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Governance Awareness Training

1. Introduction

1.1 Governance Awareness Training

Notes:

Scene: 0.1Programming Notes: NoneGraphics: NoneNarrator: Welcome to the Awareness Governance Training Course.

1.2 Details

Published by Articulate® Storyline www.articulate.com

Notes:

This online training course was developed by NA-MB-42, Learning and Career Management, Consulting Functional Training Division.

Once you navigated through the course, you must proceed to the knowledge check to test what you have learned. If you need to view the 508 Accessibility version of the course click on the blue button.

1.3 Information

Notes:

Scene 0.3Programming Notes: Sync fade in of each bullet as it is narratedGraphic: Chalkboard with 3D ManNarrator: This course will consist of five lessons which must be completed in sequence. At the end of each section, you will be asked to complete a knowledge check. These knowledge checks are not scored. They are intended to help you gauge your understanding of the content. This course should take approximately two hours to complete. You must successfully pass the final examination with a minimum score of 80% to receive a certificate of completion.


1.4 Purpose

Notes:

Scene: 0.4Programming Notes: NoneGraphic: 3D Man with target/bullseyeNarrator: This interactive course is designed to provide a systematic learning mechanism introducing the National Nuclear Security Administration (NNSA) Site Governance Model to the entire NNSA Federal workforce. This learning is intended to build workforce knowledge and competence in governance and management of the nuclear enterprise in accordance with SD 226.1B, NNSA Site Governance.

1.5 Course Overview

Notes:


Scene 0.5Programming Notes: List all bullets on the screen but emphasize each bullet as it is narrated.Graphic: Stack of books and 3D Man rolling a cog wheel.Narrator: During this course we will cover the following lessons:

Lesson 1: NNSA Governance Regulations--Overview

Lesson 2: Purpose of NNSA Site Governance

Lesson 3: Attributes of an Effective Site Governance System

Lesson 4: Roles and Responsibilities of Key Players and Rules of Thumb

Lesson 5: Governance Peer Review Process

1.6 Course Objectives

Notes:

Scene 0.6Programming Notes: List all information on the screen.Graphic: Magnifying glass with the word objective inside.Narrator: Only read the introduction sentence and do not read the bulleted information.

The Terminal Learning Objective (TLO) for this course is as follows: Given information provided during this course and supplemental resources,

participants will be able to demonstrate and communicate a fundamental understanding of the NNSA Site Governance Model for NNSA federal oversight, Contractor Site Level Assurance, Corporate Parent(s), and Management and


Operating (M&O) personnel, as evidenced by successfully achieving an 80%, or higher, on the final exam.

1.7 Course Objectives

Notes:

Scene 0.7Programming Notes: List all information on the screen.Graphic: Clipboard with checkmarks.Narrator: Only read the introduction sentence and do not read the bulleted information.

This course will evaluate the following enabling learning objectives:

Identify applicable regulations relevant to NNSA Site Governance Recognize the purpose of the NNSA Site Governance program Recognize the need for integrating cultural behavior between federal oversight,

Contract Site Level Assurance, Corporate Parent(s), and M&O personnel Identify the attributes of an effective site governance system


1.8 Course Objectives (Continued)

Notes:

Scene 0.9Programming Notes: List all information on the screen.Graphic: Clipboard with checkmarks.Narrator: Do not read remaining bullets, but pause for 10 seconds and the read the text below the bullets. Identify the roles and responsibilities of key players in NNSA Site Governance Be familiar with the purpose of the Governance Peer Review Process Acknowledge the importance of implementing good/best practices and lessons

learned from previous peer reviews

Now that we know what we are going to cover, let’s begin with Lesson 1 by discussing the Governance Model and affiliated regulations.


1.9 Lesson 1 complete

2. Lesson 1

2.1 Lesson 1: NNSA Governance Regulations—Overview

Notes:

Scene 1.0Programming Notes: List all information on the screen.Graphic: 3D man with book on back that says Governance

Narrator: At the conclusion of this lesson, you should be familiar with the Governance Model and affiliated regulations, such as the Congressional Advisory Panel on the Nuclear Security Enterprise (NSE), Governance & Management of the NSE Report to Congress as well as the follow-up responses and additional reports that have been released that contain various


recommendations, DOE Order 226.1B, DOE Policy 226.2 and the NNSA SD 226.1B. You will also be able to recognize the four requirements for an effective NNSA site governance system as outlined in the SD: the NNSA Site Governance Model, the Contractor Site Level Assurance System, the Federal Oversight System, and Governance Peer Reviews.

2.2 Lesson 1: Governance Model and Affiliated Regulations-Overview

Notes:

Scene 1.1Graphic: Binder with verbiage, Documents/Regulations (on screen)2nd graphic: When discussing first bullet show timeline image of reports/responses related to NNSA Governance (you will need to expand image to read it).Programming Notes: List all information on the screen. Narrator: One of the reports, the Congressional Advisory Panel on the Nuclear Security Enterprise Interim Report states, “The interim report presents the findings to date of the Congressional Advisory Panel on the Governance of the Nuclear Security Enterprise. Congress tasked the panel to examine the performance of this enterprise and to consider alternative governance models. The current viability of the U.S. nuclear deterrent is not in question. The panel finds, however, that the existing governance structures and practices are most certainly inefficient, and in some instances ineffective, putting the entire enterprise at risk over the long term.”

According to the NNSA Comments on the Final Report of the Congressional Advisory Panel on the Governance of the Nuclear Security Enterprise, “The report correctly identifies and accurately describes the leadership, management,


and cultural challenges that confront the nuclear security enterprise. To address these issues, the report makes 19 primary recommendations and 63 sub-recommendations to improve performance, efficiency, and accountability-both now and in the future.”

Several reports have been issued since the original report and NNSA’s response to these reports that has led to where governance is today. The final National Academy of Sciences Engineering and Medicine and the National Academy of Public Administration, NAS-NAPA, tracks and assesses governance and management reform and reports their findings every six months. These reports are the foundation for building an effective governance program.

As a result of the Congressional Inquiry and the NNSA’s subsequent response to these reports the DOE/NNSA has made fundamental changes and implemented DOE Order 226.1B, Implementation of DOE Oversight Policy, DOE Policy 226.2, Policy for Federal Oversight and Contractor Assurance Systems, and NNSA Supplemental Directive (SD) 226.1B, Site Governance.

2.3 Lesson 1: Governance Model and Affiliated Regulations—Overview

(Continued)

Notes:

Scene 1.2Graphic: 3D man accountable, responsible, answerableProgramming Notes: List all information on the screen.Narrator:

DOE Order 226.1B essentially states that all applicable DOE organizations must:


Establish and implement an effective oversight program consistent with DOE P 226.1B and the requirements of this Order.

Maintain sufficient technical capability and knowledge of site and contractor activities to make informed decisions about hazards, risks, and resource allocation; provide direction to contractors; and evaluate contractor performance.

The Order goes on to outline the oversight processes implemented by applicable DOE line management organizations and describes the responsibilities of the:

Administrator, NNSA; Under Secretary of Energy; and Under Secretary for Science

Administrator, NNSA; Cognizant Secretarial Officers: DOE and NNSA Procurement Executives; and Program Secretarial Officers

Central Technical Authorities (CTA) Office of Health, Safety and Security Heads of Field Elements/Heads of Contracting Activities Contacting Offices

Next, let’s briefly review DOE P 226.2, Policy for Federal Oversight and Contractor Assurance Systems.


(Continued)

Notes:


Scene 1.3Programming Notes: List all information on the screen.Graphic: Circular graphic with world and verbiage of Policy and ProcedureNarrator: DOE Policy 226.2 supersedes the existing Contractor Assurance Systems (CAS) policy, DOE P 226.1B, expands the scope of CAS beyond the environment, safety, security, and health areas to include business and financial systems, and emphasizes the importance of establishing and maintaining productive relationships between contractor, Federal, and corporate parent(s) personnel. As used in this Policy, any reference to DOE is also meant to include the National Nuclear Security Administration (NNSA).

This Policy takes DOE O 226.1B further by describing DOE’s expectations in regard to the overall oversight program and the governance process as depicted by the NNSA Site Governance Model.

This Policy establishes the Department of Energy’s (DOE) expectations for the implementation of a comprehensive and robust oversight process that enables the Department’s mission to be accomplished effectively, efficiently, safely, and securely.

DOE is able to do this by utilizing and leveraging the outcomes and information from effective CAS to inform the Government’s oversight wherever appropriate.


(Continued)

Notes:

Scene 1.4


Programming Notes: List all information on the screen.Graphic: Circular graphic 3 circles: NNSA Federal Oversight, Corporate Parent Assurances, & Contractor Site Level AssuranceNarrator: DOE expects that the contractor’s governance processes will provide reasonable assurance that the system of management controls, when properly implemented, provides an effective and efficient means of meeting applicable regulatory and mission requirements. The size of the circles will fluctuate depending on contractor performance; if performance is poor, the larger the NNSA Federal Oversight and Corporate Parent Assurance circles will be. Conversely, if performance is on target and milestones are being met by the contractor, the smaller the Federal Oversight and Corporate Parent Assurance circles. NNSA leveraged key successes from DOE organizations with responsibility for overseeing M&O contractors to improve the Site Governance Model.

These improvements, as laid out in SD 226.1B, are intended to provide guidance and process requirements that will foster an effective strategic relationship that involves timely, transparent, and open communications. This SD relates specifically to the NNSA Site Governance Model, which consists of three separate but linked systems: Federal oversight, Contractor Assurance, and Contractor Corporate Parent(s) oversight/assurance, that provide insight to mission performance.

These three areas will be discussed in more detail when we introduce the Supplemental Directive. For now, let’s continue to pull the thread on what the Policy mandates.


(Continued)


Notes:

Scene 1.5Programming Notes: List all information on the screen.Graphic: Folder with Policy written on it.Narrator: DOE Policy 226.2 goes on to identify the principles that lay the foundation upon which the mission is performed. These principles are:

Trust Accountability Integrity Respect Open Communications Transparency

This list is not all inclusive. Be sure to consider other principles you may have at your site.

We will discuss these in greater detail in Lesson 2.


(Continued)

Notes:

Scene 1.6Programming Notes: List all information on the screen.Graphic: Ink stamps with the words Regulations and RulesNarrator: Up to this point we have discussed why we need to implement new


ways of conducting business and accomplishing the mission based on the outcome of the Congressional Advisory Panel. We also briefly discussed the Order and the Policy. The final piece of the puzzle is to review the NNSA SD 226.1B, which establishes the NNSA Site Governance Model as the system that the Federal government and NNSA’s contractor partners work within to help assure effective mission performance and operational excellence. The Supplemental Directive is where the rubber meets the road.

This SD applies to all Federal NNSA personnel who are involved on behalf of NNSA in managing, overseeing, or interfacing with NNSA Management and Operating (M&O), prime security, and prime environmental management contractors, and their sub-contractors. It also applies to NNSA M&O, prime security, and prime environmental management contractors, referred to as “contractors” throughout this SD.

We’ve mentioned the NNSA Site Governance Model several times now, so let’s take a closer look at the associated requirements that are in an integral part of an effective system.


Notes:

Scene 1.7Programming Notes: List all information on the screen.Graphic: NoneNarrator: There are four NNSA Site Governance REQUIREMENTS:

1. NNSA Site Governance Model2. Contractor Site Level Assurance System


3. Federal Oversight System 4. Governance Peer Reviews

Let’s look at the NNSA Site Governance Model first. [I would move the narration below to next slide]

The site governance model is a balance of formal, fixed processes that assure comprehensive oversight and management attention across the work scope and workplace combined with flexible processes that can rapidly adjust to changing conditions. For example, site integrated assessment planning and scheduling is managed with sufficient flexibility to accommodate changes in oversight areas or frequency, as warranted by conditions or events, and to minimize the impacts on workers, facilities, and mission deliverables while responsibly executing collective oversight and assurance functions.

2.9 Site model

Notes:

Scene 1.8Programming Notes: List all information on the screen.Graphic: Circular graphic 3 circles: NNSA Federal Oversight, Corporate Parent Assurances, & Contractor Site Level AssuranceNarrator: NNSA must operate within a Site Governance Model that is comprised of three overlapping evaluative systems focused on continuous improvement of all activities and functional areas that can affect mission reliability:

(1) The Federal NNSA team including program, functional, and field offices (Federal Oversight)(2) The Contractor Partner operating the sites or facilities (Contractor Assurance)


(3) The Contractor Partner Corporate Parent(s), as specified by contract (Contractor Corporate Parent(s)

Effective governance requires that all three entities work together to ensure reliable mission performance in both good and difficult times.

Federal oversight involvement is based on the demonstrated strength of the contractor’s management systems as well as the risks associated with less than satisfactory performance.

The Site Governance System must be transparent and encourage efficiencies. Data generated from oversight and assurance activities must be shared to allow each partner to identify positive and adverse indicators and opportunities for improvement.

The overlapping nature of the governance systems underscores the expectation for transparency between the governance systems and gaining efficiencies wherever warranted. All three organizations working together are responsible to provide continuous governance with reliable mission performance, meaning that mission objectives are met; workers, the public, and the environment are protected and our assets are secure; and operational and business systems are effectively managed within contract requirements. Through these relationships, all three entities work together to form a single comprehensive site governance system that enables reliable mission delivery.

Knowledge collected and data generated from oversight activities is made available to all three governance partners, and each party looks for positive and adverse indicators as part of their governance responsibilities. These key factors, along with several other considerations, must be constantly managed and balanced to prevent the extreme case of mission failure or unacceptable safety, security, and quality events.


2.10 Contractor Assurance

Notes:

Scene 1.9Programming Notes: List all information on the screen.Graphic: Circular graphic 3 circles: NNSA Federal Oversight, Corporate Parent Assurances, & Contractor Site Level AssuranceNarrator: The contractor’s internal assurance system must help the contractor identify, prioritize, and address issues which will affect mission performance. These include safety, security, quality, or any other operational/business issues that put or may put mission delivery at risk.

The contractor’s assessment schedule for planned assessments must ensure transparency and clarity on risks, prioritization, and resource allocation.

2.11 Federal Oversight


Notes:

Scene 1.10Programming Notes: List all information on the screen.Graphic: Circular graphic 3 circles: NNSA Federal Oversight, Corporate Parent Assurances, & Contractor Site Level AssuranceNarrator: The site Federal Oversight System describes processes for evaluating contractor assurance, contractor performance and Federal assessment activities.

These items be developed in collaboration with the NNSA field, functional, and program offices to ensure stakeholders have a clear understanding of what is being evaluated and the outcomes of those evaluations, as well as to meet overall expectations. Oversight activities are identified by the Federal offices (program, functional, and field) and must follow the Business Operating Procedure (BOP)-10.003, Site Integrated Assessment Plan (SIAP) Development, Updating, and Reporting.

2.12 Peer Review

Notes:

Scene 1.11Programming Notes: List all information on the screen.Graphic: Circular graphic 3 circles: NNSA Federal Oversight, Corporate Parent Assurances, & Contractor Site Level AssuranceNarrator: NNSA field oversight and contractor assurance systems must undergo peer reviews in order to evaluate implementation, to include the governance attributes outlined in Attachment 2 of the Supplemental Directive.

Peer review teams must include the site contractor and Federal employees


representing field offices, program, and functional offices, as available. Peer review teams must submit and brief reports on oversight and assurance. These reports should be submitted to the Field Office Manager (FOM), the applicable program and the functional office(s), the Principal Deputy Administrator, Field Manager/Laboratory Director/Plant Manager, and the corporate parent board chairperson or equivalent (if consistent with the contract).

2.13 Lesson 1: Summary

Notes:

Scene 1.12Programming Notes: List all information on the screen.Graphic: Summary clipboard with checkmark.

Narrator: To summarize, in this lesson we reviewed the Governance Model and affiliated reports and regulations, such as DOE Order 226.1B, DOE Policy 226.2 and the NNSA SD 226.1B. We also covered the four requirements for an effective NNSA site governance system as outlined in the SD: the NNSA Site Governance Model, the Contractor Site Level Assurance System, the Federal Oversight System, and Governance Peer Reviews.


2.14 Lesson 1: Knowledge Check

Notes:

Scene 1.13Programming Notes: List all information on the screen.Graphic: 3D man with green checkmark.Narrator: You have now completed lesson one and are ready for your knowledge check. Select the best answer for each question. You will not receive a score for this knowledge check. This activity will prepare you for the exam at the end of the course.

2.15 What drove the DOE/NNSA to make fundamental change's and

implement DOE Order 226.1B, Implementation of DOE Oversight Policy,

DOE Policy 226.2, Policy for Federal Oversight and Contractor Assurance

Systems, and NNSA Supplemental Directive (SD) 226.1B, Site Governance?

(Multiple Choice, 10 points, 2 attempts permitted)


Correct Choice

X Congressional Inquiry and the NNSA’s subsequent response to these reports

Defense Nuclear Facilities Safety Board Inquiry report

DOE/NNSA Nuclear Security Enterprise Summary Report

Congressional Inquiry and the Defense Nuclear Facilities Safety Board Inquiry

Report

Feedback when correct:

That's right! You selected the correct response.

Feedback when incorrect:

You did not select the correct response.

2.16 DOE P 226.2 establishes the DOE’s expectations for the

implementation of a comprehensive and robust oversight process which

enables the DOE’s mission to be accomplished: (select all that apply)

(Multiple Response, 10 points, 2 attempts permitted)


Correct Choice

X Effectively and efficiently

Safely and Securely

Robustly and competently

X Energetically and enthusiastically





2.17 What are the three separate but linked systems that the Governance

Model is broken into?



Correct Choice

Federal Oversight, Contractor Oversight and Contractor Corporate Children

Federal Oversight, Contractor Assessment and Contractor Corporate Parent(s)

X Federal Oversight, Contractor Assurance and Contractor Corporate Parent(s)

Contractor Oversight, Federal Oversight and Contractor





2.18 What principles do not lay the foundation upon which the mission is

performed? (select all that apply)



Correct Choice

Trust

Transparency

Open communications

Respect

Integrity

X Obligation

Accountability

X Criticism






2.19 NNSA Site Governance REQUIREMENTS are NNSA Site Governance

Model, Contractor Site Level Assurance System, Federal Oversight System

and _________.


Correct Choice

Governance Oversight Reviews

X Governance Peer Reviews

Headquarter Reviews

Contractor Evaluation System






2.20 Results Slide

(Results Slide, 0 points, 1 attempt permitted)

Results for

2.15 What drove the DOE/NNSA to make fundamental change's and implement DOE Order

226.1B, Implementation of DOE Oversight Policy, DOE Policy 226.2, Policy for Federal Oversight

and Contractor Assurance Systems, and NNSA Supplemental Directive (SD) 226.1B, Site

Governance?

2.16 DOE P 226.2 establishes the DOE’s expectations for the implementation of a

comprehensive and robust oversight process which enables the DOE’s mission to be

accomplished: (select all that apply)

2.17 What are the three separate but linked systems that the Governance Model is broken into?

2.18 What principles do not lay the foundation upon which the mission is performed? (select all

that apply)

2.19 NNSA Site Governance REQUIREMENTS are NNSA Site Governance Model, Contractor Site

Level Assurance System, Federal Oversight System and _________.


Result slide properties

Passing Score 80%

Notes:




3. Lesson 2

3.1 Lesson 2: NNSA Site Governance

Notes:

Scene 2.0Programming Notes: List all information on the screen.Graphic: NoneNarrator: At the conclusion of this lesson, you should be familiar with the purpose of NNSA Site Governance and the value cultural behaviors generate to form the foundation for transparent relationships and be able to recognize the need for integrating cultural behavior between federal oversight, Contract Site Level Assurance and Corporate Parent(s), and M&O personnel.

3.2 Purpose


Notes:

Scene 2.1Programming Notes: List all information on the screen.Graphic: Group of colored 3D men.Narrator: The purpose of instituting NNSA Site Governance is to ensure appropriate structures are in place for managing site governance in a controlled and orderly way, and also to establish a governance model as the system that the Federal government and NNSA’s contractor partners work within to help assure affective mission performance and operational excellence. This model will provide the framework and outline expectations and requirements for site governance.

The principal benefit of structured Governance is that team members can remain focused on their goals and monitor strategic objectives.

3.3 Principles

Notes:

Scene 2.2Programming Notes: List all information on the screen.Graphic: Principles with keyNarrator: In Lesson 1 we identified the principles that lay the foundation upon which the mission is performed. These principles are: trust, accountability, integrity, respect, communication, and transparency. Let’s take a look at how trust plays a part.

Trust is defined as the firm belief in the reliability, truth, ability, or strength of someone or something. The concept of “trust” applies to the Governance Model


because all partners must “trust” that the other is doing what is right. For example, appropriately reporting up-down and laterally across the organization, documenting findings, holding people accountable per the Order and Supplemental Directive. Personnel must be given the benefit of the doubt in order for the system to work as it was designed.

Next, Accountability can be defined as the fact or condition of being accountable or as an obligation or willingness to accept responsibility and to account for one’s actions. “Accountability” applies to the Governance Model because if people are not accountable for their actions, the oversight program fails. People must believe that others will hold themselves and their people accountable.

Integrity is the quality of being honest and having strong moral principles. It is generally a personal choice to hold oneself to consistent moral and ethical standards. Integrity plays a part in this context because it suggests that individuals must do what’s right even when no on else is looking, and especially when no one else is looking.

3.4 Lesson 2: NNSA Site Governance (Continued)

Notes:

Scene 2.3Programming Notes: List all information on the screen.Graphic: NoneNarrator: The other principles that are threaded throughout the governance system are respect, communication and transparency.

Respect is a feeling of deep admiration for someone or something elicited by


their abilities, qualities, or achievements. It is a relation or reference to a particular thing or situation. In this case, it applies to what we are discussing in the sense that we all must respect the system and trust that it will work. We must also respect each other’s input at all levels, take responsibility for our behavior, and then take appropriate action.

Communication is defined as imparting or exchanging information and is a means of connection between people or places. In this case it is communicating between Federal Oversight, the Contractor Assurance System and the Corporate Partners.

Transparency is the final principle we need to discuss. Transparency as used in this context implies openness, communication and accountability. Transparency is operating in such a way it is easy for others to see what actions are performed. This is especially critical as we work closely with our partners and share or disclose information ensuring clarity and accuracy exists in all communications with stakeholders.

These principles lay the foundation upon which the mission is performed and are a necessary part of the overall Governance Model. Value should be placed on the cultural behaviors of trust, accountability, integrity, respect, and frequent and open communication to form the foundation of transparency between Federal oversight, Contract Site Level Assurance and Corporate Parent(s) and M&O personnel.

Another important part of NNSA Site Governance is integrating cultural behaviors into the process.

3.5 Lesson 2: Integrating Cultural Behaviors


Notes:

Scene 2.4Programming Notes: List all information on the screen.Graphic: NoneNarrator: The National Nuclear Security Administration (NNSA) Site Governance System requires all of the partners, to include the Federal team, contractors, and Corporate Parent(s) to work collaboratively to ensure reliable mission performance. It is imperative to integrate cultural behaviors, such as operational excellence, expectations, learning through diversity, recruitment and retention, and employee engagement, between these partners and share data so that information related to managing, overseeing, and interfacing with the NNSA Management and Operating (M&O) contractors is not only transparent, but allows for operations to be easily performed and actions completed.

The key to assuring that the federal and contractor staff are making decisions, managing, and performing in an inclusive, unified, and consistent manner is to strengthen and standardize collective organizational values, expectations, and behaviors. These cultural behaviors support a relationship of timely, transparent, and open and frequent communications between the federal team, M&O contractors, and Corporate Parent(s). Sequentially, these behaviors shape the workplace and enable a prompt response to issues, promote openness, encourage corrective measures and minimize defensive behaviors while engaging collective resources to resolve issues. The governance system is a significant part of that framework and is designed to manage risk to a reasonable level. It cannot eliminate all risk of failure to achieve the strategic objectives and can therefore only provide reasonable and not absolute assurance of effectiveness.

Cultural behavior is behavior exhibited by personnel that is learned. Cultural behavior is also a broad term used to describe workplace attitudes, reactions, activities and mindsets. Finally, cultural behavior within DOE/NNSA can take on many different connotations that it vitally important to our strategic relationships.


3.6 Lesson 2: Strategic Relationships

Notes:

Scene 2.5Programming Notes: List all information on the screen.Graphic: NoneNarrator: The Governance system is designed to provide process requirements to foster effective strategic relationships which involve timely, transparent, open and frequent communications, while maintaining trust, accountability and integrity. Transparency implies openness, communication and accountability; therefore, it indicates that partners are being open, communicating and accountable to the process.

Oversight processes should be implemented by applicable DOE/NNSA line management organizations. Line management should include an issues management process that categorizes findings based on risk and priority. Line management must establish and communication performance expectations to contractors through formal contract mechanisms. Management must also have an effective process for communication oversight results, findings, and other issues in a timely manner up the line management chain, and to the contractor as appropriate, sufficient to allow senior managers to make informed decisions. All communications should be timely and effectively communicated.



Notes:

Scene 2.6Programming Notes: List all information on the screen.Graphic: NoneNarrator: In this lesson we covered the need to be familiar with the purpose of NNSA Site Governance and the value cultural behaviors generate to form the foundation for transparent relationships. We also covered the need for integrating cultural behavior between federal oversight, Contract Site Level Assurance and Corporate Parent(s), and M&O personnel.



Notes:

Scene 2.7Programming Notes: List all information on the screen.Graphic: 3D man with green checkmark.Narrator: You have now completed lesson two and are ready for your knowledge check. Select the best answer for each question. You will not receive a score for this knowledge check. This activity will prepare you for the exam at the end of the course.

3.9 Match the governance principle with its definition. Drag the correct

definition to align with the principle.

(Matching Drag-and-Drop, 10 points, 2 attempts permitted)


Correct Choice

Trust Firm belief in the reliability, truth, ability, or

strength of someone or something

Accountability An obligation or willingness to accept

responsibility or to account for one’s actions

Integrity The quality of being honest and having strong

moral principles

Respect Feeling of admiration for someone or

something elicited by their abilities, qualities,

or achievements

Communication Imparting or exchanging information; a means

of connection between people or places

Transparency Implies openness, communication, and

accountability





3.10 What cultural behaviors should be integrated into the Governance

process? (select all that apply)

(Multiple Response, 10 points, 1 attempt permitted)


Correct Choice

X Sharing information fosters transparency

Working within your compartmentalized department

X Facilitating successful actions

X Promoting effective work operations

Keeping close hold of information so it is not compromised






3.11 Drag and drop the correct word pair into the space provided to

complete the following statement:

“Process requirements foster effective strategic relationships through

, open and frequent communications.”

(Word Bank, 10 points, 1 attempt permitted)

Correct Choice

X timely, transparent

quick, timely

lengthy, transparent

strategic, secure






3.12 Results Slide


Results for

3.9 Match the governance principle with its definition. Drag the correct definition to align with

the principle.

3.10 What cultural behaviors should be integrated into the Governance process? (select all that

apply)

3.11 Drag and drop the correct word pair into the space provided to complete the following

statement:

“Process requirements foster effective strategic relationships through

, open and frequent communications.”


Passing Score 80%



4. Lesson 3

4.1 Lesson 3: Attributes of an Effective Site Governance System

Notes:

Scene 3.0Programming Notes: List all information on the screen.Graphic: NoneNarrator: At the conclusion of this lesson, you should be able to identify the attributes of an effective site governance system, to include the Contractor


Assurance System (CAS), an effective corporate assurance system, and the Federal oversight system.


Notes:

Scene 3.1Programming Notes: List all information on the screen.Graphic: GearNarrator: The following attributes are hallmarks of an effective Site Governance System. These attributes establish the framework for each site to begin evaluating their current assurance systems to determine whether improvement is necessary and where improvement initiatives should be focused in order to satisfy expectations. The attributes of an Effective Site Governance System include:

1. Experienced, competent Federal and Management and Operating (M&O) partner line managers.

2. A trusting, transparent strategic partnership between NNSA, program/functional offices, and the field office, and site contractor management teams which benefits from the constructive dynamic tension inherent in the contractual relationship and a trusting, transparent strategic partnership between the NNSA leadership and the site contractor parent(s), to the extent permitted by contract.

3. Federal and corporate parent oversight that is primarily system level and performance based.


4. The site-level governance system which is updated as necessary to remain user-friendly, transparent, and is used to make risk-informed decisions to manage the site.

5. Risk-informed operational decisions are made as close to the work being performed as feasible.


(continued)

Notes:

Scene 3.2Programming Notes: List all information on the screen.Graphic: GearNarrator:

6. Factual, timely, and appropriately detailed information that flows to and from the headquarters (HQ) program offices, functional managers, Office of the Administrator, and the field office managers (FOMs), Contracting Officers (CO), and Contracting Officer’s Representatives (COR) to ensure a focus on speaking with “One Voice.”

7. Clearly-defined roles and responsibilities between the NNSA FOM, program office, and functional office with well-defined, contractually enforceable Federal direction given only by the CO or the appointed CORs.

8. Value-added and timely Government feedback to the contractor partners and intended to continuously improve safe/secure and efficient mission


performance.

9. Contracts where all partners are focused on continuous improvement and long-term safe/secure and efficient site mission performances.

10. Contractor and Federal issues management systems that are aligned or well integrated to facilitate data mining.

Now that we have reviewed the attributes of an effective site governance system, let’s look at the Contractor Assurance System, or CAS.

4.4 Lesson 3: Contractor Assurance System (CAS)

Notes:

Scene 3.3Programming Notes: List all information on the screen.Graphic: Integration puzzle piecesNarrator: The Contractor Assurance System, or CAS, description document specifies how the CAS is integrated with Federal and corporate assurance systems, as well as key deliverables/commitments that will help validate compliance and mission performance. The system should manage and monitor all site activities that support the NNSA mission that could impact system reliability. The site level assurance system can be the contractor’s corporate management system or a combination of components making up a “system.” The site level assurance system should be built upon a foundation of enduring core principles that are appropriate for the mission performed at the site. These principles should include both a focus on day-to-day performance, as well as long-term mission, personnel, and infrastructure support needs such as future leader succession planning, key personnel retention, critical infrastructure


monitoring, and quality-of-life improvements that better ensure the sustainability of enterprise resources critical to the success of our mission. The system should help the site to be a learning organization.

4.5 Lesson 3: Contractor Assurance System (CAS)

Notes:

Scene 3.3Programming Notes: List all information on the screen.Graphic: Integration puzzle piecesNarrator: The Contractor Assurance System, or CAS, description document specifies how the CAS is integrated with Federal and corporate assurance systems, as well as key deliverables/commitments that will help validate compliance and mission performance. The system should manage and monitor all site activities that support the NNSA mission that could impact system reliability. The site level assurance system can be the contractor’s corporate management system or a combination of components making up a “system.” The site level assurance system should be built upon a foundation of enduring core principles that are appropriate for the mission performed at the site. These principles should include both a focus on day-to-day performance, as well as long-term mission, personnel, and infrastructure support needs such as future leader succession planning, key personnel retention, critical infrastructure monitoring, and quality-of-life improvements that better ensure the sustainability of enterprise resources critical to the success of our mission. The system should help the site to be a learning organization.


4.6 Lesson 3: Attributes of a Contractor Assurance System (CAS)

Notes:

Scene 3.4Programming Notes: List all information on the screen.Graphic: NoneNarrator: The attributes of an effective contractor’s site level assurance system include:

1. A comprehensive description of the governance system with processes, risks (and related mitigation), key activities, and accountabilities clearly identified.

2. Timely notification and codification of significant governance system changes.

3. Rigorous, risk-informed, credible self-assessments, and continuous feedback resulting in improvement activities, including utilization of nationally recognized experts and other independent reviews, to assess and improve the contractor’s work process through independent risk and vulnerability studies.

4. Comprehensive analysis and evaluation of relevant performance data to identify negative performance trends, extent of condition, and systemic problems that should be corrected before they become significant issues.

5. A site level issues management system to identify and track issues to closure. The issues management process supports categorization, tracking, trending, and analysis of performance data. Corrective actions are clear, appropriate, and effective.

6. Integration of the governance system with other management systems including Integrated Safety Management, Quality Assurance, and Integrated Safeguards and Security Management.



Notes:






5. A site level issues management system to identify and track issues to closure. The issues management process supports categorization, tracking, trending, and analysis of performance data. Corrective actions are clear, appropriate, and effective.

6. Integration of the governance system with other management systems


including Integrated Safety Management, Quality Assurance, and Integrated Safeguards and Security Management.


Notes:






5. A site level issues management system to identify and track issues to closure. The issues management process supports categorization, tracking, trending, and analysis of performance data. Corrective actions are clear, appropriate, and


effective.

6. Integration of the governance system with other management systems including Integrated Safety Management, Quality Assurance, and Integrated Safeguards and Security Management.


(continued)

Notes:

Scene 3.5Programming Notes: List all information on the screen.Graphic: NoneNarrator:

7. Metrics and targets to assess performance, including benchmarking of key functional areas with other DOE/NNSA contractors, industry, and research institutions.

8. Integration of external input received from the field office, NNSA, and DOE programmatic elements, corporate parents, the DOE Inspector General, the Government Accountability Office, other Federal and State regulators, and Chief Financial Officer Act financial auditors.

9. Timely, transparent, and appropriate communication of governance related information to the FOM.

10. Clearly defined integrated baseline performance expectations.


11. Coordination with the NNSA field office to jointly review DOE directives and recommend revisions to the Office of the Administrator (via NA-50).

12. Identifying and notifying the field office of best practices that may improve the Site Governance System.

13. Where appropriate, sharing of lessons learned from accidents and near-miss events and incorporation into projects, programs, or day-to-day operations.


(continued)

Notes:



8. Integration of external input received from the field office, NNSA, and DOE programmatic elements, corporate parents, the DOE Inspector General, the Government Accountability Office, other Federal and State regulators, and Chief Financial Officer Act financial auditors.








(continued)

Notes:



8. Integration of external input received from the field office, NNSA, and DOE


programmatic elements, corporate parents, the DOE Inspector General, the Government Accountability Office, other Federal and State regulators, and Chief Financial Officer Act financial auditors.






4.12 Lesson 3: Corporate Assurance System

Notes:

Scene 3.6Programming Notes: List all information on the screen.Graphic: 3D men with integration wheelsNarrator: Next, we will review the attributes of an effective contractor’s site level assurance system. The contractor parents bring depth and breadth of experience that could benefit the site. To the extent required by the contract, each corporate parent company(s) is expected to monitor and support the contractor partner in ensuring it can continue to meet the expectations of the


government. The parent(s) should establish a system that effectively monitors and measures assurance.

The corporate parent lead (Board of Director Chairman or equivalent) should have periodic and on-going communication with the NNSA Administrator (NA-1) and the Principal Deputy Administrator regarding site status and issues. The contractor corporate board should also meet periodically with the FOM on how the contractor leadership team is working with the Federal team (both at the site and at NNSA HQ).

4.13 Lesson 3: Corporate Assurance System Attributes

Notes:

Scene 3.7Programming Notes: List all information on the screen.Graphic: 3D man, pie metricNarrator: Attributes of an effective corporate assurance system include:

Monitoring and evaluation of site metrics and performance goals relative to the contract and benchmarking.

Support for staffing shortages, staff development, and retention programs to cultivate the workforce of the future.

Periodic evaluation and corporate functional input of the site contractor organizational structure and leadership team effectiveness (e.g., engagement, cohesion, working relationship with field office, and NNSA HQ).

Periodic and on-going dialog with NA-1, the Principal Deputy Administrator, FOM, and other senior HQ management and key stakeholders.


4.14 Lesson 3: Corporate Assurance System Attributes

Notes:

Scene 3.7Programming Notes: List all information on the screen.Graphic: 3D man, pie metricNarrator: Attributes of an effective corporate assurance system include:

Monitoring and evaluation of site metrics and performance goals relative to the contract and benchmarking.

Support for staffing shortages, staff development, and retention programs to cultivate the workforce of the future.

Periodic evaluation and corporate functional input of the site contractor organizational structure and leadership team effectiveness (e.g., engagement, cohesion, working relationship with field office, and NNSA HQ).

Periodic and on-going dialog with NA-1, the Principal Deputy Administrator, FOM, and other senior HQ management and key stakeholders.


4.15 Lesson 3: Federal Oversight System

Notes:

Scene 3.8Programming Notes: List all information on the screen.Graphic: NoneNarrator: Next, we will review the attributes of the Federal oversight system.

The NNSA Federal oversight team consists of three entities: Programmatic elements, Functional elements, and field offices. HQ functional leads, in conjunction with the FOM, perform oversight in key functional areas as shown in the table. Depending upon the particular site and its hazards, key functional areas (asterisked) may pose higher risk to the mission, gain increased public attention when upsets occur, or pose greater risks to the public and/or the environment. For those functional areas that are designated with an asterisk, joint responsibility is shared between the HQ Functional organizations and the field office for performance. For those functional areas (e.g., day-to-day operations, Environment, Safety & Health (ES&H) and Quality, business and contract management) responsibility resides primarily with the field office, leveraging functional and programmatic resources as appropriate to ensure contractual compliance and effective performance.


4.16 Lesson 3: Federal Oversight System Attributes

Notes:

Scene 3.9Programming Notes: List all information on the screen.Graphic: NoneNarrator: Attributes of an effective Federal oversight system include:

Experienced and qualified FOM and senior leadership with good rapport and trust with the contractor senior leadership, as well as with HQ elements that meet regularly with their counterparts and periodically as a group to discuss site mission performance.

Field Office support promotes programmatic communications between the contractor and program managers.

Qualified technical staff, especially in key or unique functional areas (e.g., CORs, facility representatives, subject matter experts)

Level and type of oversight activities are graded based on potential to impact site mission performance.

Flexible, integrated assessments that leverage the contractor site level governance system activities wherever possible.

Positive recognition and reinforcement when contractor partner self-identifies site problem areas.

Periodic (e.g., weekly) integrated field office meetings to discuss closure of existing issues and emerging trends and potential new issues. HQ programmatic and functional offices examine performance trends across the sites.



Notes:











Notes:










4.19 Lesson 3: Federal Oversight System Attributes (continued)

Notes:


Frequent informal interaction between field office and the contractor partner senior management, where performance feedback on site mission reliability is discussed.

Periodic, formal feedback that is provided to the contractor partner at the system level (e.g., for noted site program weaknesses that are not being sufficiently addressed by contractor’s assurance system(s)).

Field office oversight activities primarily focused on system level performance. NNSA Federal graded approach for compliance-based assessments required

by DO Orders performed by HQ functional support as requested by the FOM. FOM has the lead responsibility for contractor partner interactions, including audit schedules, findings, and required corrective actions.

Clearly defined integrated baseline performance expectations. Direct and routine engagement by HQ programmatic and functional leadership

with the FOM, CO, and CORs to discuss performance highlights and concerns in order to foster the “One Voice” expectation for performance feedback to the contractor partners.

Where appropriate, shared lessons learned from accidents and near-miss events with the sites and HQ offices.



Notes:











Notes:











Notes:

Scene 3.11Programming Notes: List all information on the screen.Graphic: NoneNarrator: In this lesson we identified the attributes of an effective site governance system, to include the Contractor Assurance System (CAS), an effective corporate assurance system, and the Federal oversight system. We learned that these attributes establish the framework for each site to begin evaluating their current assurance systems to determine whether improvement is necessary and where improvement initiatives should be focused in order to satisfy expectations.



Notes:

Scene 1.13Programming Notes: List all information on the screen.Graphic: 3D man with green checkmark.Narrator: You have now completed lesson one and are ready for your knowledge check. Select the best answer for each question. You will not receive a score for this knowledge check. This activity will prepare you for the exam at the end of the course.

4.24 Attributes on an Effective Site Governance System include the

following except:



Correct Choice

Experienced & competent Federal M&O partner

Risk-informed operations decisions

Site-level governance system which is updated to remain user-friendly and

transparent

X Oversight that is expert based

Trusting, transparent strategic partnerships





4.25 Attributes on an Effective Site Governance System include the

following: (select all that apply)



Correct Choice

X Rigorous, risk-informed, credible self-assessments, and continuous feedback

resulting in improvement activities

Field office oversight activities primarily focused on system level performance.

X Integration of the governance system with other management systems including

Integrated Safety Management, Quality Assurance, and Integrated Safeguards and

Security Management.

X A site level issues management system to identify and track issues to closure.

Direct and routine engagement by HQ programmatic and functional leadership

with the FOM, CO, and CORs to discuss performance highlights and concerns in

order to foster the “One Voice” expectation for performance feedback to the

contractor partners.





4.26 The contractor parents bring depth and breadth of experience that

could benefit the site. The parent(s) should establish a system that

effectively monitors and measures _________________________.



Correct Choice

X Assurance

Communications

Trust

Quality

Integration





4.27 The Corporate Assurance System attributes include: (select all that

apply)



Correct Choice

X Periodic and on-going dialog with NA-1, the Principal Deputy Administrator, FOM,

and other senior HQ management and key stakeholders.

X Periodic evaluation and corporate functional input of the site contractor

organizational structure and leadership team effectiveness

X Support for staffing shortages, staff development, and retention programs to

cultivate the workforce of the future.

X Monitoring and evaluation of site metrics and performance goals relative to the

contract and benchmarking.






4.28 The NNSA Federal oversight team consists of three entities:

Programmatic elements, Functional elements, and field offices.

(True/False, 10 points, 1 attempt permitted)

Correct Choice

X True

False





4.29 Some of the NNSA Federal oversight system attributes include: (select

all that apply)



Correct Choice

X Experienced and qualified FOM and senior leadership with good rapport and trust

with the contractor senior leadership, as well as with HQ elements that meet

regularly with their counterparts and periodically as a group to discuss site mission

performance.

X Field Office support promotes programmatic communications between the

contractor and program managers.

X Periodic, formal feedback that is provided to the contractor partner at the system

level (e.g., for noted site program weaknesses that are not being sufficiently

addressed by contractor’s assurance system(s)).

X Field office oversight activities primarily focused on system level performance.






4.30 Results Slide


Results for

4.24 Attributes on an Effective Site Governance System include the following except:

4.25 Attributes on an Effective Site Governance System include the following: (select all that

apply)

4.26 The contractor parents bring depth and breadth of experience that could benefit the site.

The parent(s) should establish a system that effectively monitors and measures

_________________________.

4.27 The Corporate Assurance System attributes include: (select all that apply)

4.28 The NNSA Federal oversight team consists of three entities: Programmatic elements,

Functional elements, and field offices.

4.29 Some of the NNSA Federal oversight system attributes include: (select all that apply)



Passing Score 80%


5. Lesson 4

5.1 Lesson 4: Intro

Notes:


Scene 4.0Programming Notes: List all information on the screen.Graphic: NoneNarrator: At the conclusion of this lesson, you should be able to identify the roles and responsibilities of key players in NNSA Site Governance.

5.2 Lesson 4: Roles and Responsibilities of Key Players

Notes:

Scene 4.1Programming Notes: List all information on the screen. List a copy of the Enabling Mission Execution-NNSA Roles and Responsibilities Rules of Thumb handout in the resources section.Graphic: NoneNarrator: Now that we understand the attributes of an effective Site Governance System, let’s turn our focus to the specific roles and responsibilities of key partners as identified in the NNSA Site Governance Model. A helpful tool is the Enabling Mission Execution-NNSA Roles and Responsibilities Rules of Thumb handout. This handout outlines some suggested Do’s and Do Not’s when engaging with the HQ Program, the field, the HQ functional support and/or the contractor partners/corporate parent(s). This handout is located in the Resource section of this training.

For the next few minutes we will specifically go over the roles and responsibilities of the NNSA Administrator, NNSA Federal Managers/Oversight to include Program Managers, Functional Managers and Field Office Managers and NNSA Federal employees. We will also look at the M&O Partners (Contractor Assurance System), and the Contractor Corporate Parent(s) roles and responsibilities. Finally, we will discuss the roles and responsibilities of the Peer


Review Team Coordinator, members and observers.

5.3 Administrator

Notes:

Scene 4.2Programming Notes: List all information on the screen.Graphic: NoneNarrator: The NNSA Administrator is responsible for maintaining operational awareness of nuclear operations, establishing oversight programs and implementing the requirements of DOE Order 226.1B at Headquarters and Field Elements. They must ensure that Field Elements perform effective oversight in all relevant areas and place high priority on oversight of high consequence activities, such as high hazard nuclear operations, and assist the Field Elements in implementing and improving documented oversight program plans and schedules through direction and feedback. Finally, they must establish and maintain appropriate qualification standards for personnel with Headquarters and Field Element oversight responsibilities and clear, unambiguous lines of authority and responsibility for oversight.


5.4 Lesson 4: Roles and Responsibilities of Key Players (continued)

Notes:

Scene 4.3Programming Notes: List all information on the screen.Graphic: NoneNarrator: The Office of Safety, Infrastructure and Operations serves as the office of primary interest for DOE Order 226.1B. They recommend and coordinate changes, revisions, or directives developed in support of DOE Order 226.1B from the contractor partners and NNSA offices. They should distribute lessons learned resulting from independent oversight appraisals and/or corrective actions as part of the Department’s Operating Experience Program . In addition, they should identify and incorporate governance best practices, as applicable. Finally, they should conduct independent oversight, and ensure that high priority is placed on independent oversight of operational awareness activities and appraisals of high consequence activities as per NA-1 SD 226.1-1A, Headquarters Biennial Review of Nuclear Safety Performance, and unnumbered NA-50 document, Approach to Safety Management Program Reviews.



Notes:

Scene 4.3Programming Notes: List all information on the screen.Graphic: NoneNarrator: The Office of Safety, Infrastructure and Operations serves as the office of primary interest for DOE Order 226.1B. They recommend and coordinate changes, revisions, or directives developed in support of DOE Order 226.1B from the contractor partners and NNSA offices. They should distribute lessons learned resulting from independent oversight appraisals and/or corrective actions as part of the Department’s Operating Experience Program . In addition, they should identify and incorporate governance best practices, as applicable. Finally, they should conduct independent oversight, and ensure that high priority is placed on independent oversight of operational awareness activities and appraisals of high consequence activities as per NA-1 SD 226.1-1A, Headquarters Biennial Review of Nuclear Safety Performance, and unnumbered NA-50 document, Approach to Safety Management Program Reviews.



Notes:

Scene 4.4Programming Notes: List all information on the screen.Graphic: NoneNarrator: Contracting Officers are responsible for helping to establish oversight programs and implementing the requirements of DOE Order 226.1B. They are responsible for incorporating the Contractor Requirements Documents or equivalent national and international consensus standards or contract clauses into their contracts as soon as practical, but no later than 6 months after the effective date of DOE Order 226.1B. Finally, they approve the initial contractor assurance system description and communicate performance expectations to contractors through formal contract mechanisms.

5.7 Lesson 4 Management


Notes:

Scene 4.5Programming Notes: List all information on the screen.Graphic: NoneNarrator: Program Managers are responsible for the following: Allocate and oversee appropriated funds to execute work at NNSA sites, plants, and laboratories (as program office staff); set program expectations, program goals and priorities, and integrate overall program plans and priorities; establish general and site-specific program requirements to include scope, cost, and schedule; develop Program Implementation Plans and guidance for inclusion in appropriate Work Authorizations (WA); evaluate contractor performance against program requirements; provide technical direction, when necessary, to the contractor through an authorized Contracting Officer Representative (COR) or the Contracting Officer (CO) (with parallel communication to the field office(s)); and identify program needs by determining site funding allocations, milestones, and expectations for site performance.

5.8 Lesson 4 Management

Notes:

Scene 4.5Programming Notes: List all information on the screen.Graphic: NoneNarrator: Program Managers are responsible for the following: Allocate and oversee appropriated funds to execute work at NNSA sites, plants, and laboratories (as program office staff); set program expectations, program goals and priorities, and integrate overall program plans and priorities; establish general and site-specific program requirements to include scope, cost, and


schedule; develop Program Implementation Plans and guidance for inclusion in appropriate Work Authorizations (WA); evaluate contractor performance against program requirements; provide technical direction, when necessary, to the contractor through an authorized Contracting Officer Representative (COR) or the Contracting Officer (CO) (with parallel communication to the field office(s)); and identify program needs by determining site funding allocations, milestones, and expectations for site performance.


Notes:

Scene 4.6Programming Notes: List all information on the screen.Graphic: NoneNarrator: Program Managers also track and evaluate program mission work performance by monitoring progress on program goals and objectives. They work with field offices and Functional Managers (FMs) to negotiate programmatic cross-site and site-specific performance goals and objectives and to assess progress on these goals and objectives. Program Managers resolve any mission impact due to Environment, Safety & Health (ES&H), quality, or safeguards & security issues, and other functional or program conflicts, considering input provided by the field office and the FMs. They seek out and consider input from the field offices and the FMs and also determine, on behalf of NNSA, whether actions taken or planned meet requirements for their program.



Notes:

Scene 4.7Programming Notes: List all information on the screen.Graphic: NoneNarrator: Functional Managers oversee requirements in their functional areas and support site implementation of cross-cutting functional areas (nuclear safety, safeguards and security, cyber security, ES&H, quality, emergency management, day-to-day operations/maintenance, business and contract management) to accomplish NNSA’s mission. They coordinate with field offices and PMs to ensure strong functional area performance at the sites, and they ensure functional considerations (safety/security/quality) are fully integrated in the field oversight process.



Notes:

Scene 4.7Programming Notes: List all information on the screen.Graphic: NoneNarrator: Functional Managers oversee requirements in their functional areas and support site implementation of cross-cutting functional areas (nuclear safety, safeguards and security, cyber security, ES&H, quality, emergency management, day-to-day operations/maintenance, business and contract management) to accomplish NNSA’s mission. They coordinate with field offices and PMs to ensure strong functional area performance at the sites, and they ensure functional considerations (safety/security/quality) are fully integrated in the field oversight process.


Notes:

Scene 4.9Programming Notes: List all information on the screen.Graphic: NoneNarrator: Field Office Managers, or FOMs, are responsible to ensure the effectiveness of the NNSA Site Governance Model at their assigned site and are to remain available to serve as a member on the peer review team for their site. They serve as the primary point of contact between NNSA and contractor leadership by maintaining consistent and open communication, fulfilling long-term site stewardship responsibilities, and performing critical functions while promoting continuity during contract transition. They also lead the evaluation of the contractor’s overall performance, including the evaluation of and the use of contractor assurance system (CAS) and approve the site Federal Oversight


System Description and forward documentation to NA-1.1.


Notes:

Scene 4.9Programming Notes: List all information on the screen.Graphic: NoneNarrator: Field Office Managers, or FOMs, are responsible to ensure the effectiveness of the NNSA Site Governance Model at their assigned site and are to remain available to serve as a member on the peer review team for their site. They serve as the primary point of contact between NNSA and contractor leadership by maintaining consistent and open communication, fulfilling long-term site stewardship responsibilities, and performing critical functions while promoting continuity during contract transition. They also lead the evaluation of the contractor’s overall performance, including the evaluation of and the use of contractor assurance system (CAS) and approve the site Federal Oversight System Description and forward documentation to NA-1.1.



Notes:

Scene 4.10Programming Notes: List all information on the screen.Graphic: NoneNarrator: The Field Office Managers also perform system level oversight and drive performance through evaluation and engagement in nuclear safety and security while promoting efficient and effective mission performance across all programmatic areas. They oversee operations conducted at the site and collaborate with PMs and FMs on issues where programmatic efforts may conflict with safety/security/quality concerns and mission needs. The FOMs actively support the program offices and strive to enhance and reinforce information sharing between Program Managers and the contractor. They balance programmatic execution against risks or concerns associated with operations and cross-cutting mission functions. Integrate operational decision-making at the site.



Notes:

Scene 4.10Programming Notes: List all information on the screen.Graphic: NoneNarrator: The Field Office Managers also perform system level oversight and drive performance through evaluation and engagement in nuclear safety and security while promoting efficient and effective mission performance across all programmatic areas. They oversee operations conducted at the site and collaborate with PMs and FMs on issues where programmatic efforts may conflict with safety/security/quality concerns and mission needs. The FOMs actively support the program offices and strive to enhance and reinforce information sharing between Program Managers and the contractor. They balance programmatic execution against risks or concerns associated with operations and cross-cutting mission functions. Integrate operational decision-making at the site.


5.16 Lesson 4: Employees

Notes:

Scene 4.12Programming Notes: List all information on the screen.Graphic: NoneNarrator: NNSA Federal employees also share in the responsibility and accountability for mission accomplishment and site stewardship. We should engage directly and routinely with the federal team (program, functional, and field offices) and collaborate with each other to provide continuous oversight of mission performance while maintaining a DOE/NNSA enterprise-wide focus. One important responsibility we have is to maintain cognizance of the contractor’s processes to identify and address issues that affect mission performance. We can accomplish this by delivering consistent performance feedback. This section addressed the roles and responsibilities on the Federal side, but now let’s look at the roles and responsibilities of the M&O Partners.


5.17 Lesson 4: M&O

Notes:

Scene 4.13Programming Notes: List all information on the screen.Graphic: NoneNarrator: The M&O Partners help focus on day-to-day performance, as well as long-term mission, anticipate personnel requirements, and identify infrastructure support needs such as future leader succession planning, key personnel retention, critical infrastructure monitoring, and quality-of-life improvements that better ensure the sustainability of enterprise resources critical to the success of the mission. M&O Partners should help the site to be a learning organization.

5.18 Lesson 4: Contractor Parents

Notes:


Scene 4.14Programming Notes: List all information on the screen.Graphic: NoneNarrator: The contractor corporate parents bring depth and breadth of experience that could benefit the site. To the extent required by the contract, each corporate parent company(s) is expected to monitor and support the contractor partner in ensuring they can continue to meet the expectations of the government.

The parent(s) should establish a system that effectively monitors and measures assurance.

In light of the corporate performance guarantees contained in the contracts, it is beneficial for the corporate organization to quickly address management or leadership issues within the contractor organization.

They should also be available to serve on one or more peer review teams and discuss their corporate parent assurance system during their site’s peer review.


Notes:

Scene 4.14Programming Notes: List all information on the screen.Graphic: NoneNarrator: The contractor corporate parents bring depth and breadth of experience that could benefit the site. To the extent required by the contract, each corporate parent company(s) is expected to monitor and support the contractor partner in ensuring they can continue to meet the expectations of the


government.

The parent(s) should establish a system that effectively monitors and measures assurance.

In light of the corporate performance guarantees contained in the contracts, it is beneficial for the corporate organization to quickly address management or leadership issues within the contractor organization.

They should also be available to serve on one or more peer review teams and discuss their corporate parent assurance system during their site’s peer review.


Notes:

Scene 4.15Programming Notes: List all information on the screen.Graphic: NoneNarrator: The Contractor Corporate Parents should monitor and evaluate site metrics and performance goals relative to the contract and benchmarking. They should provide support for staffing shortages, staff development, and retention programs to cultivate the workforce of the future. Contractor Corporate Parents should periodically evaluate the corporate functional input of the site contractor’s organizational structure and leadership teams effectiveness through engagement, cohesion, and working relationships with the field office, and NNSA HQ. In doing so, they will maintain on-going dialogues with key stakeholders such as with the NA-1, the Principal Deputy Administrator, FOM, and other senior HQ management and partners.



Notes:

Scene 4.16Programming Notes: List all information on the screen.Graphic: NoneNarrator: Finally, the corporate parent lead (Board of Director Chairman or equivalent) should have periodic and on-going communication with the NNSA Administrator (NA-1) and the Principal Deputy Administrator regarding site status and issues. The contractor corporate board should also meet periodically with the FOM on how the contractor leadership team is working with the Federal team (both at the site and at NNSA HQ).



Notes:

Scene 4.17Programming Notes: List all information on the screen.Graphic: NoneNarrator: Finally, the corporate parent lead (Board of Director Chairman or equivalent) should have periodic and on-going communication with the NNSA Administrator (NA-1) and the Principal Deputy Administrator regarding site status and issues. The contractor corporate lead along with the Corporate Board should also meet periodically with the FOM on how the contractor leadership team is working with the Federal team (both at the site and at NNSA HQ).

This section addressed the roles and responsibilities on the M&O Partners. Last, let’s look at the roles and responsibilities of the Site Governance Executive Steering Committee, and the Peer Review Team Coordinator, members, and observers.


Notes:

Scene 4.18Programming Notes: List all information on the screen.Graphic: NoneNarrator: The NNSA Site Governance Executive Steering Committee is responsible for assisting with site governance implementation across NNSA to improve the performance of the enterprise. They set the expectations for and oversee the peer review process. They also establish a roster or potential peer review team members and approve membership of each peer review team as proposed by the M&O Partners and the Field Office Managers. The Governance


Executive Steering Committee establishes and approves the peer review schedule and appoint a Peer Review Team Coordinator for each peer review team. Finally, they approve the Peer Review Guide and Lines of Inquiry and any subsequent changes to them.


Notes:

Scene 4.18Programming Notes: List all information on the screen.Graphic: NoneNarrator: The NNSA Site Governance Executive Steering Committee is responsible for assisting with site governance implementation across NNSA to improve the performance of the enterprise. They set the expectations for and oversee the peer review process. They also establish a roster or potential peer review team members and approve membership of each peer review team as proposed by the M&O Partners and the Field Office Managers. The Governance Executive Steering Committee establishes and approves the peer review schedule and appoint a Peer Review Team Coordinator for each peer review team. Finally, they approve the Peer Review Guide and Lines of Inquiry and any subsequent changes to them.


5.25 Lesson 4: Peer Review

Notes:

Scene 4.19Programming Notes: List all information on the screen.Graphic: NoneNarrator: The Peer Review Team Coordinator should participate as an Assurance Subject Matter Expert in the peer review process. Their responsibilities also include serving as a coordinator of the peer review and review team, and facilitating and conducting the actual peer review. Finally, the peer review team coordinator should assure the delivery of outcomes/products from the peer review.


Notes:


Scene 4.20Programming Notes: List all information on the screen.Graphic: NoneNarrator: Peer Review Team Members participate on Peer Review teams consistent with the published Site Governance Peer Review Guide and Suggested Review Questions (September 2017). They are also responsible for conducting peer review exit briefings and obtaining feedback from peer review observers. Finally, they should work with the Peer Review Team Coordinator to produce all deliverables on time.


Notes:

Scene 4.21Programming Notes: List all information on the screen.Graphic: NoneNarrator: Typically, observers are representatives from the NNSA complex who will be expected to undergo a peer review in the future, are seeking to learn from the process, or are past peer review participants who have agreed to assist by providing process improvement feedback. The Peer Review Team Observers are in individuals who serve as a representative from the M&O contractors, corporate parents, program/functional leads, or field/site offices; the observers consist of representatives from across the NNSA system. They provide feedback on the peer review session to the Peer Review Team after each review. They are not active participants in the peer review, rather they are learners expected to commit time to create lessons learned from each review, which aid in developing process improvements.



Notes:

Scene 4.22Programming Notes: List all information on the screen.Graphic: NoneNarrator: In this lesson we identified the roles and responsibilities of key players involved in NNSA Site Governance.


Notes:

Scene 1.13Programming Notes: List all information on the screen.Graphic: 3D man with green checkmark.


Narrator: You have now completed lesson one and are ready for your knowledge check. Select the best answer for each question. You will not receive a score for this knowledge check. This activity will prepare you for the exam at the end of the course.

5.30 Match the role and their function or responsibility. Drag and connect

the function/responsibility to the role.


Correct Choice

NNSA Administrator Maintains operational awareness of nuclear

operations

Program Managers Play a role in system level oversight

Contracting Officers Approves initial contractor assurance system

description and communicates performance

expectations to contractors

Office of Safety, Infrastructure & Operations Distributes lessons learned resulting from

independent oversight appraisals and/or

correction actions

NNSA Federal Employees Share in the accountability for mission


accomplishment and site stewardship

Peer Review Team Member Conducts peer review exit briefings





5.31 Match the role and their function or responsibility. Drag and connect

the function/responsibility to the role.


Correct Choice

Corporate Parent Periodically evaluates corporate functional

input of the site contractor organizational

structure and leadership team effectiveness

Peer Review Team Coordinator Facilitates and conducts the peer review


Peer Review Team Observer Individuals who serve as a representative from

the M&O contractors, corporate parents,

program /functional leads, or field/site offices

Site Governance Steering Committee Sets expectations for and oversees the peer

review process

M&O Partners Help site become a learning organization





5.32 Results Slide



Results for

5.30 Match the role and their function or responsibility. Drag and connect the

function/responsibility to the role.

5.31 Match the role and their function or responsibility. Drag and connect the

function/responsibility to the role.


Passing Score 80%



6. Lesson 5

6.1 Lesson 5: Governance Peer Review Process

Notes:

Scene 5.0Programming Notes: List all information on the screen.Graphic: NoneNarrator: At the conclusion of this lesson, you should be familiar with the purpose of the Governance Peer Review Process, which includes the Governance Executive Steering Committee and the Peer Review Team members, and you should be able to acknowledge the importance of implementing good/best practices and lessons learned from previous peer reviews.


6.2 Lesson 5: Purpose

Notes:

Scene 5.1Programming Notes: List all information on the screen.Graphic: NoneNarrator: The peer reviews are designed to provide feedback on the status of implementation of the NNSA Supplemental Directive 226.1B, and to facilitate continuous improvement across the NNSA sites. The Peer Review Process defines the relationships, formal structure, interfaces, and cultural behaviors between the Federal NNSA team, Federal Oversight, the contractor partner operating the sites or facilities, Contractor Assurance, and the contractor partner corporate parent(s), as specified by the contract, Contractor Corporate Parent(s).

These entities work together to achieve a viable and effective governance system that evaluates implementation and delivers the mission. It assures that the integrated workforce is focused on safely and securely accomplishing the mission while also adhering to values. An effective governance system identifies the formal structures, interfaces, and cultural behaviors that facilitate and enable the open communication, transparency, and collaboration that are critical to the effective implementation of the integrated governance model.


6.3 Lesson 5: Purpose

Notes:

Scene 5.1Programming Notes: List all information on the screen.Graphic: NoneNarrator: The peer reviews are designed to provide feedback on the status of implementation of the NNSA Supplemental Directive 226.1B, and to facilitate continuous improvement across the NNSA sites. The Peer Review Process defines the relationships, formal structure, interfaces, and cultural behaviors between the Federal NNSA team, Federal Oversight, the contractor partner operating the sites or facilities, Contractor Assurance, and the contractor partner corporate parent(s), as specified by the contract, Contractor Corporate Parent(s).

These entities work together to achieve a viable and effective governance system that evaluates implementation and delivers the mission. It assures that the integrated workforce is focused on safely and securely accomplishing the mission while also adhering to values. An effective governance system identifies the formal structures, interfaces, and cultural behaviors that facilitate and enable the open communication, transparency, and collaboration that are critical to the effective implementation of the integrated governance model.


6.4 Lesson 5: Impact

Notes:

Scene 5.2Programming Notes: List all information on the screen.Graphic: NoneNarrator: Peer Reviews were designed to focus on the desired outcomes and to provide feedback on the implementation status of NNSA SD 226.1B. Implementation of the peer review process is not required to be identical in terms of process, tools, etc. across the NNSA. The Peer Review Team will determine the extent to which the site governance system is in place at the site being reviewed. Peer reviews are intended to be a learning experience for the site, review team and the observers and no findings are issued as a result of the peer review. While learning how the site has implemented their governance system, the team is looking for both lessons learned, as well as areas where they can make recommendations for improvement, in essence they are discerning the effectiveness and maturity of the system.

The Peer Review Team’s conclusions will be based on their review of the oversight and assurance systems, processes, tools and practices in place, the level of engagement of all three involved parties in these processes, and the evidence presented of process effectiveness. A draft report created by the Peer Review Team is delivered for factual accuracy and then the final report is delivered to Field Office Manager, the Contractor M&O senior person and Contractor Corporate Parent.


6.5 Lesson 5: Peer Reviews

Notes:

Scene 5.2Programming Notes: List all information on the screen.Graphic: NoneNarrator: Peer Reviews were designed to focus on the desired outcomes and to provide feedback on the implementation status of NNSA SD 226.1B. Implementation of the peer review process is not required to be identical in terms of process, tools, etc. across the NNSA. The Peer Review Team will determine the extent to which the site governance system is in place at the site being reviewed. Peer reviews are intended to be a learning experience for the site, review team and the observers and no findings are issued as a result of the peer review. While learning how the site has implemented their governance system, the team is looking for both lessons learned, as well as areas where they can make recommendations for improvement, in essence they are discerning the effectiveness and maturity of the system.

The Peer Review Team’s conclusions will be based on their review of the oversight and assurance systems, processes, tools and practices in place, the level of engagement of all three involved parties in these processes, and the evidence presented of process effectiveness. A draft report created by the Peer Review Team is delivered for factual accuracy and then the final report is delivered to Field Office Manager, the Contractor M&O senior person and Contractor Corporate Parent.


6.6 Lesson 5: Site Governance Executive Steering Committee

Notes:

Scene 5.3Programming Notes: List all information on the screen.Graphic: NoneNarrator: The NNSA Site Governance Executive Steering Committee was established to implement guidance to improve governance and management of the nuclear security enterprise in accordance with the NNSA SD 226.1B, NNSA Site Governance. The committee is instrumental in assisting with site governance implementation across NNSA to improve the mission as well as the performance of the enterprise. The committee is charged with promoting continuous improvement of NNSA oversight and Contractor Assurance Systems, and strengthen the partnership between the NNSA, managing and operating /parent company partners.

As previously mentioned, this committee establishes the expectations for and oversees the actual peer review process; they are an integral part to the success of the peer review process. It is their responsibility to appoint a Peer Review Team Coordinator for each peer review team and ensure the peer reviews are conducted in accordance with the NNSA SD 226.14B. They are also held responsible for approving the Peer Review Guide and Lines of Inquiry and any subsequent changes to them as this document is used to guide and facilitate the peer review process. The Governance Executive Steering Committee is accountable for establishing and approving the peer review schedule for all of NNSA and it is their responsibility to ensure a peer review is conducted at each site/facility. Their role is to incorporate the feedback and lessons learned not only for each facility/site, but also into the NNSA SD 226.1B when it is updated.


6.7 Lesson 5: Site Governance Executive Steering Committee

Notes:

Scene 5.3Programming Notes: List all information on the screen.Graphic: NoneNarrator: The NNSA Site Governance Executive Steering Committee was established to implement guidance to improve governance and management of the nuclear security enterprise in accordance with the NNSA SD 226.1B, NNSA Site Governance. The committee is instrumental in assisting with site governance implementation across NNSA to improve the mission as well as the performance of the enterprise. The committee is charged with promoting continuous improvement of NNSA oversight and Contractor Assurance Systems, and strengthen the partnership between the NNSA, managing and operating /parent company partners.

As previously mentioned, this committee establishes the expectations for and oversees the actual peer review process; they are an integral part to the success of the peer review process. It is their responsibility to appoint a Peer Review Team Coordinator for each peer review team and ensure the peer reviews are conducted in accordance with the NNSA SD 226.14B. They are also held responsible for approving the Peer Review Guide and Lines of Inquiry and any subsequent changes to them as this document is used to guide and facilitate the peer review process. The Governance Executive Steering Committee is accountable for establishing and approving the peer review schedule for all of NNSA and it is their responsibility to ensure a peer review is conducted at each site/facility. Their role is to incorporate the feedback and lessons learned not only for each facility/site, but also into the NNSA SD 226.1B when it is updated.


6.8 Lesson 5: Peer Review Team

Notes:

Scene 5.4Programming Notes: List all information on the screen.Graphic: NoneNarrator: The Peer Review Team typically consists of up to six individuals, consistent with the following conventions and approved by the Steering Committee Chair. The peer review team must include three of the following “principals” from each site: a site senior M&O Partner, an NNSA Field Office Manger (federal employees representing the field offices, program and functional office, as they are available), and a contractor corporate parent representative, which includes three Assurance Subject Matter Experts, one of which who will serve as a coordinator of the reviews conducted during each fiscal year.Each Peer Review Team must submit and brief their reports on oversight or assurance to the Field Office Manager, the applicable program and functional office(s), the M&O Site Senior person, and the corporate parent board chairperson or equivalent.


6.9 Lesson 5: Good/Best Practices & Lessons Learned

Notes:

Scene 5.5Programming Notes: List all information on the screen.Graphic: NoneNarrator: Assurance systems are in place and encompass all aspects of the processes and activities designed to identify deficiencies and opportunities for improvement, report deficiencies to the responsible managers, complete corrective actions, and share in lessons learned effectively across all aspects of the operation.

Good/best practices are used during the peer review process and lessons learned from previous peer reviews are incorporated into a continuous feedback and improvement cycle for site peer reviews. These lessons learned include worker feedback mechanisms, improvements in work planning and hazard identification activities, and formal lessons learned programs. The Peer Review team helps to identify and incorporate governance best practices, as applicable, and share lessons learned from one site to another, as appropriate. When appropriate, communicating and sharing lessons learned from accidents and near-miss events with other sites and HQ offices help improve overall work progress. This value-added and timely feedback is intended to continuously improve safe, secure and efficient mission performance and is vitally important to the NNSA organization.



Notes:

Scene 5.6Programming Notes: List all information on the screen.Graphic: NoneNarrator: In this lesson we reviewed the purpose of the Peer Review Process, which includes the Governance Executive Steering Committee and the Peer Review Team members, and we acknowledged the importance of implementing good/best practices and lessons learned from previous peer reviews.


Notes:

Scene 1.13


Programming Notes: List all information on the screen.Graphic: 3D man with green checkmark.Narrator: You have now completed lesson one and are ready for your knowledge check. Select the best answer for each question. You will not receive a score for this knowledge check. This activity will prepare you for the exam at the end of the course.

6.12 The Peer Review Process defines relationships, formal structure,

interfaces, and _________________________ between Federal Oversight,

Contractor Assurance, and Contractor Corporate Parent(s). Select the best

answer.


Correct Choice

transparency

X cultural behaviors

reporting relationships

strategic models






6.13 Peer reviews determine the extent to which the site governance

system is in place at the site being reviewed.

(True/False, 10 points, 1 attempt permitted)

Correct Choice

X True

False






6.14 The Governance Executive Steering Committee is accountable for

establishing and approving the peer review __________ for all of NNSA

and it is their responsibility to ensure a peer review is conducted at each

site/facility. Select the best answer.


Correct Choice

presentation

summary

calendar

X schedule






6.15 The Peer Review team helps to identify and incorporate governance

best practices, as applicable, and share _____________ from one site to

another, as appropriate. Select the best answer.

(Multiple Choice, 10 points, 1 attempt permitted)

Correct Choice

philosophies

strategies

X lessons learned

procedures






6.16 Results Slide


Results for

6.12 The Peer Review Process defines relationships, formal structure, interfaces, and

_________________________ between Federal Oversight, Contractor Assurance, and

Contractor Corporate Parent(s). Select the best answer.

6.13 Peer reviews determine the extent to which the site governance system is in place at the

site being reviewed.

6.14 The Governance Executive Steering Committee is accountable for establishing and

approving the peer review __________ for all of NNSA and it is their responsibility to ensure a

peer review is conducted at each site/facility. Select the best answer.

6.15 The Peer Review team helps to identify and incorporate governance best practices, as

applicable, and share _____________ from one site to another, as appropriate. Select the best

answer.



Passing Score 80%


6.18 Course Conclusion

Notes:

Scene 5.8Programming Notes: List all information on the screen. Graphic: None


Narrator:

In lesson one, the objectives were to:

Be familiar with the Governance Model & Regulations

Reports related to NNSA Governance

DOE Order 226.1B

DOE Policy 226.2

NNSA SD 226.1B

Recognize the four requirements for an effective NNSA Site Governance System

NNSA Site Governance Model

Contractor Site Level Assurance System

Federal Oversight System

Governance Peer Reviews


Notes:

Scene 5.9 Programming Notes: List all information on the screen.Graphic: NoneNarrator:

In lesson two, the objectives were to:


Be familiar with the purpose of NNSA Site Governance and the value cultural behaviors generate to form the foundation for transparent relationships

Acknowledge the need for integrating cultural behavior between federal oversight, Contract Site Level and Corporate Parent, and M&O personnel

In lesson three, the objectives were to:

Be able to identify the attributes of an effective site governance system Attributes of a Contractor Assurance System (CAS) Attributes of an effective corporate assurance system Attributes of the Federal oversight system

In lesson four, the objective was to: Be able to identify the roles and responsibilities of key players in NNSA Site

Governance


Notes:



Be familiar with the purpose of NNSA Site Governance and the value cultural


behaviors generate to form the foundation for transparent relationships





Governance


Notes:



Be familiar with the purpose of NNSA Site Governance and the value cultural behaviors generate to form the foundation for transparent relationships






Governance


Notes:

Scene 5.10

Programming Notes: List all information on the screen.

Graphic: None

Narrator: In lesson five, the objectives were to: Be familiar with the purpose of the Peer Review Process, to include the

Governance Executive Steering Committee and the Peer Review Team

Acknowledge the good/best practices used in the peer review process and lessons learned from pervious peer reviews

To summarize, the site governance model consists of three separate but linked


systems that provide a comprehensive view of mission performance. Federal leadership, the M&O, and the corporate parent(s) collaboratively work to safely, securely, compliantly, and efficiently deliver successful mission outcomes through an integrated governance system.

The federal oversight system includes direct oversight of the M&O partner ensuring that HQ programmatic and functional considerations are fully integrated into the federal field oversight. NNSA/HQ program and functional managers establish the program requirements and evaluate programmatic performance, augmenting the oversight to ensure the federal oversight perspective is communicated with one voice. The M&O is responsible for integrating and performing the work scope with assistance from the corporate parent(s) to monitor and support the M&O’s performance. Paramount to the efficient and effective operation of the site and achievement of mission deliverables is the timely, transparent, and open and frequent communications between the federal team, the M&O, and corporate parent(s).



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