TS

NOT MEASUREMENT

SENSITIVE

DOE-STD-1063-2000

March 2000

Superseding

DOE-STD-1063-97

October 1997

DOE STANDARD

FACILITY REPRESENTATIVES

U.S. Department of Energy AREA MGMT

Washington, D.C. 20585

DISTRIBUTION STATEMENT A. Approved for public release; distribution is unlimited.

TS
This document has been reproduced from the best available copy.

Available to DOE and DOE contractors from ES&H Technical Information

Services, U.S. Department of Energy, (800) 473-4375, fax: (301) 903-9823.

Available to the public from the U.S. Department of Commerce, Technology

Administration, National Technical Information Service, Springfield, VA 22161;

(703) 605-6000.
DOE-STD-1063-2000

iii

FOREWORD

1. This Department of Energy standard is approved for use by all DOE Components.

2. The Revision to this DOE standard was developed by a working group consisting of

headquarters and field participants. Beneficial comments (recommendations,

additions, deletions) and any pertinent data that may improve this document should

be sent to:

Mr. Joseph Arango,

Facility Representative Program Manager

Office of the Departmental Representative to the Defense Nuclear Facilities

Safety Board (DOE S-3.1),

DOE Headquarters, Forrestal Building,

1000 Independence Avenue, SW

Washington, D.C. 20585

(202) 586-7599

3. DOE technical standards, such as this standard, do not establish requirements.

However, all or part of the provisions in a DOE standard can become requirements if

they are explicitly stated to be requirements in a DOE requirements document, or

the organization makes a commitment to meet a standard in a contract or in an

implementation plan or program plan required by a DOE requirements document.

4. Throughout this standard, the word "shall" is used to denote actions that must be

performed if the objectives of this standard are to be met. If the provisions in this

standard are made requirements through one of the two ways discussed above,

then the "shall" statements would become requirements. It is not appropriate to

consider that any "should" statements would automatically be converted to "shall"

statements, as this action would violate the consensus process used to approve this

standard.
DOE-STD-1063-2000

iv

INTENTIONALLY BLANK
DOE-STD-1063-2000

v

CONTENTS

PAGE

1. SCOPE ............................................................................................ 1

1.1 Scope .............................................................................................. 1

1.2 Purpose of Program .......................................................................... 1

1.3 Purpose of Standard.......................................................................... 1

1.4 Applicability ..................................................................................... 2

2. REFERENCES ................................................................................... 3

2.1 Government Documents ................................................................... 3

2.2 Order of Precedence ......................................................................... 4

3. DEFINITIONS .................................................................................. 5

3.1 Activity Level .................................................................................... 5

3.2 Core Training Requirements .............................................................. 5

3.3 Contractor........................................................................................ 5

3.4 Department or DOE .......................................................................... 5

3.5 Facility............................................................................................. 5

3.6 Facility Representative ...................................................................... 5

3.7 Facility Representative Coverage ........................................................ 5

3.8 Field Element or Organization ............................................................ 5

3.9 Field Element Manager....................................................................... 5

3.10 Hazard ............................................................................................ 6

3.11 Hazard Categories ............................................................................. 6

3.12 Hazardous Materials ......................................................................... 6

3.13 Interim Qualification ......................................................................... 6

3.14 Line Organization ............................................................................. 6

3.15 Occurrence Report ............................................................................ 6

3.16 Proficiency ....................................................................................... 7

3.17 Program Manager ............................................................................. 7

3.18 Qualification..................................................................................... 7

3.19 Qualifying Official.............................................................................. 7

3.20 Risk................................................................................................. 7

3.21 Safety Analysis ................................................................................. 7

3.22 Safety Analysis Report....................................................................... 8

3.23 Secretarial Officer ............................................................................. 8

3.24 Training Equivalency ......................................................................... 8

3.25 Training Program .............................................................................. 8

3.26 Walkthrough..................................................................................... 8
DOE-STD-1063-2000

vi

CONTENTS (CONTINUED)

PAGE

4. GENERAL REQUIREMENTS................................................................. 9

4.1 Purpose and Coverage....................................................................... 9

4.2 Unencumbered Access ......................................................................11

4.3 Responsibilities and Authorities..........................................................12

4.4 Supervision, Management, and Authority ............................................14

4.5 General Training and Qualification Requirements .................................14

4.6 Facility Representative Program Performance Assessment

and Feedback ..................................................................................16

5. DETAILED REQUIREMENTS...............................................................18

5.1 Facility Coverage and Assignment......................................................18

5.2 Duties and Responsibilities of a Facility Representative .........................20

5.3 Authority Granted to Facility Representatives.......................................22

5.4 Facility Assessments .........................................................................22

5.5 Operational Reports .........................................................................23

5.6 Relationship of Facility Representative with other DOE Managers ...........23

5.7 Relationship of Facility Representative with Operating Contractor ..........23

5.8 Selection and Recruitment.................................................................25

5.9 Training..........................................................................................27

5.10 Qualification....................................................................................29

5.11 Retention ........................................................................................33

6. NOTES............................................................................................34

6.1 Intended Use...................................................................................34

6.2 Key Word Listing..............................................................................34

APPENDICES

Appendix A Facility Representative Performance Indicators ...................... A-1

Appendix B Facility Representative Program Assessment Guide................ B-1
DOE-STD-1063-2000

1

1. SCOPE

1.1 Scope. This standard, Facility Representatives, DOE-STD-1063-2000,

defines the duties, responsibilities and qualifications for DOE Facility

Representatives, based on facility hazard classification; risks to workers,

the public, and the environment; and the operational activity level. This

standard provides the guidance necessary to ensure that DOE facilities

have sufficient staffing of technically-qualified Facility Representatives to

provide day-to-day oversight of contractor operations. Field Element

Managers should incorporate the information contained in this standard,

as well as any additional facility-specific requirements, into site-specific

implementation procedures for DOE Facility Representatives.

1.2 Purpose of Program. The purpose of the DOE Facility Representative

Program is to ensure that competent DOE staff personnel are assigned to

oversee the day-to-day contractor operations at DOE’s most hazardous

facilities. Oversight performed by Facility Representatives provides DOE

line managers with accurate objective information on the effectiveness of

contractor work performance and practices, including implementation of

the integrated safety management system. The Department’s experience

has shown that when personnel are dedicated to this function, the

information that they provide can be used proactively to ensure that work

is completed in a safe and environmentally responsible manner.

1.3 Purpose of Standard. The purpose of this standard is to help ensure that

DOE Facility Representatives are selected based on consistently high

standards and from the best qualified candidates available, that they

receive the training required for them to function effectively, and that

their expected duties, responsibilities, and authorities are well understood

and accurately documented. To this end, this guidance provides the

following practical information:

a. An approach for use in determining the required facility coverage.

b. The duties, responsibilities and authorities expected of a Facility

Representative.

c. The training and qualifications expected of a Facility Representative.

d. Elements necessary for successful Facility Representative Programs at

DOE Field Offices.
DOE-STD-1063-2000

2

1.4 Applicability. This standard is intended for use by all DOE Components in

establishing and maintaining Facility Representative programs at DOE

owned, contractor-operated facilities. DOE Managers of governmentowned, government-operated facilities may apply this guidance to facilities

operated exclusively by DOE Federal employees. Field Element Managers

and Secretarial Officers may develop additional guidance regarding Facility

Representative requirements.
DOE-STD-1063-2000

3

2. REFERENCES

2.1 Government Documents. The following Directives and Standards are

references to the extent specified herein.

2.1.1 DOE Directives (Policies, Orders, Manuals, Guides).

• DOE O 151.1, Comprehensive Emergency Management

• DOE O 232.1A, Occurrence Reporting and Processing of Operations

Information

• DOE M 232.1-1A, Occurrence Reporting and Processing of Operations

Information

• DOE O 360.1A, Federal Employee Training

• DOE M 411.1-1A, DOE Safety Management Functions, Responsibilities,

and Authorities Manual (FRAM) [including the Level I document, and

those lower level FRA documents specific to program offices and field

elements]

• DOE O 420.1, Facility Safety

• DOE O 425.1A, Startup and Restart of Nuclear Facilities

• DOE P 426.1, Federal Technical Capability Policy for Defense Nuclear

Facilities

• DOE G 426.1-1, Recruiting, Hiring, and Retaining High-Quality

Technical Staff

• DOE O 430.1A, Life Cycle Asset Management

• DOE G 450.4-1A, Integrated Safety Management System Guide

• DOE O 5480.19, Conduct of Operations Requirements for DOE

Facilities

• DOE O 5480.21, Unreviewed Safety Questions

• DOE O 5480.22, Technical Safety Requirements

• DOE O 5480.23, Nuclear Safety Analysis Reports

2.1.2 DOE Standards.

• DOE-HDBK-1204-97, Guide to Good Practices for the Development of

Test Items

• DOE-HDBK-1205-97, Guide to Good Practices for the Design,

Development, and Implementation of Examinations

• DOE-STD-1027-92, Hazard Classification and Accident Analysis

Techniques for Compliance with DOE O 5480.23, Nuclear Safety

Analysis Reports

• DOE-EM-STD-5502-94, Hazard Baseline Documentation

• DOE-EM-STD-5505-96, Operations Assessments

• DOE Facility Representative Functional Area Qualification Standard,

February 2000
DOE-STD-1063-2000

4

2.1.3 Other.

• DOE EH Operational Procedure - Identifying, Reporting and Tracking

Nuclear Safety Non-Compliances (which superseded DOE-HDBK-1089-

95)

• DOE Implementation Plan for DNFSB Recommendation 92-2, DOE’s

Facility Representative Program at Defense Nuclear Facilities,

November 5, 1992

• DOE Implementation Plan for DNFSB Recommendation 93-3,

Improving DOE Technical Capability in Defense Nuclear Facilities

Programs, May 5, 1998

2.2 Order of Precedence. In the event of conflict between the text of this

document and DOE Order, the DOE Order takes precedence. Nothing in

this document supersedes applicable laws and regulations.
DOE-STD-1063-2000

5

3. DEFINITIONS

3.1 Activity Level. The frequency of handling or moving hazardous material,

or otherwise creating an opportunity for the occurrence of a reportable

event (see Section 5.1.b for activity level determination).

3.2 Core Training Requirements. The portion of the training program

designed to cover the DOE-wide, generic subjects on which all Facility

Representatives are expected to be knowledgeable. This includes the

DOE General Technical Base Qualification Standard and the DOE Facility

Representative Functional Area Qualification Standard.

3.3 Contractor. Any person under contract or subcontract with the

Department of Energy with the responsibility to perform activities in

connection with any facility, laboratory, or program at a DOE-owned or

leased facility.

3.4 Department or DOE. The Department of Energy.

3.5 Facility. (DOE O 430.1A) The buildings, utilities, structures, and land

improvements associated with an operation or service and dedicated to a

common function.

3.6 Facility Representative. For each major facility or group of lesser facilities,

an individual assigned responsibility by the Field Element Manager (or

designee) for monitoring the safety performance of the facility and its

operations. This individual is the primary point of contact with the

contractor for operational and safety oversight and is responsible to the

facility’s DOE Line Manager.

3.7 Facility Representative Coverage. The degree of attention a Facility

Representative is expected to devote to an assigned facility. Coverage is

usually expressed in terms of the amount of time, including back shift and

weekend time, that the Facility Representative is expected to routinely

spend observing operations in the facility.

3.8 Field Element or Organization. (DOE M 411.1-1A) A non-Headquarters

DOE organization that is geographically distinct. Field elements can be

area offices, support offices, operations offices, field offices, regional

offices, or offices located at environmental restoration, construction, or

termination sites.

3.9 Field Element Manager. (DOE M 411.1-1A) The DOE employee having

overall responsibility for a field element.
DOE-STD-1063-2000

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3.10 Hazard. (10CFR830.3) Hazard means a source of danger (i.e., material,

energy source, or operation) with the potential to cause illness, injury, or

death to personnel or damage to a facility or to the environment (without

regard to the likelihood or credibility of accident scenarios or consequence

mitigation).

3.11 Hazard Categories. The consequences of unmitigated releases of

radioactive and/or hazardous material are evaluated as required by DOE O

5480.23 and classified by the following Hazard Categories:

Category 1 - The hazard analysis shows the potential for significant offsite consequences.

Category 2 - The hazard analysis shows the potential for significant on-site

consequences.

Category 3 - The hazard analysis shows the potential for only significant

localized consequences.

DOE-STD-1027-92, Change Notice 1 and DOE-EM-5502-94 contain

additional information on methods and criteria for determination of Hazard

Categories.

3.12 Hazardous Materials. (DOE O 420.1) Any solid, liquid, or gaseous material

that is chemical, toxic, explosive, flammable, radioactive, corrosive,

chemically reactive, or unstable upon prolonged storage in quantities that

could pose a threat to life, property, or the environment.

3.13 Interim Qualification. Specific requirements that must be met prior to a

Facility Representative being assigned to provide limited coverage in a

facility for which he or she is not fully qualified.

3.14 Line Organization. The unbroken chain of command that extends from

the Secretary through the Deputy Secretary (Chief Operating Officer), to

the Secretarial Officers who set program policy and plans and develop

assigned programs, to the Program and Field Element Managers who are

responsible for execution of these programs, and to the contractors who

conduct the programs. Environment, Safety, and Health (ES&H) are

integral parts of each program. Accordingly, responsibility for ES&H

functions resides with the line organizations.

3.15 Occurrence Report. A documented evaluation of an event or condition

that is prepared in sufficient detail to enable the reader to assess its

significance, consequences, or implications and to evaluate the actions

being proposed or employed to correct the condition or to avoid

recurrence.
DOE-STD-1063-2000

7

3.16 Proficiency. The level to which a qualified Facility Representative stays

current on technical knowledge, assigned facilities, procedures, etc.

Regaining proficiency may be required by field element programs and

procedures after an absence from Facility Representative duties, a period

of inactivity at a given facility, as an ongoing training, or based on length

of time between the Facility Representative’s full qualification and next

requalification date.

3.17 Program Manager. A Headquarters organization, reporting to the

Cognizant Secretarial Officer, responsible for executing program

management functions, and for directing and supporting field elements in

safety and health, administrative, management, and technical areas. (The

Program Manager holds signature authority to provide technical direction

through DOE field elements to contractors for these facilities. The

Program Manager is a member of the Line Organization.)

3.18 Qualification. The process of completing requirements determined to be

vital to performing the Facility Representative role in a given facility. This

process includes acknowledgment of the required education and

experience, completion of the core knowledge requirements to perform

Facility Representative duties, facility-specific requirements determined by

the field element, and oral and written examinations.

3.19 Qualifying Official. An individual, designated by the Field Element

Manager, or designee, authorized to sign the Qualification Card after

verifying the candidate possesses the appropriate level of knowledge or

skills for such signature.

3.20 Risk. Risk means the quantitative or qualitative expression of possible

loss that considers both the probability of an event in which the hazard

could cause harm and the consequences of that event.

3.21 Safety Analysis. A documented process:

a. to provide systematic identification of hazards within a given DOE

operation;

b. to describe and analyze the adequacy of measures taken to eliminate,

control, or mitigate identified hazards; and

c. to analyze and evaluate potential accidents and their associated risks.
DOE-STD-1063-2000

8

3.22 Safety Analysis Report. That report, fully defined in 10CFR830, which

documents the adequacy of safety analysis to ensure that the facility can

be constructed, maintained, shut down, and decommissioned safely and in

compliance with applicable laws and regulations.

3.23 Secretarial Officer. (DOE M 411.1-1A) The Head of a first-tier

Headquarters organization responsible for one or more of the

Department’s congressionally established missions. These offices include

Defense Programs; Energy Efficiency and Renewable Energy;

Environmental Management; Nonproliferation and National Security; Fossil

Energy; Civilian Radioactive Waste Management; Science; Fissile Materials

Disposition; and Nuclear Energy, Science and Technology. The following

designations are also used to identify Secretarial Officers with specific

responsibilities in various areas: 1) Program Secretarial Officer (PSO) -

responsible for executing program management functions, and for

assisting and supporting field elements in safety and health,

administrative, management, and technical areas; 2) Cognizant Secretarial

Officer (CSO) - responsible for a bounded set of facilities or a laboratory

(e.g., Lawrence Livermore National Laboratory, Y-12 Plant) within a multiprogram field office; and 3) Lead Program Secretarial Office (LPSO) - has

overall ownership responsibility for those field offices assigned to report

through his/her program office. (For additional information, see DOE

Manual 411.1-1A, DOE Safety Management Functions, Responsibilities,

and Authorities Manual (FRAM) and memorandum, T. J. Glauthier to

Departmental Elements, "Roles and Responsibilities Guiding Principles," 8-

19-99.)

3.24 Training Equivalency. The completion of training requirements by an

individual through the means of prior experience or training, which results

in comparable knowledge or capabilities, equivalent to that which would

be gained by complying with the specified requirements. Prior experience

and training is evaluated and documented to demonstrate equivalency to

the specified requirements.

3.25 Training Program. A planned, organized sequence of activities designed

to prepare persons to perform their jobs, to meet a specific position or

classification need, and to maintain or improve their performance on the

job.

3.26 Walkthrough. A tour through a facility with a qualifying official for the

purpose of verifying a Facility Representative candidate’s knowledge of

the facility.
DOE-STD-1063-2000

9

4. GENERAL REQUIREMENTS

4.1 Purpose and Coverage. Because of the importance of the Facility

Representative program to the Department's overall commitment to the

safe operation of its facilities, this DOE standard has been developed with

the intent of placing increased emphasis on recruiting, selection, and

training efforts to ensure that Facility Representative positions are filled by

highly qualified personnel. This standard provides the guidance necessary

to ensure that DOE facilities have sufficient staffing of technically-qualified

Facility Representatives to provide day-to-day oversight of contractor

operations. Field Element Managers should follow this standard in

establishing and maintaining Facility Representative programs for DOE

facilities to ensure that:

a. Facility Representatives are selected based on consistently high

standards and from the best qualified candidates available;

b. Facility Representatives receive the training required to function

effectively; and

c. Facility Representative duties, responsibilities and authorities are well

understood and accurately documented.

4.1.1 DOE Facility Representatives. DOE Facility Representatives perform

oversight of their assigned facilities to ensure that:

a. the contractor is operating facilities safely and efficiently (i.e.,

within the boundaries of those controls invoked in the facility

authorization basis);

b. the contractor's management system is effectively controlling

conduct of operations and implementing integrated safety

management objective, principles, and functions;

c. DOE line/program managers are cognizant of the operational

performance of facility contractors; and

d. effective lines of communication between DOE and its operating

contractors are maintained during periods of normal operation, and

following reportable events, in accordance with DOE Orders and

requirements.
DOE-STD-1063-2000

10

4.1.2 Facility Coverage and Staffing. This standard is designed to provide

flexibility to field elements in how they choose to use their available

resources in applying this standard for a Facility Representative

Program. Field Element Managers should assign Facility

Representatives to facilities based on programmatic importance and

potential environmental, safety, and/or health impact. The Field

Element Manager should prepare staffing plans to document these

assignments and supporting rationale.

a. Field Element Managers shall assign one or more full-time Facility

Representatives to each hazard category 1 facility, unless the Field

Element Manager and Secretarial Officer agree that less coverage is

necessary. For hazard category 2 or 3 facilities, Field Element

Managers may assign a Facility Representative to two or more

facilities. In unusual situations, when it is impractical to assign a

sufficient number of facilities to occupy a person full-time, the Field

Element Manager may assign the duties of a Facility Representative

to be performed part-time as a collateral function.

b. It is important that a Facility Representative's primary duty of

providing DOE an on-site presence not be diminished. Field

Element Managers should make assignments so that Facility

Representatives spend a significant portion of their time in their

assigned facility(s). It is preferable that Facility Representative

offices be located within the facility of primary responsibility. Field

Element Managers should make assignments so that administrative

work does not prevent Facility Representatives from performing

their primary function of monitoring the performance of the facility

and its operations as described in Section 5.2.

c. It is important for the field element to ensure the proper number of

Facility Representative positions are established to maintain

adequate coverage. The number of Facility Representatives

assigned to facilities is based on the number of buildings or areas

involved, their size, complexity, hazard levels and risks, level of

operational activity, and uncertainties associated with the

aforementioned factors. The Secretarial Officers should monitor

field element activities for establishing the number of Facility

representative positions to ensure that staff and resources are

sufficient to provide adequate Facility Representative coverage.

d. Additionally, to the degree that Facility Representatives are

advanced or otherwise lost from the program, Field Element

Managers should take necessary steps to ensure departing Facility

Representatives are replaced in a timely manner. The Secretarial
DOE-STD-1063-2000

11

Officer should monitor the number of Facility Representative

positions filled with qualified personnel to ensure that adequate

Facility Representative coverage is provided.

e. Field Element Managers should review staffing plans and

assignments of Facility Representatives at least annually to ensure

that coverage assignments and responsibilities are appropriate to

the hazards and level of activity involved.

4.2 Unencumbered Access. Field Element Managers shall ensure that

Facility Representatives have independent and direct access to

contractor personnel, facilities, and records, as necessary, to carry out

their assigned responsibilities. Unencumbered and immediate access

does not preclude a Facility Representative from following industrial

safety, emergency action, radiation protection, safeguards and

security, or operational requirements and controls of the facility.

Facility Representatives shall adhere to these requirements and

controls when discharging their duties.

a. Field Element Managers shall ensure that Facility Representatives have

immediate unannounced access to every assigned facility, consistent

with necessary security and safety controls. Facility Representatives

shall maintain the proper clearances, training, personal protective

equipment, and physical qualifications for such access.

b. Field Element Managers shall ensure that Contractor management

affords the Facility Representative the opportunity to attend meetings,

training classes, operator certification boards/examinations, etc., that

contribute to the execution of the duties and responsibilities of the

Facility Representative.

c. Access to some Contractor records may be limited as specified in the

contract between DOE and the Contractor. For example, the contract

may include, under Section H - Special Contract Requirements, an item

such as H.27 DEAR 970.5204-XX (AL92-8R(2) OWNERSHIP OF

RECORDS (NOV 1992) (DEVIATION)).

d. Due to safeguards and security requirements, Field Element Managers

may require that more than one properly trained and cleared individual

be present before access can be gained to some areas.
DOE-STD-1063-2000

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4.3 Responsibilities and Authorities. Responsibilities and Authorities for

key positions at DOE Headquarters and Field Element Managers with

respect to the Facility Representative program are defined in DOE O

232.1A, Occurrence Reporting and Processing of Operations

Information, and DOE O 5480.19, Conduct of Operations for DOE

Facilities, and DOE M 411.1-1A, DOE Safety Management Functions,

Responsibilities, and Authorities (FRA) Manual and associated lowertier FRA documents. Specifically:

4.3.1 Deputy Secretary Responsibilities.

a. Establish DOE policy on Facility Representatives.

b. Resolve any cross-organizational disputes regarding Facility

Representatives.

4.3.2 Facility Representative Program Manager Responsibilities.

a. Guide DOE-wide program implementation and continuous

improvement.

b. Monitor DOE-wide implementation performance and

disseminate information to promote improved performance.

c. Sponsor an annual workshop to share lessons learned and

foster growth of the Facility Representatives community.

4.3.3 Secretarial Officer Responsibilities.

a. Ensure overall effectiveness of Facility Representative programs

at assigned field elements (FRAM Section 9.5.2), including

accomplishment of performance self-assessments and

associated corrective actions.

b. Ensure adequate allocation and use of resources for Facility

Representative programs at assigned field elements (FRAM

Section 9.5.2).

c. Provide developmental opportunities for Facility

Representatives.

4.3.4 Field Element Manager Responsibilities.

a. Determine facility coverage needs and make assignments of

qualified Facility Representatives to maintain day-to-day

oversight of applicable facilities (FRAM Section 9.5.2).

b. Select, train, and qualify Facility Representatives so that they

are capable of performing their assigned duties.
DOE-STD-1063-2000

13

c. Clearly define the functions, responsibilities and authorities of

the Facility Representatives, and ensure that affected DOE and

contractor managers understand the role of the Facility

Representatives and provide the necessary access and support.

d. Periodically evaluate the effectiveness of the field element’s

Facility Representative program and pursue changes to improve

overall performance and effectiveness.

e. Provide developmental opportunities for Facility

Representatives.

f. Assign a Facility Representative Program Sponsor from among

the field element’s senior managers to guide and direct

implementation within the field element.

4.3.5 Facility Representative Program Sponsor Responsibilities.

a. Serve as a management advocate for Facility Representatives

within the field element to resolve programmatic issues.

b. Guide and direct Facility Representative program

implementation within the field element.

c. Ensure that Facility Representatives are effectively contributing

to the field element, and DOE line/program managers are

effectively using their contributions.

d. May appoint or secure the appointment of a Facility

Representative Program Manager to manage day-to-day

implementation issues for the field element.

4.3.6 Facility Representative Responsibilities.

a. Maintain day-to-day operational oversight of the contractor’s

activities (FRAM Section 9.5.1).

b. Report potential or existing dangers to DOE line management

(FRAM Section 9.5.1) and keep a record of activities and

observations.

c. Stop work as necessary to protect the health and safety of

workers and the public, to protect the environment, or to

protect the facility and equipment.

d. Approve off-normal reports, when this responsibility is

delegated from the Field Element Manager (FRAM Section

9.6.1.2).

e. Adhere to established codes of conduct and protocols while

performing assigned duties.

(Note: Sections 5.2, 5.3, 5.5, 5.6, and 5.7 provide most of the

additional expectations of Facility Representatives).
DOE-STD-1063-2000

14

4.4 Supervision, Management, and Authority. Field Element Managers shall

establish clear lines of supervision, management, and authority between

the Facility Representative and the applicable field element line and

program managers. Field Element Managers shall establish the authority

of the Facility Representative to represent line management to the

contractor regarding operational safety issues, except where this would

change scope, cost, or schedule. Field Element Managers should develop

specific guidance that covers the duties and responsibilities of the Facility

Representatives for situations specific to their facilities. DOE line

management is responsible for safety at DOE facilities. Well-managed,

well-trained Facility Representatives are an important line management

tool for ensuring safe operations. Field element line and program

managers, including the Field Element Manager, should make themselves

available to interact frequently with their Facility Representatives and take

appropriate action to resolve identified safety and management issues.

4.5 General Training and Qualification Requirements. Field Element Managers

shall qualify each Facility Representative by a combination of education,

experience, and training to carry out the duties and responsibilities of the

position. Facility Representatives are required to meet stringent and

comprehensive qualification standards. Field Element Managers shall

qualify Facility Representatives as possessing a broad technical knowledge

in a variety of disciplines and being able to demonstrate an understanding

of the management, processes, practices, regulatory requirements, and

operating limits of their assigned facilities.

4.5.1 Qualifications. The Field Element Manager shall develop the overall

qualification program, in accordance with DOE O 360.1A, Federal

Employee Training, including training elements specific to the assigned

facilities and systems. Field Element Managers shall define and

document the qualifications, and authority of personnel involved in the

training of Facility Representatives.

4.5.2 Training Requirements. Facility Representatives directly interface with

facility management and supervisory personnel. Therefore, Field

Element Managers shall qualify Facility Representatives as having a

high level of technical knowledge regarding facility operations in order

to intelligently evaluate and discuss facility operations with the

contractor and DOE management.

4.5.2.1 Tailored Program. Field Element Managers shall develop and

qualify Facility Representatives by means of a formal program

that shall include:
DOE-STD-1063-2000

15

a. The minimum educational and experience requirements for

entry into the Facility Representative Training and

Qualification Program;

b. A core training program that covers the generic subjects in

which the Facility Representative needs to be

knowledgeable; and

c. The tailored, facility-specific training necessary to effectively

perform the duties of the Facility Representative.

4.5.2.2 Training Objectives and Scope. Field Element Managers shall

direct Facility Representative training toward developing an

understanding of the technical and management aspects of a

facility's operation, and a familiarity with the assigned facility.

4.5.2.3 Training Progression. When designing a Facility Representative

training program, Field Element Managers should consider the

desirability of establishing a standard training progression for

prospective Facility Representative positions.

4.5.2.4 Advancement Considerations. As qualified Facility

Representatives gain experience, they become a valuable

resource of DOE. Field Element Managers should take

necessary steps to ensure that Facility Representative positions

are career enhancing and remain desirable to Facility

Representative candidates. This includes incentives to maintain

qualification, and the encouragement of skills enhancement

through continuing training, graduate study, and professional

certifications. In addition, Field Element Managers and

Secretarial Officers should provide opportunities for Facility

Representatives to develop management skills. This experience

and training can make Facility Representatives with solid

technical and management skills into prime candidates for

positions of higher responsibility both in the field and at DOE

Headquarters. Field Element Managers and Secretarial Officers

should identify these developmental experiences and training

opportunities in the personnel development plans for their

organizations, and in the Facility Representatives’ Individual

Development Plans. DOE P 426.1, Federal Technical Capability

Policy for Defense Nuclear Facilities, and DOE G 426.1-1,

Recruiting, Hiring, and Retaining High-Quality Technical Staff -

A Manager’s Guide to Administrative Flexibilities, provide various

mechanisms that can be used to retain these valuable

resources.
DOE-STD-1063-2000

16

4.5.3 Job Performance. Facility Representatives shall sustain satisfactory job

performance to retain qualification.

4.5.4 Training of Field Element Management. Field Element Managers

should take steps to ensure that all field element line management

personnel understand the functions, responsibilities, and authorities of

Facility Representatives. At a minimum, Field Element Managers

should disseminate to field element line management personnel the

written lines of supervision, management, and authority, established

consistent with sections 4.4 and 5.6.

4.6 Facility Representative Program Performance Assessment and Feedback.

Field Element Managers shall periodically evaluate and adjust their Facility

Representative program as necessary to ensure a high and continuously

improving level of performance. Program Secretarial Officers should

ensure that performance assessments are accomplished, and any

indicated corrective actions are completed. The DOE Headquarters

Facility Representative Program Manager, Office of the Departmental

Representative to the Defense Nuclear Facilities Safety Board (DOE S-3.1),

should monitor the performance of Field Element Managers and

Secretarial Officers using the following methods:

4.6.1 Performance Indicators. Carefully chosen performance indicators (PI)

can provide valuable measures of the effectiveness of Facility

Representative Programs. DOE-wide Performance Indicators,

addressing compliance to program requirements, improvements to

safety, and performance effectiveness, are shown in Appendix A. Field

elements may provide additional site-specific performance indicators.

Field elements shall submit quarterly PI data to Program Offices at

DOE-HQ, with a copy to the Facility Representative Program Manager,

Office of the Departmental Representative to the Defense Nuclear

Facilities Safety Board (DOE S-3.1). PIs for the preceding quarter are

due to HQ on the first working day of February, May, August, and

November. The Facility Representative Program Manager, Office of

the Departmental Representative to the Defense Nuclear Facilities

Safety Board (DOE S-3.1), should use these PIs to evaluate DOE-wide

program effectiveness. The Facility Representative Program Manager,

Office of the Departmental Representative to the Defense Nuclear

Facilities Safety Board (DOE S-3.1), shall compile a Department-wide

PI report for dissemination to applicable field elements and program

offices.
DOE-STD-1063-2000

17

4.6.2 Field Element Self-Assessments. Field Element Managers shall

periodically (not to exceed three years) evaluate their Facility

Representative Programs relative to the requirements in Sections 4

and 5 of this standard. Field Element Managers should provide the

results of these self-assessments to the responsible Program Office at

DOE-Headquarters, with a copy to the Facility Representative Program

Manager, Office of the Departmental Representative to the Defense

Nuclear Facilities Safety Board (DOE S-3.1). Guidance for the

performance of these assessments is provided in Appendix B.

4.6.3 Peer Reviews. Field Element Managers should invite Facility

Representatives and/or Facility Representative management from

other sites to perform peer reviews of their Facility Representative

programs. These reviews can provide a mutual benefit through

sharing lessons learned. In addition they can foster a more consistent

Facility Representative program throughout the DOE.

4.6.4 Annual Facility Representative Workshop. The Facility Representative

Program Manager, Office of the Departmental Representative to the

Defense Nuclear Facilities Safety Board (DOE S-3.1), should host an

Annual Facility Representative Workshop to promote sharing lessons

learned from Facility Representative programs across the complex, and

foster the growth of the Facility Representative community. Field

Element Managers should encourage as many Facility Representatives,

Facility Representative Program Sponsors, and line managers as

possible to attend the workshops to share information with other sites

and identify potential improvements for use in their own Facility

Representative and Safety Management programs.

4.6.5 Communication and Feedback Mechanisms. The Facility

Representative Program Manager, Office of the Departmental

Representative to the Defense Nuclear Facilities Safety Board (DOE S3.1), should communicate with the Secretarial Officers and Field

Element Managers frequently to guide the program implementation

and continuous improvement. This can be accomplished by:

a. Discussions with the Program Sponsors on strategic goals and

plans;

b. Facility Representative Steering Group meetings; and

c. Information sharing through the Facility Representative Home Page

(http://dr.tis.doe.gov/facrep).
DOE-STD-1063-2000

18

5. DETAILED REQUIREMENTS

5.1 Facility Coverage and Assignment. Field Element Managers shall evaluate

each hazardous facility to determine an appropriate level of coverage by a

Facility Representative. To determine appropriate facility coverage and

assignment, Field Element Managers should assess the hazards presented

by each facility and should document the determination in field element

staffing plans. In this assessment, Field Element Managers should

consider risks to the public, workers, and the environment resulting from

operation of the facility; the operational status and activity level of the

facility; as well as other factors specified in this section. Field Element

Managers should also consider radiological, chemical, and physical

dangers to workers, the public, and the environment, as well as the

barriers against these dangers provided by the facility. Field Element

Managers should include all hazardous facilities in this evaluation.

Secretarial Officers should validate the facility coverage and assignments

for field elements, since they are responsible for allocating staff and

necessary resources to provide adequate Facility Representative coverage

(DOE M 411.1-1A).

a. Field Element Managers should use existing safety analysis and hazard

assessment documentation (such as that required by DOE O 5480.23

and DOE-STD-1027-92, Change Notice 1 for nuclear facilities) to

determine hazard categorization for each facility. This information

provides a basis for the risks associated with the facility and a starting

point for selecting the appropriate level of Facility Representative

coverage. Hazard categories are defined in Section 3.11.

b. Once the facility hazard has been categorized, Field Element Managers

should determine the facility activity level, using the three activity

levels defined as follows:

• HIGH: Facilities that daily to weekly involve activities related to

hazardous operations.

• MEDIUM: Facilities that weekly to monthly involve activities related

to hazardous operations.

• LOW: Facilities that monthly to quarterly involve activities related

to hazardous operations.

c. Once the facility hazard classification and facility activity level are

determined, Field Element Managers should determine the appropriate

coverage activity level using Table 1 below, where Table 2 provides

definitions for each of the coverage levels:
DOE-STD-1063-2000

19

TABLE 1. Recommended Coverage Levels

Hazard Facility Activity Level

Classification High Medium Low

Category 1 Hazard Continual Frequent Intermittent

Category 2 Hazard Frequent Intermittent Occasional

Category 3 Hazard Intermittent Occasional Seldom

TABLE 2. Coverage Level Definitions

Continual The Facility Representative is present daily. This coverage may require the

complete attention of one or more individuals and may require back shift,

weekend, or 24-hour coverage. If the normally-assigned Facility

Representative is gone for one week or longer, the Field Element Manager

should name a temporary replacement and establish an appropriate coverage

schedule.

Frequent The Facility Representative is present approximately half of the time. One

person can cover multiple facilities. If the normally-assigned Facility

Representative is gone for two weeks or longer, the Field Element Manager

should name a temporary replacement and establish an appropriate coverage

schedule.

Intermittent The Facility Representative is present at least one day per week. One person

can cover several such facilities

Occasional The Facility Representative visits the facility 12-24 days a year.

Seldom The Facility Representative visits the facility 6-12 days a year.

d. Following establishment of the coverage for each facility, Field Element

Managers may adjust the level of coverage, taking into consideration

factors such as those listed below:

1. History of contractor performance for similar activities

2. Potential for DOE or public interest

3. The risks to successful mission accomplishment

4. Financial risks

5. Complexity of the facility and facility operations

6. Hazardous work environments for workers

7. Age, maintenance condition, and level of uncertainty of the facility

8. Anticipated changes in operational status of facility

9. Number of significant accidents/incidents on site.
DOE-STD-1063-2000

20

e. The level of Facility Representative coverage could increase or

decrease based on the above additional considerations. Additionally, if

personnel resource limitations affect the number of available Facility

Representatives, the Field Element Managers should propose coverage

assignments based on available resources and reach agreement with

Secretarial Officers that coverage is adequate. Field Element

Managers may also establish provisions for extra or special coverage.

This means that, as the degree of hazard, complexity, or other

governing factors is reduced, the Field Element Managers may

increase the number of processes, facilities, buildings or areas covered

by a single Facility Representative. Field Element Managers may

assign one or more Facility Representatives to hazard category 1

facilities. Or, if the facility and/or operating organization is sufficiently

complex, the Field Element Manager may make assignments based on

facility and/or operating organization subdivisions. Field Element

Managers should make Facility Representative assignments to optimize

effective interaction with the facility operating organization line

management responsible for ensuring safe performance at the facility.

If the contractor has established a building or facility manager

concept, the Field Element Manager may assign Facility

Representatives on a similar basis. Facilities with many configuration

changes (like test facilities, for example) require closer observation

than facilities with very stable configurations. Also, Field Element

Managers may use special coverage assignments for a facility that

operates only intermittently.

5.2 Duties and Responsibilities of a Facility Representative. The following

paragraphs describe the duties and responsibilities normally expected of a

Facility Representative. Field Element Managers should tailor these and

additional duties and responsibilities for Facility Representatives to reflect

the specific requirements of the site, the facility, the operational activities,

and the involved organizations.

a. The Facility Representative shall maintain frequent communication

with field element supervision. The Facility Representative shall

ensure that DOE line management is cognizant of current facility

conditions. Facility Representatives should spend the majority of their

time in their assigned facilities observing operations and assessing

operating conditions, consistent with the recommended coverage level

and definitions in Tables 1 and 2.

b. A Facility Representative shall be thoroughly familiar with site and

facility characteristics, operating procedures, operating organizational

structure, and key process control personnel. The Facility

Representative shall be aware of major work in progress and in
DOE-STD-1063-2000

21

planning. The Facility Representative shall know which personnel are

controlling the work, what procedures are to be used, whether training

and qualification requirements have been established and are being

met. Facility Representatives shall verify whether work activities are

being performed safely, based on periodic observations and spot-check

reviews of frequency commensurate with the hazard and difficulty of

the work. This knowledge is primarily acquired by walking through the

facility, observation of work in progress, review of facility records and

documentation, and attendance at appropriate management meetings

of the operating contractor. Field Element Managers shall direct and

ensure that operating contractors apprise Facility Representatives of

planning, scheduling, maintenance, operations review, and safety

review meetings.

c. The Facility Representative shall be available to respond to facility

events and serve as the DOE presence for special operations. The

Facility Representative shall be readily available to operating contractor

personnel to facilitate the notification, if required, and reporting of

occurrences and any safety or operational concerns.

d. A Facility Representative should be in a position to provide information

to DOE line management independent of programmatic

responsibilities. Therefore, Field Element Managers should not make

Facility Representatives responsible for preparing budgets or schedules

for assigned facilities. In cases where it is impractical to separate

programmatic responsibilities, the Field Element Manager or designee

should approve all assignments of programmatic responsibilities to

Facility Representatives.

e. The Facility Representative shall observe, evaluate, and report on the

effectiveness of the operating contractor in multiple areas important to

safe, efficient, and productive operation, such as operational

performance, quality assurance, management controls, emergency

response readiness activities, and assurance of worker health and

safety. Additionally, the Facility Representative should evaluate the

overall effectiveness of the operating contractor in implementing

corrective actions to deficiencies identified by facility reviews, including

corrective actions which stem from identifying, reporting, and tracking

nuclear safety noncompliance under the Price-Anderson Amendments

Act of 1988. The frequent presence of a Facility Representative in the

facility is intended and expected to improve communications between

DOE and the operating contractor. This improved communications is

intended and expected to lead to a better understanding of DOE

expectations by the contractor, and aid in the implementation of

enhancements to facility work practices and operating conditions.
DOE-STD-1063-2000

22

f. Facility Representatives should vary their day-to-day presence in

assigned facilities to show a degree of unpredictability and spontaneity

based on the Facility Representative’s judgment regarding what is

appropriate to observe and assess. While there can be beneficial

oversight achieved by walking through assigned facilities with

contractor facility managers, certain benefits are lost when Facility

Representative presence is 100% predictable and always with facility

managers.

5.3 Authority Granted to Facility Representatives. The Facility Representative

is assigned to monitor the performance of facility operations and

management. The Facility Representative is a direct safety oversight

extension of DOE line management to each respective facility. The

responsible Field Element Manager shall define clearly the authority

provided to each Facility Representative. The Field Element Manager shall

ensure that Facility Representatives have the authority to "Stop Work" in

the facility, except as expressly limited in governing contracts with the

operating contractor. The Field Element Manager shall ensure that

contractors and subcontractors are aware that Facility Representatives

have this authority and that this authority covers all facility-related work

performed by the contractor and subcontractor. The Facility

Representative shall "Stop Work" in the following instances, as a

minimum:

a. Conditions exist that pose an imminent danger1 to the health and

safety of workers or the public.

b. Conditions exist, that if allowed to continue, could adversely affect the

safe operation of, or could cause serious damage to, the facility.

c. Conditions exist, that if allowed to continue, could result in the release,

from the facility to the environment, of radiological or chemical

effluents that exceed regulatory limits.

5.4 Facility Assessments. Field Element Managers should proceduralize

Facility Representative programs, including a set of facility assessment

requirements to be completed by assigned Facility Representatives. Field

Element Managers should develop annual facility assessment plans using

a tailored approach to ensure that a broad-based and systematic review of

all aspects of facility operations is conducted over an established period of

time. Conduct of Operations (DOE O 5480.19 and associated standards)

and Operations Assessment directives (DOE-EM-STD-5505-96) provide

 

1

Any condition or practice such that a hazard exists that could reasonably be expected to cause death or serious physical

harm to employees (permanent or prolonged impairment of the body or temporary disablement or requiring

hospitalization), unless immediate actions are taken to mitigate the effects of the hazard and/or remove employees from

the hazard.
DOE-STD-1063-2000

23

guidance for use in developing these assessment plans. Facility

assessments are not intended to conflict with or duplicate other Field

Office assessment efforts nor are they intended to unduly restrict the

Facility Representative’s day-to-day oversight of assigned facilities.

5.5 Operational Reports. The Facility Representative is the primary point of

contact for the contractor to notify DOE of reportable occurrences as

prescribed in DOE O 232.1A. For the Secretarial Officers and field

elements to realize the maximum benefit from the Facility Representative

program, Field Element Managers should establish reporting requirements,

such as Facility Representative logs or assessment reports, for each

Facility Representative position. Field Element Managers should establish

guidance on the content of periodic or special reports. Field Element

Managers should ensure that reporting does not become an onerous task

that unduly limits the oversight activities of the Facility Representative. In

order to facilitate a direct communications link with senior contractor

management, the Facility Representative and DOE managers should meet

with senior contractor managers on a periodic basis to report the results

of Facility Representative assessments and to discuss trends and systemic

issues.

5.6 Relationship of Facility Representative with other DOE Managers. The

Field Element Manager shall define clearly and in writing the Facility

Representatives’ relationship with DOE managers within the field element.

Field Element Managers should document roles and responsibilities in the

field element Functions, Responsibilities, and Authorities controlling

document. Field Element Managers should clearly assign Facility

Representatives to each facility’s operation and identify the responsible

line/program manager within the field element. Facility Representatives

should periodically meet with line/program managers within the field

element and senior line managers within the field element to provide

information related to the assigned facilities. If safety or operational

concerns are not resolved to the satisfaction of the Facility Representative,

the Facility Representative should elevate the concerns through the

defined DOE management hierarchy until an adequate resolution is

obtained. It is highly desirable that each Facility Representative only be

assigned facilities under a single line/program manager within the field

element and under a single Cognizant Secretarial Officer. This might not

be practical at multi-program facilities, or when more than one facility is

involved.

5.7 Relationship of Facility Representative with Operating Contractor. The

Field Element Manager shall clearly define the relationship between the

Facility Representative and the facility operating contractor, and ensure

that these expectations are understood by both parties. Field Element
DOE-STD-1063-2000

24

Managers should document responsibilities and expectations in the

contract between DOE and the facility operating contractor. Facility

Representatives occupy a unique position in the transmission of

information between DOE and its contractors. Facility Representatives

should be able to communicate effectively with all levels of the contractor

organization. They should be familiar with the contractor chain of

command for facility operations. The Facility Representative should

always strive to work constructively and effectively with contractor

personnel to meet the shared goals of productive and safe facility

operations, in accordance with relevant DOE and contractual expectations.

Facility Representatives should represent DOE to the contractor and

ensure the contractor carries out DOE operational safety policies in a

manner consistent with DOE Program Office and Field Element

expectations, relevant contract requirements, and the contractor’s

Integrated Safety Management System description. In defining the

relationship between a Facility Representative and contractor, the

following points are emphasized:

a. The Facility Representative functions as a part of DOE line

management, and therefore should exercise authority consistent with

specific program and management guidance established by the field

element.

b. The contractor is responsible for the safety and efficient operation of

the facility. The contractor is accountable to DOE to perform its

operations in a manner that ensures the safety and health of personnel

and protection of the environment. No Facility Representative activity

or inactivity can diminish the contractor's responsibility.

c. The Facility Representative is responsible for determining that the

contractor is operating the facility in a safe manner, consistent with

the established safety expectations and requirements. Facility

Representatives fulfill this responsibility by assessing the contractor's

performance and discussing identified deficiencies and corrective

action with contractor management.

d. Although the Facility Representative identifies deficiencies, the ultimate

responsibility for identifying and correcting deficiencies rests with the

operating contractor. Field Element Managers should ensure that the

contractor does not rely solely on the Facility Representative to identify

or correct deficiencies.

e. Minor events or problems are frequently clues that indicate more

general problems in the contractor's organization, management,

personnel abilities, or practices. Therefore, attention to detail in the
DOE-STD-1063-2000

25

identification and correction of minor problems can result in significant

improvements in the contractor's performance. When corrective

actions are called for, DOE line/program managers should initiate

formal action with the operating contractor. Additionally, the Facility

Representative should also provide input to formal mechanisms such

as confirmation of actions or orders, if necessary.

f. The Facility Representative shall adhere to certain rules of conduct, or

protocol, while performing assigned duties, including the facility’s

approved conduct of operations procedures. The Field Element

Manager should establish for Facility Representatives a formal protocol

that includes the following:

1. Facility Representatives should avoid interrupting operators in their

work. The Facility Representative should wait for opportune times

to deal with facility operators. If the Facility Representative is

observing operations or activities, the Facility Representative should

perform observations unobtrusively. Operators carry the true

burden of safety, and a diversion from their duties could adversely

affect plant operations.

2. The Facility Representative should maintain frequent contact with

facility management. When Facility Representatives observe

something that raises a safety concern, they should discuss their

concerns with the facility management. If the contractor response

is deemed unsatisfactory, the Facility Representative should discuss

the concern with DOE line management for appropriate action.

3. Facility Representatives should use established chains of command

for all requests for action, except when exercising “Stop Work”

authority.

4. Facility Representatives shall keep a record of their activities and

observations. Facility Representatives should periodically review

their records to determine if a systemic or recurring problem exists

with contractor activities at one or more facilities. This record is

subject to review in audits or appraisals and may be used by the

Field Element Manager as a source of information for the contractor

evaluation process.

5.8 Selection and Recruitment. Field Element Managers should develop

position descriptions and vacancy announcements that reflect the

requirements of this standard. Several mechanisms available to assist

field elements in the recruitment of high quality candidates necessary for

their program are identified in the DOE G 426.1-1, Recruiting, Hiring, and
DOE-STD-1063-2000

26

Retaining High Quality Technical Staff. In order for individuals to enter a

Facility Representative training and qualification program with the greatest

opportunity for successful completion, Field Element Managers should

select candidates based on the following selection criteria.

5.8.1 Education Requirements. Educational requirements are necessary to

ensure that the individuals possess the baseline knowledge to

successfully complete the training program, the ability to function

independently in the field, and the ability to understand scientific

principles and communicate in technical terms. Field Element

Managers should establish expected minimum education necessary to

provide competent technical assessment of the contractor. Minimum

education level is expected to be a Baccalaureate degree or equivalent

technical degree. Alternately, completion of an appropriate formal

training program and extensive experience in a directly related field

such as naval nuclear power, commercial nuclear power, radioactive

waste management, nuclear weapons, nuclear research, industrial

safety, chemical safety, or accelerator facility programs is also

sufficient.

5.8.2 Experience Requirements. Field Element Managers should also

establish and apply facility-specific experience criteria as part of the

selection criteria for Facility Representative candidates. The facilityspecific experience criteria should reflect the complexity, hazard

classification, and activity level of the facility and be commensurate

with the responsibilities, authority and duties of the assigned position.

5.8.3 Physical Requirements. Field Element Managers should also establish

and apply appropriate physical requirements. For example, most

positions require moderate exertion, such as walking over uneven

surfaces; climbing over equipment, machinery, ladders, and

scaffolding; crouching, bending, stooping, stretching; and moving in

confined spaces. Most positions also involve regular and recurring

exposure to moderate risks and discomforts from use of protective

clothing in elevated temperatures, close proximity to moving

machinery, heavy equipment, hoisting and rigging activities; potential

exposure to hazardous and radioactive materials, and exposure to

normal industrial and chemical hazards. Safety and protective clothing

and equipment such as respirators, safety shoes and glasses, ear

protection, dosimeters, or other equipment is usually necessary. The

use of emergency protective equipment may involve significant

exertion over extended periods of time.

5.8.4 Security Requirements. Field Element Managers should also establish

and apply appropriate security requirements so that the Facility
DOE-STD-1063-2000

27

Representatives have adequate security clearances to fulfill their

duties.

5.9 Training. Field Element Managers shall train and qualify Facility

Representatives in accordance with DOE O 360.1A, Federal Employee

Training, with additional requirements defined in this standard.

5.9.1 Needs Analysis. The first step in the design of a formal training

program for a Facility Representative candidate is to identify and

document the requirements of the specific position to be filled. Many

of these requirements are generic in nature, since they are common to

most Facility Representative positions. In addition, Field Element

Managers should identify and list facility-specific requirements. An

analysis of the candidate's training needs is then conducted. This is

the process by which the tasks, duties, and responsibilities of the

position are analyzed to identify formal or informal training, self-study,

seminars, on-the-job-training, briefings, rotational assignments, or

other types of training necessary for effective job performance.

5.9.2 Self-Study Documents. Field Element Managers should develop an

extensive list of self-study documents for each Facility Representative.

The list of self-study documents should include:

a) Relevant DOE Rules, Orders, Manuals, Notices, etc., and the

Federal and state regulations under which the assigned facility

operates;

b) Pertinent national and consensus standards, facility operating

procedures, and the facility safety documentation; and

c) Standards of achievement that defines the level of knowledge

necessary.

5.9.3 Formal Training. Field Element Managers should ensure that the

Facility Representatives receive the training necessary for the position.

Frequently, appropriate courses and training can be found within the

DOE complex, other Federal agencies, or from non-government

sources within the scientific community to satisfy some of the training

needs. Headquarters offices, in coordination with the field elements,

can develop additional training courses and material to help meet the

non-facility-specific Facility Representative training needs. Close

collaboration among field elements and Headquarters line

management is encouraged to minimize development costs for

courses. In cases where formal course work is not practical, Field
DOE-STD-1063-2000

28

Element Managers should ensure that informal training provides

Facility Representatives the required level of knowledge. Due to their

complexity or significance, the following training elements associated

with the Facility Representative Qualification Standard should be

ensured:

a. Environmental laws and regulations, including the Resource

Conservation and Recovery Act, Clean Air Act, Clean Water Act, and

others as appropriate;

b. Safety and health laws and regulations, including the Occupational

Safety and Health Act;

c. DOE Conduct of Operations;

d. DOE Conduct of Maintenance;

e. Quality Assurance;

f. Radiation protection;

g. Fire protection;

h. Electrical safety;

i. Industrial hygiene and waste management concerns related to

chemical hazards;

j. Observation, Assessment, Investigation techniques;

k. Occurrence Reporting and Processing Systems;

l. Facility Authorization Basis, Safety Analysis Reports, Technical

Safety Requirements and Unreviewed Safety Questions;

m. Provisions of the governing contract;

n. Configuration management;

o. Stop Work Authority;

p. Price Anderson Amendment Act Rules;

q. Facility Emergency Management Procedures;

r. Facility-Specific Access Requirements;

s. Facility Safeguards and Security Requirements; and

t. DOE Integrated Safety Management (G 450.4-1A).

Additional information on Training and Qualification for Facility

Representatives is available in the DOE Facility Representative

Functional Area Qualification Standard, February 2000.

5.9.4 On-the-Job Training. Field Element Managers should establish the

“On-the-Job Training” requirements, regarding the controls, activities,

processes, and specialized procedures necessary for qualification.

These should be demonstrated to a qualifying individual.

5.9.5 Training Equivalency. Field Element Managers shall develop a system

(based on requirements in DOE O 360.1A) for granting equivalency for

training requirements on the basis of prior experience or education.

Field Element Managers should provide justification for each
DOE-STD-1063-2000

29

equivalency, which includes appropriate support documentation, such

as transcripts or certificates of completion. Field Element Managers

shall maintain a copy of the approved equivalency in the Facility

Representative's Qualification Record.

5.10 Qualification. The Facility Representative position requires a great deal of

education, experience and training. In order to document and certify that

a Facility Representative has achieved this high level of technical

competence, Facility Representatives shall undergo a formal qualification

process established by the Field Element Manager.

5.10.1 Qualification Card. Field Element Managers should establish a

Facility Representative Qualification Card (Qual-Card) or equivalent

for each major facility or group of lesser facilities for which they are

responsible. The Qual-Card contains a list of all of the training

elements or learning objectives, a corresponding standard detailing

the required level of knowledge for each objective, and provisions

for signatures to attest to satisfactory completion of each objective

to the appropriate level of knowledge. The Facility Representative's

immediate supervisor should designate learning objectives based

on an analysis of training needs, elements of the position

description, and facility-specific requirements.

5.10.2 Generic and Facility-Specific Requirements. Field Element

Managers should identify any additional core training requirements

on a Generic Qualification Card, and supplement that with a

Facility-Specific Qual-Card designed to meet the needs of the

individual facility. It is also acceptable to have one Qual-Card that

covers both generic and facility-specific requirements. Additionally,

the Field Element Manager should designate qualifying officials who

are authorized to sign the Qual-Card after verifying the candidate

possesses the appropriate level of knowledge for each requirement.

The Qual-Card should include the following:

a. Self Study. Facility-related DOE Directives and Standards,

Federal and State safety and environmental protection

regulations applicable to the assigned facility, the facility safety

documentation, and all facility-specific documents and

procedures that are pertinent to the responsibilities of the

Facility Representative.

b. Formal Training. Formal training, both on-site and off,

necessary for the Facility Representative to function effectively.

The training may be presented by DOE, contractors, other

Federal Agencies, or private firms.
DOE-STD-1063-2000

30

c. On-the-Job Training. Knowledge of facility processes, systems

requirements, and specialized procedures required to be

demonstrated to a qualifying official.

d. Facility Walkthroughs. A walkthrough of the assigned facilities,

in the presence of a qualifying official, for the purpose of

demonstrating practical skills and thorough knowledge of

selected key elements or systems of the facility.

5.10.3 Interim Qualification. DOE Field Element Managers shall establish

and document the process and the specific requirements to be met

prior to a Facility Representative candidate being assigned to

provide interim coverage in a facility for which he or she is not fully

qualified. Field Element Managers shall formally define and

document the duties and authorities that may be assigned to an

Interim Qualified Facility Representative. Field Element Managers

should minimize the time spent as a Facility Representative under

Interim Qualification. The Field Element Managers should also

determine the compensatory measures to be implemented during

interim periods while no fully qualified Facility Representative is

assigned to a given facility.

5.10.4 Examinations. The Field Element Manager or his designee should

develop formal procedures for the administration of facility

walkthroughs, and written and oral examinations. Additional

information on examinations is available in DOE-HDBK-1204-97 and

DOE-HDBK-1205-97.

5.10.4.1 Facility Walkthroughs. Field Element Managers shall establish

requirements for facility walkthroughs of assigned facilities at

selected points in the Facility Representative qualification

process for demonstrating to a qualifying official practical skills

and knowledge of selected key elements, including safety

systems, structures, and components of the facility.

5.10.4.2 Written Examinations. Upon satisfactory completion of all QualCard requirements, the Field Element Manager or his designee

shall administer a written examination to Facility

Representatives. The examination should include only subjects

on the Facility Representative core and facility-specific QualCards. The minimum passing grade should be 80%.

5.10.4.3 Oral Examinations. Upon satisfactory completion of the written

examination by the Facility Representative candidate, the Field
DOE-STD-1063-2000

31

Element Manager or his designee shall convene and chair a

Qualification Board for the purpose of conducting an oral

examination of the candidate. The Field Element Manager or

his designee shall determine the composition of the

Qualification Board. Board members should ask critical

questions intended to integrate identified learning objectives

during qualification. Additionally, the Board members may ask

follow-up questions to help the Board determine how the

candidates “think on their feet.” Field Element Managers or

designees should develop formal guidance for the Qualification

Board; this guidance includes: the standards for Qualification,

the use of technical advisors by the Board, the questioning

procedures or protocol, pass/fail criteria, the voting

authorization and procedures, and the Board deliberation and

documentation process. The Board may conduct the oral

interview as a group or individually. The Board should

document explicitly any questions and answers that result in an

oral exam failure.

5.10.4.4 Failure of Written or Oral Examinations. Field Element

Managers or their designees may require Facility Representative

candidates who fail a written or oral examination to go on a

special study program designed to strengthen each area of

weakness revealed in the examination. Field Element Managers

or their designees may direct candidate reexaminations, with

concentration in the identified weak areas. Field Element

Managers should reassign Facility Representative candidates

who repeatedly fail examinations, to a non-Facility

Representative position. In rendering a final decision on

reassignment, the Field Element Manager should consider any

extenuating circumstances.

5.10.5 Designated Facility Representatives. Field Element Managers may

establish criteria for designating Facility Representatives. For

example, to become "Designated" a Facility Representative must

complete the General Technical Base Qualification Standard, the

Facility Representative Functional Area Qualification Standard, and

at least six months experience in a Facility Representative position.

The purpose of this “Designation” is to indicate unique technical

proficiency for the purposes of retention based upon unique

competitive level codes. Designation is not equivalent to

qualification as designation will normally occur before a Facility

Representative achieves full qualification.
DOE-STD-1063-2000

32

5.10.6 Full Qualification. Upon completion of all elements of qualification,

designated facility line managers within the field element should

review and confirm satisfactory completion of the training

requirements and eligibility of the candidate to become a Facility

Representative. Qualification is granted by the Field Element

Manager or designee. Upon assignment of Facility Representatives

to a different or additional facility or site, Field Element Managers

or their designees should identify any additional qualification

requirements that are necessary for a Facility Representative to

complete for that facility or site.

5.10.7 Requalification. DOE Field Element Managers shall require Facility

Representatives to requalify every three years. DOE Field Element

Managers shall establish the specific requalification training

designed to update and maintain the qualifications of Facility

Representatives. Field Element Managers shall document the

requalification process which shall as a minimum include the

following:

a. Items added to the Facility Representative Qualification Card

since the individual’s last qualification or requalification.

b. A comprehensive written and/or oral examination covering new

material and selected material from the initial qualification

process.

5.10.8 Proficiency. Field Element Managers shall formally define

proficiency requirements. These requirements shall include actions

required to regain proficiency following periods of inactivity as a

Facility Representative, and the length of time which triggers a

need for proficiency training. As part of the proficiency

requirements, Facility Representatives should periodically

participate, either in their normal role or as observers, in in-plant

drills which enable Contractor operating personnel to maintain

proficiency in tasks performed in response to off-normal or accident

situations.

5.10.9 Continuing Training. Field Element Managers should establish

continuing training to enhance and strengthen the knowledge, skills

and abilities of Facility Representatives. Examples of continuing

training include but are not limited to: regular updates through

briefings or self-study of lessons learned information; self-study of

relevant technical journals; pursuing an academic course of study

in related technical or management fields; and temporary duty

assignments to perform related technical or management functions.
DOE-STD-1063-2000

33

The continuing training program serves to improve the overall

technical capabilities and credibility of the Facility Representative

and the organization. Field Element Managers should also ensure

that opportunities to develop management skills are made

available, so that career progression for the Facility Representatives

is realized.

5.11 Retention. Several mechanisms available to assist field elements in the

retention of high quality personnel necessary for their program are

identified in the DOE G 426.1-1, Recruiting, Hiring, and Retaining High

Quality Technical Staff. These mechanisms may include:

a. Recognition and real-time management acknowledgement;

b. Access and interaction with senior DOE and Facility Managers, such

as on joint-walkthroughs and feedback meetings;

c. Mentoring from senior DOE and Facility Managers;

d. Qualification bonuses;

e. Performance bonuses;

f. Requalification bonuses;

g. Anniversary bonuses;

h. Educational reimbursement incentives;

i. Quality Step Increases based on experience and performance;

j. Higher GS Grade based on higher facility hazard category;

k. Higher GS Grade based on scope of facility assignments;

l. Higher GS Grade based for Facility Representative Program

Managers, Supervisors, and Team Leaders; and

m. Promotions based on knowledge and experience.
DOE-STD-1063-2000

34

6. NOTES

This section contains information of a general or explanatory nature that may be

helpful, but is not mandatory.

6.1 Intended Use. This standard is intended for the use of DOE managers

responsible for establishing and maintaining a Facility Representative

program at DOE facilities. Program objectives include: (1) the selection

of the Department's Facility Representatives from the best qualified

candidates available based on consistently high standards, (2) the training

of these qualified candidates to function effectively in fulfilling their

assigned functions and responsibilities, and (3) the clear establishment

and documentation of associated program functions, responsibilities and

authorities. Guidance is provided in the following areas:

a. Assessing Facility Representative coverage,

b. Defining Facility Representative qualifications,

c. Defining Facility Representative functions, responsibilities and

authorities,

d. Establishing Facility Representative training requirements,

e. Establishing Facility Representative training programs,

f. Formal examination of Facility Representatives, and

g. Facility Representative Program Performance Assessment.

6.2 Key Word Listing.

a. Facility Representative

b. Facility Representative coverage

c. Hazard classification

d. Line management

e. Occurrence reporting

f. Operational activity

g. Performance Indicator

h. Program manager

i. Qualification

j. Safety analysis

k. Self study

l. Stop work

m. Training
DOE-STD-1063-2000

A- 1

APPENDIX A

FACILITY REPRESENTATIVE PERFORMANCE INDICATORS

Scope: Carefully chosen Performance Indicators (PIs) can provide valuable

measures of the effectiveness of Facility Representative Programs. These PIs

will be used by DOE-HQ to evaluate DOE-wide program effectiveness. Other PIs

may be useful at a local level to determine the need for local program changes,

depending on circumstances that may be unique to a site. DOE-wide Facility

Representative PIs are relatively few in number, easy to measure and report,

applicable to all Facility Representative Programs, and resistant to

misinterpretation. Since effectiveness in providing contractor oversight may be

difficult to capture in measurable terms, some subjective measures are used.

General Points:

1. The attached Performance Indicators are for DOE-wide use. Field elements

may use additional, local PIs that suit their own needs.

2. PIs for DOE-wide use are divided into the following categories: Staffing,

Training and Qualification, Facility Representative Program Accomplishments,

and Fulfilling the Facility Representative Role.

3. PIs that measure contractor performance have been avoided as measures of

Facility Representative program effectiveness.

4. PIs should be reported by the Field Element Managers to program offices

quarterly, with a copy sent to the Facility Representative Program Manager,

Office of the Departmental Representative to the Defense Nuclear Facilities

Safety Board (DOE S-3.1). At the close of a given quarter, one month is

allocated to assemble PI reports, which are then due on the first working day

of the months of February, May, August, and November.

5. Performance Indicators, their methods of calculation, and goals (or targets)

are presented in the following tables.
DOE-STD-1063-2000

A- 2

APPENDIX A

STAFFING

TYPE INDICATOR NAME HOW TO CALCULATE GOAL

DOE-wide Staffing level (%) Number of FacRep positions filled

-----------------------------------

Number of FacRep positions *

[Show numerator and

denominator in calculation]

100% of [#FacReps]

* per DOE-STD-1063-

2000

DOE-wide Attrition Number of FacReps leaving the

program this quarter. Provide

reason for attrition using the

following options: Transfer,

Promotion, Lateral, Retirement,

Contractor, or Resignation. *

N/A

* Transfer - Takes FR job

at different site;

Promotion - Takes non-FR

position at higher GS

level;

Lateral - Takes non- FR

position at same GS level;

Retirement - Leaves DOE

for retirement.

Contractor - Leaves DOE

to take position with

contractor at same site;

Resignation - Leaves DOE

other than Retirement or

Contractor.

TRAINING AND QUALIFICATION

TYPE INDICATOR NAME HOW TO CALCULATE GOAL

DOE-wide % of FacReps Core Qualified Number of FacReps Core Qualified

-----------------------------------

Number of FacReps

None specified

DOE-wide % of FacReps Interim

Qualified (if applicable)

Number of FacReps Interim

Qualified

-----------------------------------

Number of FacReps

None specified

DOE-wide % of FacReps Fully Qualified Number of Fully Qualified FacReps

-----------------------------------

Number of FacReps

Greater than 75%

FACILITY REPRESENTATIVE PROGRAM ACCOMPLISHMENTS

TYPE INDICATOR NAME HOW TO CALCULATE GOAL

DOE-wide Accomplishments Any accomplishments of note

during the quarter

None specified
DOE-STD-1063-2000

A- 3

FULFILLING THE FACILITY REPRESENTATIVE ROLE

TYPE INDICATOR NAME HOW TO CALCULATE GOAL

DOE-wide FacRep Time Spent in the

Plant/Field (plant

walkthroughs, surveillances,

assessments, etc.)

Overtime/comptime hours

count in both the numerator

and denominator

Average number of hours spent in

the plant/ field this quarter

------------------------------

Number of available work hours

this quarter*

Greater than 40%

* Denominator only

includes number of hours

expected by DOE-STD1063-2000, if the FacRep

is a part-time FacRep.

DOE-wide FacRep Time Spent

Performing Contractor

Oversight (includes time in

plant/field as above, and

procedure reviews at desk,

ORPS activities at desk, etc.)

Overtime/comptime hours

count in both numerator and

denominator

Average number of hours FacReps

spend performing contractor

oversight this quarter

-----------------------------------

Number of available work hours

this quarter*

Greater than 60%

* Denominator only

includes number of hours

expected by DOE-STD1063-2000, if the FacRep

is a part-time FacRep.
DOE-STD-1063-2000

A- 4

APPENDIX A

RED RUN Site

Performance Indicators for First Quarter CY2000

(Jan 2000 through Mar 2000).

Submitted April 30, 2000.

STAFFING

TYPE * INDICATOR NAME HOW TO CALCULATE GOAL

DOE-wide Staffing level (%) 90% [9 of 10] 100%

DOE-wide Attrition 1 - Promotion N/A

TRAINING AND QUALIFICATION

TYPE INDICATOR NAME HOW TO CALCULATE GOAL

DOE-wide % of FacReps Core Qualified 100% [9 of 9] None specified

DOE-wide % of FacReps Interim

Qualified (if applicable)

 89% [8 of 9] None specified

DOE-wide % of FacReps Fully Qualified 78% [7 of 9] Greater than 75%

FACILITY REPRESENTATIVE PROGRAM ACCOMPLISHMENTS

TYPE INDICATOR NAME HOW TO CALCULATE GOAL

DOE-wide Accomplishments 30% Reduction in ORPS

review times for FY2000

None specified

FULFILLING THE FACILITY REPRESENTATIVE ROLE

TYPE INDICATOR NAME HOW TO CALCULATE GOAL

DOE-wide FacRep Time Spent in the

Plant/Field

55% Greater than 40%

DOE-wide FacRep Time Spent

Performing Contractor

Oversight

70% Greater than 60%

* All samples in this table are DOE-wide indicators. Field elements may provide

additional site-specific performance indicators.
DOE-STD-1063-2000

B-1

APPENDIX B

FACILITY REPRESENTATIVE PROGRAM ASSESSMENT GUIDE

The Department of Energy has implemented its Facility Representative Program,

and is now looking to improve the program’s effectiveness DOE-wide. An

effective Facility Representative Program has many elements, as spelled out in

this Standard. These elements are intended to yield a program that provides

DOE facilities with well-trained Facility Representatives, who spend appropriate

amounts of time in their facilities, and can work effectively with their contractor

management counterparts. The program, to be effective, needs the functional

support of management. To maintain the continued support of DOE

management, the Facility Representative program needs to demonstrate its

continued performance and effectiveness, which is to be assessed periodically

using this guide. Any assessment of a Facility Representative Program should

determine the extent to which the following objectives are being met, and

provide recommendations on improving the program’s effectiveness.

Objectives:

1) Well-trained, qualified Facility Representatives.

2) Adequate coverage for DOE facilities.

3) Effective relationships with the Contractor.

4) Adequate functional support from the Field Element Management.

5) Performance assessment and feedback program in place.

Purpose:

The purpose of this guide is to provide the Department with a consistent set of

guidelines to assess the effectiveness of Facility Representative Programs.

Scope:

This guide is provided for use by DOE HQ and Field Elements to assess the

effectiveness of their Facility Representative Programs as described in DOE STD1063-2000.

References:

The following references should be used in conjunction with this guide:

• General Technical Base Qualification Standard

• Facility Representative Qualification Standard

• Applicable Field Element site-, and facility-specific qualification standards
DOE-STD-1063-2000

B-2

• Applicable Field Element site-, and facility-specific program implementing

documents

• Applicable Field Element Facility Representative Program Performance

Indicators

I. ASSESSMENT LINES OF QUESTION

The following Lines of Question examine the strength and maturity of the Field

Element’s Facility Representative Program and the effectiveness of its Facility

Representatives (FacReps) by assessing performance at meeting the five

objectives of the Facility Representative Program. That is, once in place, how

well does the Field Element implement the Program?

1. Well-trained, qualified Facility Representatives.

• Do training records show that Facility Representatives, who are listed as

qualified, have the proper education and experience, and that they have

completed all qualification requirements as specified in General Technical

Base Qualification Standard, Facility Representative Qualification Standard,

and local directives?

• Are the qualifications approved by line management?

• Do the training records show that Facility Representatives complete all

requalification requirements at the periodicity specified in the program

directive?

• Are the personnel involved in training and qualifying FacReps formally

identified?

• What is the process used to ensure that qualified FacReps maintain or regain

proficiency, and is it effective?

• How many FacReps have failed to qualify within the time allowed by the

program directive?

• How many have failed to requalify? What actions were taken by the

responsible Field Element Management?

• How is test bank adequacy and security verified for all qualification areas and

facilities?

• Do written examinations challenge candidates sufficiently to ensure the

proper level of knowledge?

• Does the oral examination process challenge the candidate sufficiently to

verify the proper level of knowledge of all qualification areas and facilities?

Do they test the FacRep’s technical understanding of facility processes,

judgement and decision-making abilities, and ability to communicate

expectations to the Contractor?

• How well does the FacRep understand his/her roles and responsibilities under

the Field Element’s Facility Representative Program?
DOE-STD-1063-2000

B-3

• What continuing training is conducted for Facility Representatives? Does it

cover topics germane to FacRep duties and responsibilities?

2. Adequate coverage for DOE facilities.

• Is FacRep Staffing in accordance with this standard? If not, is a written

agreement with the Program Office in place?

• What is done to recruit and hire satisfactory candidates to fill known or

projected FacRep vacancies? Are sufficient numbers of FacRep candidates

undergoing qualification to fill known or projected FacRep vacancies? Is

there a FacRep “pipeline” to train new FacRep candidates?

• How long have current FacRep vacancies existed?

• What is the trend of the reported time spent in the facility and time

performing oversight?

• What methods are used by the Field Element to ensure that adequate facility

coverage is maintained by qualified FacRep during periods of leave, attrition,

or downsizing?

3. Effective relationships with the Contractor.

• Do FacReps actually have unencumbered access and “Stop Work” authority to

their assigned facilities? Has this been communicated formally to the

contractor?

• Has “Stop Work” authority been exercised? Was it appropriate? Was it

effective? Are there occasions when it was appropriate for Facility

Representatives to exercise “Stop Work” authority, but it was not used?

• What is the effectiveness of the FacReps as verified by observing selected

qualified personnel who are monitoring training, operations, or maintenance

evolutions?

• Are reviews of occurrence reports accomplished in a timely manner while

ensuring that the root cause has been determined and effective action

proposed?

• Do FacReps accomplish facility assessments, surveillances and audits as

scheduled and are the findings meaningful and consistent with facility

performance? Do assessments limit the amount of time the FacRep can

spend on day-to-day facility oversight?

• How effective is the process for correcting deficiencies when comparing

reported dates against the completed action dates? Have all completed

actions actually been performed?

• How is tracking, follow-up, and closure of FacRep findings performed? Is

there follow-up on issues informally identified by the FacRep?

• How effective is the documentation of FacRep activities (e.g., reports, log

keeping)?
DOE-STD-1063-2000

B-4

• How are FacRep findings reported (formally and informally) to the contractor?

Are the reports provided to the contractor consistent with the information

recorded by the FacReps? How clear is the process of reporting findings to

the contractor?

• Does the FacRep have access to all levels of facility management? How often

does the FacRep discuss facility operations issues with the facility manager?

Do the FacReps regularly interface with facility operations personnel?

• Are FacRep to contractor interactions formal or informal; collegial or

confrontational; helpful or adversarial? Are these interactions effective or

harmful to operational safety?

• Does a process exist for ensuring the continued objectivity of FacReps

assigned to a given facility?

4. Adequate functional support from the Field Element Management.

• What are the reasons for any FacRep attrition? Are FacRep’s leaving for

promotions, laterals, downsizing?

• How many FacReps have been promoted to positions of greater

responsibility?

• What steps has management taken to ensure that the FacRep positions are

career enhancing? Are there senior or supervisory FacRep opportunities?

• What continuing education is actively supported?

• What role does Field Element Management have in the qualification process?

• Does management provide the resources necessary to qualify FacReps within

the time allowed by the program directive?

• How does line management support the actions taken by the FacReps at the

respective facilities?

• What is interface relationship between the FacReps and each level of DOE

line management?

• How often does senior DOE line management meet with the FacReps?

• How often does line management “walk the spaces” with the FacReps?

• How does DOE line management track and follow up on issues raised by the

FacReps?

• What local processes exist to allow FacReps access to Field Element technical

expertise regarding Contractor issues?

• What local Performance Indicator data is used to provide indication of the

FacRep program status? What trending and analysis is done on Performance

Indicator data? How is this information used?

• What incentive programs are in place and used effectively for the FacRep

position?

• Do these programs make the Facility Representative position desirable and

career enhancing?
DOE-STD-1063-2000

B-5

5. Performance assessment and feedback program in place.

• How often does the Field Element conduct self-assessments of the entire

Facility Representative program?

• How are peer reviews incorporated into the self-assessment process?

• Does the Program Secretarial Officer participate in assessments with a

representative on the assessment team?

• How well does the self-assessment program ensure that the evaluators have

adequate knowledge and experience to conduct meaningful reviews?

• Based on self-assessment reports, have adequate reviews been conducted to

be able to properly evaluate the assigned area of assessment?

• Have the self-assessments generated meaningful recommendations for

improvement and corrective actions?

• How is the accomplishment of self-assessment actions tracked?

• Are corrective actions being completed in a timely manner?

• How are the FacReps kept informed on changes to their facilities and their

operating practices?

• How are lessons learned from facility events disseminated to FacReps?

• How are lessons learned from facility events at other DOE facilities sought

and disseminated to FacReps?

• Are lessons learned from other relevant industrial events disseminated to

FacReps?

II. APPROACH

The approach to be used in performing the Facility Representative Program

assessment is expected to vary between Field Elements. In order to obtain a

valuable assessment of the program, the following methodology is presented.

Documentation. Much information can be determined in advance of the

assessment by careful review of program documentation. This can include:

1. Program directive(s)

2. Performance Indicators (DOE-wide and locally generated)

3. Qualification tracking data

4. Significant Occurrence Reports

5. Performance Assessments including the Facility Representative Program

Self-Assessment

6. Training records (including continuing training)

7. Qualification records

8. Facility Representative logs

9. Facility Representative reports

10. Management tracking system for Facility-Representative-reported issues

11. Written and oral examination question banks
DOE-STD-1063-2000

B-6

Interviews. By discussing the program with its participants, a determination can

be made about program performance “on paper” as opposed to “in reality.”

Consideration should be given to interviewing:

1. Facility Representative Program sponsors

2. Facility Representatives

3. Facility Representative supervisors

4. Line managers

5. Contractor facility managers

6. Technical Expertise support (health physics, explosive safety, etc)

Walkthroughs. Much information can be determined by performing walkthroughs

with the Facility Representatives. Walkthroughs can provide indication of:

1. Level of Facility Representative qualification

2. Actual practices of the facility

3. Interactions with contractor personnel

4. Log-keeping and reporting practices

5. Corrective action verification

Other methods. The preceding list of methods is for example purposes.

Additional methods exist which may help in assessing program performance and

should be used as appropriate.

III. REPORT

This section contains the report format which can be used to document these

reviews of Facility Representative Programs. The report should be in narrative

format and include the following:

Report header:

Date of report

Facility Representative Program Review

Field Organization

Date(s) of review

Summary:

Includes a brief synopsis of the program assessment including activities

observed, personnel interviewed (by position), and documents reviewed. Each

section of the report should be evaluated as adequate, marginal, or

unsatisfactory. An overall grade for the assessment (satisfactory or

unsatisfactory) should be assigned. The report should specifically identify
DOE-STD-1063-2000

B-7

excellent practices worth sharing as well as significant, or key weaknesses noted.

A rationale should be provided for the grade given, based on current program

status, progress made, and achievement of the program objectives.

Discussion:

For each of the listed program objectives, provide a report of current status,

progress made in this area, grade assigned, and recommendations for

improvement.

1. Well-trained, qualified Facility Representatives.

2. Adequate coverage for DOE facilities.

3. Effective relationships with the Contractor.

4. Adequate functional support from the Field Element Management.

5. Performance assessment and feedback program in place.
DOE-STD-1063-2000

B-8

INTENTIONALLY BLANK
DOE-STD-1063-2000

CONCLUDING MATERIAL

Review Activities: Preparing Activity:

DOE-DP 

EE DOE S-3.1

EH

EM

FE

MA Project Number:

NE

RW MGMT-0003

SC

AL

CH

ID

NV

OAK

OH

OR

ORP

RF

RL

SPRO

SR