CHAPTER XI

       REQUIREMENTS FOR NUCLEAR EXPLOSIVE SAFETY PROGRAM APPRAISALS


1.  GENERAL.  This chapter provides the requirements for the conduct of
    appraisals to assure compliance with the requirements of this Order.

2.  REQUIREMENTS.

    a.  Annual appraisals shall be conducted to:

        (1)  Assure compliance with this Order.

        (2)  Provide management with objective, timely, and factual
             information on program performance.

        (3)  Identify any deficiencies and recommend appropriate
             corrective actions.

        (4)  Assure that adequate implementing resources and documents are
             in place, are current, and are capable of being audited.

        (5)  Evaluate the effectiveness of the implementation of
             applicable policies, requirements, and standards.

    b.  These annual appraisals shall be conducted on two levels:

        (1)  Operations Offices shall appraise Area Offices and/or DOE
             contractors, and the DP-20 shall appraise Operations Offices.

        (2)  The DP-20 appraisal of Operations Offices may require
             examination of Area Office and DOE contractor activities.

3.  PREAPPRAISAL PREPARATIONS.  The preparations for the appraisal shall
    include the following:

    a.  Appraisal team members shall be qualified and experienced in the
        subject matter to be appraised.  The appraisal team shall be
        selected from individuals not having direct participation in the
        operations and organizations to be appraised.

    b.  The appraising organization shall notify the organization to be
        appraised of the schedule and subject of the appraisal in writing
        30 to 45 days prior to the appraisal.

    c.  The appraisal team shall review the findings and recommendations,
        along with the responses to the last appraisal of the organization
        to be appraised.

    d.  The organization being appraised shall provide appropriate
        management, programmatic, and nuclear explosive safety staff and
        administrative personnel to support the conduct of the appraisal.

4.  APPRAISAL.  The following procedures are applicable to the conduct of
    appraisals:

    a.  In-briefing.  An introductory meeting at the beginning of the
        appraisal is to be held among the appraisal team and appropriate
        management of the organization appraised.  The agenda for the
        in-briefing is the following:

        (1)  Subject matter of the appraisal (Appraisal Team).

        (2)  Follow-up actions on the last appraisal (Organization).

        (3)  Any new or outstanding nuclear explosive safety issue
             (Organization).

        (4)  Any major resource, operational, or organizational changes
             between the last appraisal and current appraisal
             (Organization).

        (5)  Any results of internal appraisals by the appraised
             organization identifying any deficiencies and corrective
             actions taken (Organization).

    b.  Scope of Appraisal.  The appraisal shall use this Order as the
        basis for the appraisal.  The appraisal team shall use Attachment
        XI-1, as a guide for the topics to be appraised.

    c.  Out-Briefing and Draft Report.  A closeout meeting at the end of
        the appraisal is to be held among the appraisal team and
        appropriate management of the appraised organization.  At the
        closeout meeting an out-briefing will be conducted and a draft
        report presented to the appraised organization that will include
        the following:

        (1)  Preliminary findings and recommendations of the appraisal.
             These shall be drafted by the appraisal team at the
             conclusion of the appraisal and discussed.

        (2)  Possible actions to correct any deficiencies or make
             improvements in the program.

        (3)  Improvements and achievements noted since the last appraisal.

        (4)  Any needed changes in policy or procedures.

        (5)  Any disagreements or differences in facts between the
             appraisal team and appraised organization.

    d.  Quick Look Report.  A "quick look" written summary of the findings
        and recommendations resulting from the appraisal shall be provided
        by the appraisal team leader to his/her management as soon as
        possible.

5.  APPRAISAL REPORT.  The following guidance for the final appraisal
    report is to be applied:

    a.  The appraised organization shall provide any comments concerning
        the factuality or accuracy of the draft report, reference 4c
        above, to the Headquarters within 15 days of receipt.

    b.  The appraising organization shall transmit the final appraisal
        report to the Manager of the appraised organization within 20 days
        after receipt of any comments on the draft appraisal report but no
        later than 35 days after the appraisal outbrief, reference 4c above.

6.  APPRAISAL FOLLOW-UP.  Within 60 days of receipt of the final appraisal
    report, the appraised organization shall transmit in writing to the
    appraising organization a report stating the corrective actions
    implemented and a corrective action plan and schedule for their
    implementation of any remaining deficiencies.  Bimonthly reports will
    be submitted on the implementation of corrective actions until all
    actions are completed.