Department of Energy 

SOffice of Civilian Radioactive Waste Management QA: N/A 

Yucca Mountain Site Characterization Office 

P.O. Box 364629 

North Las Vegas, NV 89036-8629 

JAN 3 12002 

OVERNIGHT MAIL 

John T. Greeves, Director 

Division of Waste Management 

Office of Nuclear Materials Safety 

and Safeguards 

U. S. Nuclear Regulatory Commission 

Two White Flint North 

Rockville, MD 20852 

TRANSMITTAL OF "OCRWM MANAGEMENT IMPROVEMENT INITIATIVES" (THE 

INITIATIVES) 

At the September 6, 2001, the U.S. Nuclear Regulatory Commission (NRC) and the 

U.S. Department of Energy (DOE) Quality Assurance (QA) and Key Technical Issues Status 

Management Meeting, the DOE advised the NRC that a plan was being developed to improve 

our level of performance as we prepare to move into a more rigorous nuclear regulatory 

environment. As committed to by the DOE, the completed plan is enclosed for your information. 

Although originally envisioned to be "the corrective action plan" to address recommendations 

identified in the root cause analyses for Corrective Action Requests (CAR) BSC-01-C-001 and 

BSC-01-C002, the Initiatives has evolved during its development to be a more comprehensive 

plan that serves to communicate, increase awareness of, and track management's commitment to 

self-critical evaluation and continuous improvement. The Initiatives is also responsive to other 

recommendations such as those from the NRC, the 2001 Integrated Safety Management System 

Assessment, the 2001 Quality Assurance Management Assessment, and the 2001 Morgan, 

Lewis, and Bockius Safety Conscious Work Environment Final Report. Although the Initiatives 

does address recommendations from the aforementioned root cause analyses, they will be 

resolved and monitored, along with the other CAR corrective action commitments, via procedure 

AP 16.1 Q, Management of Conditions Adverse to Quality, since that is our approved QA process 

for addressing conditions adverse to quality. 

We will continue to keep you informed of our progress in implementing the process 

improvements discussed in the Initiatives. 

YMP-5 , A
John T. Greeves -2- JAN 3 12002 

If you require any additional information, please contact Donald G. Horton at 

(702) 794-1301. 

Russell Dyer 

OL&RC: AVG-0566 Project Manager 

Enclosure: 

As stated 

cc w/encl: 

J. W. Andersen, NRC, Rockville, MD 

L. L. Campbell, NRC, Rockville, MD 

M. M. Comar, NRC, Rockville, MD 

C. W. Reamer, NRC, Rockville, MD 

N. K. Stablein, NRC, Rockville, MD 

S. L. Wastler, NRC, Rockville, MD 

D. D. Chamberlain, NRC, Arlington, TX 

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

S. H. Hanauer, DOE/HQ (RW-2) FORS 

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 

John Meder, State of Nevada, Carson City, NV 

Alan Kalt, Churchill County, Fallon, NV 

Irene Navis, Clark County, Las Vegas, NV 

Harriet Ealey, 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 

Geneva Hollis, Nye County, Tonopah, NV 

Josie Larson, White Pine County, Ely, NV 

Judy Shankle, Mineral County, Hawthorne, NV
John T. Greeves -3- JAN 3 1 2002 

cc w/encl: (continued) 

R. I. Holden, National Congress of American 

Indians, Washington, DC 

Allen Ambler, Nevada Indian Environmental 

Coalition, Fallon, NV 

CMS Coordinator, BSC, Las Vegas, NV 

R. N. Wells, DOE/YMSCO (RW-60) Las Vegas, NV 

cc w/o encl: 

D. J. Brooks, NRC, Rockville, MD 

L. H. Barrett, DOE/HQ (RW-1) FORS 

A. B. Brownstein, DOE/HQ (RW-52) FORS 

C. E. Einberg, DOE/HQ (RW-52) FORS 

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

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

Ram Murthy, DOE/OQA (RW-3) Las Vegas, NV 

S. J. Cereghino, BSC, Las Vegas, NV 

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

Donald Beckman, BSC, Las Vegas, NV 

K. M. Cline, MTS, Las Vegas, NV 

R. B. Bradbury, MTS, Las Vegas, NV 

R. P. Gamble, MTS, Las Vegas, NV 

R. C. Murray, MTS, Las Vegas, NV 

R. D. Rogers, MTS, Las Vegas, NV 

Richard Goffi, BAH, Washington, DC 

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

R. W. Clark, DOE/YMSCO, Las Vegas, NV 

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

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

R. E. Spence, DOE/YMSCO, Las Vegas, NV 

Stephan Brocoum, DOE/YMSCO, Las Vegas, NV 

D. R. Williams, DOE/YMSCO, Las Vegas, NV 

W. J. Boyle, DOE/YMSCO, Las Vegas, NV 

A. V. Gil, DOE/YMSCO, Las Vegas, NV 

T. C. Gunter, DOE/YMSCO, Las Vegas, NV 

C. L. Hanlon, DOE/YMSCO, Las Vegas, NV 

M. C. Tynan, DOE/YMSCO, Las Vegas, NV 

J. T. Sullivan, DOE/YMSCO, Las Vegas, NV 

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

OL&RC Library 

Records Processing Center = "6" 

(ENCL = READILY AVAILABLE)
QA: N/A

Office of Civilian Radioactive Waste Management

OFFICE OF CIVILIAN RADIOACTIVE 

WAS TE MANAGEMENT (OCR WM) 

MANAGEMENT IMPROVEMENT INITIA TIVES 

Revision 00

January 2002 

U.S. Department of Energy 

Office of Civilian Radioactive Waste Management 

Las Vegas, Nevada

ENCLOSURE
Approval:

Ken Hess, General Manager 

Bechtel SAIC Company, LLC 

Russe utyer, Project Canager Yucca Ikountain Site Characterization Project

Date 

Date

OCRWM 

Management Improvement Initiatives 

Revision 00 January 2002
CHANGE HISTORY

Interim Effective 

Change No. Date Description of Change

01/18/02 Initial issue

OCRWM 

Management Improvement Initiatives 

Revision 00 January 2002

Revision 

Number

00 0

iii
CONTENTS 

Page 

ACRONYMS & ABBREVIATIONS ............................................................................. vii 

1. IN T R O D U C T IO N ........................................................................................................ 1 

2. STR U CTU R E ...................................................................................................... 3 

2.1 O BJEC TIV ES ................................................................................................. 3 

2.2 STRATEGIES & RECOMMENDATIONS ...................................................... 3 

2.3 ACTION SUM MARIES ................................................................................. 4 

2.4 PERFORMANCE MEASURES .................................................................... 4 

2.5 SO URCE DOCUM ENTS ................................................................................ 5 

2.6 MANAGEMENT & IMPLEMENTATION ....................................................... 5 

2.7 BUDGET & SCHEDULE MANAGEMENT ...................................................... 5 

2.8 PERIODIC REVIEWS & REPORTS ............................................................... 6 

2.9 MANAGEMENT OVERSIGHT ....................................................................... 6 

3. R EFER EN C ES .................................................................................................... 8 

3.1 DO CUM ENTS CITED ................................................................................... 8 

3.2 CODES, STANDARDS, REGULATIONS, & PROCEDURES ........................ 8 

APPENDIX A - STRUCTURE .................................................................................. A-1 

APPENDIX B - RESPONSIBILITIES ....................................................................... B-1 

APPENDIX C - OBJECTIVES & STRATEGIES ..................................................... C-1 

O BJECTIVE 1: Q UALITY ................................................................................. C-1 

O BJECTIV E 2: SA FETY ....................................................................................... C-2 

OBJECTIVE 3: PROJECT MANAGEMENT .......................................................... C-3 

OBJECTIVE 4: HUMAN PERFORMANCE ....................................................... C-4 

APPENDIX D - RECOMMENDATIONS ...................................................................... D-1 

SOURCE REFERENCE KEY FOR RECOMMENDATIONS .................................. D-1 

O BJECTIV E 1: Q UA LITY ...................................................................................... D-2 

O BJECTIV E 2: SA FETY ....................................................................................... D-6 

OBJECTIVE 3: PROJECT MANAGEMENT .......................................................... D-8 

OBJECTIVE 4: HUMAN PERFORMANCE ......................................................... D-10 

OCRWM 

Management Improvement Initiatives 

Revision 00 iv January 2002
FIGURES 

Page 

1. OCRWM Management Improvement Initiatives Structure ........................... A-1

OCRWM 

Management Improvement Initiatives 

Revision 00 v January 2002
ACRONYMS & ABBREVIATIONS

August 2001 Senior Manager Offsite in Mesquite 

Bechtel SAIC Company, LLC 

Corrective Action Report 

Condition/Issue Identification and Reporting/Resolution System 

Calendar Year 

U.S. Department of Energy 

Integrated Safety Management System 

Office of Civilian Radioactive Waste Management 

Quality Assurance Management Assessment 

U.S. Nuclear Regulatory Commission 

Safety Conscious Work Environment 

Yucca Mountain Site Characterization Office

OCRWM 

Management Improvement Initiatives 

Revision 00 January 2002

AOS 

BSC 

CAR 

CIRS 

CY 

DOE 

ISMS 

OCRWM 

QAMA 

NRC 

SCWE 

YMSCO

vi
1. INTRODUCTION

In recent years, Yucca Mountain Project (Project) met significant milestones that 

address the potential recommendation of the site as the national repository for high level nuclear waste. These milestones included publication of technical products representing over 20 years of site characterization and analysis performed through a 

collaborative effort, led by the U.S. Department of Energy (DOE) and supported by the 

U. S. Geological Survey, several national laboratories, and private contractors. 

Achieving these milestones involved the development and execution of unique, single

purpose methods of collecting and analyzing data. 

Noteworthy achievements include new mining and drilling techniques that preserve site 

characteristics for data collection, plus a wide range of complex computer-based algorithms and models. Contributing scientists and engineers used customary practices of iterative development, expert knowledge-based decision-making, and peer review 

validation of analysis activities. The pioneering nature of early Project research drove a 

collegial, academic culture among institutions whose staff accomplished work in 

accordance with unique protocols and processes. 

Beginning in 1998, senior Project managers agreed that products developed during earlier years might not be sufficiently rigorous for the U.S. Nuclear Regulatory Commission (NRC) to potentially docket a license application. As a result, Project 

managers began developing initiatives to help implement a transition from the research

driven environment toward the more rigorous nuclear regulatory environment. 

Reaffirming the need for such a transition was the identification of multiple significant conditions adverse to quality. 

That same year, senior Project managers also endorsed an initiative called Nuclear 

Culture to begin the transition by adding rigor to existing processes that more closely aligned Project activities with nuclear industry standards. Nuclear Culture was 

characterized as a culture that required: 

"• Strict and literal procedural compliance 

"• Attention to detail 

"* Personal accountability 

"* Self-assessment 

"* Continuous improvement 

"* Prevention of complacency 

"* An inherent questioning attitude 

"• Teamwork, communication, and collaboration 

"* Regular critical reviews of work 

"* A more efficient and compliant infrastructure 

Although the Nuclear Culture initiative realized progress, including more structured 

self-assessment and lessons-learned programs and several infrastructure 

improvements, its overall progress was limited. 

OCRWM 

Management Improvement Initiatives 

Revision 00 January 2002
In 2001, DOE oversight and employee concerns regarding some technical products and 

processes identified additional conditions adverse to quality, which were documented in 

two Corrective Action Reports (CARs) (Clark 2001). The significance of the new 

concerns was compounded by their similarity to those identified in 1998, indicating the 

likely existence of repetitive unresolved conditions. 

During the period May through July 2001, the Project conducted two independent root 

cause analyses1 that identified several potential problems, such as weaknesses in 

management systems, staff assignments, and organizational infrastructures. The first 

analysis addressed quality deficiencies and issues associated with model validation and 

software qualification activities. The second analysis addressed discrepancies identified in the Total System Performance Assessment for Site Recommendation 

(CRWMS-M&O 2000) and preparation of other technical products. Follow-up reviews 

verified the quality and soundness of Site Recommendation products, however 

confirmed some discrepancies needed correction. 

As a result of the DOE's desire to continue transitioning into the regulatory environment 

of a potential license applicant, senior Project managers developed integrated project-wide drivers, herein entitled the OCRWM Management Improvement Initiatives. 

These initiatives are structured using techniques confirmed to be effective for sustained 

improvement at several NRC-regulated facilities. This document is intended to be a 

living document that highlights areas needing improvement and helps focus work, rather 

than a corrective action plan resulting from the CARs or root cause analyses. Although initiatives address recommendations identified by root cause analyses associated with 

the referenced CARs, specific CAR corrective actions will be resolved and monitored 

via procedure AP-16.1Q, Management of Conditions Adverse to Quality. Initiatives also 

include recommendations from the NRC, the Integrated Safety Management System (ISMS) assessment (BSC 2001a), the Quality Assurance Management Assessment 

(QAMA) (BSC 2001b), and the Safety Conscious Work Environment Final Report 

(Morgan et al.). 2 

These OCRWM Management Improvement Initiatives serve to communicate and 

increase awareness of management's commitment to continuous improvement and 

revitalize and reinforce earlier Nuclear Culture expectations. These initiatives will be 

prioritized and considered in the Project's Six Sigma 3 Program and will contribute to a 

1

Root Cause Analysis Report for CAR BSC-01-C-001, CAR, BSC-01-C-002, Revision 1, August 8, 2001. 

ACC: MOL.20011023.0447. Root Cause Analysis Report for Yucca Mountain Project Technical 

Document Deficiencies, August 17, 2001. ACC: MOL.20011023.0449. 

2Bechtel SAIC Company, LLC (BSC) Integrated Safety Management System (ISMS) Annual Review 

Report, ACC: MOL.20011023.0009. ; Quality Assurance Management Assessment Report, Fiscal Year 

2001, Office of Civilian Radioactive Waste Management, Final Report, September 15, 2001, 

MOL.200201 10.0010; Safety Conscious Work Environment Final Report, U.S. Department of Energy, Contract Number DE-AC08-01RW12154, Morgan, Lewis & Bockius LLP, Washington, DC, August 28, 

2001 (redacted version). 

3A rigorous, statistically based, customer-focused methodology to solve business problems and improve 

business results. Six Sigma strives for perfection. 

OCRWM 

Management Improvement Initiatives 

Revision 00 2 January 2002
more systematic approach toward achieving nuclear industry standards and improving business practices. The Leadership Team of senior Project managers will revise this 

living document as determined necessary. Currently, that Team is monitoring progress 

of action summary development and is actively involved in resolving issues when they 

arise. 

2. STRUCTURE 

Appendix A depicts a graphic representation of the Plan's structure, which is defined in 

this section and consists of: objectives, strategies for meeting objectives, action 

summaries for achieving the strategies, and performance measures for evaluating the 

implementation and effectiveness of the actions. 

2.1 OBJECTIVES 

Objectives are the highest and first-tier initiatives and are the drivers for overall senior 

manager expectations for Project activities. The following objectives were selected and 

developed by senior Project managers to focus improvements. Ownership of each 

objective and associated strategies and actions will be assigned to a senior manager. 

The objectives are: 

Quality-Fully and effectively implement established and documented procedures 

to successfully support the quality and defensibility of Project technical products 

and NRC licensing and compliance activities. Mentor and support the line 

organization during the in-process development of technical products. 

Safety-Protect the environment and the health and safety of the public and Project 

staff. Heighten awareness and understanding of the NRC policy for a Safety 

Conscious Work Environment (SCWE). 

Project Management-Develop a current cost and schedule baseline that is 

technical, logical, and comprehensive. Develop and implement effective project 

management systems. 

Human Performance-Improve organizational effectiveness: ensure that staff 

holding supervisory and leadership positions possess the necessary competencies 

to manage and lead the organizations; define and communicate expectations, 

roles, and responsibilities for effective contract execution; enhance training to 

reflect the greater rigor expected in a regulated environment. 

Performance measures for objectives will be developed. 

2.2 STRATEGIES & RECOMMENDATIONS 

Strategies represent the second-tier and are broadly stated improvements that 

collectively contribute to achieving each objective. Strategies are based on proactive 

management initiatives, NRC and QAMA recommendations, recommendations from 

root cause analysis reports, and others. Root cause analysis recommendations are 

OCRWM 

Management Improvement Initiatives 

Revision 00 3 January 2002
referenced by abbreviated letters and numbers to retain the essence of original 

recommendations, i.e., M/S RC-2, -3, represents Modeling/Software Root Causes 2 and 

3 from the Root Cause Analysis Report for CAR BSC-01-C-O01, CAR BSC-01-C-002 

(BSC 2001c). Appendix B is a list of objectives and strategies that may be refined or 

augmented during the first quarter of Calendar Year (CY) 2002 and do not represent 

commitments to the NRC. The implementation of strategies is managed via action 

summaries, which will be fully developed during that time. Recommendations will be 

evaluated and their disposition documented in action summaries (e.g., action 

summaries for many recommendations are ongoing, some may not be practical at this 

time, while others may be schedule dependent). 

Performance measures for strategies will be developed. 

2.3 ACTION SUMMARIES 

Action Summaries, the third-tier of the initiatives, will be developed by accountable 

individuals and their organizational counterparts during the first quarter of CY 2002. 

These summaries are intended to be living documents that detail the methods for 

implementing improvements to achieve the strategies. In addition, they will identify 

recommendations and corrective actions in the same manner as for strategies. Actions 

and deliverables developed in the future will be prioritized for incorporation into Project 

baselines after receiving required management reviews and approvals. Once the action 

summaries have been evaluated to determine their effectiveness toward achieving 

desired conditions, and appropriately integrated with supporting/affected individuals and 

activities, they will be maintained with resource-loaded schedules, e.g., Performance 

Evaluation and Review Technique/Critical Path Method schedules. Action summaries 

will: 

"* Summarize current condition or performance 

"* Summarize the desired condition or performance, including schedule 

considerations 

"* Define the approach to close the delta between the current and desired 

conditions 

"* Identify deliverables associated with action summary implementation 

"• Identify management sponsors and accountable individuals who develop, 

integrate, and implement actions 

"* Identify current and desired budget to support the actions 

"* Provide performance measures that monitor implementation and effectiveness 

" Define necessary modifications as the Six Sigma initiative matures 

2.4 PERFORMANCE MEASURES 

Performance measures will be developed to monitor the progress of implementation 

and the effectiveness of actions taken and will provide the basis for follow-up 

assessments and monitoring of implementation effectiveness. Performance measures 

will take two forms: 

OCRWM 

Management Improvement Initiatives 

Revision 00 4 January 2002
* Status of initial implementation of the action summary or strategy, i.e., how 

implementation is proceeding 

* Effectiveness of actions taken in responding to the needs identified by 

recommendations 

Performance results will be documented and communicated to Project staff via 

integrated communications. If the results of performance measures indicate ineffective 

implementation in achieving or maintaining a desired condition, the accountable 

individual will develop, document, and implement corrective actions accordingly. 

2.5 SOURCE DOCUMENTS 

Source documents used as input (e.g., management initiatives, recommendations from 

root cause analyses, QAMA, or the NRC) are identified in Section 3, References. 

Recommendations will encompass sources such as: 

"* DOE/BSC Management Initiatives 

"* Corrective actions responding to deficiencies identified in the Submittal of 

Bechtel SAIC Company Integrated Safety Management System (ISMS) Annual 

Review Report (BSC 2001a) 

"• Recommendations from the Safety Conscious Work Environment Final Report, 

Morgan, Lewis & Bockius LLP (Morgan et al. 2001) 

"* OCRWM Quality Assurance Management Assessment Report, Final Report, 

September 15, 2001 (BSC 2001b) 

* Incomplete/indeterminate self-assessment results subsequent to February 12, 

2001 

2.6 MANAGEMENT & IMPLEMENTATION 

Responsibilities and accountabilities for improvement initiatives are shown in 

Appendix B. Four levels of accountability provide for the Project's sustained progress 

toward achieving its objectives: 

"* Leadership Team comprised of senior Project managers 

"* Executive Program Manager, designated to be the Manager of Projects, BSC, 

and Deputy Manager, Projects, BSC 

"* Management sponsors selected by the Leadership Team 

"* Accountable individuals 

2.7 BUDGET & SCHEDULE MANAGEMENT 

Accountable individuals will be responsible for working within approved budgets and 

schedules. Management sponsors will be cognizant of budget and schedule status and 

provide guidance and support to accountable individuals. Milestones and deliverables 

will be identified in action summaries for each strategy, which, after review and 

approval, will be included in the Project's Primavera P3® baseline schedule and 

managed as part of the baseline activities. 

OCRWM 

Management Improvement Initiatives 

Revision 00 5 January 2002
Resources required will be estimated and identified as part of action summary 

development. Funded activities will be integrated into the budget and schedule 

baseline. Resources for unfunded activities will be estimated separately, reported in the 

action summary, and proposed as baseline change proposals to obtain additional 

funding or reprioritize existing resources. 

2.8 PERIODIC REVIEWS & REPORTS 

Accountable individuals will report the results of performance measures for the previous 

calendar month by the fifteenth day of the following month, except as deemed less 

frequently by the Leadership Team. The reports will identify performance measure 

results and trends, a discussion of corrective actions for ineffective trends, and ongoing 

evaluation of improvement effectiveness. The Executive Program Manager will 

assemble and issue a consolidated report by the last day of the month following the 

reporting period. The consolidated report will be provided to the Leadership Team and 

routinely communicated to Project staff. 

As requested, the Project Manager, YMSCO, will discuss progress of the improvement 

initiatives with the NRC at quarterly NRC/DOE Quality Assurance and Management 

Meetings. 

2.9 MANAGEMENT OVERSIGHT 

The senior manager Leadership Team will oversee and evaluate these initiative 

improvements on a monthly basis, or more frequently as appropriate, to ensure their 

effective implementation. 

OCRWM 

Management Improvement Initiatives 

Revision 00 6 January 2002
3. REFERENCES

3.1 DOCUMENTS CITED 

BSC 2001 a. Submittal of Bechtel SAIC Company, LLC (BSC) Integrated Safety 

Management System Annual Review Report (ISMS), Revision 00, September 14, 2001. 

ACC: MOL.20011023.0009. 

BSC 2001 b. Office of Civilian Radioactive Waste Management FY 2001 Quality 

Assurance Management Assessment Report, Final Report, September 15, 2001. ACC: 

MOL.20020110.0010. 

BSC 2001c. Root Cause Analysis Report for CAR BSC-01-C-O01, CAR BSC-01-C-002, 

Revision 01, August 8, 2001. ACC: MOL.20011023.0447. 

CRWMS M&O 2000. Total System Performance Assessment for the Site 

Recommendation. TDR-WIS-PA-000001 Revision 00, ICN 01. Las Vegas, Nevada: 

CRWMS M&O. ACC: MOL.20001220.0045. 

Morgan et al. 2001. Safety Conscious Work Environment Final Report, U.S. 

Department of Energy, Contract Number DE-AC08-01RW12154, Morgan, Lewis & 

Bockius LLP, Washington, DC, August 28, 2001 (redacted version).4 

3.2 CODES, STANDARDS, REGULATIONS, & PROCEDURES 

AP-3.1OQ, Rev. 2, ICN 4. Analyses and Models. Washington, D.C.: U.S. Department of 

Energy, Office of Civilian Radioactive Waste Management. ACC: MOL.20010405.0009. 

AP-SI.1Q, Rev. 3, ICN 2. Software Management. Washington, D.C.: U.S. Department of 

Energy, Office of Civilian Radioactive Waste Management. ACC: MOL.20011030.0599. 

AP-16.1Q, Rev. 4, ICN 1. Management of Conditions Adverse to Quality. ACC: 

MOL.19991217.0503. 

4 NOTE: Portions of this report that discuss specific employee concerns, allegations, and findings are 

intentionally blank and clearly identified as such. 

OCRWM 

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Revision 00 7 January 2002
APPENDIX A 

STRUCTURE

OCRWM 

Management Improvement Initiatives 

Revision 00 January 2002
STRUCTURE

Leadership Team 

Congruence

Figure 1. OCRWM Management Improvement Initiative Structure 

OCRWM 

Management Improvement Initiatives 

Revision 00 A-1 January 2002
APPENDIX B

RESPONSIBILITIES

OCRWM 

Management Improvement Initiatives 

Revision 00 January 2002
Leadership Team - Responsible for Management Oversight and 

Sponsorship of Improvements, Objectives, and Strategies 

Project Manager, YMSCO* 

Deputy Project Manager, YMSCO* 

Assistant Project Manager, Office of Project Execution, YMSCO 

Assistant Project Manager, Office of Licensing & Regulatory Compliance, YMSCO 

Director, Office of Information Management, YMSCO 

General Manager, BSC* 

Deputy General Manager, BSC* 

Manager of Projects, BSC 

Manager, Environmental Safety & Health, BSC 

Chief Information Officer, BSC 

"* Direct, guide, and manage oversight for strategy and activity implementation 

"* Evaluate and approve initiative revisions 

"* Promote teamwork and support teams for development and execution of implementing 

actions 

* Executive Committee of the Leadership Team 

Executive Program Manager/Deputy Executive Program Manager

Responsible for Initial Development and Day-to-Day Implementation 

Manager of Projects, BSC 

Deputy Manager, Projects, BSC 

"* Develop and support review and approval of improvements, objectives, strategies, and 

action summaries 

"* Ensure improvements are responsive to needs and recommendations 

" Ensure a high level of confidence exists for the effectiveness of actions planned 

"* Execute needed project management support 

"* Develop and implement long-term evolution of performance measures 

"* Communicate progress and results to Project staff 

OCRWM 

Management Improvement Initiatives 

Revision 00 B-1 January 2002
Management Sponsors - Responsible for Coordination and Management Oversight to Integrate and Execute Strategies and Action Summaries 

* Review action summary scopes, detailed actions, budgets, and schedules 

* Sponsor budget and schedule actions (i.e., baseline change proposals) 

* Support senior manager review and approval of action summaries 

* Monitor progress and results 

* Communicate and report progress and results to Project staff 

Accountable Individuals - Action Summary Accountable Individual 

* Implement a team approach for developing, executing, and implementing actions 

* Develop effective action summaries and obtain management review and approval 

* Implement actions within approved budget and schedule resources 

* Provide high quality deliverables 

* Develop and implement actions for budgeting and scheduling as needed 

* Develop and implement meaningful performance measures, including corrective action 

plans for performance measures that indicate ineffective results

OCRWM 

Management Improvement Initiatives 

Revision 00 B-2 January 2002
APPENDIX C

OBJECTIVES & STRATEGIES 

OCRWM 

Management Improvement Initiatives 

Revision 00 January 2002
OBJECTIVE 1: QUALITY

Fully and effectively implement established and documented procedures to successfully 

support the quality and defensibility of Project technical products and NRC licensing and 

compliance activities. Mentor and support the line organization during the in-process 

development of technical products. 

STRATEGIES FOR OBJECTIVE 1: 

QI. MINIMIZE REPEAT CONDITIONS

Q1.1 

Q1.2 

Q1.3 

Q1.4

Improve quality assurance effectiveness 

Improve effectiveness of the self-assessment program 

Improve effectiveness of the lessons learned program 

Improve effectiveness of the root cause analysis process

Q2. STRENGTHEN QUALITY-RELATED PROCESSES

Q2.1 

Q2.2 

Q2.3 

Q2.4 

Q2.5

Improve quality-related modeling processes 

Improve quality-related software processes 

Align procedure ownership and designation of interpretive authority Evaluate the need to improve the management of data 

Review scientific notebooks to determine whether national laboratories are 

documenting conditions adverse to quality to assure inclusion of the conditions in 

the corrective action program

OCRWM 

Management Improvement Initiatives 

Revision 00 C-1 January 2002
OBJECTIVE 2: SAFETY

Protect the environment and the health and safety of the public and Project staff. 

Heighten awareness and understanding of NRC policy for a Safety Conscious Work 

Environment (SCWE). 

STRATEGIES FOR OBJECTIVE 2: 

S1. REINFORCE SAFETY CONSCIOUS WORK ENVIRONMENT

$1.1 

S1.2 

S1.3

Encourage staff to identify problems 

Communicate to staff their role in nuclear safety Assign a senior manager to be responsible for SCWE concerns

S2. INCREASE PROACTIVE PROBLEM IDENTIFICATION

S2.1 

S2.2

Strengthen management expectations for a single corrective action program Evaluate reportability of potential deficiencies

S3. HEIGHTEN MANAGEMENT SUPPORT AND DIRECTION TO OCRWM 

CONCERNS PROGRAM 

S3.1 Effectively communicate to management their roles and responsibilities in the 

Concerns Program S3.2 Address identified adverse trends from the OCRWM Concerns Program 

S4. IMPROVE INTEGRATED SAFETY MANAGEMENT SYSTEM (ISMS) 

PERFORMANCE 

S4.1 Establish a culture of procedural compliance within Site Operations and the 

balance of Project organizations 84.2 Improve the thoroughness of pre-job safety planning activities 

OCRWM 

Management Improvement Initiatives 

Revision 00 CA-2.

v UOA Uoi 'U-
OBJECTIVE 3: PROJECT MANAGEMENT

Develop a current cost and schedule baseline that is technical, logical, and 

comprehensive. Develop and implement effective project management systems. 

STRATEGIES FOR OBJECTIVE 3: 

P1. ENHANCE PROGRAM PROJECT MANAGEMENT SKILLS AND 

IMPLEMENTATION 

P1.1 Develop and manage an integrated, resource-loaded baseline schedule that provides for sufficient review/checking/validation/verification resources for 

technical input and products P1.2 Realign budgets and schedules to ensure that fiscal accountability resides with 

responsible managers 

P2. IMPROVE THE CONFIGURATION MANAGEMENT PROGRAM 

P2.1 Establish effective configuration management processes P2.2 Compare processes identified as best practices in the nuclear industry with 

current records and document control practices P2.3 Establish requirements function and develop requirements 

P3. SUPPORT THE IMPROVEMENT OF ORGANIZATIONAL EFFECTIVENESS 

P3.1 Evaluate and improve the effectiveness of performance measures 

P4. INTEGRATE BUSINESS PROCESSES WITH COMPREHENSIVE 

ARCHITECTURE PLANNING, INCLUDING INFORMATION TECHNOLOGY (IT) INVESTMENT MANAGEMENT

P4.1 Demonstrate enterprise view of program processes and IT 

Management 

P4.2 Simplify business processes and reduce duplicative investments 

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Revision 00 C-3

Investment

v v January 2002
OBJECTIVE 4: HUMAN PERFORMANCE

Improve organizational effectiveness: ensure that staff holding supervisory and 

leadership positions possess the necessary competencies to manage and lead the 

organizations; define and communicate expectations, roles, and responsibilities for 

effective contract execution; enhance the training program to reflect the greater rigor 

expected in a regulated environment. 

STRATEGIES FOR OBJECTIVE 4: 

H1. IMPROVE MANAGER AND SUPERVISOR LEADERSHIP COMPETENCIES 

H1.1 Define and provide minimum supervisory skills training for managers, 

supervisors, and team leads 

H1.2 Define leadership competencies and assess current leaders against defined 

competencies 

H1.3 Address the performance management process and competency development 

for leaders in individual development plans 

H1.4 Use existing performance evaluation systems to remove unsatisfactory 

performers in managerial, supervisory, or leadership positions 

H1.5 Attract, train, and retain a professional, competent staff 

H2. ESTABLISH TEAM-ORIENTED PROJECT MANAGEMENT PERFORMANCE 

H2.1 Develop a cohesive senior management vision statement that articulates 

expectations, roles, and responsibilities, for project management to ensure 

effective contract execution 

H2.2 Develop training to communicate the vision and tools available for Project staff to 

execute the vision 

H2.3 Improve communication and teamwork 

H3. IMPROVE TRAINING PROGRAM 

H3.1 Benchmark INPO's accredited training programs to develop a common 

understanding of expectations in the NRC-regulated environment 

H3.2 Develop and execute a written training program improvement plan to ensure 

NRC expectations for training are met 

OCRWM 

Management Improvement Initiatives 

Revision 00 C-4 January 2002
APPENDIX D

RECOMMENDATIONS

OCRWM 

Management Improvement Initiatives 

Revision 00 January 2002
SOURCE REFERENCE KEY FOR RECOMMENDATIONS

The following abbreviations are used throughout this Appendix to identify the source of 

recommendations. 

MIS Recommendations from the Root Cause Analysis Report for CAR BSC

01-C-001, CAR BSC-01-C-002, Revision 1, August 8, 2001 

(MOL.20011023.0447) 

M/S = Modeling/Software Root Cause Analysis 

RC # = root causes 

CC # = common causes 

GC # = generic causes 

RA = Recommended Actions 

TD Recommendations from the Root Cause Analysis Report for Yucca 

Mountain Project Technical Document Deficiencies, August 17, 2001 

(MOL.20011023.0449) 

TD = Technical Document Root Cause Analysis 

RC # = root causes 

GC # = generic causes 

RA = Recommended Actions 

ISMS Recommendations in response to deficiencies identified in the Bechtel 

SAIC Company, LLC (BSC) Integrated Safety Management System 

(ISMS) Annual Review Report, Revision 0, September 14, 2001 

(MOL.2011023.0009) 

SCWE Recommendations from the Safety Conscious Work Environment Final 

Report, Morgan, Lewis & Bockius LLP, August 28, 2001 

NRC NRC expectations, draft letter, August 17, 2001 

QAMA Recommendations from the Office of Civilian Radioactive Waste 

Management FY 2001 Quality Assurance Management Assessment 

Report, Final Report, September 15, 2001. (MOL.200201 10.0010) 

AOS Recommendations developed during the August 2001 Mesquite senior 

manager off-site and communicated to the NRC via informal fax 

MI DOE/BSC Management Initiative 

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Revision 00 D-1 , ....... O nnO IczII .,al y L U
OBJECTIVE 1: QUALITY

Fully and effectively implement established and documented procedures to successfully 

support the quality and defensibility of Project technical products and NRC licensing and 

compliance activities. Mentor and support the line organization in the in-process 

development of technical products. 

RECOMMENDATIONS FOR OBJECTIVE 1: 

QI. MINIMIZE REPEAT CONDITIONS 

Q1.1 Improve quality assurance effectiveness 

Q1.1.1 Provide quality culture briefings to line organizations to facilitate 

improvements (MI) 

Q1.1.2 Improve communication between quality organizations (SCWE) 

Q1.1.3 Better communicate Quality Assurance role (SCWE) 

Q1.1.4 Model quality assurance improvement initiatives after the Zero 

Accident Philosophy program (MI) 

Q1.1.5 Improve QA-related training, in both effectiveness and efficiency, to 

better meet the needs of the line organization at all locations 

(QAMA) 

Q1.1.6 Evaluate the need for a BSC Quality Assurance Plan (M/S CC-3, 

TD RC-4) 

Q1.2 Improve effectiveness of the self-assessment program 

Q1.2.1 Require managers to communicate assessment results/corrective 

actions to staff and via lessons learned (SCWE) 

Q1.2.2 Improve management response to self-assessment issues (SCWE) 

Q1.2.3 Provide sufficient priority to perform self-assessments (SCWE) 

Q1.2.4 Augment existing self-assessment training (SCWE) 

Q1.2.5 Evaluate results of self-assessments since February 2001 (NRC, 

AOS) 

Q1.3 Improve effectiveness of the lessons learned program (MI) 

Q1.3.1 Ensure, as appropriate, conditions adverse to quality are 

communicated via the Lessons Learned program (MI) 

Q1.3.2 Improve utilization of the program by all Project participants 

(QAMA) 

Q 1.3.3 Achieve a better balance between industrial safety and best 

management practices (QAMA) 

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Management Improvement Initiatives 

Revision 00 D-2 January 2002
Q1.4 Improve effectiveness of the root cause analysis process 

Q1.4.1 Review the root causes from CARs 1 & 2 and on Total System 

Performance Assessment errors to identify similarities (NRC, AOS) 

Q1.4.2 Compare to past corrective actions to determine: 

- Whether past root causes were correct 

- Why corrective actions taken did not prevent recurrence 

- Which corrective actions were not effectively implemented 

Q1.4.3 Evaluate CAR-01-002 sequence of events (SCWE) 

Q1.4.4 Lower threshold for initiation of root cause analysis (M/S CC-3) 

Q2. STRENGTHEN QUALITY-RELATED PROCESSES 

Q2.1 Improve quality-related modeling processes 

Q2.1.1 Ensure timely completion of the Model Validation Review (M/S RA 

4.7.1) 

Q2.1.2 Establish functional manager who owns the modeling process 

(M/S RA 4.7.2): 

- Establish binding technical/quality requirements for AP-3.10Q 

- Define model validation acceptance criteria 

- Establish a single communication and feedback process 

- Implement an effective disagreement escalation and resolution 

process 

- Establish minimum training and experience requirements 

Q2.1.3 Review/revise AP-3.10Q to incorporate results of the Model 

Validation Review (M/S RA 4.7.3) 

Q2.1.4 Establish model application users group (M/S RA 4.7.4) 

Q2.1.5 Establish modeling website (M/S RA 4.7.5) 

Q2.1.6 Conduct modeling procedure training (M/S RA 4.7.6) 

Q2.1.7 Conduct mentoring and assist visits with model developers (M/S RA 

4.7.7) 

Q2.1.8 Conduct lessons learned to establish best practices (M/S RC-2, -3) 

Q2.1.9 Develop and enforce a resource-loaded schedule for Analysis & 

Model Report development (M/S RA 4.7.8) 

Q2.1.10 Perform self-assessment of corrective action, revised processes, 

and training (M/S RA 4.7.9) 

Q2.1.11 Establish performance measures (M/S RA 4.7.10) I 

Q2.2 Improve quality-related software processes 

Q2.2.1 Establish a functional BSC software process manager to 

(M/S RA 5.4.1): 

- Establish binding requirements 

- Benchmark AP-Sl.lQ, Software Management, against other 

DOE and commercial industry procedures 

- Establish a timely feedback process 

- Implement an effective escalation and resolution process 

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Management Improvement Initiatives 

Revision 00 D-3 January 2002
- Enforce minimum training/experience for model 

developers 

Q2.2.2 Subdivide AP-SI.1Q into a series of procedures that (M/S RA 

5.4.2): 

- Establish a graded approach for routines, macros, single-use 

codes, and major applications 

- Differentiate between commercial software, research code 

development, and process software 

- Conduct user validation before implementation 

- Perform a readiness review before implementation consistent 

with Capability Maturity Model 

- Identifies points-of-contact for procedure questions 

- Addresses maintenance/operational/implementation and 

retirement 

Q2.2.3 Establish software website (M/S RA 5.4.3) 

Q2.2.4 Establish a software users' group (M/S 5.4.4) 

Q2.2.5 Establish a short-term team to assist in software process change 

management (M/S RA 5.4.5) 

Q2.2.6 Provide compliance staff support to user developers; conduct 

lessons learned to identify best practices (M/S RA 5.4.6) 

Q2.2.7 Establish enterprise architecture (M/S RA 5.4.7) 

Q2.2.8 Establish performance measures for corrective action effectiveness 

(M/S RA 5.4.8) 

Align procedure ownership and designation of interpretive authority 

Q2.3.1 Transfer administrative procedures to BSC ownership as 

appropriate (M/S CC-4) 

Q2.3.2 Appoint BSC functional manager for each procedure (M/S CC-4) 

Q2.3.3 Benchmark procedure programs at DOE and commercial facilities 

to identify best practices (M/S CC-4) 

Q2.3.4 Establish a more effective differing opinion [escalation] resolution 

process; streamline AP-5.1Q, Plan and Procedure Preparation, 

Review, and Approval, to (M/S CC-4): 

- Include effective, streamlined procedure development and 

change process 

- Involve owner and appropriate team members during 

development and change 

- Provide for owner final authority for comment incorporation 

unless escalation to management occurs 

- Increase efficiency and allow for employee participation 

- Provide goals for a short turnaround for non-intent changes (i.e., 

one day) and a 30-calendar day turnaround for intent changes

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Management Improvement Initiatives 

Revision 00 January 2002

Q2.3

D-4
Q2.3.5 Revise procedures as appropriate: 

- Implement procedures on a trial basis to determine adequacy; 

include pilot/readiness review (NRC) 

- Provide more effective procedure training (NRC) 

- Monitor procedure effectiveness (NRC) 

- Establish a firm date for reviewing and revising procedures to 

assure they are adequate and effective for the NRC licensing 

phase of the Project (QAMA) 

- Revise the procedures around processes and outputs from the 

Project, rather than just on the existing set of procedures 

(QAMA) 

Q2.4 Evaluate the need to improve the management of data (MI) 

Q2.5 Review scientific notebooks to determine whether national laboratories are 

documenting conditions adverse to quality to assure inclusion of the 

conditions in the corrective action program (SCWE) 

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Management Improvement Initiatives 

Revision 00 D-5 January 2002
OBJECTIVE 2: SAFETY

Protect the environment and the health and safety of the public and Project staff. 

Heighten awareness and understanding of NRC policy on Safety Conscious Work 

Environment (SCWE). 

RECOMMENDATIONS FOR OBJECTIVE 2:

REINFORCE THE SAFETY CONSCIOUS WORK ENVIRONMENT 

Encourage staff to identify problems 

S1.1.1 Senior management:

S1.1.2 

S1.1.3 

S1.1.4 

S1.1.5

- Clearly express and model SCWE principles (SCWE) - Clearly express expectations for raising/responding to problems 

(SCWE) 

Advertise and promote SCWE (SCWE) 

Better communicate differing professional opinions/views in the 

resolution process (M/S) 

Provide for easy closure of minor issues (TD RC-4, QAMA) 

Simplify CIRS to make it a useful management tools (QAMA)

Communicate to staff their role in nuclear safety (SCWE) 

S1.2.1 Enhance uniform and thorough understanding of nuclear safety and 

its relationship to current activities (SCWE) 

S1.2.2 Revisit and expand nuclear culture initiatives (SCWE) 

S1.2.3 Update licensing training (SCWE) 

S1.2.4 Provide training on SCWE and harassment, intimidation, retaliation, 

and discrimination (SCWE) 

S1.2.5 Augment management expectations for QA (corrective action 

program), SCWE, and the OCRWM Concerns Program in 

Orientation training (SCWE). 

Assign a senior manager to be responsible for SCWE concerns (SWCE) 

INCREASE PROACTIVE PROBLEM IDENTIFICATION 

Strengthen management expectations for a single corrective action 

program 

S2.1.1 Benchmark issues-management programs (M/S CC-3) 

S2.1.2 Develop a mature trending program for non-quality issues 

S2.1.3 SeDarate issues-mananement from commitme.nf trnckinn (TI' P(-

4) 

S2.1.4 Train staff on management expectations/program requirements 

(M/S CC-3) 

S2.1.5 Appoint a senior manager to conduct daily/routine screening and 

assignment of responsibility for employee self-identified issues 

(M/S CC-3) 

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Revision 00 D-6 .,Ann•nh 9OnM

S1. 

S1.1

S1.2 

S1.3 

S2. 

S2.1

-- v
S2.1.6 Senior management must play a key role in implementing an 

effective corrective action program on a high priority basis (QAMA) S2.1.7 Line managers must be held accountable for assuring that 

corrective actions in their area of responsibility are identified and 

corrected (QAMA) S2.1.8 Effective corrective actions should be a key element in each 

manager's performance appraisal, and should be directly tied to the 

BSC fee determination (QAMA) 

S2.2 Evaluate reportability of deficiencies 

S3. HEIGHTEN MANAGEMENT SUPPORT AND DIRECTION TO OCRWM 

CONCERNS PROGRAM 

S3.1 Effectively communicate to management their roles and responsibilities 

in the Concerns Program S3.1.1 Clearly express expectations for raising/responding to concerns 

(SCWE) 

S3.1.2 Ensure appropriate, but not excessive, use of confidentiality 

(SCWE) 

S3.1.3 Ensure early coordination with regard to issues (SCWE) 

S3.1.4 Eliminate the practice of providing concerned individuals with 

copies of draft reports and recommended corrective actions 

(SCWE) S3.1.5 Establish an understanding that the Concerns Program is an 

anonymous fact-finding management tool for evaluation and action 

(SCWE) 

S3.2 Address identified adverse trends from the OCRWM Concerns Program 

S4. IMPROVE INTEGRATED SAFETY MANAGEMENT SYSTEM (ISMS) 

PERFORMANCE 

S4.1 Establish a culture of procedural compliance within Site Operations and 

the balance of Project organizations (ISMS) 

S4.2 Improve the thoroughness of pre-job safety planning activities (MI) 

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Management Improvement Initiatives 

Revision 00 D-7 Januarv 2l002 Jr hvv• 
OBJECTIVE 3: PROJECT MANAGEMENT

Develop a current cost and schedule baseline that is logical, comprehensive, and 

technical. Develop and implement effective project management systems. 

RECOMMENDATIONS FOR OBJECTIVE 3: 

P1. ENHANCE PROJECT MANAGEMENT SKILLS AND IMPLEMENTATION 

P1.1 Develop and manage an integrated, resource-loaded baseline schedule 

that provides for sufficient reviewlcheckinglva lidationlverification 

resources for technical input and products (SCWE, TD RC-1, TD RC-2) P1.1.1 Establish a firm milestone to have the technical, cost and schedule 

baseline in place (QAMA) 

P1.1.2 Clearly communicate to all managers who is responsible for the 

effort and management expectations regarding the level of detail 

contained in the baseline (QAMA) P1.1.3 Provide project management training regarding schedule and 

budget (MI) 

P1.1.4 Include time for final, cohesive review of products (TD RC-1) P1.1.5 Senior management must value a robust checking and review 

process (TD RC-1) P1.1.6 Process must include a final check and review of a frozen 

document (TD RC-1) P1.1.7 Benchmark industry best practices to establish appropriate norms 

for the extent of checking/validation/verification resources and effort 

P1.2 Realign budgets and schedule to ensure that fiscal accountability 

resides with responsible managers (AOS) 

P2. IMPROVE THE CONFIGURATION MANAGEMENT PROGRAM 

P2.1 Establish effective configuration management processes (TD RC-1) P2.1.1 Benchmark configuration management processes (TD RC-1). 

P2.2 Compare processes identified as best practices in the nuclear industry with current records and document control practices (TD RC-1) 

P2.3 Establish requirements function and develop requirements 

(QAMA, MI) 

P3. SUPPORT THE IMPROVEMENT OF ORGANIZATIONAL EFFECTIVENESS 

P3.1 Evaluate and improve the effectiveness of performance measures 

P3.1.1 Communicate error free goal (TD RC-5) 

P3.1.2 Create performance measures for root cause evaluations, 

management-directed self-assessment, and employee identification 

of issues (M/S CC-3) 

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P3.1.3 Establish performance measures that monitor root, common, and 

generic cause corrective action effectiveness/verification follow-up 

(M/S RA-6.3.3, TD RC-2) 

P3.1.4 Set goals, monitor, trend, conduct assessments, and take 

management action when progress fails to achieve expectations 

(M/S RA-6.3.3, TD RC-2) 

P3.1.5 Communicate goals and progress to personnel (M/S RA-6.3.3) 

P3.1.6 Report results quarterly to Bechtel corporate management (M/S 

RA-6.3.3, TD RC-2) 

P3.1.7 Bechtel corporate management: challenge Project performance 

and conduct field evaluations to validate performance (M/S PLT-3, 

TD RC-2) 

P3.1.8 Create performance measures to monitor error-free progress (TD 

RC-5): 

- Develop in-process technique for assessing technical adequacy 

and final personnel/group/organization errors (MI, TD RC-5) 

- Integrate the performance evaluations processes with the 

selected performance measures (MI) 

- Develop measurement of rework (MI) 

P3.1.9 Establish metrics to ensure problems are resolved in a timely 

manner and that they do not recur (QAMA) 

P3.1.10 Assign the lead for monitoring the corrective action program in 

YMSCO to an organization other than OQA, perhaps the Office of 

Project Execution (QAMA) 

INTEGRATE BUSINESS PROCESSES WITH COMPREHENSIVE 

ARCHITECTURE PLANNING, INCLUDING INFORMATION TECHNOLOGY 

(IT) INVESTMENT MANAGEMENT 

Demonstrate enterprise view of program processes and IT Investment 

Management 

P4.1.1 Identify business processes 

P4.1.2 Model As-Is, To-Be and perform gap analysis to transitional 

requirements 

P4.1.3 Establish performance measures for the select, control, and 

evaluate phases of IT Investment Management 

Simplify business processes and reduce duplicative investments 

P4.2.1 Unify redundant business processes 

P4.2.2 Eliminate stove-piped systems 

P4.2.3 Establish performance measures to demonstrate the reduction of 

duplicative investments

OCRWM 

Management Improvement Initiatives 

Revision 00 January 2002

P4. 

P4.1 

P4.2

D-9
OBJECTIVE 4: HUMAN PERFORMANCE

Improve organizational effectiveness: ensure that staff holding supervisory and 

leadership positions possess the necessary competencies to manage and lead the 

organization; define and communicate expectations, roles, and responsibilities, for 

effective contract execution; enhance the training program to reflect the greater rigor 

expected in a regulated environment. 

RECOMMENDATIONS FOR OBJECTIVE 4: 

HI. IMPROVE MANAGER AND SUPERVISOR LEADERSHIP COMPETENCIES 

H1.1 Define and provide minimum supervisory skills training for managers, 

supervisors, and team leads 

H1.2 Define leadership competencies and assess current leaders against 

defined competencies 

H1.2.1 Assess current manager and supervisor leadership skills (M/S CC

1, TD RC-3) 

H1.3 Address the performance management process and competency 

development for leaders in individual development plans (MI) 

HI.4 Use existing performance evaluation systems to remove unsatisfactory 

performers in managerial, supervisory, or leadership positions 

H1.4.1 Train and mentor and/or replace management staff (M/S CC-1, TD 

RC-3) 

H1.5 Attract, train, and retain a professional, competent staff 

H1.5.1 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) 

H2. ESTABLISH TEAM-ORIENTED PROJECT MANAGEMENT 

PERFORMANCE 

H2.1 Develop a cohesive senior management vision statement that 

articulates expectations, roles, and responsibilities for project 

management to ensure effective contract execution 

H2.1.1 Within a facilitated session, senior managers agree on and 

communicate roles and responsibilities (M/S RA 6.3.1) 

H2.1.2 Train staff on current performance-based contract requirements 

(M/S CC-1, TD RC-3) 

H2.1.3 Expect contract to be followed; hold management accountable (MS, 

TD) 

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Revision 00 D-10 January 2002
H2.1.4 Develop and communicate clear roles, responsibilities, 

accountabilities, and authorities (M/S, TD) 

H2.1.5 Establish a firm date for developing a management plan, approach, 

and organizational structure that aligns the authorities and roles 

and responsibilities of the YMSCO and BSC organizations (QAMA) 

H2.1.6 Involve managers in reaching and promptly implementing decisions 

and hold them accountable for effective implementation (QAMA) 

H2.1.7 YMSCO evaluate the structure of other successful government and 

private sector projects (QAMA) 

- Identify required changes in staffing or skill mix and set a date 

for implementing the changes (QAMA) 

H2.1.8 Develop and issue a BSC Management Description (MI) 

H2.2 Develop training to communicate the vision and tools available for 

Project staff to execute the vision 

H2.2.1 For BSC employees, improve performance based in part on 

Bechtel's Performance-Based Leadership 

H2.2.2 Define and implement values/expectations/consequences to 

performance evaluation processes (AOS) 

H2.2.3 Train management expectations (include procedure program 

requirements) (M/S CC-4) 

H2.2.4 Add SCWE and values/expectations to performance evaluation 

processes (SCWE) 

H2.2.5 Define resources (i.e., legal, HR) to assist managers/supervisors 

(SCWE) 

H2.2.6 Hold people accountable for strict and literal procedure compliance 

(NRC) 

H2.2.7 Provide consistent rewards and discipline (M/S, SCWE) 

H2.2.8 Hold managers accountable for product quality (TD RC-2) 

(example: AP-3.1 1Q, Technical Reports, Sec. 3.18) 

H2.3 Improve communication and teamwork 

H2.3.1 Integrate and communicate common theme for improvement 

initiatives (MI, QAMA) 

H2.3.2 Develop a process for top-down communication of standard 

messages (MI) 

H3. IMPROVE TRAINING PROGRAM 

H3.1 Benchmark INPO's accredited training programs to develop a common 

understanding of expectations in the NRC regulated environment 

H3.1.1 Strengthen training program with continuous job task analysis (M/S 

CC-5) 

H3.1.2 Benchmark commercial nuclear facilities and DOE nuclear 

Category-1 facilities (M/S CC-5) 

H3.1.3 Establish a method for measuring retention and proficiency (i.e., 

training effectiveness) (M/S RA-4.7.6, M/S CC-5) 

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Revision 00 D-1 w • 1 

, .lnlirv9n"1
H3.1.4 Revise training processes/management expectations to reflect best 

practices (M/S CC-5) 

H3.2 Develop and execute a written training program improvement plan to 

ensure NRC expectations are met (MI) 

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Revision 00 D-12 January 2002