1st 

sentence)

t-J
Table A-1. Crosswalk of Source Documents (Continued)

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SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

AOS-01 Develop a comprehensive DOE/Contractor plan (Performance SECTION 5.2, QA PROGRAMS AND 

Improvement Transition Plan) (the "Plan") to drive a transition PROCESSES. 

to a level of performance necessary to prepare for the potential The sole ISM deficiency was related to 

pursuit of a license to construct the repository. (Submit to NRC procedural compliance and is addressed in 

December 15, 2001). The Plan will specifically address: Section 5.2. 

Coordination of the DOE Integrated Safety Management 

System (ISMS) with Quality Assurance Program Initiatives 

including closure of ISMS issues resulting from self 

assessment(s). (AOS, page 1, 2nd para., bullet 5) 

AOS-02 Key decisions and some actions that are proceeding in parallel SECTION 5.2, QA PROGRAMS AND 

with, and will be addressed in, the Plan development will be PROCESSES. 

presented at the September 7, 2001 management meeting. They 

include: BSC QA program redefinition initiated. (AOS, 

page 1, 5th para., bullet 2) 

AOS-03 DOE and BSC Senior Project Managers will be assigned to SECTION 5.2, QA PROGRAMS AND 

manage and monitor corrective action implementation PROCESSES. 

(organizational structure will be discussed during the September 

6-7, 2001, QA and management meetings). This will be part of 

the Plan provided to the NRC on December 15, 2001. (AOS, 

page 2, 1st para.)

C,.
Table A-1. Crosswalk of Source Documents (Continued)

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SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

AOS-04 Corrective action implementation includes follow-up SECTION 5.2, QA PROGRAMS AND 

assessments and monitoring of performance improvements PROCESSES. 

through pre-defined performance measures to evaluate both the 

progress of implementation and the effectiveness of the actions 

taken to ensure continuous improvement. Performance 

measures will be included as part of the Plan delivered on 

December 15, 2001. (AOS, page 2, 2nd para.) 

AOS-05 BSC Quality Assurance personnel will conduct performance SECTION 5.2, QA PROGRAMS AND 

based and compliance based audits and surveillances of PROCESSES. 

in-process work to confirm that the actions taken are effective 

as part of the quality assurance program realignment. The DOE 

Office of Quality Assurance will conduct audits, progressive 

reviews, and field verification of corrective and preventive 

action implementation as it is completed. DOE will provide a 

commitment as to the scope and time frame of DOE and BSC 

oversight activities as part of the plan to be delivered on 

December 15, 2001. Audit and review schedules for these DOE 

and BSC activities will be provided to the NRC as they are 

developed and updated. (AOS, page 2, 3rd para.) 

LL-04 Quality assurance must be developed as an inherent means of SECTION 5.2, QA PROGRAMS AND 

doing work. Roles and responsibilities for implementing the PROCESSES. 

Quality Assurance program need to be re-evaluated and 

communicated; line management ownership of quality needs to 

be developed. (LL Recommendation 4, bullet 1)

ItJ
Table A-1. Crosswalk of Source Documents (Continued)

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SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

LL-04 Quality assurance must be developed as an inherent means of SECTION 5.2, QA PROGRAMS AND 

doing work. The Quality Assurance program and processes PROCESSES. 

need to be simplified and the Quality Assurance role well 

understood so line management can effectively implement 

Quality Assurance requirements. (LL Recommendation 4, 

bullet 2) 

QAMA-BSC-03 BSC should develop an Assessment Program document that SECTION 5.2, QA PROGRAMS AND 

defines all elements of the Program. The Program document PROCESSES. 

should (1) describe the Program's scope, philosophy, and 

objectives, (2) establish requirements and management 

expectations, and (3) assign organizational responsibilities. One 

discrete requirement of the Assessment Program should be a 

criterion to evaluate the effectiveness of previous corrective 

actions. Upon completion of the Assessment Program 

document, existing assessment procedures should be identified 

and then reviewed to ensure that all elements and requirements 

of the Assessment Program properly flow down into 

procedures. The final objective of this effort should be to help 

line management at BSC and the laboratories/USGS effectively 

apply this process on a consistent basis. (QAMA-BSC, 

Section 3.3, Recommendation 3)
Table A-1. Crosswalk of Source Documents (Continued)

z'

) 

I

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

QAMA-BSC-04 BSC QA management should propose to OQA management SECTION 5.2, QA PROGRAMS AND 

that a document such as a Performance Report be reinstituted to PROCESSES. 

report "a performance condition in an activity or associated 

documentation where remedial actions or minor improvements 

are necessary to meet minimum requirements." This report 

should require minimal line management effort to document 

and resolve the problem. The use of the current deficiency 

Report (DR) to address insignificant problems is, in many cases, 

overkill because the rigor and formality of a DR is not required 

for these minor deficiencies. (QAMA-BSC, Section 3.3, 

Recommendation 4) 

SCWE-06 A management initiative to improve communication across the SECTION 5.2, QA PROGRAMS AND 

three QA organizations, particularly in the identification and PROCESSES. 

resolution of QA issues. In this regard, management should 

better explain to the larger OCRWM workforce the role of QA 

in the overall mission of the Project. (SCWE Section III.B.3.a, 

bullet 4) 

SCWE-20 Determine the extent to which planning and scheduling in SECTION 5.2, QA PROGRAMS AND 

product preparation contribute to insufficient time from QA PROCESSES. 

review, and improve planning and scheduling to assure 

adequate QA review time. (SCWE Section IV.B.3.b) 

TD-01 Senior management must value a robust checking and review SECTION 5.2, QA PROGRAMS AND 

process to ensure errors in documents are identified and PROCESSES. 

reconciled before a document is issued. This can be 

accomplished by management adopting this as a project value. 

(TD Section 4.1.2.1) I-
Table A-1. Crosswalk of Source Documents (Continued)

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SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

TD-02 Senior management must establish the proper configuration SECTION 5.2, QA PROGRAMS AND 

management process, which must include a final C&R process PROCESSES. 

of a frozen document. (TD Section 4.1.2.2, 1st sentence) 

TD-03 Benchmark and assess configuration management processes SECTION 5.2, QA PROGRAMS AND 

used to develop technical documents. Where gaps are PROCESSES. 

determined, prepare and issue appropriate configuration 

management procedures. (TD Section 4.1.2.3) 

TD-04 Senior management must set high values and expectations for SECTION 5.2, QA PROGRAMS AND 

technical document quality. This can be accomplished by PROCESSES. 

management adopting this as a project value. A good example 

of such a value is AP 3.11IQ Section 3.18 (Signature of author, 

checker, and responsible manager). (TD Section 4.2.2.1) 

TD- 16 DOE and the M&O must embrace, support and communicate SECTION 5.2, QA PROGRAMS AND 

the expectation that Project products will be error free, and they PROCESSES. 

must create performance measures that will track progress 

towards meeting the goal of error free documents. (TD Section 

4.5.2.1) 

LL-03 The priority of quality versus schedule must be communicated. SECTION 5.3, PROGRAM 

Detailed, resource loaded, logic driven project schedules are PROCEDURES. 

necessary to provide direction and focus, and help identification 

of real, versus perceived, schedule impacts so that priorities can 

be based on fact. (LL Recommendation 3, bullet 1) 

LL-03 The priority of quality versus schedule must be communicated. SECTION 5.3, PROGRAM 

Appropriate quality assurance requirements for technical PROCEDURES. 

products must be carefully determined, clearly defined, well 

communicated and achieved. (LL Recommendation 3, bullet 2) C
Table A-1. Crosswalk of Source Documents (Continued)

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SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

MP-TSPA-01 Procedure Revision Enhancements - science and design SECTION 5.3, PROGRAM 

processes (both of which are ongoing at Yucca Mountain) have PROCEDURES. 

different characteristics. These processes can be controlled in a 

more appropriate manner if the processes reflect the nature of 

each type of activity. Consequently, there is a need to 

implement separate processes for these activities. In addition, 

this will allow the implementation of a more standard design 

and engineering approach for the design and engineering 

activities. (MP-TSPA, page 3, 5th para., bullet 1) 

MP-TSPA-02 Baseline Management - better control of project scope and SECTION 5.3, PROGRAM 

schedule using industry accepted scheduling methods that are: PROCEDURES. 

Fully integrated, Resource-loaded, and Logic-tied schedules, 

thus assuring that scoped activities can be accomplished as 

scheduled and to assure that appropriate schedule adjustments 

are made when scope is changed. This also enhances the 

project ability to properly include commitments in the scoped 

and scheduled work and to satisfy commitments. (MP-TSPA, 

page 4, bullet 1) 

QAMA-04 YMSCO management should establish a firm milestone by SECTION 5.3, PROGRAM 

which the Project will have its technical, cost and schedule PROCEDURES. 

baseline in place. Responsibilities for this effort and 

management expectations regarding the level of detail contained 

in the baseline should be clearly communicated to OCRWM 

and BSC managers. (QAMA Section 4.4, Recommendation 4)

I-O
Table A-1. Crosswalk of Source Documents (Continued)

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SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

QAMA-05 YMSCO management should set a firm date for reviewing and SECTION 5.3, PROGRAM 

revising Project procedures to assure that they are adequate and PROCEDURES. 

effective for the NRC licensing phase of the Project. Any 

initiative to revise the procedures should be built around the 

processes and outputs from the Project, rather than just on the 

existing set of Project procedures. (QAMA Section 4.5) 

QAMA-BSC-07 BSC should reach agreement with OCRWM on a firm date by SECTION 5.3, PROGRAM 

which the program technical/cost/schedule baseline, and roles PROCEDURES. 

and responsibilities for maintaining it and changing it will be in 

place. (QAMA-BSC, Section 3.6, Recommendation 7) 

QAMA-BSC-08 BSC should request input and suggestions from each laboratory SECTION 5.3, PROGRAM 

and the USGS on ways in which QA-related training needs for PROCEDURES. 

the laboratories/USGS can be met more efficiently and 

effectively. Areas to address should include: the process for 

determining the form, content, and extent of training needed by 

each laboratory and the USGS; the requirement that "certified 

trainers" must conduct training; a subject-by-subject 

determination as to whether training should be presented by the 

training department or the laboratories/USGS; the process for 

providing visibility regarding personnel training status to each 

laboratory and the USGS; and the manner in which BSC 

management, including laboratory and USGS management, 

obtain timely and visible information regarding the 

effectiveness of training. BSC should obtain concurrence of the 

laboratories/USGS for any improvements resulting from the 

analysis of this information. (QAMA-BSC, Section 3.9, 

Recommendation 8)
Table A-1. Crosswalk of Source Documents (Continued)

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SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

LL-04 Quality assurance must be developed as an inherent means of SECTION 5.4, CORRECTIVE ACTION 

doing work. Quality principles, such as self-assessment, PROGRAM. 

deficiency reporting, and prompt corrective action ,must be 

established as a cultural value. (LL Recommendation 4, bullet 

3) 

LL-05 Timely identification and resolution of corrective actions must SECTION 5.4, CORRECTIVE ACTION 

be valued. User-friendly processes for timely identification and PROGRAM. 

reporting of deficiencies, completion of root cause analyses, and 

development of corrective actions are needed. (LL 

Recommendation 5, bullet 1) 

LL-05 Timely identification and resolution of corrective actions must SECTION 5.4, CORRECTIVE ACTION 

be valued. Additional emphasis should be placed on PROGRAM. 

determining extent of issues, conditions or problems when 

investigating deficiencies. (LL Recommendation 5, bullet 2) 

LL-05 Timely identification and resolution of corrective actions must SECTION 5.4, CORRECTIVE ACTION 

be valued. Appropriate use of independent external evaluations PROGRAM. 

(diverse nuclear utility tiger teams) to assist in investigation of 

issues/problems and the development of corrective action plans 

should be considered. (LL Recommendation 5, bullet 3) 

LL-05 Timely identification and resolution of corrective actions must SECTION 5.4, CORRECTIVE ACTION 

be valued. Greater emphasis should be placed on self- PROGRAM. 

assessments. (LL Recommendation 5, bullet 4) 

LL-05 Timely identification and resolution of corrective actions must SECTION 5.4, CORRECTIVE ACTION 

be valued. Mechanisms to clearly identify, and monitor the PROGRAM. 

progress and effectiveness of implementing corrective actions 

are needed. (LL Recommendation 5, bullet 5)
Table A-1. Crosswalk of Source Documents (Continued)

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DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

LL-05 Timely identification and resolution of corrective actions must SECTION 5.4, CORRECTIVE ACTION 

be valued. Managers should be held accountable for timely PROGRAM. 

closure of corrective actions, consistent with established 

corrective action system requirements. (LL Recommendation 5, 

bullet 6) 

QAMA-01 OCRWM senior management must play a key role in SECTION 5.4, CORRECTIVE ACTION 

implementing an effective corrective action program on a high PROGRAM. 

priority basis. OCRWM line managers must be held 

accountable for assuring that corrective actions in their area of 

responsibility are identified and implemented. (QAMA, 

Section 4.1, Recommendation 1, 1 st & 2nd sentences) _ 

QAMA-01 Implementation of effective corrective actions should be a key SECTION 5.4, CORRECTIVE ACTION 

element in each OCRWM manager's performance appraisal, PROGRAM. 

and should be directly tied to the BSC fee determination. 

(QAMA, Section 4. 1, Recommendation 1, 3rd sentence) 

QAMA-01 OCRWM should establish metrics to ensure that problems are SECTION 5.4, CORRECTIVE ACTION 

resolved in a timely way, and that they do not recur. (QAMA, PROGRAM. 

Section 4. 1, Recommendation 1, 4th sentence) 

QAMA-01 The lead for monitoring the corrective action program in SECTION 5.4, CORRECTIVE ACTION 

YMSCO should be assigned by the Project Manager to an PROGRAM. 

organization other than OQA, perhaps the Office of Project 

Execution. (QAMA, Section 4.1, Recommendation 1, 5th 

sentence)

I-. 

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Table A-1. Crosswalk of Source Documents (Continued)

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SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

QAMA-06 YMSCO management should establish a firm date by which an SECTION 5.4, CORRECTIVE ACTION 

effective commitment management system will be in place, PROGRAM. 

should specify in writing the performance expectations for the 

system, and then evaluate periodically whether the system is 

meeting these expectations. (QAMA, Section 4.6, 

Recommendation 6) 

QAMA-BSC-01 M&O management should reinforce corrective action program SECTION 5.4, CORRECTIVE ACTION 

ownership with the line organization. (QAMA-BSC, PROGRAM. 

Section 3.1, Recommendation 1, 1st phrase) 

QAMA-BSC-06 BSC should continue a strong focus on using the Lessons SECTION 5.4, CORRECTIVE ACTION 

Learned Program with increased emphasis placed on identifying PROGRAM. 

and including management best practices in the program. 

(QAMA-BSC, Section 3.5 Recommendation 6, 1st sentence) 

QAMA-BSC-09 CIRS should be simplified to make it a useful management tool. SECTION 5.4, CORRECTIVE ACTION 

As a first step, a summary page, identifying the specific control PROGRAM. 

features needed by management to effectively and efficiently 

manage issues, should be developed and incorporated into 

CIRS. (QAMA-BSC, Section 3.10, Recommendation 9) 

SCWE- 11 Revision of self-assessment practices or procedures to require SECTION 5.4, CORRECTIVE ACTION 

management to communicate to the impacted workforce both PROGRAM. 

the results of the assessments and management's plans to 

address the findings. (SCWE Section III.B.3.a, bullet 7) 

SCWE-12 A schedule to transition fully to a single issue identification SECTION 5.4, CORRECTIVE ACTION 

system under CIRS, and communicate at appropriate milestones PROGRAM. 

to the workforce. At the time of full implementation, conduct a 

coordinated training program for all employees. (SCWE 

Section 111.B.3.a, bullet 8)
Table A-1. Crosswalk of Source Documents (Continued)

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SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

SCWE-23 Make the corrective action processes more responsive to SECTION 5.4, CORRECTIVE ACTION 

deficient conditions by requiring corrective actions be more PROGRAM. 

prompt and meet open duration times comparable to industry 

practices (i.e., reset targets from 100 to 45 days). (SCWE 

Section IV.B.6.b, bullet 1) 

SCWE-24 Continue the transition to the CIRS as the single system for SECTION 5.4, CORRECTIVE ACTION 

workers to report and document concerns to the CAP. As part PROGRAM. 

of this transition, train all personnel (both QA and non-QA) to 

assure that anyone who may have a concern knows how to use 

the CIRS system and its relationship to other means of raising 

issues, such as the Concerns Program and DPO process. 

(SCWE Section IV.B.6.b, bullet 2) 

SCWE-25 Give the self-assessment program sufficient priority to work off SECTION 5.4, CORRECTIVE ACTION 

the backlog of planned assessments; assure workers are PROGRAM. 

provided adequate training in conducting self-assessments; 

assure quality and non-quality findings arising out of 

self-assessments are documented, evaluated, and resolved in a 

timely manner; and assure affected organizations are provided 

both the results of self-assessments and the corrective actions 

management will take in response. (SCWE Section IV.B.7.b) 

TD-10 Senior management must establish a value and expectation for a SECTION 5.4, CORRECTIVE ACTION 

positive issue management process. This will require that PROGRAM. 

issues management process be separated from commitment 

tracking. (TD Section 4.4.2.1)
Table A-1. Crosswalk of Source Documents (Continued)

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>~ 

ISOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

TD-l 1 Senior management must implement a positive and definitive SECTION 5.4, CORRECTIVE ACTION 

process for self-identification, tracking, and resolution of issues. PROGRAM. 

This process should allow for easy documentation and closure 

of minor issues. (TD Section 4.4.2.2) 

LL-03 The priority of quality versus schedule must be communicated. SECTION 5.5, SCWE. 

Employees should be assured access to senior project 

management so that concerns regarding product quality vs. 

schedule can be freely raised. (LL Recommendation 3, bullet 3) 

LL-06 Barriers to progress must be promptly identified and resolved. SECTION 5.5, SCWE. 

Formal issue escalation and resolution processes must be 

developed to encourage prompt identification and the resolution 

of barriers to progress. (LL Recommendation 6, bullet 1) 

LL-06 Barriers to progress must be promptly identified and resolved. SECTION 5.5, SCWE. 

Senior managers need to maintain an open door policy and 

encourage candid input from employees (management by 

walking around). (LL Recommendation 6, bullet 2) 

LL-06 Barriers to progress must be promptly identified and resolved. SECTION 5.5, SCWE. 

Formal training on interpersonal conflict management is 

needed. (LL Recommendation 6, bullet 3) 

OCP-01 To address Trend I (a) and (b): additional facility and personnel SECTION 5.5, SCWE. 

resources are needed for the OCP to address both the 2001 

backlog (46 concerns) and the backlog of incoming concerns for 

2002 (10). Additional resources are especially important if the 

OCP continues to receive an average of 11.5 concerns per 

month. (OCP Recommendation 1)
Table A-1. Crosswalk of Source Documents (Continued)

z 

'0 

0 

w 

0 

'-4 

t'J

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

OCP-02 To address Trend 2, all Project staff must receive training to SECTION 5.5, SCWE. 

foster understanding and implementation of a SCWE, as stated 

in the NRC Policy Statement, May-1996. This training should 

be comprehensive and presented on a recurring basis. In 

addition to training, project communication should stress all of 

the available methods for issue identification, including the 

process for escalation of issues and differing professional views. 

(OCP Recommendation 2) 

OCP-03 To address Trend 3, management must foster a work SECTION 5.5, SCWE. 

environment free from harassment, intimidation, retaliation and 

discrimination. This must be stressed through the attitudes of 

management when addressing/resolving issues and the attitudes 

of conveyed to an employee when issues are first identified. 

(OCP Recommendation 3) 

SCWE-01 Senior management should take timely, visible action to SECTION 5.5, SCWE. 

respond to issues identified in the survey. In this regard, senior 

management should consider designating a single senior 

manager to be the responsible manager to coordinate all SCWE 

initiatives on the Project. (SCWE Section III.B.3, 1st para.) 

SCWE-02 Senior management should take the initiative and set the tone SECTION 5.5, SCWE. 

for a SCWE by issuing a clear statement on Project expectations 

for raising and responding to concerns. We recognize that DOE 

issued a Policy Statement on August 7, 2001, but this Statement 

should be integrated within a multi-dimension plan to convey 

and reinforce management expectations. (SCWE 

Section IlI.B.3.a, 1st & 2nd sentences)
Table A-1. Crosswalk of Source Documents (Continued)

z 

Io 

0

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

SCWE-03 Systematic senior management communication, by both word, SECTION 5.5, SCWE. 

and deed, to workers that management values their opinions 

(SCWE Section II.B.3.a, bullet 1) 

SCWE-04 Clear expectations by more senior management as what workers SECTION 5.5, SCWE. 

are expected to do when, for whatever reason, they have 

concerns that they choose not to raise with immediate 

supervision, including: (1) what workers should expect if they 

raise issues directly with senior management; and (2) how 

senior management views the role of the OCRWM Concerns 

Program as a forum to raise and resolve issues. (SCWE Section 

III.B.3.a, bullet 2) 

SCWE-05 A management initiative to respond to concerns in a more SECTION 5.5, SCWE. 

timely manner and a statement to workers of what is expected 

of them when, in their view, too much time has elapsed without 

having heard of how their concern has been addressed, or they 

disagree with its disposition. (SCWE Section III.B.3.a, bullet 3) 

SCWE-07 Senior management more visible modeling SCWE principles in SECTION 5.5, SCWE. 

large meetings and in its routine communications to the 

workforce. For example, in many NRC-licensed facilities, staff 

meetings or larger meetings begin with a "safety moment", 

where senior management conveys a SCWE principle or 

example from a personal perspective. (SCWE Section III.B.3.a, 

bullet 5) 

SCWE-09 Appropriate, but not excessive, use of confidentiality - SECTION 5.5, SCWE. 

consistent with NRC's policy on confidentiality for persons 

raising issues directly with that agency. (SCWE 

Section III.B.3.a, bullet 6, 1st subbullet)
Table A-1. Crosswalk of Source Documents (Continued)

z 

I

1

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

SCWE-10 Appropriate coordination with senior site management with SECTION 5.5, SCWE. 

respect to caseload management, including: (1) early 

coordination with regard to issues involving wrongdoing, 

personnel issues, or potential safety significance; (2) 

elimination of the OCRWM Concerns Program practice of 

providing the concerned individual a copy of its report and 

recommending corrective action, or sanctions in the case of 

personnel issues; and (3) definition of the OCRWM Concerns 

Program's task as finding facts for management consideration 

and action. (SCWE Section III.B.3.a, bullet 6, 2nd subbullet) 

SCWE- 13 Assuring communications, particularly those from senior SECTION 5.5, SCWE. 

management, regarding the need to meet schedules are balanced 

with greater emphasis on quality and safety. In this regard, the 

SCWE at the Project should be enhanced by a more uniform 

and complete understanding of nuclear safety, and the 

relationship of current activity to nuclear safety. (SCWE 

Section III.B.3.a, bullet 9) 

SCWE- 14 Periodic reinforcement of management's SCWE expectations SECTION 5.5, SCWE. 

by publication in site newsletters (for example, congratulating 

and rewarding an employee or contractor for raising an issue 

and describing how it was successfully resolved). (SCWE 

Section IIl.B.3.a, bullet 10) 

SCWE-15 Revised expectations of management performance, and holding SECTION 5.5, SCWE. 

DOE and contractor managers and supervisors accountable for 

SCWE as part of the Performance Evaluation Process (for 

example, some NRC licensees have "SCWE implementation" 

as an element on all evaluations for supervisors and above). 

(SCWE Section III.B.3.a, bullet 11)
Table A-1. Crosswalk of Source Documents (Continued)

z

0o

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

SCWE-16 Clear definition of the additional resources (legal, Human SECTION 5.5, SCWE. 

Resources, etc) available to supervisors and others in 

management to obtain advice and assistance when dealing with 

challenging employee situations (typically those that involve 

both protected activity and performance issues). In this regard, 

consider establishing a designated "rapid response" team of key 

senior managers and support staff to address emerging 

personnel issues. (SCWE Section III.B.3.a, bullet 12) 

SCWE-17 Train all supervisors and managers on identification and SECTION 5.5, SCWE. 

response to employee concerns and particularly possible HIRD. 

The training should include reinforcing the importance of 

providing timely feedback to employees and obtaining feedback 

from employees on the sufficiency of the response. (SCWE 

Section III.B.3.b) 

SCWE- 19 DOE management should continue to assist the OCRWM SECTION 5.5, SCWE. 

Concerns Manager in reviewing, prioritizing, and addressing the 

current backlog. (SCWE Section IV.B.2.b) 

SCWE-21 Supplement the current GET training with a module specifically SECTION 5.5, SCWE. 

focused on SCWE principles as expressed in the recent DOE 

Policy Statement, and provide this to all incoming personnel, 

and annually to current personnel. In this regard, updating 

Licensing and Training - Manager and Supervisor to include 

DOE's Policy Statement and making it a requirement for all 

OCRWM personnel could provide acceptable entry-level 

training. (SCWE Section IV.B.4.b, bullet 1)

1.3
Table A-1. Crosswalk of Source Documents (Continued)

z 

I 

0

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

SCWE-22 Provide supervisory training in the identification and response SECTION 5.5, SCWE. 

to potential retaliation. Such training should provide tools and 

techniques to enable supervisors and other managers to perform 

their duties more effectively (e.g., addressing disciplinary and 

performance issues, including addressing safety concerns), 

while avoiding discriminatory conduct and the chilling effect 

that such conduct may create. (SCWE Section IV.B.4.b, 

bullet 2) 

SCWE-26 a.) Identify and collect SCWE PIs and b) Use SCWE PIs to SECTION 5.5, SCWE. 

assist management in evaluating the SCWE. (SCWE Section 

IV.B.8.b) 

AOS-01 Develop a comprehensive DOE/Contractor plan (Performance APPENDIX B. 

Improvement Transition Plan) (the "Plan") to drive a transition Action Summaries for CARs BSC-0I-C

to a level of performance necessary to prepare for the potential 001 and 002, and other recommended 

pursuit of a license to construct the repository. (Submit to NRC actions pertaining to modeling and 

December 15, 2001). The Plan will specifically address: software are addressed in Appendix B. 

Software & modeling results and CAR root cause analysis 

results and recommendations including root, generic, and 

common causes. (AOS, page 1, 2nd para., bullet 1) 

CAR 001 The specific actions from CAR BSC-01-C-001 are listed in APPENDIX B, Table B-I. 

Appendix B with pointers to the CAR page containing or 

addressing it. Items in parentheses are amplifications or 

clarifications of the actual CAR wording. 

CAR 002 The specific actions from CAR BSC-01-C-002 are listed in APPENDIX B, Table B-2. 

Appendix B with pointers to the CAR page containing or 

addressing it. Items in parentheses are amplifications or 

clarifications of the actual CAR wording.

C
Table A-1. Crosswalk of Source Documents (Continued)

•0

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

M/S Actions to address the recommendations of the Root Cause APPENDIX B, Table B-3. 

Analysis Report for CAR BSC-01-C-001 and CAR BSC-0I-C

002 are addressed in Appendix B. 

SCWE-27 Evaluate the sequence of events associated with the issuance of APPENDIX B, Table B-3. 

CAR-01-002 and withdrawal of the initial recommendation to 

issue a stop work order, and determine any "lessons learned" 

from the prospective of chilling effect. (Is management sending 

a mixed message in focusing on the source of the message 

rather than the message itself?) (SCWE Section IV.B.9.b) 

TD-05 Conduct facilitated management off-site sessions with APPENDIX B, Table B-3, M/S-34. 

participation, as applicable, from DOE, BSC, the National 

Laboratories and USGS. In these sessions, document, sign, and 

communicate a high-level set of common: Project values, 

Consistent rewards and consequences, and Processes to hold 

each other accountable. (TD Section 4.2.2.2) 

TD-06 Establish a set of performance indicators to track the APPENDIX B, Table B-3, M/S-35. 

recommended common and generic corrective actions listed in 

the RCAR. Set goals, monitor, trend, conduct assessments and 

take management actions when progress fails to achieve 

expectations. Communicate goals and progress to al personnel. 

Report results quarterly to Bechtel corporate management. 

Bechtel corporate management should challenge the Project's 

performance and conduct field evaluations to validate the 

performance. (TD Section 4.2.2.3)
Table A-1. Crosswalk of Source Documents (Continued)

z 

C-, 

I 

0 

0.

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

TD-07 Assess the management and supervisory capabilities of the APPENDIX B, Table B-3, M/S-19. 

current BSC organizations (Suggest: DOE consider a parallel 

management and supervisor capabilities assessment) with 

emphasis on: management skills (plan, organize, schedule, 

contract implementation, people development), performance, 

capability to change and lead change, and nuclear culture and 

culture change experience. (TD Section 4.3.2.1, 2nd sentence) 

TD-08 Where deficiencies are identified in the above assessment, APPENDIX B, Table B-3, M/S-20. 

develop and implement a plan to train, mentor, and/or replace 

project management staff. (Suggestion: Many troubled 

complex high-risk technical facilities and DOE facilities have 

used organizational development consultants to facilitate this 

process). (TD Section 4.3.2.2) 

TD-09 Train BSC and DOE organization staff on the requirements of APPENDIX B, Table B-3, M/S-2 1. 

the current contract, set the expectation that the contract will be 

followed, and hold the management accountable. (TD 

Section 4.3.2.3) 

TD-12 Develop a BSC quality assurance plan that implements the APPENDIX B, Table B-3, M/S-22. 

existing contract allowing management assessments and 

independent assessments, and change the contract to allow BSC 

to perform surveillances. (TD Section 4.4.2.3)

t-
Table A-1. Crosswalk of Source Documents (Continued)

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

TD-13 Benchmark issue management programs at DOE facilities APPENDIX B, Table B-3, M/S-23. 

and/or commercial nuclear facilities to identify best practices 

and revise as appropriate the issue management program (IM). 

As a minimum: Set a lower threshold for initiation of root 

cause evaluations, management directed self-assessments and 

employee self-identification of issues. Establish a senior 

manager to conduct daily screening and assignment of 

responsibility for employee self identified issues. Create 

performance measures for root cause evaluations, 

self-assessments and employee issues identification, set goals 

and trend. Conduct an effectiveness review of the revised 

issues management program and performance measures six 

months after implementation. (TD Section 4.4.2.4) 

TD- 14 Communicate and train the Project staff on the issue APPENDIX B, Table B-3, M/S-24. 

management program requirements and management 

expectations for implementation. (TD Section 4.4.2.5) 

TD- 15 Continue development of an effective issues management APPENDIX B, Table B-3, M/S-25. 

trending program for the identification of potential issues. (TD 

Section 4.4.2.6) 

AOS-02 Key decisions and some actions that are proceeding in parallel MII Leadership Team indicated this will 

with, and will be addressed in, the Plan development will be not be addressed in M1I. 

presented at the September 7, 2001 management meeting. 

Budgets and schedules being realigned to ensure fiscal 

accountability for quality related work resides with the 

responsible managers. (AOS, page 1, 5th para., bullet 6)
Table A-1. Crosswalk of Source Documents (Continued)

"I 

0'-

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

QAMA-BSC-06 BSC management and users of the Lessons Learned Program The current process for the development of 

should be interviewed to determine how to make the program procedures has the required controls for 

more useful for them. (QAMA-BSC, Section 3.5 assuring user community input. All 

Recommendation 6, 2nd sentence) affected organizations are required to 

review any new or revised procedure. Any 

employee may also initiate a Document 

Action Request to provide proposed 

procedural improvements.

00 

OO-
Table A-1. Crosswalk of Source Documents (Continued)

z 

C-, 

m 

0

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED IN 

DOCUMENT MANAGEMENT IMPROVEMENT 

AND NEED INITIATIVES 

IDENTIFIER 

SCWE- 18 Assure all identified deficiencies that meet the criteria for In November 2001, DOE Navarro Quality 

inclusion in the CAP are so included. In this regard, Services authored a scientific notebook 

management should review the scope and nature of the practice white paper, Report on the Increase in 

at the National Laboratories of documenting issues in scientific Problems with Scientific Notebooks for the 

notebooks rather than in the CAP to assure issues recorded are Director, Office of Quality Assurance. 

appropriately and timely considered for inclusion in the CAP. The following were identified as the scope 

(SCWE Section III.B.3.c) of the report: 1) potential causes and types 

of problems recently identified with 

Scientific Notebooks; 2) potential negative 

impact on the usability of the Scientific 

Notebooks. The Navarro white paper 

recommendations and also the results of a 

recent surveillance, conducted by DOE 

OQA, are addressed in the current 

proposed revision to the BSC Scientific 

Notebook Procedure. The formal BSC 

review is complete and comment 

resolution is underway with anticipated 

completion and effective date for the 

revised procedure by Sept 1, 2002. this 

revision addresses the problems identified 

with the Scientific Notebook process in the 

past.

I-.
Table A-2. List of Documents

Z AOS Brownstein, A. 2001. "Expected DOE Actions In Response to QA Issues. (8/30/01) DOE August 2001 Off

site." Facsimile from A. Brownstein (DOE/OCRWM) to D. Horton (DOE/YMSCO), September 6, 2001. 

ACC: MOL.20020408.0233 

CAR 001 OCRWM 2001. Corrective Action Report BSC-01-C-001. Validation (Confidence Building) of Analyses' and Models is Not Being Documented in Accordance with AP-3. 10Q. Records from May 3,2001 to 

July 9, 2002. 

CAR 002 OCRWM 2001. Corrective Action Report BSC-01-C-002. Inadequate implementation of Supplement I 

Software Quality Assurance Requirements. Records from June 12, 2001 to July 9, 2002. 

LL OCRWM 2002. Yucca Mountain Project Evaluates Past Initiatives To Help Ensure Future Success. 

OCRWM-LL-2002-026, April 30,2002. 

M/S Metta, S. and Hosmer, J. 2001. Root Cause Analysis Report for CAR BSC-OJ-C-001, CAR BSC-01-C-002, Rev 01, August 8, 2001. Las Vegas, Nevada: Bechtel SAIC Company. ACC: MOL.20011023.0447. 

MP-TSPA Williams, N.H., 2001. "Transmittal of Management Plan for TSPA-SR and Other Continuing Quality Issues, 

> Revision 2 - Proposed Response to Nuclear Regulatory Commission May 17, 2001, Letter regarding Quality Assurance and Performance Assessment Issues." Letter from N.H. Williams (BSC) to S.J. Brocoum 

(DOE/YMSCO), July 06, 2001. ACC: MOL.20010910.0323. 

NRC I Reamer, C. 2001. "Minutes of the September 6, 2001 Quality Assurance and Key Technical Issues Status 

Management Meeting." Letter from C. Reamer (NRC) to R. Murthy (DOE/OCRWM), September 24, 2001. 

ACC: MOL.20011214.0172 

NRC2 Reamer, C. 2001. "Meeting Summaries for the December 5, 2001 QA and Key Technical Issue Status 

Management Meetings." Letter from C. Reamer (NRC) to R. Murthy (DOE/OCRWM), December 20, 2001. 

ACC: MOL.20020327.0682. 

NRC3 Meserve, R.A., 2001. "Preliminary Comments of the U.S. Nuclear Regulatory Commission (NRC) Regarding a Possible Geologic Repository at Yucca Mountain, Nevada." Letter from R.A. Meserve (NRC) to 

R.G. Card (DOE), November 13, 2001. ACC: MOL.20020204.0275. 

OCP Voltura, N. 2002. "OCRWM Concern Program Trend Report for 2001 and 2002." Memorandum from N. Voltura (DOE/OCRWM) to J. Ziegler (DOE/YMSCO), April 5, 2002. ACC: MOL.20020509.0244
Table A-2. List of Documents (Continued)

z OMII OCRWM, 2002. Yucca Mountain Project (YMP) Evaluates the Development and Submittal Process of 

OCRWM Management Improvements Initiative (OMII) to the Nuclear Regulatory Commission (NRC). 

OCRWM-LL-2002-066, July 2,2002 

DOE 2001. Office of SQAMA Civilian Radioactive Waste Management Quality Assurance Management Assessment 

Report Fiscal Year 2001, Final Report, September 15, 2001. ACC: MOL.20020110.0010. 

QAMA-BSC Barrett, L.H. 2001. "FY 2001 Quality Assurance Management Assessment (QAMA) Interim Report of the 

Management and Operating (M&O) Contractor." Letter from L. H. Barrett (DOE/OCRWM) to K. Hess 

o (BSC), October 24,2001. ACC: MOL.20020110.0007. 

SCWE Morgan et al. 2001. Safety Conscious Work Environment Final Report, U.S. Department of Energy, Contract 

Number DE-AC08-0I RW 12154, Morgan, Lewis & Bockius LLP, Washington, DC, August 28, 2001 

(redacted version). ACC: MOL.20020529.0050 

TD King, J. and Hosmer, J. 2001. Root Cause Analysis Report For Yucca Mountain Project Technical Document 

Deficiencies August 17, 2001. Las Vegas, Nevada: Bechtel SAIC Company. ACC: MOL.20011023.0449. 

I>
APPENDIX B

ACTION SUMMARIES FOR CARs BSC-01-C-001 AND 002, AND OTHER 

RECOMMENDED ACTIONS PERTAINING TO MODELING AND SOFTWARE

PLN-CRW-AD-000009 REV 0 July 2002
APPENDIX B

ACTION SUMMARIES FOR CARs BSC-01-C-001 AND 002, AND OTHER 

RECOMMENDED ACTIONS PERTAINING TO MODELING AND SOFTWARE 

Index: 

Table B-I. Action Summary for BSC-01-C-001 

Table B-2. Action Summary for BSC-O1-C-002 

Table B-3. Crosswalk of Other Recommended Actions Pertaining to Modeling and Software

PLN-CRW-AD-000009 REV 0 B-1 July 2002
Table B-1. Action Summary for BSC-01-C-O0,

" CAR 001: Improve Quality-Related Model Validation Processes 

SObiective: The CAR is indicative of a failure of management to either provide effective controls and/or to manage the implementation of approved processes and procedures in the performance of quality-affecting work to the QARD. The CAR addressed the lack of consistent Sspecifically implementation of the procedure requirements for model validation during the preparation of Analysis and Model Reports (AMRs) for Site Recommendation. The objective of this Action Summary is to improve the 

management and implementation of model development such that the models used to support the License Application are validated for 

their use in demonstrating the post-closure performance of the Yucca Mountain repository in accordance with 10 CFR 63. 

Current Condition (as of the CAR issue date) 

Based on the number of past Deficiency Reports and Corrective Action Requests, there is a lack of consistent implementation of 

model validation procedure requirements. 

0 The modeling procedure (AP-3.10Q) is not consistently followed, nor is that requirement enforced through consequences for 

noncompliance. 

i 

"0 There is no BSC functional owner of the modeling process, resulting in conflicting interpretations of procedure requirements. 

0 The training on the modeling procedure was not effective. 

0 Self-identification of model validation problems and effective resolution did not occur. 

Desired Condition 

"* Modeling implementing procedures are adhered to and individuals are held accountable for procedural compliance. 

"* Model developers are trained properly. 

"* Model development problems are self-identified and evaluated to identify process improvements/clarifications as appropriate. * A single individual has ownership and accountability for the modeling process (procedure).
Table B-1. Action Summary for BSC-01-C-O01 (Continued) 

z 

h Approach 

SThe planned improvement approach includes: 

, Assigning the responsibility for functional management (ownership) of the modeling process to the Chief Science Office as the focal point for model validation criteria and the formal procedure interpretive authority for acceptable model validation. 

0 Replacing 

models, 

the governing procedure for model development with revised and augmented procedures that separate analyses from further define requirements and criteria for model validation, and include involvement of the CSO in the planning and execution of model validation. 

0 Developing and implementing effective training on the new model validation requirements. 

0 Increased self-identification of model validation problems. 

0 Enforcing established administrative policies that address personnel accountability to encourage adherence to procedures. 

Monitoring the effectiveness of the process changes through self-assessments.
Table B-1. Action Summary for BSC-01-C-O01 (Continued)

CAR BSC-01-C-001 Actions

z 

0

Action Statement Comment Target Date Contact 

Immediate Actions 

1. Bechtel senior management team to Complete K. Hess 

provide recommendations to the BSC 

General Manager and Manager of 

Projects on process improvements for 

corrective actions. [1 June 2001 Initial 

Response Block 14a, Page 1 of 3] 

2. Develop amended actions for Block 15 Actions for these DRs included the Model Validation Complete - W. Watson 

(Extent of Condition) and Block 17 Status Review (MVSR), unique identification for amended 

(Action to Preclude Recurrence) of DRs each model and the identification of deficient models. responses for 

LVMO-OO-D-119, LVMO-0I-D-007 & No further action for CAR in these areas as all DRs accepted 

BSC-0I -D-050 and submit to OQA. actions are documented in the DRs and determined to by OQA. 

[1 June 2001 Initial Response, be complete by OQA verification. NOTE: The 

Block 14a, Page 1 of 3] MVSR included the list of deficient models. (defined 

in MVSR as Bin 2 & 3 models) 

3. BSC senior management team to Documented in the resumes included in the Root Complete N. Williams 

organize a root cause team, including Cause Analysis for CAR BSC-O1-C-O01 and CAR 

off-project personnel. [1 June 2001 BSC-O1-C-002, submitted in the 9 August 2001 

Initial Response, Block 14a, Page I of 3] Amended Initial Response 

Remedial Actions 

4. Model validation issues in MVSR Bin 2 The TERs track each individual model through the Complete - W. Watson 

and 3 were documented as technical final resolution of model validation issues during TERs issued. 

product errors (TER) in accordance with development of the LA. Final resolution under See TER log 

procedure AP-15.3Q. 122 March 2002 AP-15.3Q will be the disposition of the individual per procedure 

Amended Complete Response, Block Bin 2 and 3 models. AP- 15.3Q. 

14, Page 2 of 6] *Effectiveness will be evaluated during the normal 

QA audit/surveillance process by OQA.

=_
Table B-1. Action Summary for BSC-01 -C-001 (Continued)

•0

Action Statement Comment Target Date Contact 

Actions to Preclude Recurrence 

5. Complete the corrective actions These corrective actions include actions such as Complete - all W. Watson 

described in the Complete Response to replacement of the modeling procedure AP-3. 1OQ, actions are 

DRs LVMO-00-D- 119, LVMO-0 I-D- Analyses and Models, by AP-SIII.9Q, Scientific documented in 

007 and BSC-01-D-050. [15 February Analyses, & AP-SIII. IOQ, Models, and development the DRs and 

2002 Complete Response, Block 17, of training on AP-SIII. 1OQ. The 15 February 2002 determined to 

page 4 of 7] Complete Response, included the description of be complete by 

corrective actions from the DRs for completeness. OQA 

Inherent in the issuance of the new procedures as verification. 

committed to in the DRS was the establishment of the See OQA 

CSO as the functional manager. closure 

package 

The training included attendance by CSO and records for the 

Science and Analysis Project Management. subject DRs. 

*Effectiveness will be evaluated during the normal 

QA audit/surveillance process by OQA. 

6. Science and Analysis Project planning The template was used to develop Plan B and ensure Completed - R. Andrews 

direction to staff included a template of that modeling activities were appropriately scheduled included in 

required planning activities to ensure for the LA. The current schedule for license Plan B BCP 

that schedules by BSC encompasses application model development (which includes submitted in 

model development (including model validation) is shown on the project baseline P3 March 2002. 

validation) and model report document schedule. 

preparation, checking, review and 

approval. [ 15 February 2002 Complete 

Response, Block 17, Page 5 of 7] 

7. BSC self-identification of model This action is an inherent aspect of the CSO review 4/16/04 M. Voegele 

validation problems will occur in of in-process model development required by the new 

real-time. [15 February 2002 Complete modeling procedure. 

Response, Block 17, Page 5 of 7]______

C,
Table B-1. Action Summary for BSC-01-C-001 (Continued)

Action Statement Comment Target Date Contact 

8. Self-assessments will be conducted Self-assessments will be conducted by the CSO 4/16/04 M. Voegele 

during the development and during the development and validation of the LA 

documentation of the License model as an on-going effort. 

Application (LA) models. [22 March 

2002 Amended Complete Response, 

Block 17, Page 5 of 6] 

9. Procedure AP-SIII. 10Q will be added to The training completed as part of the corrective 9/15/2002 M. Voegele 

the CSO training matrix. [22 March actions for DRs 119, 070, and 050 was focused on 

2002 Amended Complete Response, the differences between the new and old modeling 

Block 17, Page 6 of 6] procedure. New training is being developed as 

'stand-alone' training on AP-SIII. 10Q. 

10. The performance indicators developed 4/16/04 M. Voegele 

by CSO from the review of TWPs and 

draft model validation documentation 

will provide a means for CSO and Line 

Management to assess the effectiveness 

of the self-identification and issue 

management processes. [26 April 2002 

Amended Complete Response, Block 8, 

Page 6 of 7] 

Other Actions Contained in CAR 

Response 

11. An additional evaluation of the 4/16/04 J. Younker 

cumulative impact of Bin 3 models will 

be performed and documented in a 

revision to the MVSR. [22 March 2002 

Amended Complete Response, 

Block 15, Page 2 of 6]
Table B-1. Action Summary for BSC-01 -C-001 (Continued)

z 

0 

w 

-4

IDate ResponsibleManager nc Wras(702)295-5143

Action Statement Comment Target Date Contact 

12. Review new AMRs or revisions to Reviews found no additional models beyond that Complete - N. Williams 

existing AMRs issued between 11 June identified in DIR 02-07 (see 22 March 2002 documented in 

2001 (date of records review that Amended Complete Response Block 15 for details of 26 April 2002 

identified AMRs for the MSVR) and 21 DIR). Amended 

December 2001 (effective date of See 26 April 2002 Amended Complete Response, Complete 

AP-SIII. 10Q). Review any new models Block 4 (Extent of Condition) for results of the Response, 

found for compliance with the then review. Block 4. 

current version of the modeling 

procedure and issue TERs on any 

deficient models. Document the results 

of this additional extent of condition and 

submit to OQA. [22 March 2002 

Amended Complete Response, 

Block 15, Page 2 of 61 r A 11 

I-_
Table B-2. Action Summary for BSC-01 -C-002.

CAR 002: Improve Quality-Related Software Management Processes 

SObjective: The CAR is indicative of a failure of management to either provide effective controls and/or to manage the 

> implementation of approved processes and procedures in the performance of quality-affecting work to the QARD. The CAR 

' specifically addressed the lack of an effective Independent Verification and Validation (IV&V) process, failure to withdraw and/or use 

l codes from SCM, lack of supplemental procedures, and the lack of effective training and implementation with regard to software 

development. The existing software procedure will be augmented with supplemental procedures to address the lack of an effective 

m IV&V process, and the lack of supplemental procedures. Management has communicated the expectation for procedural compliance 

o to address the failure to withdraw and/or use codes from SCM. Training will be provided on the new supplemental procedures to 

address the lack of effective training and implementation with regard to software development. When the above actions are 

completed, the effectiveness of the process changes will be assessed by a self-assessment on software developed under the new 

procedures. 

Current Condition (As of the CAR issue date) 

Based on the number of past Deficiency Reports and Corrective Action Requests, there is a lack of effective management of the 

t software processes. 00 

* Procedures are not consistently followed nor is that requirement enforced through consequences for noncompliance. 

Software professionals are not utilized effectively during software development, software documentation, and software 

qualification to ensure that the final qualification documentation is adequate. 

No supplemental procedures are in place to provide additional and necessary software development controls. 

The procedure was owned by DOE during the period covered by the CAR findings instead of the M&O (implementing 

organization). 

Desired Condition 

0 Adherence to the software management implementing procedures and holding individuals accountable for procedural 

compliance. 

9 Qualified software developers are jointly involved in the development and IV&V processes.
Table B-2. Action Summary for BSC-01 -C-002 (Continued) 

z 

c • Supplemental procedures are issued to provide additional software management controls. 

S• A single individual has ownership and accountability for the procedures that govern the management of software. 

l Approach 

S The planned improvement approach includes: 

"* Revising the governing procedure for software management and create supplemental procedures to further control software 

management and the IVV processes. 

"* Enforcing established administrative policies that address personnel accountability to encourage adherence to procedures. 

"* Assigning an individual within BSC to be the "owner" of AP-SI.IQ and any additional software-related supplemental 

procedures. 

, Monitoring the effectiveness of the process changes through self-assessments. 

E_. 

1<J
Table B-2. Action Summary for BSC-01 -C-002 (Continued)

CAR BSC-01-C-002 Actions

Action Statement Comment Target Date Contact 

Immediate Actions 

1. Prior to the issuing of CAR Complete K. Hess 

YMSCO-01-C002, BSC senior 

management initiated action and 

presented information to corporate 

sponsors. [6/26/01 Initial Response, 

Block 14a, Page 1 of 2] 

2. Bechtel Corporate Executives supported Complete K. Hess 

the actions and mobilized to Las Vegas a 

senior management team composed of 

personnel with extensive commercial 

nuclear experience. The team's 

objectives were to review BSC actions 

underway and provide additional 

corporate resources if necessary. 

[6/26/01 Initial Response, Block 14a, 

Page 1 of 2] 

3. An independent root cause team Complete K. Hess 

including off-project personnel 

experienced in root cause determination 

was organized prior to the initiation of 

the CAR in response to apparent 

software compliance issues such as 

LMVO-00-D-099. [6/26/01 Initial 

Response, Block 14a, Page 1 of 21
Table B-2. Action Summary for BSC-01 -C-002 (Continued)

zo 

I 

0

Action Statement Comment Target Date Contact 

4. Also, during the week of 4 June 2001, Complete K.Hess 

the General Manager of BSC issued a 

limited management stand-down on 

software development. [6/26/01 Initial 

Response, Block 14a, Page 1 of 2] 

5. No new software development or Software Stand-down is still in effect. 10/1/02 K. Hess 

modification may take place during the 

stand-down unless specific exemptions 

are granted on a case-by-case basis. 

[6/26/01 Initial Response, Block 14a, 

Page 1 of 2] 

6. The stand-down will be lifted when the 10/1/02 K. Hess 

following conditions are satisfied: 

1) Completion of 3-tiered training on 

Software Management procedure 

AP-SI.IQ, Rev 3, ICN 1; 

2) Completion of the root cause 

determination to ensure that all 

contributing factors are known; 

3) Satisfactory resolution of factors 

identified in the root cause 

determination that would be needed 

to ensure that software development 

is carried out in compliance with 

AP-SI.IQ. 

[6/26/01 Initial Response, Block 14a, 

Page 1 of 21

tJ
Table B-2. Action Summary for BSC-01-C-002 (Continued)

ci-, 

0

z

Action Statement Comment Target Date Contact 

Remedial Actions 

7. The software items that were identified This required the submittal of two Software User Complete M. Jaeger 

in CAR-002 (for Lack of Supplemental Requests. 

Procedures) and the completed remedial 

actions are listed in CAR-002, Table 2. 

User request forms were prepared and 

submitted for the two deficient items. 

[6/11/02 Complete Response, Block 6, 

Page 7 of 251 

Actions to Preclude Recurrence 

8. The actions to preclude recurrence for Inherent to the self-assessment process is 12/1/03 M. Jaeger 

BSC-01-C-002 will be assessed for their establishment of a set of performance indicators that 

effectiveness by a self-assessment on measure the effectiveness of the revised software 

software developed under the new development process. 

procedures. [6/11/02 Complete 

Response, Block 8, Page 9 of 25] 

9. Procedure improvements will preclude 10/1/02 P. Thompson 

installation problems. [6/11/02 

Complete Response, Block 8, Page 9 of 

251 

10. AP-SI. IQ will be revised and new 10/1/02 P. Thompson 

supplemental procedures will be issued 

in support of it. The revised processes 

will provide for clear identification of 

procedural roles, responsibilities, and 

authorities relative to software 

management requirements. [6/11/02 

Complete Response, Block 8, Pages 9 

and 10 of 25]

to g 

1"3
Table B-2. Action Summary for BSC-01-C-002 (Continued)

z 

(*2 

0 

0 

L.J

Action Statement Comment Target Date Contact 

11. The software procedures will better 10/1/02 P. Thompson 

define IV&V requirements. [6/11/02 

Complete Response, Block 8, Page 9 of 

25] 

12. The AP-SI.IQ procedure change will 10/1/02 P. Thompson 

address the interfaces between 

organizations. [6/1 1/02 Complete 

Response, Block 8, Page 10 of 25] 

13. Supplemental procedures will be 10/1/02 P. Thompson 

developed to address software 

development and software IV&V. 

[6/11/02 Complete Response, Block 8, 

Page 10 of 25] 

14. The SCM Tool will provide the 10/1/02 S. Splawn 

additional configuration management 

controls necessary to preclude 

recurrence of installation problems. 

[6/11/02 Complete Response, Block 8, 

Page 9 of 25] 

15. AP-SI. IQ will be revised to require that 10/1/02 P. Thompson 

applicable software 

development/qualification 

documentation be signed by software 

professional(s) identified by the BSC 

CIO. [6/11/02 Complete Response, 

Block 8, Page 10 of 251
Table B-2. Action Summary for BSC-01-C-002 (Continued)

"z 

I'

0o 

w

Action Statement Comment Target Date Contact 

16. The responsibility and ownership for Complete K. Hess 

AP-SI. IQ was transferred from DOE to 

BSC. BSC has identified the Chief 

Information Officer (CIO) as the 

functional manager who owns the 

procedure. [6/11/02 Complete 

Response, Block 8, Page 10 of 25] 

17. BSC and DOE recognize the lack of Completed R. Dyer 

procedural compliance was an important 

casual factor. DOE took the following 

actions to ensure that the expectation of 

compliance is well communicated: a 

Yucca Mountain Site Characterization 

Project (YMP) Announcement was 

posted by Russ Dyer, DOE Project 

Manager (4/16/02), establishing firm 

commitment to procedural compliance 

and action/escalation steps to be taken if 

procedural compliance became a 

problem. [6/11/02 Complete Response, 

Block 8, Page 10 of 25]
Table B-2. Action Summary for BSC-01-C-002 (Continued)

z r.J 

I 

0 

w 

tJm

Action Statement Comment Target Date Contact 

18. BSC and DOE recognize the lack of Completed K. Hess 

procedural compliance was an important 

casual factor. BSC took the following 

actions to ensure that the expectation of 

compliance is well communicated: A 

BSC Today announcement was posted 

12/4/01 establishing a firm commitment 

to procedural compliance and 

action/escalation steps to be taken if 

procedural compliance became a 

problem. BSC issued POL-HR-031, 

Progressive Discipline Guidelines for 

Non-Bargaining Employees. [6/11/02 

Complete Response, Block 8, Page 10 of 

251 

19. BSC Project management is working 8/1/02 M. Voegele 

with DOE, the National Labs and USGS 

to ensure that personnel performance 

issues are addressed appropriately and 

quickly in accordance with each 

organization's policies and procedures. 

BSC will establish policies and/or 

guidance to consistently identify and 

implement appropriate action for 

compliance problems. [6/11/02 

Complete Response, Block 8, Page 10 of 

25]
Table B-2. Action Summary for BSC-01-C-002 (Continued)

z 

I 

C 

,w

Action Statement Comment Target Date Contact 

20. A revision to AP-SI. IQ and This action is considered complete (target date) when 9/1/02 P. Turner 

development of new associated the course is prepared and ready to give to OCRWM 

supplemental procedures is in progress. personnel. 

The revised processes will provide for 

clear identification of procedural roles, 

responsibilities, and authorities relative 

to software management requirements. 

Training of the procedure (new 

AP-SI. IQ and supplemental procedures) 

users and responsible managers will 

specifically emphasize these R2A2 

provisions. [6/11/02 Complete 

Response, Block 8, Page 10 of 25]
Table B-2. Action Summary for BSC-01 -C-002 (Continued)

"z 

t" 

I 

0o

Action Statement Comment Target Date Contact 

21. The Chief Information Officer (CIO), as This action is considered complete (target date) when 9/1/02 P. Turner 

procedure owner, will support the BSC the course is prepared and ready to give to OCRWM 

Training Department in their personnel. 

development of the training courses that 

will be used to train project personnel on 

the new software procedures and ensure 

that the training content is effective. 

The training program will ensure that the 

individuals involved in the development 

of software are fully aware of the roles, 

responsibilities, authority and 

accountability (R2A2). A portion of the 

training given on the new and revised 

procedures will emphasize the 

preparation of the software qualification 

package and that the individual 

preparers will be held accountable for 

the final quality of the submitted 

package. This training will be provided 

with the support of Subject Matter 

Experts (SMEs). The questions from the 

attendees and appropriate answers will 

be documented and shared with other 

procedure users in accordance with the 

BSC Training Department's standard 

processes. [6/11/02 Complete 

Response, Block 8, Page 10 of 251

tJ
Table B-2. Action Summary for BSC-01 -C-002 (Continued)

,z 

03 

00

Action Statement Comment Target Date Contact 

22. Training will be scheduled at YMP This action is considered complete (target date) when 9/1/02 P. Turner 

locations prior to the effective date of the course is prepared and ready to give to OCRWM 

the new procedures so that as many personnel. 

personnel as possible are trained during 

this period. Courses will be scheduled, 

as required, to train personnel. Software 

users (of software in the Baseline), 

developers, reviewers, verifiers, senior 

and middle-level managers will be 

required to attend the training prior to 

performing work covered under the 

procedure. At the conclusion of the 

training, in accordance with standard 

BSC Training Department processes, a 

test will be given to the attendees to 

evaluate the effectiveness of the training. 

[6/11/02 Complete Response, Block 8, 

PageII of 25] 

23. Effectiveness of the training will be YMP staff who develop Q software must attend the 12/1/02 N. Williams 

evaluated through self-assessments. course prior to the effective date of the procedure or 

[6/11/02 Complete Response, Block 8, prior to developing software. The self-assessments 

Page 11 of 25] will begin after the effective date of the procedure. 

24. Improved SDN trending will provide a 10/1/02 D. Tommela 

method to identify programmatic issues 

to include in the project issue 

management programs. [6/11/02 

Complete Response, Block 8, Page 9 of 

25]
Table B-2. Action Summary for BSC-01-C-002 (Continued)

"z 

I

C

,w

Responsible Manager I Date rs-72295-51

Action Statement Comment Target Date Contact 

Other Actions Contained in Car 

Response 

25. BSC Quality Assurance department will 9/30/02 D. Krisha 

perform a surveillance on a sample of 

the software on the baseline to 

independently verify the software 

performs correctly. Any functionality 

problems will be evaluated via the SDN 

process. Responses to CAR-002 will be 

amended if necessary. [6/11/02 

Complete Response, Block 4, Page 3 of 

251
Table B-3. Crosswalk of Other Recommended Actions Pertaining to' Modeling and Software

C-' 

z 

10 

C

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED/ 

DOCUMENT CLARIFICATION 

AND NEED 

IDENTIFIER 

AOS-01 Develop a comprehensive DOE/Contractor plan (Performance Action Summaries for CARs BSC-01-C-001 

Improvement Transition Plan) (the "Plan") to drive a transition to a and 002, and other recommended actions 

level of performance necessary to prepare for the potential pursuit pertaining to modeling and software are 

of a license to construct the repository. (Submit to NRC December addressed in this table. 

15, 2001). The Plan will specifically address: Software & 

modeling results and CAR root cause analysis results and 

recommendations including root, generic, and common causes. 

(AOS, page 1, 2nd para., bullet 1) 

M/S-01 (Remedial) Ensure timely completion of the Model Validation Appendix B, Table B-1 (CAR-001), Action 2 

Review: (M/S Section 4.7.1) 

M/S-02 (RC-1, RC-2, RC-3) Establish a functional manager who owns the Appendix B, Table B-I (CAR-001), Action 5 

modeling process in BSC. The owner will, establish binding The criteria for the "owner" in the second part 

technical and quality requirements for AP-3.10Q implementation, of the recommended actions are not discussed 

define model validation acceptance criteria for both engineering in the CAR response. BSC assigns the 

and scientific models, establish a single timely communication and functional managers, such as the CSO, the 

feedback process (for completed AMRs and questions during AMR responsibility to select and assign personnel to 

development), implement an effective disagreement escalation and perform tasks with knowledge, skills and 

resolution process, and establish minimum training and experience experience commensurate with the task 

requirements for model developers. The owner must be (Note: this assigned. Therefore no additional 

may require several qualified persons): technically qualified in commitment in the CAR response is required 

modeling, able to understand interpret NRC model validation to assure the correct person(s) are assigned by 

expectations, able to build an effective working relationship with the CSO to this task. 

NRC staff, knowledgeable of QA program requirements, and 

competent in project management skills. (M/S Section 4.7.2)

C 

tJ
Table B-3. Crosswalk of Other Recommended Actions Pertaining to Modeling and Software (Continued)

"0

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED/ 

DOCUMENT CLARIFICATION 

AND NEED 

IDENTIFIER 

M/S-03 (RC-5) Review and revise AP-3.10Q to incorporate results of the Appendix B, Table B-I (CAR-001), Action 5 

Model Validation Review cited above. Provide specific go/no-go Although the model validation CAR response 

model validation criteria as well as a decision process for use when did not specifically discuss this issue, AP

bounding criteria are impossible to provide in advance. (M/S Sill. 10Q has been developed and issued with 

Section 4.7.3) specific criteria on model-validation and on 

the use of models within their bounds. The 

CSO review effort on draft model validation 

documentation provides a "go/no go" 

determination. 

M/S-04 (RC-5) Establish and charter a model development and application Appendix B, Table B-I (CAR-001), Action 5 

users group whose members include the affected organizations. Its Although not specifically discussed, the 

purpose should be to ensure model developers and users are discussion of roles, responsibilities, authority 

involved in process development and consistent application of and accountability in Block 8 noted that the 

requirements. (M/S Section 4.7.4) revised procedural process of AP-SIII. 1OQ 

was determined to be more appropriate than 

the mentoring approach to model validation 

that was the focus of this recommended 

action. 

M/S-05 (RC-1) Establish a website to capture modeling/interpretation Appendix B, Table B- I (CAR-001), Action 5 

guidance for access by affected individuals and groups. The web This recommendation will not be 

site should contain: implemented as stated. This is a "mentoring" 

compliance information and guidance, approach rather than a proceduralized "plan, 

frequently asked questions and answers, and review, implement plan and confirm 

lessons learned and good practices pertaining to the modeling approach." The new procedure AP-SIII. IOQ 

process. (M/S Section 4.7.5) implements the latter approach.
Table B-3. Crosswalk of Other Recommended Actions Pertaining to Modeling and Software (Continued)

t-' 

zo 

I< 

0 

w

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED/ 

DOCUMENT CLARIFICATION 

AND NEED 

IDENTIFIER 

M/S-06 (RC-6) Define, design and deliver additional training necessary to Appendix B, Table B-I (CAR-001), Action 5 

implement AP-3.10Q. Include modelers, reviewers, checkers, The approach contained in Systematic 

managers, QA personnel, and contractors involved with modeling. Approach to Training was used as a guide in 

Use the Systematic Approach To Training (SAT) process (or the development of the training program on 

equivalent), including proficiency evaluation. (M/S Section 4.7.6) the new procedure. 

M/S-07 (RC-!1, RC-3, RC-5) Functional owner should conduct mentoring Appendix B, Table B-I (CAR-001), Action 5 

and assistance visits with model developers at several stages of This is a "mentoring" approach rather than a 

model development. Communicate the need for changes and assist proceduralized "plan, review, implement plan 

in their accomplishment. Involve a mix of Subject Matter Experts and confirm approach." The new procedure 

(SME) committed to success. Report questions and their resolution AP-SIII. 1OQ implements the latter approach. 

on the website. (M/S Section 4.7.7) 

M/S-08 (RC-3) Establish and enforce an integrated, resource-loaded Appendix B, Table B-I (CAR-00 1), Action 6 

baseline schedule for remaining AMR preparation and delivery, Completed - The Performance Assessment 

that explicitly provides adequate schedule durations and resources. Project integrated resource-loaded baseline 

(M/S Section 4.7.8) schedule was included in the Plan B BCP 

submittal. 

M/S-09 (RC-4) At regular intervals, perform focused self-assessments of Appendix B, Table B-I (CAR-001), Action 8 

the model development, validation, and approval process (M/S 

Section 4.7.9) 

M/S- 10 Establish a set of performance indicators, and perform assessments Appendix B, Table B-1 (CAR-001), Action 9 

that will measure the effectiveness of corrective actions and the 

effectiveness of the modeling process. (M/S Section 4.7.10)
Table B-3. Crosswalk of Other Recommended Actions Pertaining to Modeling and Software (Continued)

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED/ 

DOCUMENT CLARIFICATION 

AND NEED 

IDENTIFIER 

M/S-lIl (RC- 1, RC-2, RC-3) Establish a functional manager as owner of the Appendix B, Table B-2 (CAR-002), Action 16 

software process in BSC. The owner will: establish binding The CAR response identifies the functional 

requirements for software procedure(s) implementation, benchmark manager in Block 8, Lack of Supplemental 

the Project software procedure against other DOE M&O software Procedures. The procedure will be developed 

procedures, establish a timely communication and feedback process under the AP-5. IQ process that includes an 

incorporating both positive and negative feedback to software effective disagreement escalation and 

developers, implement an effective disagreement escalation and resolution process. 

resolution process, and establish minimum training and/or Although the other issues that are associated 

experience requirements for software developers. The owner (or with benchmarking, procedure development, 

designees) must be: technically qualified in software development, and minimum training/experience 

knowledgeable of QA program requirements, and competent in requirements for software developers are not 

project management skills. (M/S Section 5.4.1) discussed, the recommendations are addressed 

as part of existing project procedures. 

The criteria for the "owner" in the second part 

of the recommended actions are not discussed 

in the CAR response. BSC assigns functional 

managers, such as the CIO, the responsibility 

to select and assign personnel to perform tasks 

with knowledge, skills and experience 

commensurate with the task assigned. 

Therefore no additional commitment in the 

CAR response is required to assure the correct 

person(s) are assigned by the BSC CIO to this 

task.
Table B-3. Crosswalk of Other Recommended Actions Pertaining to Modeling and Software (Continued)

r

I

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED/ 

DOCUMENT CLARIFICATION 

AND NEED 

IDENTIFIER 

M/S-12 (RC-2, RC-3) Subdivide AP-S1.IQ, then implement the QARD Appendix B, Table B-2 (CAR-002), Action 13 

Supplement 1, Software requirements in a series of implementing The CAR response includes a commitment in 

procedures that: use a graded approach in the software process to Block 8, Lack of Supplemental Procedures, to 

establish the major applications, routines, and macros that must be issue supplemental procedures along with a 

qualified, use a graded approach in the software process that revision to AP-SI. IQ. The additional detailed 

considers differences between business software engineering requirements such as a graded approach will 

design and scientific research code development, conduct user be considered as part of the development of 

validation before implementation, perform a readiness review the revised procedure(s), although the specific 

before implementation, are consistent with the Carnegie Mellon details may differ from the recommendation 

University Software Engineering Institute Capability Maturity as the procedures are finalized. 

Model, clearly identify points-of-contact for questions concerning 

the procedure, and address 

maintenance/operational/implementation and retirement. Areas the 

software process owner should consider when subdividing AP

S 1. 1Q include: requirements management, configuration 

management, software quality assurance, project planning and 

tracking, subcontract management, testing and validation, 

documentation, coding, and software development. (M/S 

Section 5.4.2) 

M/S-13 (RC-3) Produce a web site to capture software process guidance for Exception - While a web site currently exists, 

access by all affected individuals and groups. The web site should the continuation of the web site is not a 

contain: compliance information and guidance, frequently asked condition for success of the revised procedure. 

questions and answers, software Although the CAR does not discuss the use of 

development/installation/compliance checklist (e.g., NWI-CM- a web site, the BSC CIO has held periodic, 

00IQ), and, lessons learned and good practices pertaining to the project-wide meetings to communicate issues 

software process. (M/S Section 5.4.3) addressed by the recommendation.

C,
Table B-3. Crosswalk of Other Recommended Actions Pertaining to Modeling and Software (Continued)

•0 

w

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED/ 

DOCUMENT CLARIFICATION 

AND NEED 

IDENTIFIER 

M/S-14 (RC-3) Establish a software users' group with a defined charter, Appendix B, Table B-2 (CAR-002), Action 15 

whose members include the National Laboratories, USGS, and The CAR response commits to the 

BSC. The software users' group should create software-coding involvement of software professionals in the 

guidelines as appropriate for each computer language used. The software development, document preparation, 

users group should understand and make recommendations to and qualification process. This has been 

control the number of platforms and operating systems. (M/S determined to be more appropriate than a 

Section 5.4.4) software user group. 

M/S-15 (RC-1, RC-2, RC-3) Following Corrective Action No. 2, establish a Appendix B, Table B-2 (CAR-002), Action 15 

short term team of subject matter experts from the user group and During the initial effort to develop 

trainers to visit software development locations to communicate the supplemental procedures, a short-term team 

reasons for procedure change and assist in change management. held meetings at software development 

Team members must be: a mix of subject matter experts from the locations. Since those meetings, a revision to 

affected organizations, available after the initial implementation to the draft procedures was initiated. Additional 

follow-up and mentor the software developers, committed to communications with the developer 

success, and fully supported by senior management. (M/S Section community will continue as AP-5. IQ is 

5.4.5) implemented for the review of the proposed 

procedures. 

In addition, the CAR identifies actions to 

prevent recurrence that includes the use of 

CIO assigned subject matter experts to 

support the developer community.
Table B-3. Crosswalk of Other Recommended Actions Pertaining to Modeling and Software (Continued)

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED/ 

DOCUMENT CLARIFICATION 

AND NEED 

IDENTIFIER 

M/S- 16 (RC-2, RC-3) Ensure that effective documentation and compliance Appendix B, Table B-2 (CAR-002), Action 8 

staff support is available to the software developers to assist with An action to support the developer community 

documentation requirements and installation dry runs. Conduct a with subject matter experts is included in the 

lessons learned forum among compliance support groups from the CAR response as a long term commitment. 

National Laboratories, USGS, and BSC to establish and implement Self-assessments are planned to evaluate the 

best practices. (M/S Section 5.4.6) effectiveness of the corrective actions. 

Documenting lessons learned or initiating 

corrective actions for findings is inherent in 

the self-assessment process. 

M/S- 17 (RC- 1) Establish an enterprise architecture that controls the number Exception - The number of platforms and 

of platforms and operating systems the Project needs to support. operating systems in use on the Yucca 

This needs to be supported and acceptable to the scientific, and Mountain Site Characterization Project is not 

engineering interest on the Project. (M/S Section 5.4.7) germane to the deficiencies identified in the 

software CAR; as an example, compliance 

with procedures is not a function of the 

number of operating systems, programming 

languages, types of computers, etc. The 

issues associated with the number of 

platforms and operating systems are business 

decisions to be made by Project Management 

and not part of the CAR.
Table B-3. Crosswalk of Other Recommended Actions Pertaining to Modeling and Software (Continued)

z 

0 

tJ 

-3

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED/ 

DOCUMENT CLARIFICATION 

AND NEED 

IDENTIFIER 

M/S- 18 Establish a set of performance indicators, and perform assessments Appendix B, Table B-2 (CAR-002), Action 8 

that will measure the effectiveness of corrective actions and the The CAR includes a commitment to perform a 

effectiveness of the modeling (sic) process. (M/S Section 5.4.8) self-assessment to measure the effectiveness 

of the corrective actions for the software 

process. As part of that process, performance 

indicators will be established as a basis to 

measure the effectiveness of the corrective 

actions. The broader issue of project 

performance indicators to measure progress 

are included in the MIT, Section 6, 

Management Approach. 

M/S- 19 Assess the management and supervisory capabilities of the current Section 6, Management Approach, of the MIl 

BSC organizations (Suggest: DOE consider a parallel management discusses a Management Alignment Plan 

and supervisor capabilities assessment) with emphasis on: which will ensure the YMP management team 

management skills (plans, organize, schedule, contract is equipped and aligned as necessary to 

implementation, people development), performance, capability to implement the needed cultural changes. 

change and lead change, and nuclear culture and culture change 

experience. (M/S Section 6.1.2.1) 

M/S-20 Where deficiencies are identified in the above assessment, develop Section 6, Management Approach, of the MIT 

and implement a plan to train, mentor, and/or replace Project discusses a Management Alignment Plan 

management staff. (Suggestion: Many troubled complex high-risk which will ensure the YMP management team 

technical facilities and DOE facilities have used organizational is equipped and aligned as necessary to 

development consultants to facilitate this process.) (M/S Section implement the needed cultural changes. 

6.1.2.2)

C.
Table B-3. Crosswalk of Other Recommended Actions Pertaining to Modeling and Software (Continued)

,z 

lo 

00 

00

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED/ 

DOCUMENT CLARIFICATION 

AND NEED 

IDENTIFIER 

M/S-21 Train BSC and DOE organizational staff on the requirements of the Section 5.1 of the MII discusses actions being 

current contract, set the expectation that the contract will be taken to clarify Program Roles, 

followed, and hold the management accountable. (M/S Responsibilities, Authority, and 

Section 6.1.2.3) Accountability, including execution of the 

BSC contract. 

M/S-22 Develop a BSC quality assurance plan that implements the existing Section 5.1 of the MII discusses actions being 

contract allowing management assessments and independent taken to clarify Program Roles, 

assessments, and change the contract to allow BSC to perform Responsibilities, Authority, and 

surveillances. (M/S Section 6.1.6.1) Accountability. 

M/S-23 Benchmark issues management programs at DOE facilities and/or Section 5.4 of the MII discusses actions being 

commercial nuclear facilities to identify best practices and revise, taken to improve the Corrective Action 

as appropriate, the issue management program (IM). As a Program, including issues management. 

minimum: set a lower threshold for initiation of root cause 

evaluations, management directed self-assessments and employee 

self identification of issues, establish a senior manager to conduct 

daily screening and assignment of responsibility for employee self 

identification of issues, create performance measures for root cause 

evaluations, self assessments and employee issues identification, 

set goals and trend, and conduct an effectiveness review of the 

revised IM program and performance measures six months after 

implementation. (M/S Section 6.1.6.2) 

M/S-24 Communicate and train the Project staff on the issue management Section 5.4 of the MII discusses actions being 

program requirements and management expectations for taken to improve the Corrective Action 

implementation. (M/S Section 6.1.6.3) Program, including issues management.

t8
Table B-3. Crosswalk of Other Recommended Actions Pertaining to Modeling and Software (Continued)

z 

0 

t3

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED/ 

DOCUMENT CLARIFICATION 

AND NEED 

IDENTIFIER 

M/S-25 Continue development of an effective issues management trending Section 5.4 of the M11 discusses actions taken 

program for the identification of potential issues. (M/S to improve the Corrective Action Program, 

Section 6.1.6.4) including issues management. 

M/S-26 Transfer to BSC ownership of all APs for which BSC, the National Section 5.3 of the MII discusses actions taken 

Laboratories, and USGS perform the work, including AP-5. 1Q, to improve Program Procedures. 

Plan and Procedure Preparation, Review, and Approval. (M/S 

Section 6.1.8.1) 

M/S-27 Appoint a BSC functional manager to own each AP including Section 5.3 of the MII discusses actions taken 

AP-5. IQ. (M/S Section 6.1.8.2) to improve Program Procedures. 

M/S-28 Benchmark procedure programs at DOE facilities and/or Section 5.3 of the MII discusses actions taken 

commercial nuclear facilities to identify best procedure to improve Program Procedures. 

development and control practices. (M/S Section 6.1.8.3) 

M/S-29 DOE and BSC define and agree to a procedure change process with Section 5.3 of the MII discusses actions taken 

the following attributes: involves the procedure owner and to improve Program Procedures. 

appropriate team members during procedure development and 

change. The owner has the final authority for comment 

incorporation unless escalation to management occurs, is efficient 

(allowing for employee participation) and provides a short 

turnaround for non-intent changes (i.e., one day) and a 30-calendar 

day turnaround for intent changes as it goals, and revise AP-5.IQ 

to meet these attributes. (M/S Section 6.1.8.4) 

M/S-30 Communicate and train BSC, DOE, USGS, and the National Labs Section 5.3 of the MII discusses actions taken 

personnel on the procedure program requirements and management to improve Program Procedures. 

expectations for implementation. (M/S Section 6.1.8.5)
Table B-3. Crosswalk of Other Recommended Actions Pertaining to Modeling and Software (Continued)

SOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED/ 

h DOCUMENT CLARIFICATION 

AND NEED 

0 IDENTIFIER 

M/S-31 Benchmark commercial nuclear facilities (INPO accredited training Section 6, Management Approach. Training 

programs) and DOE nuclear Category-I facilities with emphasis on is not specifically discussed in M/I; however, 

the following attributes: training effectiveness measurements improvements in training effectiveness are an 

< (testing), job task analysis as a tool for training identification, inherent part of implementing the Mll. 

development and processes, and establish expectations for 

management and subject matter experts to be involved in training. 

(M/S Section 6.1.10.1) 

M/S-32 Revise training processes, and management expectations, within Section 6, Management Approach. Training 

BSC as required, to reflect the best practices. (M/S Section is not specifically discussed in M11; however, 

6.1.10.2) improvements in training effectiveness are an 

inherent part of implementing the M11. 

M/S-33 Within a facilitated session, DOE and BSC senior managers should Section 5.1 of the MII discusses actions taken 

present their organizations' current R2A2s, including interfaces, to clarify Program Roles, Responsibilities, 

The R2A2s of and between organizations should be agreed upon Authority, and Accountability. 

and communicated. (M/S Section 6.3.1) 

M/S-34 Conduct facilitated management off-site sessions with Section 6 of the MI discusses the 

participation, as applicable, from DOE, BSC, the National Management Approach for implementing the 

Laboratories, and USGS. In these off-site sessions, document, MII, to include Management Alignment and 

sign, and communicate a high-level set of common: Project values, Communication. 

Consistent rewards and consequences, and Processes to hold each 

other accountable. (M/S Section 6.3.2)
Table B-3. Crosswalk of Other Recommended Actions Pertaining to Modeling and Software (Continued)

"I 

tSOURCE NEED AND SOURCE DOCUMENT LOCATION WHERE NEED IS ADDRESSED/ 

DOCUMENT CLARIFICATION 

AND NEED 

IDENTIFIER 

M/S-35 Establish a set of performance indicators to track progress toward Sectiob 6, Management Approach, of the MI! 

implementing the recommended common and generic corrective discusses how the MII will be communicated, 

actions. Set goals, monitor, trend, conduct assessments and take and effectiveness measured and reported. 

management actions when progress fails to achieve expectations. 

Communicate goals and progress to all personnel. Report results 

quarterly to Bechtel corporate management. Bechtel corporate 

management should challenge the Project's performance and 

conduct field evaluations to validate the performance. (MIS 

Section 6.3.3) 

SCWE-27 Evaluate the sequence of events associated with the issuance of Section 5 of the MII discusses actions in 

CAR-01-002 and withdrawal of the initial recommendation to issue Quality Assurance Programs and Processes, 

a stop work order, and determine any "lessons learned" from the and the Safety-Conscious Work Environment, 

prospective of chilling effect. (Is management sending a mixed to include, in general, prevention of "chilling 

message in focusing on the source of the message rather than the effect." Due to the age of CAR BSC-0I-C

message itself?). (SCWE Section IV.B.9.b) 002, a separate lessons learned review will not 

be conducted. However a CIRs entry (2885) 

has been created to follow-up on the potential 

chilling affect.

=_-