DOE-HDBK-1226-2019, Conduct of Operations Implementation

DISTRIBUTION STATEMENT A. Approved for public release; distribution is unlimited. DOE-HDBK-1226-2019 MARCH 2019 DOE HANDBOOK Conduct of Operations Implementation U.S. Department of Energy Washington, D.C.20585 NOT MEASUREMENT SENSITIVE DOE-HDBK-1226-2019 Conduct of Operations Implementation Prepared by the Office of Quality Assurance and Nuclear Safety Management Programs, AU-32. Available to the public on the Technical Standards Program web site at https://www.standards.doe.gov https://www.standards.doe.gov/ https://www.standards.doe.gov/ DOE-HDBK-1226-2019 Conduct of Operations Implementation i FOREWORD This Department of Energy (DOE) Handbook is approved for use by all DOE Components and their contractors. The original order DOE O 5480.19, Conduct of Operations Requirement for DOE Facilities, was developed in 1989 from an Institute of Nuclear Power Operations publication. Within a short time, the Department developed a series of DOE Technical Standards that provided additional information for each of the original Order’s eighteen chapters on conduct of operations topical areas. In 2010, the original order was revised into DOE O 422.1, Conduct of Operations. The principles of disciplined operations set forth in 1989 remain a constant in DOE operations and a cornerstone of worker, public, and environmental protection. This Handbook replaces the original Technical Standards with a single document to assist DOE program offices, field elements, and contractors in carrying out the requirements of DOE O 422.1. Beneficial comments (recommendations, additions, and deletions), as well as any pertinent data that may be of use in improving this document, should be emailed to nuclearsafety@hq.doe.gov or addressed to: Office of Nuclear Safety (AU-30) Office of Environment, Health, Safety and Security U.S. Department of Energy 19901 Germantown Road Germantown, MD 20874 DOE-HDBK-1226-2019 Conduct of Operations Implementation ii Contents FOREWORD................................................................................................................................................ i EXHIBITS, TABLES AND FIGURES .................................................................................................. viii ACRONYMS AND ABBREVIATIONS .................................................................................................. ix 1.0 SCOPE, PURPOSE, AND APPLICABILITY ............................................................................. 1 2.0 OPERATIONS ORGANIZATION AND ADMINISTRATION ................................................ 2 POLICIES ..................................................................................................................................... 3 GOALS ......................................................................................................................................... 4 ACCOUNTABILITY ................................................................................................................... 5 PERFORMANCE STANDARDS ................................................................................................ 6 FACILITY RESOURCES ............................................................................................................ 6 HUMAN RESOURCES ............................................................................................................... 7

MATERIAL RESOURCES .......................................................................................................... 7 MONITORING OPERATING PERFORMANCE ....................................................................... 7 2.8.1 Management Tours ............................................................................................................... 8 2.8.2 Performance Reports ............................................................................................................. 9 2.8.3 Management Assessment of Operating Performance ........................................................... 9 CORRECTIVE ACTIONS ......................................................................................................... 10 MANAGEMENT TRAINING ................................................................................................... 10 PLANNING FOR SAFETY ....................................................................................................... 11 2.11.1 Planning .............................................................................................................................. 11 2.11.2 Training ............................................................................................................................... 11 3.0 SHIFT ROUTINES AND OPERATING PRACTICES ............................................................ 12 STATUS AWARENESS AND OPERATING PRACTICES .................................................... 13 AUTHORITY TO OPERATE EQUIPMENT ............................................................................ 13 NOTIFICATION OF STATUS CHANGES .............................................................................. 14 OPERATOR ROUNDS .............................................................................................................. 15 3.4.1 Area Inspection ................................................................................................................... 16 3.4.2 Equipment Status Checks .................................................................................................... 18 3.4.3 Operator Round Sheets ....................................................................................................... 19 RESPONSE TO INDICATIONS ................................................................................................ 23 RESETTING PROTECTIVE DEVICES .................................................................................... 23 SAFETY PRACTICES ............................................................................................................... 23 3.7.1 Use of Safety Equipment .................................................................................................... 23 3.7.2 Personnel Exposure ............................................................................................................. 24 3.7.3 Operating Bases .................................................................................................................. 24 3.7.4 Potentially Distracting Written Material and Devices ........................................................ 25 DOE-HDBK-1226-2019 Conduct of Operations Implementation iii 4.0 CONTROL AREA ACTIVITIES ................................................................................................ 26 CONTROL AREA ACCESS ...................................................................................................... 27

PROFESSIONAL BEHAVIOR .................................................................................................. 28 MONITORING THE MAIN CONTROL PANELS ................................................................... 28 OPERATION OF CONTROL AREA EQUIPMENT ................................................................ 28 CONTROL AREA ANCILLARY DUTIES ............................................................................... 29 5.0 COMMUNICATIONS.................................................................................................................. 30 EMERGENCY COMMUNICATION SYSTEMS ..................................................................... 30 TESTING COMMUNICATION SYSTEMS ............................................................................. 30 COMMUNICATION SYSTEMS ............................................................................................... 31 5.3.1 Party-line Communication Systems .................................................................................... 31 5.3.2 Point-to-Point Communication Systems ............................................................................. 32 5.3.3 Public Address Systems ...................................................................................................... 32 COMMUNICATION EQUIPMENT .......................................................................................... 33 5.4.1 Portable Radios ................................................................................................................... 33 5.4.2 Sound Powered Phones ....................................................................................................... 34 5.4.3 Pagers .................................................................................................................................. 34 5.4.4 Wired Telephones ............................................................................................................... 34 5.4.5 Cellular Telephones ............................................................................................................ 34 5.4.6 Data Network-Connected Devices ...................................................................................... 34 VERBAL COMMUNICATIONS ATTRIBUTES ..................................................................... 35 5.5.1 Clear .................................................................................................................................... 35 5.5.2 Concise ................................................................................................................................ 36 5.5.3 Correct ................................................................................................................................. 36 FORMAT .................................................................................................................................... 36 ESTABLISHING COMMUNICATIONS .................................................................................. 36 5.7.1 Transmitting the Message ................................................................................................... 37 5.7.2 Repeat-back ......................................................................................................................... 37 5.7.3 Confirmation ....................................................................................................................... 37 5.7.4 Report-backs ....................................................................................................................... 38 5.7.5 Briefings for Operators ....................................................................................................... 38 5.7.6 Face-to-Face Communication ............................................................................................. 38

6.0 CONTROL OF ON-SHIFT TRAINING .................................................................................... 39 ADMINISTRATIVE CONTROLS FOR THE CONDUCT OF ON-SHIFT TRAINING ......... 40 6.1.1 Trainee Prerequisites ........................................................................................................... 40 6.1.2 Coordination of Training in the Operating Environment .................................................... 40 6.1.3 Approval of the Operator Qualification Program ............................................................... 41 6.1.4 Instructor Qualification ....................................................................................................... 41 SUPERVISION AND CONTROL OF ON-SHIFT TRAINING ................................................ 41 DOE-HDBK-1226-2019 Conduct of Operations Implementation iv 6.2.1 Pre-Training Briefing .......................................................................................................... 42 6.2.2 Setting the Ground Rules .................................................................................................... 42 6.2.3 Previewing Scheduled Training .......................................................................................... 42 6.2.4 Knowledge Spot Check ....................................................................................................... 43 6.2.5 Supervising On-Shift Trainees ............................................................................................ 43 6.2.6 Placing the Trainee at Ease ................................................................................................. 43 6.2.7 Commencing Training ........................................................................................................ 43 6.2.8 Control of Trainees ............................................................................................................. 43 6.2.9 Communications During Training ...................................................................................... 44 6.2.10 Suspension of Training ....................................................................................................... 44 6.2.11 Maximum Number of Trainees ........................................................................................... 45 6.2.12 Concluding On-Shift Training ............................................................................................ 45 TRAINING DOCUMENTATION ............................................................................................. 45 USING TRAINEES TO SUPPORT OPERATIONS ................................................................. 46 OPERATIONS MANAGEMENT INVOLVEMENT IN TRAINING ...................................... 46 7.0 INVESTIGATION OF ABNORMAL EVENTS ........................................................................ 47 EVENTS REQUIRING INVESTIGATION............................................................................... 47

7.1.1 Responsibility and Qualification ......................................................................................... 48 7.1.2 Investigative Process ........................................................................................................... 49 7.1.3 Event Reconstruction .......................................................................................................... 49 7.1.4 Event Analysis and Evaluation ........................................................................................... 49 7.1.5 Root Cause Determination .................................................................................................. 49 7.1.6 Corrective Action Determination ........................................................................................ 50 7.1.7 Investigative Report ............................................................................................................ 51 7.1.8 Further Evaluation............................................................................................................... 51 SABOTAGE ............................................................................................................................... 51 HUMAN PERFORMANCE IMPROVEMENT ......................................................................... 52 8.0 NOTIFICATIONS ........................................................................................................................ 53 PROGRAM OBJECTIVES ........................................................................................................ 53 NOTIFICATION PROCEDURES ............................................................................................. 54 DOCUMENTATION ................................................................................................................. 54 9.0 CONTROL OF EQUIPMENT AND SYSTEMS ....................................................................... 56 STATUS CHANGE AUTHORIZATION AND REPORTING ................................................. 57 EQUIPMENT AND SYSTEM ALIGNMENT .......................................................................... 57 9.2.1 Equipment Lockout and Tagout .......................................................................................... 58 9.2.2 Operational Limits Compliance .......................................................................................... 59 9.2.3 Alarm Status ........................................................................................................................ 59 9.2.4 Equipment Deficiency Identification and Documentation .................................................. 60 9.2.5 Work Authorization and Documentation ............................................................................ 60 DOE-HDBK-1226-2019 Conduct of Operations Implementation v 9.2.6 Equipment Post-Maintenance Testing and Return to Service ............................................. 61 9.2.7 Temporary Modification Control ........................................................................................ 61 9.2.8 Distribution and Control of Equipment and System Documents ........................................ 62 10.0 LOCKOUTS AND TAGOUTS .................................................................................................... 63 CONTROL OF HAZARDOUS ENERGY ................................................................................. 63

CAUTION TAGS ....................................................................................................................... 64 11.0 INDEPENDENT VERIFICATION ............................................................................................. 66 SYSTEMS/COMPONENTS REQUIRING INDEPENDENT VERIFICATION ...................... 68 11.1.1 Nuclear Safety Functions .................................................................................................... 68 11.1.2 Environment, Safety, and Health (ES&H) Functions ......................................................... 68 11.1.3 Mission-Critical Functions .................................................................................................. 68 11.1.4 Components Excluded from Independent Verification Requirements................................ 69 SITUATIONS REQUIRING INDEPENDENT VERIFICATION............................................. 69 11.2.1 Removing Equipment from Service .................................................................................... 70 11.2.2 Placing Equipment in Service ............................................................................................. 70 11.2.3 Periodic Checks during Facility Operation ......................................................................... 71 11.2.4 Temporary Modifications ................................................................................................... 71 VERIFICATION TECHNIQUES ............................................................................................... 71 11.3.1 Verifying Valve Position .................................................................................................... 72 11.3.2 Verifying Throttled Valves ................................................................................................. 73 11.3.3 Checking Process Parameters ............................................................................................. 73 11.3.4 Checking Remote Position Indicators ................................................................................. 73 11.3.5 Surveillance (Operational) Testing ..................................................................................... 74 11.3.6 Verifying Operational Processes ......................................................................................... 74 11.3.7 Verifying Locked/Tagged Components .............................................................................. 74 11.3.8 Resolving Inconsistencies Discovered during Independent Verification ........................... 75 OPERATIONS SELF-APPRAISAL AND VERIFICATION .................................................... 75 12.0 LOGKEEPING ............................................................................................................................. 76 ESTABLISHING OPERATING LOGS ..................................................................................... 76 INFORMATION TO BE RECORDED ...................................................................................... 80 TIMELINESS OF RECORDINGS ............................................................................................. 81 LEGIBILITY AND FORMAT ................................................................................................... 82

12.4.1 General Format ................................................................................................................... 82 12.4.2 Initial Entry ......................................................................................................................... 82 12.4.3 Incomplete Tasks ................................................................................................................ 83 12.4.4 Final Entry .......................................................................................................................... 83 12.4.5 Correcting Errors................................................................................................................. 83 LOG REVIEWS .......................................................................................................................... 83 STORAGE OF COMPLETED LOGS ........................................................................................ 84 DOE-HDBK-1226-2019 Conduct of Operations Implementation vi COMPUTERIZED LOGS .......................................................................................................... 84 13.0 OPERATIONS TURNOVER ...................................................................................................... 85 TURNOVER PROCESS............................................................................................................. 86 13.1.1 Turnover Checklists ............................................................................................................ 86 13.1.2 Turnover Checklist Verification ......................................................................................... 87 13.1.3 Turnover Checklist Information .......................................................................................... 87 13.1.4 Using Turnover Checklists .................................................................................................. 90 DOCUMENT REVIEW ............................................................................................................. 90 PRE-SHIFT WALKDOWN ....................................................................................................... 91 13.3.1 Panel Walkdown ................................................................................................................. 91 13.3.2 Supervisor Walkdown ......................................................................................................... 91 INFORMATION EXCHANGE AND RESPONSIBILITY TRANSFER .................................. 92 SHIFT BRIEFING ...................................................................................................................... 92 RELIEFS OCCURRING DURING THE SHIFT ....................................................................... 93 TURNOVER TO UNSTAFFED CONDITION AND RESUMPTION OF OPERATIONS ..... 94 14.0 CONTROL OF INTERRELATED PROCESSES ..................................................................... 95 OPERATOR RESPONSIBILITIES ........................................................................................... 97 14.1.1 Operator Knowledge ........................................................................................................... 97 14.1.2 Operator Response to Process Problems ............................................................................. 97 COMMUNICATION BETWEEN OPERATORS AND PROCESS PERSONNEL ................. 98

15.0 REQUIRED READING ............................................................................................................... 99 FILE INDEX ............................................................................................................................... 99 READING ASSIGNMENTS .................................................................................................... 100 REQUIRED DATES FOR COMPLETING READING ASSIGNMENTS ............................. 100 DOCUMENTATION ............................................................................................................... 101 15.4.1 Example Documentation for Large Organizations............................................................ 101 15.4.2 Example Documentation for Small Organizations ........................................................... 104 REVIEW ................................................................................................................................... 105 ELECTRONIC REQUIRED READING SYSTEMS ............................................................... 106 16.0 TIMELY INSTRUCTIONS/ORDERS ..................................................................................... 107 ISSUING, SEGREGATING, REVIEWING, AND REMOVING TIMELY ORDERS .......... 107 16.1.1 Issuing Timely Orders ....................................................................................................... 107 16.1.2 Segregating Timely Orders ............................................................................................... 107 16.1.3 Reviewing Timely Orders ................................................................................................. 107 16.1.4 Removing Timely Orders .................................................................................................. 108 16.1.5 Electronic Systems ............................................................................................................ 108 CONTENT AND FORMAT ..................................................................................................... 108 16.2.1 Content .............................................................................................................................. 108 DOE-HDBK-1226-2019 Conduct of Operations Implementation vii 16.2.2 Format ............................................................................................................................... 108 17.0 TECHNICAL PROCEDURES .................................................................................................. 111 18.0 OPERATOR AID POSTINGS .................................................................................................. 111 OPERATOR AID DEVELOPMENT ....................................................................................... 112 APPROVAL ............................................................................................................................. 113 DOCUMENTATION ............................................................................................................... 114 PLACEMENT ........................................................................................................................... 117 USE OF OPERATOR AIDS..................................................................................................... 117 REVIEW OF OPERATOR AIDS ............................................................................................. 118

19.0 EQUIPMENT AND PIPING LABELING ............................................................................... 122 COMPONENTS REQUIRING LABELING ............................................................................ 123 LABEL INFORMATION ......................................................................................................... 123 LABEL DESIGN AND PLACEMENT ................................................................................... 125 19.3.1 Label Materials and Attachment ....................................................................................... 125 19.3.2 Label Readability .............................................................................................................. 126 19.3.3 Label Placement ................................................................................................................ 127 COLOR CODING .................................................................................................................... 130 19.4.1 Highlighting Critical Component Controls or Groups of Controls ................................... 130 19.4.2 Associating Related Controls and Displays ...................................................................... 131 19.4.3 Preventing Wrong-Unit, Wrong-System, or Wrong-Train Errors .................................... 131 19.4.4 Showing Functional Demarcation of Controls .................................................................. 131 PIPING LABELS ...................................................................................................................... 134 19.5.1 Pipe Label Placement ........................................................................................................ 135 19.5.2 Pipe Label Size.................................................................................................................. 135 REPLACING LABELS ............................................................................................................ 135 19.6.1 Identifying Lost or Damaged Labels................................................................................. 135 19.6.2 Providing New Labels ....................................................................................................... 136 REFERENCED DOCUMENTS ............................................................................................................ 137 DOE-HDBK-1226-2019 Conduct of Operations Implementation viii EXHIBITS, TABLES AND FIGURES

Exhibit 3-1: Sample List of Inspection Items ......................................................................................... 16 Exhibit 3-2: Example of Operator Round Sheet ..................................................................................... 22 Exhibit 5-1: Phonetic Alphabet .............................................................................................................. 35 Exhibit 7-1: Sample Personal Statement ................................................................................................ 50 Exhibit 12-1: Example Log Entries .......................................................................................................... 77 Exhibit 13-1: Work Station ‘A’ Turnover Checklist ................................................................................ 89 Exhibit 15-1: Example Sign-Off Sheet ................................................................................................... 102 Exhibit 15-2: Example Required Reading Document Log ..................................................................... 103 Exhibit 15-3: Required Reading Sign-Off Matrix .................................................................................. 105 Exhibit 16-1: Example Daily Order ........................................................................................................ 109 Exhibit 16-2: Example Long-Term Order .............................................................................................. 110 Exhibit 18-1: Sample Operator Aid Approval/Audit Sheet .................................................................... 115 Exhibit 18-2: Sample Operator Aid Index Sheets .................................................................................. 116 Exhibit 18-3: Sample Operator Aids ...................................................................................................... 119 Exhibit 19-1: Label Information ............................................................................................................. 124 Exhibit 19-2: Example System Designator and Component Function Codes ........................................ 125 Exhibit 19-3: Samples of Component Labels ......................................................................................... 126 Exhibit 19-4: Labels Evenly Spaced Between Components .................................................................. 127 Exhibit 19-5: Labels Tied to Components .............................................................................................. 128 Exhibit 19-6: Labels Placed near the Component They Identify ............................................................ 129 Exhibit 19-7: Simple Escutcheon Plate Label ........................................................................................ 130 Exhibit 19-8: Graphic Escutcheon Plate Labels ..................................................................................... 130 Exhibit 19-9: Demarcation Lines on a Control Panel ............................................................................. 132 Exhibit 19-10: Color Patch Method on a Control Panel ........................................................................... 133 Exhibit 19-11: ANSI Practices for Labeling Piping Systems (ANSI/ASME A13.1-2015)...................... 134 Exhibit 19-12: Pipe Diameter Determines Label and Text Sizes ............................................................. 135

DOE-HDBK-1226-2019 Conduct of Operations Implementation ix ACRONYMS AND ABBREVIATIONS ALARA As Low As Reasonably Achievable ANSI American National Standards Institute AO Auxiliary Operator CFR Code of Federal Regulations CRO Control Room Operator DOE Department of Energy ECP Estimated Critical Position ES&H Environment, Safety and Health FEO Facility Equipment Operator G Guide HDBK Handbook LCO Limiting Condition for Operation NTC National Training Center O Order OJT On-the-Job Training OSHA Occupational Safety and Health Administration SSC Structure, System, or Component STD Standard DOE-HDBK-1226-2019 Conduct of Operations Implementation 1 1.0 SCOPE, PURPOSE, AND APPLICABILITY This Handbook provides supplemental information, explanations, examples, and background to support implementation of disciplined operations described in DOE Order (O) 422.1, Administrative Change 2, Conduct of Operations. Its purpose is to provide a broader understanding of conduct of operations concepts and help operators implement the requirements in DOE O 422.1. It is applicable wherever the Order is implemented. It does not contain any additional requirements. This Handbook replaces DOE Standards 1030-1045, the former Guides to Good Practices associated with former DOE O 5480.19, Conduct of Operations Requirements for DOE Facilities. This Handbook follows the organization of DOE O 422.1, with explanatory material for most of the conduct of operations topical areas. The Handbook does not discuss Technical Procedures because the Department adopted national consensus standards AP-907-001, Procedure Process Description and AP-907-005, Procedure Writers’ Manual, published by the Procedure Professionals Association and available free online at http://www.ppaweb.org. DOE-HDBK-1226-2019 Conduct of Operations Implementation 2 2.0 OPERATIONS ORGANIZATION AND ADMINISTRATION General Concepts Expectations. The organization and administration of facility operations supports safe, reliable, and efficient conduct of all facility activities. Management clearly defines and documents the organizational structure, administrative controls, and staff authorities, responsibilities, interfaces and chains of accountability. The organization should expect individual accountability in following policies and accomplishing goals. Conversely, personnel should have the opportunity to supply input to the policies, goals, and standards so that they have a sense of ownership of the facility. Given this opportunity, personnel will more willingly support standards and accept accountability. Role of Management. Management fosters successful operations by providing adequate resources, both material and human capital, for accomplishing tasks safely and efficiently. Restricting or delaying resources will only hinder operational effectiveness and may result in adverse consequences. Because personnel are one of the resources required to operate a facility, management should develop a plan to retain sufficient personnel to safely and efficiently operate the facility Conservative Decision Making. Management should endorse and model the concept of conservative decision making during all operations, and especially when faced with an unplanned event or condition. Personnel can apply the key principles when planning work or in response to unplanned events or conditions: • Follow approved procedures and operate in accordance with established safety and administrative programs.

• Comply with laws, regulations, permits, and local requirements. • Believe all indications, alarms, and other process inputs, but confirm them. • Engage supervision and appropriate support organizations early in the planning process or in the response to an unplanned event or condition. The key to the better decision making is better advanced planning that addresses potential abnormal or emergency events or conditions. However, when faced with making a decision for which planning was inadequate or non-existent, take action that appears to have little or no negative safety impact, tends to eliminate or reduce any uncontrolled energy, tends to reduce the rate of changing conditions, appears to reduce risk, and generally calms the situation. Above all else, when faced with an unplanned event or condition, take necessary actions to ensure the safety of the public, the workers, the environment, and national security. Monitoring of Performance. Monitoring facility operating performance is the best way to measure the facility’s effectiveness in accomplishing goals. Monitoring activities such as audits, reviews, tours, and self-assessments are part of an effective operating program to ensure that management has a clear picture of facility operations. Touring also allows management to interface with facility personnel and reinforce policies and goals. Audits, reviews, investigations, and self-assessments supply information for facility performance reports which document the operating performance of the facility. Facility performance DOE-HDBK-1226-2019 Conduct of Operations Implementation 3 reports enable tracking and trending of performance indicators and can be used to adjust goals. When operating problems or undesirable performance trends are noted during monitoring, timely corrective actions can redirect performance. Follow-up monitoring activities allow management to verify the effectiveness of the corrective actions. Management Training. Managers need training to effectively monitor operations and manage resources. A management development program will enhance the skills and knowledge of upcoming managers and supervisors, especially first-line supervisors who usually have no previous management experience. Communication. Management sets the standard and example of a proper safety attitude in all facility personnel. This is communicated through staff training in safe operating practices and the need to identify potential personnel hazards at their work stations. Management monitoring of performance, stressing safety and planning for safety, will reinforce safety awareness. A comprehensive safety program includes planning for safety alongside planning for work tasks so safety issues will be confronted before actual work is started. Planning will minimize work holdups and operating schedule delays that result from correcting safety issues. POLICIES Written policies are developed to ensure consistency in the organization and administration of facility activities. Good practices for policies include the following: • Facility-wide policies are developed for activities that affect the entire facility or that apply to multiple organizations (departments) within the facility. • Policies for activities specific to an organization are developed at the organization level. • Policies are written in a consistent format for effective development and implementation. The required format (procedures, checklists) is clearly defined.

• Policy documentation includes a description of the controls necessary to implement the policy and specifies when and how changes should be made to the policy. • Policies are easily understood and adequately address the subject matter. Therefore, standard names for facility work groups, positions, locations, systems, and equipment are established. • Lower-tier policies are consistent with those at the facility level to ensure continuity. • Policies that are no longer needed, or have been superseded, are canceled and removed from use. Personnel should understand their (a) authorities, responsibilities, and accountabilities associated with policies, and (b) interfaces with other organizations, such as engineering, maintenance, and security, especially during back-shifts and weekends. Once policies have been established, personnel should be instructed on their purpose, the benefits of following them, and the potential consequences of not following them. DOE-HDBK-1226-2019 Conduct of Operations Implementation 4 GOALS Thoughtful operating, environmental, and safety goals provide motivation for improvement, and the process of developing goals gives facility management an opportunity to involve workers and different groups in a cross-cutting effort that promotes communication and cooperation. Management can also focus attention on priorities and areas needing improvement through goal-setting. However, ill- considered goals can cause problems. Examples are goals of zero incidents, injuries, and occurrences that would encourage under-reporting, gaming the system, or obfuscation. Similarly, an arbitrary time for closing corrective actions for any event, regardless of complexity or scope, would encourage hasty closure and incomplete correction of underlying causes. These are attributes of excellent administration and organization programs in the area of goal setting: • Facility management develops goals that support established DOE and corporate goals. • All goals are coordinated among the various levels of management to ensure that they are consistent and mutually supportive and that they reflect the overall mission of the facility. • Goals are: o Realistic yet challenging—easily achievable goals should be avoided. o Measurable, allowing specific measurement of progress and clear determination of achievement. o Limited in number so that employees can effectively focus their efforts. o Controlled by the individual or group responsible for their accomplishment. o Clearly communicated, understood, and supported by all members of the responsible organization. o Composed of input from all levels in the organization responsible for achieving the goals. When the performance of support groups not reporting to the facility’s operations manager directly affects facility activities, the operations manager should review the goals of the support groups to ensure that they are consistent with, and complementary to, those developed by facility line management. Where appropriate, action plans should be developed for achieving goals. The action plans should specify the actions and responsibilities of each individual contributing to achieving the goal. Milestones should be established to track progress.

Management should periodically review progress toward accomplishing goals. Formal reviews should be conducted and results communicated to facility personnel. If results show a significant variance from the desired progress in achieving goals, management should review the action plan to ensure that it is adequate and being effectively executed and resources are sufficiently allocated. Based on the results of the review, changes to goals should be considered if operating or budgetary conditions have changed since the time the goals were established. Examples of operational goals: DOE-HDBK-1226-2019 Conduct of Operations Implementation 5 • Preventing unavailability of safety systems • Preventing personnel error • Maintaining exposure as low as reasonably achievable (ALARA) • Preventing lost facility capability (lowered output, less effective) • Preventing unscheduled facility shutdowns • Maximizing the timely completion of scheduled surveillances • Minimizing the amount of overtime • Maintaining complete staffing and training of shift positions • Minimizing or preventing waste, as appropriate • Minimizing the number of lighted annunciators and out-of-specification parameters Examples of management work environment goals: • Foster a working environment that encourages individual performance and teamwork to achieve its goals • Encourage an atmosphere conducive to constructive criticism and feedback • Respond to feedback and communicate the actions taken as a result of the feedback to encourage continued participation ACCOUNTABILITY The following are attributes of excellent organization and administration programs in the area of accountability: • Management ensures that all personnel understand the requirements for their assigned work stations and that they are being held accountable for their actions or inactions. However, personnel error is not the default cause of all issues. Breakdowns in systems, programs or culture are evaluated to address the root causes of events. • Personnel are instructed on the benefits of proper operating performance and the possible consequences of inappropriate operating performance. • An accountability program is established that defines the requirements for handling operating performance problems. • Personnel involved in any infraction of operating practices are counseled on the deviation. Those involved in significant or frequent violations of operating practices are counseled, retrained, or disciplined, as appropriate. DOE-HDBK-1226-2019 Conduct of Operations Implementation 6 • Personnel are held accountable for achieving their assigned goals. They are also recognized for achieving goals and for actions performed in support of goals. Accountability and recognition are administered in conjunction with the personnel performance appraisal system. • Supervisor performance appraisals and promotions include an assessment of operating performance. PERFORMANCE STANDARDS Performance standards are a good means to serve as the basis for accountable behavior. Comparing personnel performance to performance standards ensures consistency of accountability. Management should positively foster good performance by example. Management should communicate new or revised performance standards to all personnel so that everyone understands and supports the standards. Benefits for exceeding performance standards should also be communicated.

High performance standards for all activities are established by facility management. Management’s expectations for the level of performance should be clearly defined in management policies, procedures, and directives. Management should require uniform adherence to these high standards, with safe, reliable facility operation being the primary goal. Management’s day-to-day interactions with the work force should reinforce these performance level expectations. Facility activities should be conducted in a professional and businesslike manner. Management should develop a statement of desired performance that encompasses its expectations for safe and compliant operations. FACILITY RESOURCES The operations manager is responsible for identifying to DOE and corporate management the resources required for safe, reliable facility operation. The operations manager should also be responsible for providing lower-level managers with resources to accomplish assigned tasks. The resources provided include: • Sufficient personnel to limit overtime • Adequate permanent work areas to conduct facility activities • Necessary spare parts and equipment to operate and maintain the facility • Technical services in areas such as maintenance planning, engineering support, nuclear safety reviews, and interfacing with regulatory agencies • Administrative services, including contract administration, budget and cost control, and personnel administration • Personnel, facilities, and materials for training If a lack of resources compromises the ability to operate safely and efficiently within environmental, safety, and health requirements, the cognizant manager should take necessary actions to correct the problem. DOE-HDBK-1226-2019 Conduct of Operations Implementation 7 HUMAN RESOURCES A facility staffing plan, tied to the organization’s long-range goals, should be developed to anticipate future personnel needs. The plan should be reviewed periodically and updated to verify adequacy. Elements of this long-range plan should include anticipated changes in staffing levels, potential succession plans for key management positions, job rotation for developing professional and managerial experience, and a forecast of personnel needs, considering losses resulting from attrition. The long-range staffing plan should allow sufficient time for individuals to turn over job responsibilities and maintain continuity in performance. In conjunction with continuity planning, staffing plans should also include contingency planning for the loss of key personnel. Hiring should be regulated so that newly hired personnel meet the established minimum standards. The human resource group should emphasize retaining and developing employees. Personnel should understand management policies and goals concerning career progression, management and professional development activities, performance appraisals, and the compensation and reward system. Human resource policies and programs should be effectively communicated to all personnel and monitored periodically to determine their effectiveness. Managerial, supervisory, and technical skills should be developed through training, project assignments, and rotating job activities. Personnel performance should be evaluated through regular performance appraisals, and promotions should be based on performance and ability. Policies should be written to identify and deal with behavioral problems, including drug and alcohol abuse. MATERIAL RESOURCES

The facility should have sufficient material resources to conduct operations. Management should ensure that consumable materials such as administrative supplies, oils, and chemicals are replenished to support facility operations and that non-consumable materials such as repair parts and new equipment are available to minimize the effect on facility operations. In addition, management should ensure that all safety equipment required to perform operations, such as hearing protectors and chemical spill kits, is available and ready for use. MONITORING OPERATING PERFORMANCE Policies should be established to monitor and document operating performance with the primary goal of improving operations. To accomplish this, managers should be knowledgeable of personnel performance, facility activities, and facility conditions within their areas of responsibility. Managers should be actively involved with the work activities under their cognizance to assess performance and reinforce management standards. Monitoring of facility activities should ensure that they are conducted according to appropriate standards, policies, and procedures and that problems are promptly identified and corrected. There should be a high degree of management involvement and observation in day-to-day facility activities; a manager’s routine should include frequent tours of the work place, including discussions with personnel. Management and supervisors should directly observe operations frequently, providing feedback as needed. Monitoring by management should also include a program for monitoring facility performance through reporting and trending selected parameters. The monitoring program should provide operational data that are trended, analyzed, and forwarded to appropriate levels of upper management. More DOE-HDBK-1226-2019 Conduct of Operations Implementation 8 guidance on monitoring performance is provided in DOE O 226.1, Implementation of Department of Energy Oversight Policy. Managers and supervisors should clearly understand their responsibilities for setting a professional example and should monitor and correct problems related to failures to adhere to facility policies and procedures. 2.8.1 Management Tours Periodic tours of facility areas are part of the manager’s routine. Some of the criteria for establishing periodicity include the risk associated with operations and the amount of operational activities occurring. For example, tours of warehouses may be conducted less frequently than tours of production lines. Monitoring also includes actual observations of work in progress. The practice of scheduling blocks of time for conducting such observations has proven effective. An inspection tour of the facility is a walk-around by a facility operator or supervisor to gain an appreciation of facility status and identify conditions that may require further action. The person may use a checklist or guide to assist in covering all desired areas and may document items for follow-up or corrective actions. Inspection tours normally do not require formal logs or recorded instrument readings. Management tours should cover all areas, including hazardous and unmanned areas within the specific manager’s purview. Tours should occur during all operating shifts. Besides observing personnel performing their specific jobs, managers should observe safety conditions and practices, radiological conditions and practices, material conditions, and housekeeping to ensure that expected standards are maintained. Before conducting a tour, managers may review lessons learned from in-house and industry operating experience so they can check to see if similar conditions or circumstances exist at their facility.

Deficiencies noted during tours should be documented and provided to responsible managers and supervisors for correction. If items are corrected during the tour, they should also be documented for information purposes. Follow-up tours should be carried out to ensure that timely and effective corrective action has occurred. Routine activities that should be monitored include: • Operational evolutions or work in progress to observe radiological protection and safety practices, procedural compliance, work habits, teamwork, and communications • Shift turnovers in the control area and other work locations to observe formality, thoroughness, and continuity of activities • Planning and scheduling • Training activities, including content, methods, and control Some non-routine activities that should be monitored include: • Implementing new or revised procedures DOE-HDBK-1226-2019 Conduct of Operations Implementation 9 • Coordinating actions in different locations, such as fire or other emergency preparedness drills for the facility • Completion of maintenance activities or work by other areas for material condition, housekeeping, and cleanliness Management may assign other groups, such as quality assurance, to periodically monitor, audit, review and assess operating performance. These activities can assist managers and supervisors in identifying good and bad practices and correcting problems. Data obtained from tours should be evaluated and integrated into an overall assessment of facility condition and status. In addition to tours, other processes should be used to provide management with accurate information regarding facility performance, such as audits, reviews, investigations, and self- assessments. 2.8.2 Performance Reports Performance reports should be issued regularly. Updating reports monthly has been most effective in balancing timely analysis and minimizing administrative burden. Specific performance indicators should be analyzed for trends and early initiation of corrective action. A graphic format is preferable to compare actual results, facility goals, and overall industry progress over time. A management summary that highlights and explains reasons for undesirable trends enhances the usefulness of the reports. The summary should cover problem areas, needed improvements, and actions taken to effect improvement. Responsibilities should be assigned for collecting and analyzing data for each indicator. A coordinator should be assigned responsibility for developing, producing, and distributing the report. Reports should be tailored to the particular needs of the appropriate recipient. Potential recipients include contractor management, DOE management, and federal, state, and local agency representatives. Guidelines should be developed to determine which performance indicators apply to each level of management. For example, the operations manager’s report could provide general performance indicators, other selected indicators, and an executive summary section noting unusual results and significant trends. A brief explanation of the causes of adverse trends and the corrective actions to be taken should also be provided. Reports to other managers should provide the information in the operation supervisor’s report and other selected indicators applicable to their areas of responsibility.

Periodic reports addressing the status of programs and action items should also be developed. An integrated management information system may be used to provide the information for these reports. Items near completion should be monitored to ensure that due dates will be met. When items become overdue, they should be reviewed, appropriate actions taken, and the items rescheduled. Closeout methods should be streamlined to prevent completed items from being carried forward. 2.8.3 Management Assessment of Operating Performance Management should evaluate performance and trends for lessons learned and good practices. Operating problems should be evaluated and corrective actions should be taken to improve the performance of DOE-HDBK-1226-2019 Conduct of Operations Implementation 10 operations. Negative performance trends evidenced in reports should be assessed to determine root causes. Corrective actions can then be developed and implemented. CORRECTIVE ACTIONS Corrective actions should address causes instead of symptoms. Corrective actions should be developed by appropriate personnel, including those tasked with implementing the actions. Managers and supervisors should provide input to the corrective action completion schedule, which should consider the complexity, available resources, regulatory requirements and limitations, and other functional considerations rather than arbitrary periods. The situation may require immediate compensatory actions and/or intermediate corrective actions to safely operate while making long-term corrections. Facility line management should approve corrective actions and ensure implementation in a timely manner. Input from organizations, such as quality assurance, should be considered when determining actions in response to deficient conditions identified by these organizations. When developing corrective actions, management should consider whether to conduct an extent-of-condition review to determine if the issue or condition is isolated or may affect other systems, processes, or facilities. A widespread condition may indicate fundamental issues with management systems. Management should track corrective actions to completion. More guidance on corrective actions is provided in DOE O 226.1, Implementation of Department of Energy Oversight Policy. Managers and supervisors should be held accountable for timely and effective implementation of corrective actions. Delays in completing approved corrective actions should be reported to the manager who assigned the actions. An escalation process will provide attention from higher levels of management to problem areas for which corrective action continues to be ineffective. Follow-up on the effectiveness of corrective actions is an integral part of management’s monitoring program. Follow-up monitoring should determine if the immediate condition has been corrected and the root causes eliminated. This may require monitoring the immediate corrective actions, followed by subsequent monitoring to determine whether recurrence of the condition has been eliminated. Depending upon the results of follow-up monitoring, the item can be closed or new corrective actions formulated. MANAGEMENT TRAINING Management training and professional development should be conducted to ensure the facility is staffed by highly capable and experienced individuals. This training should enhance the managerial and technical skills of facility personnel, such as written and oral communications and specialized technical subjects. The unique needs for each level of management and for each individual should be considered in the management development program.

Management should assess the management needs of the facility and define job prerequisites, including necessary training, experience, professional certifications, and skills development. Criteria should be established for selecting personnel to participate in management development. The training and job rotation assignments that constitute management development activities should be defined and communicated to participating personnel. Adequate resources should be available to support the training and career-broadening assignments necessary for developing personnel. DOE-HDBK-1226-2019 Conduct of Operations Implementation 11 A major goal of the management development effort should be to have qualified personnel in the facility organization ready to be promoted to the next level of management. PLANNING FOR SAFETY Facility management and personnel should assume direct responsibility to always conduct activities and functions in a manner that emphasizes safety and minimizes personnel exposure and the potential for challenges to safety limits. When unexpected conditions that are outside the scope of normal conditions arise, personnel should always exercise conservative judgment and obtain management guidance before proceeding, unless immediate action is required to place the facility in a safe, stable configuration, protect human life, or prevent significant environmental damage. 2.11.1 Planning Each facility should have guidelines that describe safety planning requirements for all operational activities. These guidelines should explain the role of safety analysis reports, job safety analyses, and the handling of safety matters. Operational activities should be reviewed to ensure that they address safety planning. This review may be conducted by a formal safety review committee, which will ensure that all aspects of safety, including local, state, and federal requirements, are properly addressed. The accompanying documentation should identify personnel protective equipment, system alignments, and operator qualifications needed for safe operation. Safety planning should occur as part of the work planning process. Safety analysis reports and job safety analyses, if available, should be used in planning. If these analyses are not available, performing one or both may be useful to determine the safety and health risks at the facility or for a given job. These two tools will help when determining safety and health risks for existing, new, or modified facility operations. 2.11.2 Training All operations personnel should understand safety planning, including requirements and procedures for worker and public protection, for each phase of the operation. This understanding should be imparted to operations personnel via facility training programs that adequately describe the importance of safety planning and the processes by which safety planning is instituted in the facility. DOE-HDBK-1226-2019 Conduct of Operations Implementation 12 3.0 SHIFT ROUTINES AND OPERATING PRACTICES General Concepts Scope. This section of the handbook addresses normal operations of facilities: operator assumption of duties, actions during their period of duty, and professional conduct that results in suitable attention to facility conditions. This topical area also covers the authority to operate equipment and the status control that is essential to controlling and coordinating facility activities, effective equipment monitoring and data recording, and promptly notifying supervisors of unusual or unexpected situations. This notification process ensures proper attention is given to changing and off-normal conditions. Industrial safety practices, including radioactive and hazardous material protection, are also addressed.

Formality and Ownership. Industrial, military, and commercial utility operating experience has shown that professional conduct and sound operating practices result in a safer, more efficiently run facility. Two key principles to professional conduct and sound operating practices are formality and ownership. Formality is performing all duties according to approved practices and procedures. This contributes to consistency of operations and business-like atmosphere. Ownership is an attitude whereby individuals accept total responsibility for maintaining their assigned work station in the best possible operating condition. Safe Operations. The responsibility for safely operating a DOE facility rests with the on-shift personnel. Safe operation is accomplished by properly trained and qualified personnel adhering to procedures, technical safety requirements, and sound operating practices. The authority and responsibility for facility operations should be vested in the cognizant supervisor or manager and be transferred only through formal turnover to a qualified relief. Lines of Authority. Establishing clear lines of authority and responsibility for controlling facility operations, including equipment and systems, will enhance facility operations. The authority for operating certain equipment and systems may be given to specific work stations; however, the supervisor maintaining ultimate responsibility for the equipment should be notified prior to changes in status. During emergencies, operators should be authorized to take the necessary actions to place the facility in a safe operating or shutdown condition. In this case, the change in status would be reported to the supervisor after the fact. Abnormal Conditions. During special tests, evolutions, or abnormal conditions, personnel should be aware that the responsibility and authority to decide corresponding operating conditions, system alignments, or equipment manipulations rests fully with the on-duty supervisor. This supervisor should not permit any individual to bypass or overrule his/her operational judgment without bringing the matter to the attention of a higher operational authority. Monitoring Program. An effective equipment and area monitoring program will help ensure that abnormal conditions and adverse trends are detected in a timely manner. The program should address the equipment and areas to be monitored and the monitoring frequency. This monitoring or inspecting can be accomplished through operator inspection tours. A list of areas and associated equipment under an operator’s control should be used to assist personnel in performing inspection tours. DOE-HDBK-1226-2019 Conduct of Operations Implementation 13 Recording Data. Round inspection sheets (round sheets) or electronic devices (tablet computers with appropriate applications or dedicated logging devices) should be used to record equipment parameters during inspection tours. Recording these parameters will assist personnel in detecting trends and serve as a historical record of facility operations. Trending is necessary to detect abnormal conditions or adverse trends so appropriate action can be taken before equipment malfunction occurs. Establishing procedures which specify when to take readings, how to record readings, how to identify out-of-specification readings, how to make corrections on the round sheets, and what actions to take for out-of-specification readings will improve the accuracy, completeness, and neatness of round sheets. Facilities should establish procedures for personnel qualifications for watch stations, and to have qualified personnel make inspection tours and record round sheet data. Procedures should also specify a program for developing and maintaining round inspection sheets. Training on these procedures will ensure the proper round sheet information is communicated to all affected personnel.

Personnel Practices. Sound operating practices also include a strong emphasis on personnel safety practices required to perform a job. Following personnel safety practices should keep personnel alert to detect, prevent, and mitigate all possible hazards. The correct safety practices should be demonstrated to personnel during their initial training and during continuing training, and reinforced continuously by all personnel while on the job. Safe work station practices also include minimizing exposure to personnel hazards. STATUS AWARENESS AND OPERATING PRACTICES The primary function of an operator is to monitor and control all assigned equipment safely within the applicable facility guidelines. DOE Order 422.1 discusses “Control of Equipment and System Status” and identifies specific facility programs that are designed to aid in safe reliable operation. In addition to those programs, routine operating practices should ensure that the responsible personnel are continuously aware of the status of assigned equipment, and all operations are properly authorized, performed, and monitored. This section describes the routine practices that lead to effective operation. AUTHORITY TO OPERATE EQUIPMENT Designated supervisors direct the overall operation of the facility. The following are good practices in this area: • The overall operation of the facility is directed by the operations manager. Day-to-day direction of operations may be delegated to a shift or daily operations supervisor. The chain of responsibility and authority is documented and available to all staff. • The operations manager ensures that only trained and qualified personnel operate facility equipment and determines, with the assistance of the Training Department, work station training and qualification requirements. • As part of developing details of authorized operators and operations, facility work stations and the equipment at each work station are reviewed to ensure all work stations and equipment are identified. • Personnel are informed of the equipment they are authorized to operate and under what conditions the equipment can be operated. This is done during the training and qualification process. DOE-HDBK-1226-2019 Conduct of Operations Implementation 14 • Support group and subcontractor personnel are informed of the facility’s policy for operation of equipment. This is done during a general training session before support or subcontractor personnel start work. • Facility policies specify the activities that may normally be performed by an operator without requesting permission. Examples of activities include the following: o Pumping specified sumps o Adjusting controls such as throttle valves and rheostats necessary for maintaining stable process conditions o Testing local alarm panel lights and sounds • Personnel are instructed that safety to personnel, facility, and environment take priority over facility production regardless of the situation. • Non-routine operation of controls are not performed without specific approval by the cognizant supervisor. However, during emergencies, operators should take the actions necessary to ensure the safety of personnel, facility, and the environment. After placing the process in a stable condition, the relevant supervisors should be immediately informed.

• Personnel are informed of all activities affecting equipment at their work station. Support personnel and subcontractors should contact the responsible person to obtain written or verbal authorization before commencing work, especially if the work will require changing present work station status. • To ensure that facility equipment is properly operated at all times, guidance may be established allowing only facility-qualified personnel to operate equipment, even during testing and maintenance evolutions. NOTIFICATION OF STATUS CHANGES Operating personnel should be aware of the status of equipment through inspection, conducting checks, and tours of equipment and work areas. The following are good practices in this area: • A notification chain or network is established to ensure that status information is communicated to the appropriate personnel. • Policies or procedures are established for the timely notification of status changes. Specifics that should be addressed include who needs to be notified, what information needs to be communicated, and the method of communication. • Personnel notify their supervisor of all changes in work station status, especially abnormal and unexpected situations. • Supervisors, in turn, notify facility management. Any person affecting the condition of a piece of equipment not under his/her responsibility for any reason should be authorized to change/affect the equipment, and should notify the responsible person before changing the equipment’s status, and again afterwards, to inform that status has changed. This would DOE-HDBK-1226-2019 Conduct of Operations Implementation 15 include starting up or shutting down equipment as well as adjusting controls. In addition, if an individual finds an unsafe facility condition, he or she should take immediate actions consistent with training and procedures. Generally such actions involve reaching an emergency contact, and in some cases such as fires, sounding an alarm. OPERATOR ROUNDS An operator round is an inspection tour conducted as part of a shift routine, and normally is done on a schedule. Operator rounds normally include reading and recording instrumentation, and recording pertinent observations such as operating mode or equipment configuration. Operator rounds are documented in logs or round sheets. Management approves round sheets, including the frequency and time of inspections and readings. Responsibility for maintaining round sheets should be designated by management. The following are good practices in this area: • Periodic work station rounds are performed as part of an operator’s shift routine. These are in addition to the work station walkdowns performed as part of the turnover process. • Operator rounds are frequent and detailed enough to ensure that the status of equipment and condition of the work station is known. Each facility should decide the optimum frequency for conducting rounds. • The frequency and detail of rounds take into account the safety risk associated with the work station. In addition, facility maintenance engineers, equipment vendors, and experienced operators should provide input when determining round frequency. • The minimum round frequency should be at least once per shift. However, the operations manager may designate specific areas to be inspected less frequently because of adverse radiological or equivalent personnel safety conditions, or more frequently if problems have been encountered in the past. In these cases, the operations manager should specify an alternate schedule.

• Facility security concerns do not override personnel safety assessment duties. • Operator rounds in radiation and hazardous material areas are carefully reviewed, planned, and coordinated with the ALARA program to minimize personnel exposure. These areas still require rounds, but the frequency and duration should strike a balance with personnel exposure. Rounds in these areas should be coordinated with other duties and responsibilities, such as system alignments or equipment startup and shutdown to minimize exposure. Operators can also minimize exposure to radiation or hazardous materials by installing microphones and surveillance cameras or using binoculars for observation of hazardous areas. • Personnel conduct a thorough tour of their work station at the designated times. They should make a tour early in the shift, before attending to other duties, to become familiar with the condition and status of equipment at the work station. During the tour, personnel should inspect equipment to ensure that it is operating properly or, for standby equipment, that it is fully operable. To ensure the tour is effective and efficient, personnel should remain inquisitive, following up questions about their work station and remaining alert to what they see, hear, smell and touch on the tour. DOE-HDBK-1226-2019 Conduct of Operations Implementation 16 • Personnel are instructed on proper round techniques during initial training and qualification. The amount of instruction should depend on the complexity of the work station. Training should include how to read parameter-indicating devices, how to check equipment temperature, and how to check for system leakage. In addition, training should include information on acceptable equipment and system operating parameters (such as temperature and pressure) for all approved operating conditions. • Each facility establishes guidance for handling deficiencies found during rounds. At a minimum, abnormal conditions should be reported to the appropriate supervisor and documented in the narrative log. Each facility should also decide which types of problems can be immediately corrected by personnel before notifying their supervisors, and which types should be immediately reported to a control area so that supervisors can initiate corrective action. Employees should be informed on the procedures for reporting potential safety hazards to management. • Personnel are encouraged to clean up trash and oil, grease, and water spots discovered during rounds to prevent small problems from deteriorating into safety or operational hazards. • Problems that might distract personnel from their normal duties are reported, and then handled by other personnel. • Equipment deficiencies that cannot be immediately remedied are documented according to the facility’s work control system. Guidelines and information related to work control systems are contained in DOE G 433.1-1A, Nuclear Facility Maintenance Management Program Guide for Use with DOE O 433.1B. 3.4.1 Area Inspection Personnel should perform a thorough inspection of their work station and note any deficiencies. Personnel should document and correct deficiencies (see also deficiency correction items in section 3.4, Operator Rounds). Approved supplemental lighting such as flashlights should be used to inspect dimly lit work station areas. A checklist may be used to ensure that all items are inspected, and may be used with Round Sheets (Section 3.4.3) to aid in area inspection consistency. A list of some possible inspection items is contained in Exhibit 3-1.

Exhibit 3-1: Sample Area Inspection Checklist Items Sample Area Inspection Checklist Items General Area • Satisfactory area cleanliness • Vent and drain caps installed • Electrical box covers installed and tight • All hoses and cords properly stored or installed • Equipment/component labels installed and readable • Insulation installed and undamaged • Noise and vibration levels normal • Equipment access satisfactory and unhampered by scaffolding or other material DOE-HDBK-1226-2019 Conduct of Operations Implementation 17 Sample Area Inspection Checklist Items • Minimum steam, oil, and water leakage • Building integrity (physical integrity of structures) • Safety tags properly completed, adequately attached, and authorized (spot check) • Maintenance tags applicable and accurate (spot check) • Fire barriers intact • No fire hazards present • Radiation/contamination areas clearly identified • Hazardous material storage areas clearly identified • Floor drains open and accessible • Facility lighting adequate and operative. Instrumentation and Control Panels • Power supply available • Alarms not in alarmed condition • Recorders operating properly • Indications within normal ranges (bands) • Status lights operable • Alarms operable Motor Control Centers (MCCs) • Breakers properly aligned • Breaker enclosure temperatures normal • No unusual smells • Breaker position indicating lights operating properly • Charging springs charged and control power available • Breaker trips reset • Transformers • Liquid levels normal • Temperatures and pressures normal Wires and Cables • Disconnected wires and jumpers properly identified • Hold-down straps secure • Grounding devices intact Doors and Gates • Fire doors closed and not blocked • Other doors closed and locked as required • Doors and gates close properly Sumps • Liquid levels in normal range • Sump pumps operating as required DOE-HDBK-1226-2019 Conduct of Operations Implementation 18 Sample Area Inspection Checklist Items • No oil or organics in sumps Pumps • Suction and discharge valves properly aligned • Suction and discharge pressures in normal range • Gland seal leakage in normal range Safety Hazards • Ladders properly positioned or stored • Gas bottles properly positioned or stored • Use of proper equipment, such as non-sparking tools, ladders • No water or steam leakage • No water, oil, or other possible slip, trip, or fall hazards on walking surfaces • No open electrical panels • No potential electrical hazards • Scaffolds properly erected • General compliance with facility’s industrial safety program requirements • Open trenches or work areas roped off and posted • Machine guards and shrouds properly installed 3.4.2 Equipment Status Checks The status of equipment (“status” meaning operating, standby, work-in-progress, or out-of-service) is determined to ensure proper response to any problems that may arise. Some possible status checks are as follows: • Operating Equipment: o Motor and pump housing temperatures are within acceptable limits o System temperatures, pressures, and flows are within acceptable limits o Proper belt and coupling tightness o System leakage is within acceptable limits o Noise and vibration is within acceptable limits o Ventilation system intakes clear of debris o Equipment grounding straps connected o Power consumption (Amps, Fuel Oil) • Standby Equipment: o Proper valve/circuit breaker lineup (spot check) DOE-HDBK-1226-2019 Conduct of Operations Implementation

19 o Oil levels are within acceptable limits o No unusual noises, smells, temperatures, or pressures • Out-of-Service Equipment: o Boundary components in correct position (spot check) 3.4.3 Operator Round Sheets Operator round sheets are an effective method for providing personnel with guidance on the extent to which equipment and areas should be inspected during rounds. Recording equipment parameters during tours provides a record of equipment performance that permits short-term trending for timely identification and correction of undesirable trends and equipment problems. This record can also be used to reconstruct events leading up to unusual occurrences or system malfunctions. Round sheets also facilitate the turnover of equipment status and are an effective aid in the training and qualification of new personnel. While the following discussion focuses on paper documents, round sheets may also be implemented on portable computers (tablets). Electronic round sheets offer the advantages of reduced administrative overhead to process paper, electronic routing for review and archiving, and potential automatic trending and statistical analysis for maintenance and reliability performance measures. When electronic round sheets are used, the system should include provisions for providing devices (tablets), version control, electronic signatures, supervisory review, data backup to preclude unacceptable data loss, and, if the round sheets also incorporate narrative logs, features to support electronic logs. • Round sheets should be comprehensive, including all areas within the purview of a particular work station and all important parameters for equipment. Round sheets assist personnel in identifying abnormal and emergency situations. Equipment parameters should include minimum and maximum values or expected operating ranges to enable personnel to recognize abnormal readings quickly. • When equipment is not in an operating status, the associated parameter blocks should reflect the status of the equipment. This may be accomplished by the use of codes or notes and annotation in the remarks section. • Safety limits derived from Technical Safety Requirements should be highlighted. • The program should ensure that all round sheets are current and correctly maintained. • Round sheets should be developed and approved by the operations manager, obtaining input from cognizant experts such as vendors and maintenance engineers. • Work station personnel and supervisors should supply the input for the sequence in which the parameters appear on round sheets to ensure that tours are conducted efficiently. Equipment and corresponding parameters should be listed on round sheets in a logical order that closely parallels the order encountered during a normal round. • If changes to equipment and systems will require modifications to the round sheet data, the sheets should be updated to accommodate the new data before the affected system or equipment is returned to operation. DOE-HDBK-1226-2019 Conduct of Operations Implementation 20 • Changes to round sheets should also be communicated to the appropriate work station personnel. If round sheets change frequently, they should have an approval-for-use signature, revision number, and effective date (Exhibit 3-2). Round sheets may be developed for temporary systems and equipment, depending on the risk to facility operation, proposed length of use, and complexity of configuration. In such cases, the review and approval process stated above should be followed. Personnel should be instructed on the new round sheets before they use them.

A master copy of each round sheet should be kept for updating and restocking the sheet as needed. The program for maintaining round sheets should incorporate a means for verifying that the sheets being used are current and correct. As round sheets are revised, outdated ones should be discarded. Blank round sheets should be kept in a place accessible to personnel such as a file cabinet easy to locate. During the revision process, it may be necessary to use round sheets with pen and ink changes until the master copy can be updated and revised round sheets distributed. Policies and procedures should address how this situation is handled and personnel should be instructed on their use. Each round sheet should have enough room to record 24 hours of data or at least a normal shift’s worth of data. If more than one data sheet is needed to record all work station data, the round sheets should be numbered. The space for recording data should be large enough to allow the full range of values to be recorded legibly. In addition to a place for recording data, round sheets should have the applicable work station printed on the sheet to prevent confusion. There should also be a space for recording the date and the times the rounds were conducted. This information will help when round sheets are reviewed or used to reconstruct events in a chronological order. Round sheets may include a narrative section if a separate work station narrative log does not exist. Personnel should use the narrative section or the log to document major evolutions, causes of abnormal conditions, and actions taken to correct abnormal conditions. Facility administrative policies and procedures should address the method for identifying out-of- specification parameters. Parameters exceeding the specified maximum or minimum values should be circled in red or otherwise highlighted on the round sheet. If a recorded parameter exceeds the highest or lowest acceptable value, or exceeds a minimum or maximum value, the causes of the abnormal indication should be promptly investigated and reported to the appropriate supervisor, manager, or control area. Supervisors should be kept aware of the situation and ensure that timely corrective action is taken. The cause and status of the abnormal parameters should be explained in the round sheet’s narrative section or the log. Data should be recorded on round sheets at the times specified. When round sheet data is not obtained within one hour of the specified time, the actual time the data was obtained should be noted on the round sheet. The reason for the recording delay should be annotated in the log or the narrative section of the round sheet and reported to the appropriate supervisor. The recorded data should be legible and should be recorded with an ink pen dark enough to be copied. If an incorrect entry is made on the round sheet, the mistake should be corrected. Facility policies and procedures should provide guidance for making round sheet corrections. One method for correcting a mistake is to make a single line through the mistake, initial and date the lineout, and write the correct data in the same block as the mistake. Since it is DOE-HDBK-1226-2019 Conduct of Operations Implementation 21 impossible to predict when a person will make a mistake, personnel should use only part of the block to record data. This will allow the person to make neat corrections within the same block. Correction fluid and other opaque agents should not be used to make corrections.

Personnel should know equipment parameters, where to find indicating devices such as voltmeters, the scale of the indicating devices, and expected normal values. Personnel should understand the significance of each value recorded on the round sheet, whether recorded by him/her or by a previous person. This is particularly true of out-of-specification readings. The round sheet data should be reviewed by a supervisor each shift to help identify trends or abnormal readings and to verify that the data has been properly recorded. This will require the supervisors be at least as knowledgeable of the subordinate work stations as the assigned personnel. Supervisors should periodically monitor assigned personnel performing rounds to ensure that comprehensive tours continue to be conducted. (Exhibit 3-2 is an example of an Operator Round Sheet.) DOE-HDBK-1226-2019 Conduct of Operations Implementation 22 Exhibit 3-2: Example of Operator Round Sheet Page No. 1 of ______ Date________________ Fu el O il St or ag e Ta nk 1 A (In ch es ) Lu be O il St or ag e Ta nk 1 A (In ch es ) W as te O il St or ag e Ta nk 1 A (In ch es ) Po ta bl e W at er St or ag e Ta nk 1 A (In ch es ) D C C on tro l P ow er Vo lta ge (V D C ) AC C on tro l P ow er Vo lta ge (V AC ) Ba tte ry V ol ta ge (V D C ) Lu be o il Pu m p D is ch ar ge P re ss ur e (P SI G ) Lu be O il R et ur n Te m pe ra tu re (º F) Fu el O il Pu m p D is ch ar ge P re ss ur e (P SI G ) Fl oo r S um p Le ve l (In ch es ) C oo lin g W at er Su pp ly T em pe ra tu re (º F) C oo lin g W at er P um p D is ch ar ge P re ss ur e (P SI G ) M ai n R oo m A ir Fl ow (S C FH ) Au xi lia ry R oo m A ir Fl ow (S C FH ) M ai n R oo m A m bi en t Te m pe ra tu re (º F) Maximum 60 38 25 50 28 130 28 40 180 75 24 30 30 95 High Normal 54 32 26 125 26 35 150 62 70 25 Low Normal 20 15 22 115 22 30 110 58 40 20 Minimum 10 8 5 20 110 20 251 90 55 5 5 50 Time 0000 0200 0400 0600 0800 1000 1200 1400 1600 1800 2000 2200 Shift Status Checks Shift Shift N D E N D E Main Room Emergency Equipment Check    Supervisor review    Auxiliary Room Emergency Equipment Check    Fire Suppression System Check    1 The lube oil pump automatic shutdown occurs at 24 psig. Main Room Safety Check    Auxiliary Room Safety Check    Remarks Always record operator name and shift turnovers. DOE-HDBK-1226-2019 Conduct of Operations Implementation 23 RESPONSE TO INDICATIONS Personnel should treat instrument indications as accurate unless there is reason to suspect a problem. In situations of doubt, personnel, environmental, and facility safety take priority over facility production. Ignoring an unusual reading because the person believes an instrument is faulty can cause abnormal conditions to go undetected. Personnel should use other indications, if possible, to confirm unusual readings. Redundant indicators, backup indications, or other process parameters could be used to verify an unusual reading. Personnel should also be alert for trends or a deviation from expected trends, such as cooling water temperatures rising with no increase in heat load. Prompt action should be taken to investigate the cause of abnormal or unusual indications to allow timely corrective action. When malfunctioning or inaccurate instruments are discovered, they should be tagged and repaired promptly.

RESETTING PROTECTIVE DEVICES Protective devices are mechanisms that protect a piece of equipment, a system, the facility, personnel, and the environment. Examples include circuit breakers, fuses, low-level pump shutdowns, or engineered safeguard system trips. When an automatic protective action occurs, the cause should be known, understood, and corrected, and proper authorization granted, before resetting the protective devices. Good judgment and specific guidance are necessary when resetting protective devices. Management should (a) provide such guidance and procedures, (b) specify the types of protective devices that can be reset without formal investigation, and (c) state how many times a device can be reset before investigating the problem. For example, if a protective device is reset and trips for a second time for no apparent reason, the device should not be reset until the cause is known and corrected. If a protective device causes an operational shutdown, a thorough investigation should be performed. SAFETY PRACTICES 3.7.1 Use of Safety Equipment Personnel should be instructed on the importance of adhering to the facility’s industrial safety program. In addition, they should be informed of the potential safety hazards in their work spaces. Ladders or other approved means such as a man lift or scaffold should be used to access equipment located in the overhead when permanent steps or catwalks are not available. Personnel should not climb or walk on facility components and insulation that are not designated as walking or stepping areas. Each facility should have a policy and checklist for working on or around energized equipment, considering the type and amount of energy. General considerations for energized work include: • Work on or around energized equipment should be performed only when there is no other recourse. Examples include emergency situations, adjustments that can only be made while equipment is operating, or corrective maintenance where an equipment failure, such as inoperative switchgear, that makes it impossible to determine whether the equipment is fully de-energized. • Personnel required to work under these conditions should be trained on the policy and the use of the checklist. DOE-HDBK-1226-2019 Conduct of Operations Implementation 24 • Personnel should exercise suitable precautions when entering or working on or around energized panels or equipment. Examples include proper PPE, standoff distances, and ensuring that electrical panel closures are securely fastened before making breakers operable to energize equipment. This reduces the potential for personnel injury if a fault causes breaker arcing during operation. Personnel working on or around high-pressure or high-temperature systems should exercise suitable precautions: • Facilities should have policies for these situations and train personnel who might encounter them. • Policies should include provisions for working with high pressure systems and around pressure relief devices. • Policies should include provisions for PPE when working around high temperature systems. 3.7.2 Personnel Exposure Personnel should be trained to follow good personnel protection practices and minimize their exposure to radiation, chemicals, electromagnetic fields, toxic materials, high heat, high noise levels and other personnel hazards. In particular, personnel should observe the following requirements: • Adhere to all posted requirements and observe proper practices and precautions.

• Wear proper hearing, eye, head, foot, and respiratory protection in designated areas to prevent injury. • Use prescribed monitoring instruments. • Know their own exposure levels and minimize additional exposure. • Know the proper use of radiation work permits and safe work permits. • Know inhalation limits, where applicable. • Report protection deficiencies or hazards promptly to supervisors. In addition, take immediate actions to reduce or correct the hazards in accordance with facility procedures. • Inform environment, safety and health personnel before performing evolutions or activities that may change personnel hazard conditions in the facility. • Inform personnel working within the work station of the personnel hazards present at the work station. Factors contributing to personnel exposure should be determined and actions taken to minimize exposure. Supervisors should periodically review the status of exposure for personnel under their supervision. An individual’s current exposure should then be compared to the relevant limit so a determination can be made if any additional controls are necessary to prevent personnel from exceeding allowable limits. 3.7.3 Operating Bases An operating base should be established and approved by management for each work station. Each operating base should be equipped with office equipment that allows personnel to maintain necessary DOE-HDBK-1226-2019 Conduct of Operations Implementation 25 procedures and references and to conduct administrative duties. Communication equipment should be available at the operating base. The operating bases should be located conveniently within the area of responsibility, with an alternate area designated in the event the normal area cannot be used because of maintenance or construction. Management should account for the noise level, radiation, and hazardous material conditions before approving an area since turnovers and other duties will be performed here. 3.7.4 Potentially Distracting Written Material and Devices On-shift operators may read training bulletins or technical manuals when shift duties permit. Reading of other materials not related to work should be limited to break periods taken away from the duty station. Personal phone calls, texting or emails should be forbidden at the work station except in emergencies. Operators should not engage in web browsing, watch or listen to video or music, play electronic or other games, or any other non-work-related applications or functions on smart phones, tablet computers, electronic smart watches, or other devices. Management should post rules on distractions at every work station. DOE-HDBK-1226-2019 Conduct of Operations Implementation 26 4.0 CONTROL AREA ACTIVITIES General Concepts Importance of Control Area Operations. The basic aim of a conduct of operations program is to minimize the likelihood and consequences of human fallibility or technical and organizational system failures. The program’s disciplined, structured operations seek to ensure professional, businesslike behavior by all personnel in all operations and areas, and this program is of the utmost importance in the control area. Large facilities may have a central control area for coordinating overall facility operations and several other areas designated as control areas for specific portions of the facility. Similarly, small facilities may have only one designated area that controls operations. The good practices provided in this section of the handbook can be used to enhance facility operations in any type of control area.

Control Area Purpose. The control area of a DOE facility is the focal point of safe and efficient facility operations. It is a central operating base and coordination point for important facility activities. A control area may range in size from a desk or computer terminal to a room of instrumentation and control panels. Although some of the parameters displayed in the control area may also be displayed locally, the control area provides a central area for displays, communications equipment, local and remote equipment controls, and an operating space for directing normal operations or casualty response. A professional atmosphere should be maintained so activities performed in the control area remain focused on the operation of the facility. A properly organized and structured control area should enhance safe and efficient operations. Good Practices: the following are good practices in this area: • Maintain a clean, quiet, neat and orderly environment to enhance control area professionalism, make it easier to operate, and make a positive statement about the personnel working there. • Limit the number of personnel in the control area to minimize noise, confusion, and possible distractions and to promote a formal, disciplined atmosphere. Control areas are generally small and can become noisy and distracting to operators unless the number of occupants is controlled and kept to the minimum necessary. • Monitor the instrumentation and control panels in the control area to provide personnel with current facility operating information and a means of detecting abnormal conditions before they become problem situations. • Limit or eliminate ancillary responsibilities assigned to the control area personnel. o When ancillary responsibilities are assigned, they compete with the primary responsibilities of monitoring and operating the instrumentation and control panels for the time and attention of control area personnel. o Overburdening control area personnel with ancillary responsibilities will distract them from properly monitoring facility parameters. o A structured program for assigning ancillary duties will prevent this situation DOE-HDBK-1226-2019 Conduct of Operations Implementation 27 CONTROL AREA ACCESS Facility policies should state access requirements for control areas. In many facilities, the control area is a marked-off portion of the facility, not a separate walled control room. Control area practices apply to both situations. In special cases involving security concerns, access may need to be more rigidly enforced through security policies and procedures. Access requirements include: • Asking permission to enter • Designating who may grant permission • Establishing time periods and operating conditions when personnel may or may not enter The policies also indicate the positions of personnel who have authorization to enter the control area without permission. Such personnel might include the Operations Manager or the on-duty Shift Supervisor. Personnel are to be instructed to adhere to procedures and restrictions for entering a control area. As a reminder to personnel, post the access requirements at control area entrances. Access to control areas that are without walls or partitions may require additional guidance, such as communicating from outside the control area into the area and what constitutes entry into the control area.

Access to the control areas of a facility should be limited to personnel on official business. Access should not be granted when additional personnel would obstruct the ability to monitor or control. Since information transfer in the control area is crucial to safe operations, during periods of turnover, access should be restricted to oncoming control area personnel needed for the turnover to reduce distractions and noise. During abnormal or emergency operations, entry should be limited to personnel attending to the situation. Reports should be communicated from outside work stations through work station communication equipment instead of attempting to access the control area. Access for non-work-related reasons should be prohibited. Necessary facility-related technical and administrative business should be conducted at a location that compromises neither control area personnel attentiveness nor the professional atmosphere. Access to a control area should be controlled by a designated individual, normally the lead control area person (cognizant manager, cognizant supervisor, or lead operator) who grants permission to enter. All facility staff should know who is designated to grant access. Control areas may contain one or more control panels. These panels should be clearly identified as “at- the-controls” areas. Control boundaries should be marked in an obvious way, for example, by using colored tape on the floor or chains limiting access. Facility policy should state who may grant permission to enter the “at-the-controls” areas. Permission should be obtained from this person before entry. A list of personnel who have authorization to enter, based on their job duties and responsibilities, should be established so that these persons can access the area without acquiring additional permission. Such persons might include control panel operators and control area supervisors. Access for additional persons into “at-the-controls” areas should be restricted to those personnel who have a work-related need to be in the area. DOE-HDBK-1226-2019 Conduct of Operations Implementation 28 PROFESSIONAL BEHAVIOR A formal, professional atmosphere is necessary in the control area. Only activities essential to supporting facility operation and activities authorized by management should be conducted in the control area. Control area personnel should direct their full attention to monitoring and controlling their facility operations. Potentially distracting activities such as internet surfing or texting should be prohibited. Personnel should not linger in the control area; they should exit the control area when their business is complete. Non-work-related discussions should be minimized. MONITORING THE MAIN CONTROL PANELS Control area personnel monitor instrumentation and control panels to ensure that the facility is operating safely. They should be alert and attentive to indications and alarms. They should frequently scan control panel indications, with emphasis on trending and detecting problem situations early, and taking prompt action to determine the cause of abnormalities and correct them. Facilities should develop procedures for timely alarm response actions. Control area personnel should inform the lead control area person of each alarm and take actions to identify and correct its causes. Operators should take all reasonable action to clear alarming conditions and monitor abnormal conditions resulting from the alarm more frequently until they have returned to normal.

During evolutions, operators should monitor affected instrumentation and control panel indications more frequently until indications stabilize. The number of concurrent evolutions affecting instrumentation and control panel indications should be limited so that personnel can detect and properly respond to abnormal conditions. If necessary, the lead control area person should stop one or more of the evolutions or assign additional personnel to assist in monitoring. The lead control area person should ensure that monitoring of non-affected indications continues during these situations. If computer or automated monitoring and control systems are used, they should be monitored for proper operation. In addition, manual response should back up these systems. For example, if a variable exceeds an action setpoint and the action does not occur, personnel should initiate manual action. In these cases, control area personnel still have the responsibility to monitor and control facility operation. OPERATION OF CONTROL AREA EQUIPMENT Duties and responsibilities for control area personnel during normal, abnormal, and emergency situations should be well defined. Administrative policies and procedures should specify the personnel requirements for operation of control area equipment. Operation of control area equipment should be performed only by authorized personnel. Equipment to be controlled and monitored by each control area person should be specified. Control area personnel should receive training on their duties and responsibilities. A list of personnel authorized to operate control area equipment should be maintained in the control area. Trainees who operate control area equipment should be supervised and controlled by the person who is authorized to operate that equipment. The person supervising should not allow the trainee to perform operations without direct supervision. DOE-HDBK-1226-2019 Conduct of Operations Implementation 29 The equipment controls in a control area may operate emergency equipment or remote equipment in hazardous areas such as high radiation zones. In either case, unauthorized operation of controls may hinder facility operation, stop facility operation, or create an adverse environmental, safety, or health situation. These situations can be avoided by identifying who has the authority and responsibility to operate control area equipment. CONTROL AREA ANCILLARY DUTIES Ancillary duties of control area personnel should not affect their ability to monitor and operate instrumentation and control panels. Their administrative duties should be minimized. Activities such as preparation of lockouts and tagouts, review of maintenance work activities, assisting maintenance groups, required reading, or housekeeping should be conducted in a manner to minimize the effect on their primary duties and responsibilities. Administrative activities should not normally be performed by personnel within the “at-the-controls” area. Facility policies and procedures should address ancillary duties and responsibilities. Within the control area, the lead control area person should have the responsibility for ensuring that ancillary duties do not compromise primary job duties. Ancillary duties should not be performed during off-normal or emergency situations. These situations should command the complete attention of the control area personnel. Control area personnel should be instructed on the importance of not allowing their ancillary duties to interfere with their primary duties and responsibilities.

DOE-HDBK-1226-2019 Conduct of Operations Implementation 30 5.0 COMMUNICATIONS Communication problems have caused many adverse situations in DOE facilities. Inadequate verbal communication practices can be identified as a causal or contributing factor in human performance- related events. Principal areas in which poor verbal communications practices can cause problems include shift turnover, pre-job briefings, and during job performance. Facilities can reduce the contribution of poor communications practices to adverse situations by ensuring that verbal communications are conducted in a formal and disciplined manner and that communication systems are properly used. Formality in communication is especially important when personnel safety is involved or complex evolutions are performed. Just as there are different messages to be communicated, there are different methods of audible communication: face-to-face, party-line, point-to-point, and public address announcements. Each method requires the use of specific techniques to effectively communicate the necessary information. This section presents communication techniques that have proved successful in the commercial industry, government, and the military. EMERGENCY COMMUNICATION SYSTEMS The facility emergency communication system should provide for prompt alerting to all personnel for facility emergencies. The public address system should normally be used to make emergency announcements. Alternate methods, such as flashing lights, personal pagers, and individuals dedicated to notifying in person should be used to alert personnel in high-noise areas. The emergency communications system should also allow personnel from any point in the facility to make emergency communications to the control area (throughout section 5.0, “control area” is the location where central communications originate). Designated facility telephone numbers should be established to report concerns or problems. Numbers should be easy to remember, such as: • 111 (Security problem) • 222 (Radiological concern) • 333 (Fire, personnel injury, abnormal or emergency operational condition Channel 3 on the public address system, while normally used for operations, may also be used for emergency communications. Direct telephone communication lines should be provided between the control area and the emergency response facilities to improve emergency response to accidents. These communication links should only be used during a declared emergency event, during authorized testing, or when authorized by the shift supervisor. Specific guidance for the use of these communication links should be in the site emergency plan and implementing procedures. TESTING COMMUNICATION SYSTEMS Policies and procedures should address testing of communication systems. At a minimum, emergency communication systems should be tested periodically to ensure that they are operable, and it is advisable DOE-HDBK-1226-2019 Conduct of Operations Implementation 31 to test all communication systems. Testing periodicity for certain emergency communication systems is generally governed by federal and state requirements. The test periodicity for non-emergency communication systems should correlate to the risk associated with not being able to use the communication system. In addition, a test of a communication system should be performed prior to conducting procedures that require use of the system, and anytime system operability is in doubt. A physical inspection of all communication equipment, system connections, transmitters, and antennas should also be performed.

A check of all facility areas should be periodically performed to make certain that facility personnel can be alerted to emergency conditions. As part of the operability check of the emergency communication system, personnel throughout the facility should make reports to the control area, acknowledging an acceptable test. The following external emergency communication systems/paths should be periodically tested: • Communications between the facility and DOE • Communications between the facility and state and local government agencies • Communications between the control area and offsite facility support centers, if they exist COMMUNICATION SYSTEMS Communications systems should be implemented to ensure that control areas can quickly contact personnel throughout the facility. In addition, these systems should allow contact between personnel outside of the control area. 5.3.1 Party-line Communication Systems A party-line communication system allows more than two work stations to communicate on the same communication line at the same time. If a party line communication system is used, the sender should check the line to verify that the line is clear prior to establishing communications. This should prevent “cutting in” on other conversations. In addition, the sender and receiver identification should be included in each message. To gain access to a party line in the event of an emergency, the phrase “Silence on the line, this is an emergency” should be used to clear the line for priority communications. Example party-line radio communications concerning filling and venting of Service Water piping: Auxiliary Operator (AO) to Outside Facility Equipment Operator (FEO): “Outside FEO, this is the AO. Vent service water header one Bravo using valve Sierra Whiskey one seven.” Response by Outside FEO: “AO, this is the Outside FEO. Vent service water header one Bravo using valve Sierra Whiskey one seven.” Acknowledgment by the AO: DOE-HDBK-1226-2019 Conduct of Operations Implementation 32 “Outside FEO, this is the AO. That is correct.” 5.3.2 Point-to-Point Communication Systems A point-to-point communication system allows only two work stations to communicate on a communication line at one time. If a point-to-point circuit is used, the sender and receiver identification need only be established on the initial contact. Example point-to-point telephone communications concerning a Waste Evaporator Distillate Tank: Radwaste Facility Equipment Operator (FEO) to Control Room Operator (CRO): “CRO, this is the Radwaste FEO. The Waste Evaporator Distillate Tank is full. Request to pump the Waste Evaporator Distillate Tank to Waste Holdup Tank Alpha.” CRO to Radwaste FEO: “Radwaste FEO, pump the Waste Evaporator Distillate Tank to Waste Holdup Tank Alpha.” Response by Radwaste FEO: “Pump the Waste Evaporator Distillate Tank to Waste Holdup Tank Alpha.” Acknowledgment by CRO: “That’s correct.” 5.3.3 Public Address Systems Public address systems may be used to update facility personnel of the status of an abnormal or emergency condition, changes in facility status, or major facility events either in progress or anticipated. Administrative policies and procedures should address the effective control of the public address system. Public address systems, if used, should be designed to be heard throughout a facility. When using the public address system, senders should speak slowly, deliberately, and in a normal tone of voice. Since the system is heard throughout the facility, the sender normally need not specify a receiver. An exception to this rule would be during casualties when the control area would direct actions using the public address system.

Announcements of abnormal or emergency conditions should be made twice. If an audible alarm signal is used in conjunction with the public address system to warn personnel of an abnormal or emergency condition, the alarm should be activated once, before the announcement. The alarm signal will alert personnel to listen for the message that follows. Where noise levels are excessive, other means of communicating emergencies should be considered, such as flashing lights. Repeat-backs and the identification of sender and receiver may be omitted. When using the public address system to announce remote starting of major equipment, the announcement should be made, followed by a short pause, and then the equipment started. The pause is required to allow personnel to move away from the equipment. DOE-HDBK-1226-2019 Conduct of Operations Implementation 33 If other communication systems (such as telephones) can be used to access the public address system, the control area or management should have the capability to override those systems. The use of the override should be authorized only for emergency announcements and authorized tests. Policies and procedures should clearly define who may use the public address system from these other sources, and in what circumstances. COMMUNICATION EQUIPMENT Facilities should ensure that adequate communication equipment is accessible to meet notification requirements. They should evaluate their potential for public endangerment or harm to the environment, and determine what alternate methods of notification are needed in the event of primary communications equipment failure. High-risk facilities commonly use dedicated phone lines or data links as the primary method for emergency notifications, backed up by ordinary phone lines, radio networks, cellular phones, and other methods. Low-risk facilities may be adequately served by ordinary phone lines, supplemented by paging devices or cellular phones if notifications may be required for off-shift or roving personnel. 5.4.1 Portable Radios Portable radios systems have at least one station that is remote and portable, and usually includes at least one fixed base station. In radio systems, all stations are capable of direct communication with other stations and do not require each device to connect to a radio network to connect with other devices the way a cellular telephone system does. They are an effective means of communicating with personnel who tour large work stations, especially when the tour takes them away from stationary communication equipment. Portable radios used in normal facility operations may also be used in an emergency to communicate with mobile units. Prior to assigning a portable radio to a work station, it should be tested from all areas within the work station. This test will ensure that communications can be established, especially during emergency situations. Because of structural interference from walls, large equipment, and support structures, power output of the radio may be insufficient to communicate. In this situation, consideration may be given to raising the output power of the radio. If a portable radio cannot be used from specific areas within a work station, alternate communication equipment is needed. Since portable radios are a large contributor to control area noise levels and radio frequency interference, their use needs special attention. A list of all electronic cabinets that are susceptible to radio frequency interference should be established and posted with signs prohibiting use. Portable radios should not be keyed within approximately 10 feet of posted electronic cabinets.

Facilities may dedicate specific channel frequencies for different organizations. For example: • Channel 3 for operations department personnel and for other personnel when reporting abnormal operational conditions to the control area (In this case the control area should continuously monitor channel 3.) • Channel 4 for dedicated support groups, such as maintenance and facility services • Channel 5 for security force personnel DOE-HDBK-1226-2019 Conduct of Operations Implementation 34 5.4.2 Sound Powered Phones Sound powered phones allow communications between two or more specific stations without the need for external power. Sound powered phones may be used with party-line or point-to-point communication systems. Since sound-powered phones require no external power, they can be used during power outages. When available, this is the preferred communication equipment for routine testing, post-maintenance testing, or special operational situations that require coordination through communication. 5.4.3 Pagers Pagers may be provided to operating personnel working in areas where the public address system cannot be heard. Pagers that vibrate and can be felt may also be used in work areas with high noise levels. Pagers may also be appropriate for areas where security considerations preclude the use of two-way radios or cellular phones. 5.4.4 Wired Telephones Wired telephones, those used for normal telephone communication, are an acceptable form of facility communications. Since telephone lines already exist in most facilities, spending additional money to install extra systems may not be needed. One drawback to standard telephone systems is that they are normally point-to-point systems and a sender may get a busy signal when trying to make an emergency communication. Alternate emergency communication devices should be used to preclude this situation. 5.4.5 Cellular Telephones Cellular telephones may provide adequate communications for some operations, especially for outdoor operations in undeveloped areas, such as remote monitoring wells or airborne sampling points, isolated equipment, or for roving or mobile services. Facilities should bear in mind special considerations, including adequate signal coverage, equipment expenses, battery life, and whether to use personal or organizational mobile devices. Cellular telephone networks can be overloaded and fail due to call volume in emergencies, and may not provide viable emergency communications for operations or emergency response. 5.4.6 Data Network-Connected Devices For facilities with wired or wireless data networks (Ethernet or Wi-Fi), communications devices may include computer workstations or tablet devices with text, voice, or data communications applications. If a facility uses such systems, the communications plan should include provisions for system integrity from cyber-attacks and unauthorized uses, ensuring system reliability and availability under upset conditions, and backup communications methods in the case of a system failure. This type of communications system has special considerations since it may be subject to “internet of things” attacks and vulnerabilities, software-related failure modes, operators loading unauthorized and distracting applications, and other information technology issues. If tablet devices are cellular data capable, they can provide text, instant message, or e-mail communications via a cellular network as well as a data network, but could suffer the same network overload failures as cellular telephones during emergencies.

DOE-HDBK-1226-2019 Conduct of Operations Implementation 35 VERBAL COMMUNICATIONS ATTRIBUTES All of us depend on verbal communication for the exchange of information or instructions. Depending on the job, an individual may be responsible for transmitting or receiving information in the form of operating instructions, feedback on the results of operations, reports of operational data, or emergency warnings and instructions. Whether through face-to-face or electronic communication, information has to be (a) transmitted and received, (b) accurate and complete, and (c) most importantly, understood. Verbal instructions should be clear, concise, and correct. Before sending instructions, a sender should plan what to say and then say it to him/herself to ensure that it has all of the message attributes. Then the sender should say it to the intended receiver. 5.5.1 Clear Operational communications need to be free from ambiguity. Messages that contain words with multiple meanings or similar sounds may be confusing. Using alternate words may help, for example, say “raise” and “lower” instead of “increase” and “decrease.” Another example is using “shut” instead of “close” because “close” sounds similar to “open,” particularly in a noisy environment. Slang and expletives should not be used. Equipment noun names and numbers should be used, as in “open feedwater pump discharge valve one six.” When communicating alphanumeric information, both sender and receiver should use a phonetic alphabet to ensure clarity and minimize the potential for misunderstanding. Exhibit 5-1 is a suggested phonetic alphabet (the International Radiotelephony Spelling Alphabet). This practice may be used together with approved and well-known standard abbreviations such as “ACW” for auxiliary cooling water. Exhibit 5-1: Phonetic Alphabet A Alfa B Bravo C Charlie D Delta E Echo F Foxtrot G Golf H Hotel I India J Juliett K Kilo L Lima M Mike N November O Oscar P Papa Q Quebec R Romeo S Sierra T Tango U Uniform V Victor W Whiskey X X-ray Y Yankee Z Zulu DOE-HDBK-1226-2019 Conduct of Operations Implementation 36 Only facility-approved terminology, equipment identifications, and abbreviations should be used. A list should be developed of standardized and facility-specific terminology to be used during communications. This list should include the terms, applicable written abbreviations, and verbal acronyms. 5.5.2 Concise Operational communications should be as brief as possible. The key is to keep the message as short as possible while still effectively communicating the information. Using approved verbal acronyms should keep messages short. This is especially important during emergencies, for example, when a work station reports an emergency condition to the control area. However, when using the public address system to announce emergencies such as a fire, the use of acronyms should be avoided. 5.5.3 Correct The message should be specific to ensure that the correct unit or component (Alfa or Bravo; 1 or 2) is identified. Noun names and equipment numbers should be used together to ensure that the message is properly transmitted and received. FORMAT Operational communication should use a standard format to ensure consistency and effectiveness. The suggested format is: • Establish communication • Transmit message • Repeat-back message • Confirm repeat-back ESTABLISHING COMMUNICATIONS

Before transmitting a message, communications are established between the sender and the intended receiver. The sender should identify the intended receiver and then him/herself. Either formal names or work station titles may be used as identification; however, work station titles are preferred. Example: “Control Room Operator, this is the Auxiliary Operator.” This lets the person receiving the message know who is directing an action or requesting information. When answering a phone or radio, the receiver should identify the work station followed by his/her title or name. Example: “Control Area, Control Room Operator.” This lets the sender know if he/she has contacted the intended location and person. DOE-HDBK-1226-2019 Conduct of Operations Implementation 37 5.7.1 Transmitting the Message Once communications have been established, the message text can be transmitted. The message attributes presented earlier should be used during transmission. Example: “Building Operator, this is the Control Area Operator. Open Cooling Water Suction Valve, Foxtrot two five.” The receiver should make notations when receiving complex or lengthy communications to ensure that important information is not forgotten. For example, operators should write down valve numbers and final valve position when directed to reposition valves in a specific sequence. This ensures that actions are correct and in the required sequence. If the receiver does not understand the message, he/she should ask the sender to repeat or rephrase the message. If the message is an abnormal or emergency condition report, personnel should exercise additional care to speak slowly, clearly, and accurately. These reports should include the nature, severity, and location of the problem. During abnormal or emergency reports, communication lines should be kept open for subsequent reports. If conditions require immediate evacuation, contact should be reestablished with the Control Area after evacuation is complete. 5.7.2 Repeat-back In operational communications, the receiver should repeat the message back to the sender. This is especially important when receiving instructions involving operation of facility equipment to assure the sender that the instruction is correctly understood. A verbatim repeat-back is preferred, although paraphrasing may be used as long as the intent of the message is clearly stated. If notations of equipment, numbers, and positions were made during the original transmission, the repeat-back should contain the same information. Example: “Control Area, this is the Building Operator. Understand, open Cooling Water Suction Valve, Foxtrot two five.” The sender listens carefully to repeated messages to ensure the receiver understands the message. If the receiver repeats the message incorrectly, the sender should immediately correct the receiver by saying “Wrong” and repeat the message until properly received. 5.7.3 Confirmation After the repeat-back, the sender should confirm or correct the receiver. The absence of the confirmation step may result in miscommunication because the receiver may have misheard the instructions and repeated erroneous information. A lack of response by the sender may be misinterpreted as silent confirmation that the repeated message was correct. However, the receiver should not carry out the action until confirmation is received. Example: “Building Operator, this is the Control Area Operator. That is correct.”

DOE-HDBK-1226-2019 Conduct of Operations Implementation 38 5.7.4 Report-backs Another part of operational communication is the report-back. When directed to perform a task, a report should be made concerning the completion of the task or difficulties encountered as soon as possible. The appropriate supervisor or control area operator should acknowledge this communication so that the sender is confident the report was received. 5.7.5 Briefings for Operators Briefings can provide information to operators during normal and emergency operating conditions. Information should be concisely transferred among the operators by well-organized briefings. Managers can ask questions or review assignments to verify that the operators understand the information presented, after completion of the briefings. During facility operation, the briefings should be held before facility activities such as surveillances, maintenance troubleshooting, or component manipulations. Briefings should be conducted frequently during abnormal or emergency operating conditions, to confirm that operators understand facility conditions and emergency procedures. 5.7.6 Face-to-Face Communication Face-to-face communication is performed when the sender and the receiver are in the presence of each other. The sender’s title may be omitted from the message; however, the sender should ensure that the intended receiver receives the message when two or more people are in the immediate area. The use of sign language in lieu of audible communications should only be performed in accordance with prescribed guidelines. Example: Face-to-face operator communications to increase Service Air Header pressure: Control Room Operator (CRO) to Facility Equipment Operator (FEO): “Facility Equipment Operator, raise Service Air Header pressure to one five zero pounds.” Response by FEO Operator: “Raise Service Air Header pressure to one five zero pounds.” Acknowledgment by CRO: “That’s correct.” DOE-HDBK-1226-2019 Conduct of Operations Implementation 39 6.0 CONTROL OF ON-SHIFT TRAINING General Concepts Need For Hands-On Training. On-shift training provides the mechanism for applying the knowledge and skills learned in the classroom, through self-study, and in the laboratory to operating the facility. On- shift training activities are required to provide the trainee with hands-on experience, because neither an outstanding classroom presentation of fundamentals and facility-specific knowledge nor specific laboratory exercises sufficiently prepares an operator to operate a facility safely and efficiently. Purpose of Controls. Since on-shift training allows unqualified personnel the opportunity to operate the facility, controls are to be implemented during the performance of on-shift training to ensure that the facility is operated safely and reliably. These controls should prevent accidental, inadvertent, or incorrect manipulation of components, equipment, or systems by trainees. Both on-shift instructors and trainees should clearly understand the controls that regulate the performance of on-shift training.

OJT Methods. On-shift training is commonly conducted using the instructional method of on-the-job training (OJT). This form of training has proven very effective in qualifying trainees. OJT addresses the steps necessary to successfully train an individual in the performance of a task, but does not specifically address the controls of the training process and their relationship to the operation of the facility. This Conduct of Operations Handbook section addresses the formal, disciplined controls that are required in the operating environment to ensure that on-shift training is conducted safely and efficiently. For information concerning the OJT process, refer to the National Training Center’s (NTC) Training Best Practices website: https://sites.ntc.doe.gov/partners/tr/Training%20Best%20Practices/Forms/AllItems.aspx. The web site archives a number of training-related Handbooks formerly in the DOE Technical Standards Program, plus other training techniques. Content of Training. On-shift training includes: • Activities that a trainee performs in the operating environment under supervision • Training activities that are performed in the operating environment as part of the operator continuing training program The primary purpose of on-shift training is to allow personnel to acquire first-hand experience by performing or observing operations, special processes, tests, inspections, and other work activities. Need for Qualified Instructors. In addition to the necessary administrative controls, personnel qualified both as instructors and as operators are also important to the successful control of on-shift training for the following reasons: • Competent instructors ensure quality and consistent training of potential operators without compromising the safety and reliability of facility operations. https://sites.ntc.doe.gov/partners/tr/Training%20Best%20Practices/Forms/AllItems.aspx DOE-HDBK-1226-2019 Conduct of Operations Implementation 40 • Trainees receive the best and most consistent training concurrent with meeting the production goals of the facility when the instructors are proficient in performing their assigned operational duties while conducting on-shift training. • These instructors are best able to interrupt the training when a compromise to safety becomes evident. ADMINISTRATIVE CONTROLS FOR THE CONDUCT OF ON-SHIFT TRAINING The Training Department should specify the requirements for a formal on-shift training process to ensure consistent performance of on-shift training activities. Administrative policies or procedures should be established to govern trainee prerequisites, instructor qualifications, and training program coordination. Cognizant line managers and supervisors should be involved in determining training program content, establishing performance standards, and implementing the program through proper coordination. Involving managers and supervisors helps provide resources, technical input, and commitment to schedules. This involvement also provides the managers and supervisors with insight to the qualification process and its relation to the work assignment. 6.1.1 Trainee Prerequisites Prior to beginning the on-shift training process, the trainee should be taught fundamental technical and administrative knowledge. The fundamental technical knowledge should be derived from a task analysis to ensure that the training is appropriate for the actual job performance. The Training Program Handbook DOE-HDBK-1078-94, Training Program Handbook: A Systematic Approach to Training, and DOE O 426.2, Personnel Selection, Training, Qualification, and Certification Requirements for DOE Nuclear Facilities, contain procedures and information to systematically determine training needs.

The trainee should understand safety practices and procedures, work station responsibilities and authorities, and administrative procedures. The instructor should ensure that the trainee understands basic information affecting attention to detail, attitude toward the job, and awareness of the work station’s relationship to plant reliability and safety. 6.1.2 Coordination of Training in the Operating Environment On-shift training activities should be scheduled based on the operating schedules of the facility. This allows trainees to take full advantage of the facility’s schedule, minimizing effects on the facility and maximizing the effectiveness of training. In order to maximize training within the operating schedule, the Training Department and the Operations Department need to integrate their respective schedules. In addition, policies and procedures should assign responsibility to a specific individual for coordinating on- shift training. For the purposes of this Handbook, the person with this responsibility will be referred to as the training coordinator. For facilities using a rotating shift or multiple-shift crews, this responsibility may be delegated to one training coordinator per shift. Using one person per shift should increase training efficiency because training can be rescheduled as necessary to take advantage of unusual or infrequent activities that might arise during a shift. DOE-HDBK-1226-2019 Conduct of Operations Implementation 41 6.1.3 Approval of the Operator Qualification Program The operator qualification program should be approved by the operations manager and the training manager to ensure that both operational needs and training requirements are satisfied. Changes to the program should be coordinated with the Training Department. 6.1.4 Instructor Qualification To ensure that training is effectively performed in the operating environment, on-shift training should be conducted by specially selected, qualified operators. The selection should be based on items such as communication skills, technical knowledge, and the ability to impart hands-on experience to trainees. This may require dedicated on-shift instructor training for operators. At a minimum, this training would cover special instructor techniques on avoiding misoperation or damage to equipment by, for example, inadvertently throwing a breaker. Training Department personnel or Operations line management may conduct on-shift training as long as they remain current in their operator qualifications. The requirements for maintaining operator proficiency should be specified in facility procedures. Potential instructors should complete an instructor internship prior to conducting training in the operating environment. During an instructor internship, a potential instructor would conduct on-shift instruction while under the observation of a qualified instructor or member of training department management. This allows the candidate to acquire supervised practical training similar to mentoring. An instructor internship is designed to verify and strengthen the instructor candidate’s instructional abilities within the operating environment. It also gives a candidate’s supervisor the opportunity to monitor and evaluate the candidate’s instructional and technical competency in a specific training setting.

A qualified instructor should train the instructor candidate on the facility’s on-shift training requirements. To ensure consistency in training, items to be performed should be outlined on a qualification card. When the qualified instructor is satisfied that the instructor candidate has demonstrated adequate instructional skills, the qualified instructor should sign the qualification card and recommend the individual for a final evaluation. The cognizant supervisor should conduct a final evaluation of the instructor candidate’s instructional abilities and competencies during an actual on-shift training session. If the instructor candidate is evaluated as satisfactory, the supervisor should sign the qualification card and ensure that the individual’s name is entered in the appropriate documents (such as personnel/training records) for tracking qualifications. For more information on instructor training, refer to archived DOE-HDBK-1001-96, Guide to Good Practices for Training and Qualification of Instructors on the NTC resources site at https://sites.ntc.doe.gov/partners/tr/Training%20Best%20Practices/Forms/AllItems.aspx. SUPERVISION AND CONTROL OF ON-SHIFT TRAINING The classroom, self-study, and laboratory training portions of the qualification program should provide a trainee with the knowledge and basic skills to perform tasks at a work station. The on-shift training portion of the qualification program should provide the trainee with actual hands-on operation of the facility while under instruction. Unlike training conducted in a simulator or training facility, on-shift training causes the trainee to affect the status of facility operations. For this reason, the on-shift training https://sites.ntc.doe.gov/partners/tr/Training%20Best%20Practices/Forms/AllItems.aspx DOE-HDBK-1226-2019 Conduct of Operations Implementation 42 is closely supervised and controlled in a way that prevents the trainee from accidentally operating a component, piece of equipment, or system that might cause danger to personnel, to the environment, or adversely affect the operation of the facility. 6.2.1 Pre-Training Briefing Prior to beginning an on-shift training session, the instructor and the trainee should meet to discuss the upcoming session. This meeting is designed to set the ground rules for the session, discuss the events that will take place, and advise the trainee of the information he or she will be responsible for. This requires that the instructor and the trainee have full knowledge of the scheduled training items. 6.2.2 Setting the Ground Rules Before beginning on-shift training, the trainee should understand what is expected. A standard for control of on-shift training that can be easily understood and followed by the trainee and the instructor should be defined in the administrative policies. This should provide a stable on-shift training environment. All trainees should understand that they are actually operating the facility when performing a task. Unlike training that is performed in a training center or simulator, an incorrectly operated valve, switch, or control may adversely affect a process, an experiment, or the operation of the facility. Trainees should have a clear understanding of what they are about to do, why they are doing it, and the expected effects their actions will have on the equipment, system, or process. If the trainee cannot answer these questions, he/she should get clarification prior to performing the actions.

The trainee should also be aware of the mobility limitations and should remain in sight of the instructor at all times so that the instructor can maintain control of the trainee during the hands-on situation. A good practice is to have the trainee stay within arm’s length of the instructor when the trainee operates equipment. Although it is the responsibility of the instructor to supervise the trainee, it is the trainee’s responsibility to be in a position to be supervised. Trainees should also understand that any official round sheets or narrative logs that they use to record facility parameters or remarks are formal documents. Although it is the instructor’s responsibility to ensure that all data or remarks are correctly recorded, it is the trainee’s responsibility to correctly and accurately record the information in a legible, precise, and understandable manner. 6.2.3 Previewing Scheduled Training The on-shift training schedule should contain a list of all training that is scheduled for a given period. The training coordinator is responsible for developing the schedule. Discussing the scheduled training prior to its occurrence will help the instructor determine how well the trainee is prepared and may also help the trainee gain an understanding of the relationship between upcoming training activities and the operational schedule. If the scheduled training conflicts with the operational schedule, the training coordinator should be contacted to modify the training schedule. DOE-HDBK-1226-2019 Conduct of Operations Implementation 43 6.2.4 Knowledge Spot Check The instructor may use the pre-training briefing to determine if the trainee has the required knowledge and skills to perform the training tasks. If the trainee does not have the required knowledge and skills, the instructor should not let the trainee operate equipment; however, the trainee may be allowed to observe the tasks to gain more knowledge. Information on suitable methods for conducting a knowledge spot check can be found in the OJT Guide to Good Practices (NTC Training Best Practices Website, item 0, sub item 04). 6.2.5 Supervising On-Shift Trainees An on-shift training session allows a trainee to operate portions of the facility from a specific work station. Because each action performed by the trainee actually changes the status of the facility, the trainee is closely supervised to prevent an adverse situation from arising. Careful and competent supervision of a trainee will prevent mistakes that could lead to an adverse situation. 6.2.6 Placing the Trainee at Ease Immediately prior to beginning a period of on-shift training, the instructor should try to put the trainee at ease. Although the trainee may have had some prior basic instruction, the trainee may not have had experience with this particular type of work. The trainee should be fully briefed on all aspects of operations prior to the start of hands-on performance. 6.2.7 Commencing Training Since an on-shift training session allows a trainee to operate equipment at a particular work station, the trainee should perform a turnover with the instructor and also sign into the narrative log, if applicable. The trainee should annotate in the log that he/she is assuming the duties and responsibilities for the work station under instruction. (See also sections 12.0, Logkeeping, and 13.0, Operations Turnover.) 6.2.8 Control of Trainees

Instructors are responsible for maintaining control of trainees assigned to their work stations. A trainee is not permitted to operate equipment without direct instructor supervision. Prior to allowing a trainee to operate equipment, the instructor should: • Have the trainee review the procedures and reference documents required for performing the task. • Have the trainee explain the action to be performed, including any cautions and notes. • Have the trainee physically identify the component to be manipulated. • Assume a position to observe the trainee’s action and to prevent the trainee from incorrectly operating the equipment. These steps should be followed every time a trainee operates equipment until the trainee has demonstrated proficiency in performing the action. Even after a trainee has shown proficiency for a task, the instructor should not become complacent. The trainee may still not be aware of all problems that could occur. DOE-HDBK-1226-2019 Conduct of Operations Implementation 44 Since the instructor still has the ultimate responsibility for the work station, he/she should remain in a position to intervene. 6.2.9 Communications During Training Since communications are an important aspect of operations, proper communication techniques should be reinforced during on-shift training. The need to pass information to operators or supervisors is an essential part of operations in all facilities. This is especially true if the position requires communicating with other work stations during the normal performance of work station activities. The trainee should perform the proper communications as part of the training. The instructor should monitor all trainee communications, correct the trainee when necessary, and not allow incorrect information to be transmitted. See Section 5.0, Communications, of this Handbook for additional information. Specific factors that can help promote successful communication training are: • Using dual communication devices (walkie-talkies, handsets, phones) • Requiring the trainee to say the information to the instructor prior to the actual communication • Correcting errors in trainee communications immediately 6.2.10 Suspension of Training Suspension of training is a formal cessation of the training session that may or may not be resumed depending on the situation. When this is necessary, the instructor should inform the trainee that training is suspended and that the instructor now has control of the work station. The trainee should have no doubt that training is terminated and that the trainee is to immediately stop whatever he/she is doing. The use of a clear, mutually understandable phrase, such as “hands off,” should be spoken in conjunction with the suspension. When the phrase is used, it should be a clear signal to the trainee that the instructor has taken over the control of the work station. If training is later resumed, the instructor should ensure the trainee is aware of the resumption and acknowledges the condition. Suspension and resumption (if applicable) of training should be recorded in the narrative log. Training should be immediately suspended in the event of unanticipated or abnormal situations. Since the instructor is responsible for operating the facility, training should also be suspended whenever the instructor believes suspension is necessary to ensure safe and reliable facility operation. The responsibility for assessing all abnormal and accident conditions and taking action remains with the instructor.

During abnormal or emergency conditions, trainees may provide assistance such as making log entries if the instructor determines that the trainee is knowledgeable and skillful enough to assist in responding to the situation. When a training session is suspended for the remainder of a shift, the trainee should sign out of the narrative log. This signifies the official conclusion of the training session. In order to achieve some DOE-HDBK-1226-2019 Conduct of Operations Implementation 45 benefit from a suspended training session, the instructor may allow the trainee to remain at the work station to observe the instructor perform the assigned tasks. The trainee should stay in a position to observe without obstructing the instructor. An exception to this practice would be if training was suspended for an abnormal or emergency condition, and the condition required evacuation of all unnecessary personnel. In this case, the trainee should evacuate from the premises. 6.2.11 Maximum Number of Trainees Normally, on-shift training, when performing OJT, should be conducted one-on-one. Because of operational commitments or task performance frequency, it may become necessary to simultaneously train more than one person on a task. In these cases, management should determine the maximum number of trainees allowed to participate in a training evolution. This determination should consider the potential for adverse effects on the facility and ensure effective, high-quality training. Supervisors should ensure that established limits for number of trainees are observed. In addition to trainees assigned as operators under instruction on a station, other trainees may be observing a task or studying components and systems at the work station. They should be supervised or at least instructed of their responsibilities while at the work station. Although there might not be prescribed limits for this situation, operators should limit the number of trainees so that they can continue to operate safely and efficiently. 6.2.12 Concluding On-Shift Training If training concludes before the end of the shift, the instructor should formally conclude the on-shift training session by informing the trainee and receiving a turnover from the trainee. If training continues for an entire shift, the trainee should conduct a turnover to the oncoming operator (or trainee, if there is one) and the instructor should conduct a turnover to the next instructor or operator, either in entirety or supplementing the trainee’s turnover, but always ensuring a complete turnover. The instructor should evaluate the training session after conclusion. If the instructor remains on shift while the trainee goes off, the instructor should be careful to conduct the evaluation without letting it interfere with their ability to continue operating. For information on performing evaluations, refer to the OJT guide on the NTC resources site at https://sites.ntc.doe.gov/partners/tr/Training%20Best%20Practices/Forms/AllItems.aspx. TRAINING DOCUMENTATION On-shift training documentation should be consistent with Training Department requirements and should be formally documented. The use of qualification cards has proven effective for documenting training. The documentation requirements, including who, how, and when to document training, should be clearly defined and understood by the instructors and the trainees. For additional information on training documentation refer to the OJT guide on the NTC resources site.

In addition to documenting training in the qualification card, training events should be annotated in the work station narrative log, if applicable. Since narrative logs contain a chronological list of all operational activities that occurred during a specific shift and since most training events are operational activities, the majority of events should already be recorded. Using the narrative log to record events https://sites.ntc.doe.gov/partners/tr/Training%20Best%20Practices/Forms/AllItems.aspx DOE-HDBK-1226-2019 Conduct of Operations Implementation 46 performed during a training session will make it easier to document all training that occurred during a session. USING TRAINEES TO SUPPORT OPERATIONS Facility policies should address how trainees may be used to support operations. Trainees should not be asked to perform tasks that they are not qualified to perform. An example of effective use of trainees would be qualifying trainees to carry out fire watches. Prior to assigning trainees to assist with administrative tasks, supervisors should verify that the trainee can carry the new workload. OPERATIONS MANAGEMENT INVOLVEMENT IN TRAINING Operations line managers should be personally involved in identifying training needs and verifying that initial and continuing training programs meet these needs. Operations managers approve and periodically review the effectiveness of operations training programs. This includes observing personnel performance, both on shift and during simulator training sessions, and providing feedback to the training department to initiate training program improvements. Performance standards established by operations managers should be presented, discussed, and reinforced during initial and continuing training. Operations managers should instill a sense of ownership with each shift manager for the training of his or her crew. Shift managers should help identify crew weaknesses and work with operations and training managers to provide training that will strengthen overall crew performance. DOE-HDBK-1226-2019 Conduct of Operations Implementation 47 7.0 INVESTIGATION OF ABNORMAL EVENTS General Concepts Importance of Investigations. Prompt investigation of abnormal events and conditions is important so facilities can assess the effect of each event or condition, determine the root cause, and identify corrective actions to prevent recurrence. Abnormal events and conditions include all occurrences requiring formal notification under DOE O 232.2A, Occurrence Reporting and Processing of Operations Information. Investigation is also appropriate for all events, conditions, “near misses,” or other indications of situations within or outside the operations organization that, if uncorrected, can affect safety or reliability. Acts of actual or suspected sabotage represent a special case for investigation. All aspects of investigations should be open DOE representatives so the Department can effectively evaluate causal analyses and corrective actions determined by the operating organization. More guidance on investigating abnormal events is provided in DOE O 226.1, Implementation of Department of Energy Oversight Policy. Purpose. The investigative process described here is intended to assist the operating organization in evaluating and responding to operational abnormalities. These investigations are not intended to replace the formal investigations required for certain occurrences in accordance with DOE O 225.1B, Accident Investigations.

Use of Written Materials. To ensure consistency, facilities should provide written guidelines to address all aspects of the investigative process. Concise instructions will aid the supervisor in properly collecting and preserving physical evidence that may be needed in the investigation. Standard forms, or an example format, will aid in documenting statements from the personnel present during the event. Checklists may be useful for ensuring that all relevant operating records (recorder charts, round sheets, logs) are collected or copied for use in the investigation. Finally, clear instructions for conducting the investigation will make effective use of time and will aid personnel in evaluating the corrective actions taken and the results of those actions. This process will enable personnel to determine the current safety status of the facility and the capability for continued operation. Abnormal Events. Facilities should establish specific guidelines for investigations of abnormal events. The guidelines should help personnel determine when investigation is required, who is responsible for the investigation, how the investigation is to be conducted, and what documentation is required. The guidelines should emphasize that the purpose of investigations is to improve operations. EVENTS REQUIRING INVESTIGATION Facility guidelines should define events that will require investigation. All events that could adversely affect operations or safety should be investigated at an appropriate level. The following examples suggest the type’s events that should be investigated: • Technical Safety Requirement (TSR) violation • Abnormal or unexplained safety system malfunction • Safety or system features improperly positioned DOE-HDBK-1226-2019 Conduct of Operations Implementation 48 • Equipment failure that could affect facility capability or safety • Unplanned shutdown or significant loss of operation time • Procedural violation having potentially serious consequences • Radioactive or toxic materials released or unaccounted for • Chemistry or process parameters out of specification or indicate unexplained trends; • Actual or attempted sabotage “Near miss” situations often serve as indicators of underlying problems and should therefore be investigated. Examples: • An operator action was not performed, or was performed improperly, but the error was identified and corrected before the process was damaged. The near miss may indicate a problem in the operator’s training or in the operating procedures. • A maintenance activity, such as calibration or testing, produced a transient in an operating system; the system was prevented from upset only by the response of an attentive operator. The near miss may indicate a problem in the maintenance procedures or may point to a need for better coordination of operations and maintenance activities. All events that require notification to DOE (in accordance with DOE O 232.2) or reporting to other agencies such as the Environmental Protection Agency should be investigated. 7.1.1 Responsibility and Qualification Responsibility for investigating, reporting on, and identifying corrective actions for abnormal events rests with management, although specific investigative tasks may be delegated. A manager has overall responsibility for the event investigation process. However, the manager may delegate specific tasks in the investigation process to other personnel. When the causes of the event have been determined and documented, management should ensure that corrective action is initiated to prevent recurrence of this or similar events.

Personnel assigned as investigators should be: • Technically qualified • Knowledgeable of factors affecting human performance • Trained in investigative methods, such as root cause analysis and interviewing techniques They should maintain an unbiased attitude in relation to the event under investigation and the personnel involved at the time of the occurrence. The operations manager is responsible for event investigations involving plant operations. The operations manager may delegate specific investigations or portions of investigations to other personnel. For DOE-HDBK-1226-2019 Conduct of Operations Implementation 49 example, the initial review following a plant transient might be conducted by the on-shift shift manager; the results of this investigation will establish the need for further review. 7.1.2 Investigative Process The process of investigation begins with collecting data. Facility guidelines should identify the types of information that will be needed in an investigation, and the methods that should be used to collect and preserve the information. Operations logs, round sheets, and statements from persons present during the event would typically be required for any investigation. Use of prepared forms for personal statements can aid in obtaining and documenting relevant information for the investigation. A sample personal statement form is shown in Exhibit 7.1. Some events may warrant collection of physical evidence such as: recorder charts, printouts from monitoring equipment, photographs and drawings of the area, procedures, technical documents, broken or failed components, and laboratory analyses. In some situations, it may be necessary to quarantine certain equipment or systems until the investigation is finished. As soon as possible after an event, personnel should be assigned responsibility to collect and preserve information and evidence. A structured review of the abnormal event should be initiated when all data has been collected. The format of the investigation depends on the significance of the event. The steps detailed below should be included in each investigation. 7.1.3 Event Reconstruction The abnormal event should be reconstructed as a chronological list of events. The collected data should be studied for details and integrated to provide a picture of events. If available, an event recorder printout can serve as the basis of the reconstruction. Personnel involved in the event should be included in the reconstruction process. 7.1.4 Event Analysis and Evaluation Once the facts have been established, the event may be analyzed to determine the responses of equipment and personnel. During the analysis, actual and expected responses of facility systems, adequacy of procedures, and factors affecting human performance are compared. Since the Department uses Defense in Depth, with multiple layers of safeguards, the analysis should attempt to identify the multiple failures that allowed the event to occur. An evaluation to identify any detrimental effects on plant equipment should be included. The event should be compared with previous investigations of similar events or transients. If the event was a reactor trip or other engineered safety system shutdown the acceptability of restart should be determined. 7.1.5 Root Cause Determination

The root causes of the event should be determined whenever possible. Root causes are those fundamental causes that would have prevented the event from occurring and, if corrected, prevent recurrence. Typically correctable without additional research or analysis, root causes explain why direct causes existed. DOE-HDBK-1226-2019 Conduct of Operations Implementation 50 Exhibit 7-1: Sample Personal Statement Subject or Title of Event: Event Date/Time: Occurrence Report Number or other identifier: In your own words, write down what happened in the event. Include any relevant information from before the event began until after it was over. Include the following: 1. Facility or system conditions as you know them prior to the event. 2. What you were doing immediately prior to the event. 3. Any indications that a problem existed. 4. Your actions in response to the indications. 5. Any equipment malfunctions. 6. Any inadequacies in the procedures, practices, or training Completed By Signature Date/Time If additional sheets are used, each sheet should contain: signature, date, time, event title, and occurrence report or other identifying number. 7.1.6 Corrective Action Determination Each event investigation should result in the development of corrective actions and assignment of specific personnel responsibilities the actions. Corrective actions can be procedure changes, training, design modifications, and administrative controls changes, and may include better supervisory involvement and oversight of work activities and increased worker accountability. Interim compensatory actions may be used while longer-term corrective actions are being developed. Cognizant managers should agree to each corrective action before it is assigned, and the facility manager approves it. Management should focus on correcting root causes to prevent recurrence or similar events, and not take immediate actions that may not address the underlying causes. Management should be careful not to exclusively ascribe events to operators when management systems or practices are the real root cause. Any disciplinary action DOE-HDBK-1226-2019 Conduct of Operations Implementation 51 investigation should be conducted separately from the engineering and process improvement analysis to encourage open exchanges of information. 7.1.7 Investigative Report An essential part of the investigation is informing others, so recurrence of the event can be prevented. A report of the investigation, including discussion and explanation of the results of the analysis and identification of the corrective actions, should be prepared in accordance with facility guidelines. The investigation report should be reviewed by managers, supervisors, and the safety review committee to ensure that lessons learned from the event are identified and incorporated into applicable facility programs. The final report should be reviewed and approved by the facility manager. 7.1.8 Further Evaluation The final phase of the investigation consists of follow-up activities, to determine if the corrective action has been effective in resolving the problem. Facilities should analyze events to determine trends or patterns of deficiencies. Facilities should establish a mechanism for periodically summarizing events, causes, and trends, and reporting this information to the facility manager, department heads, and managers.

In many cases, information related to an event may be used in both initial operator training and continuing training to maintain operator qualification. Operating experience should also be incorporated into other facility programs and documents such as procurement specifications, work control and planning, and radiation control manuals. The operations manager should evaluate all in-house events to determine whether training is required on an immediate basis for operations personnel. Training on events of immediate concern should be provided before personnel begin work on their next shift. Methods to address immediate training needs include: • Ad hoc training sessions • Shift briefings conducted by the supervisor or other appropriate personnel • Written instructions to oncoming operating shifts • Required reading materials SABOTAGE If an act of sabotage is discovered or suspected, the investigative process is essentially the same as that described for other abnormal events, although different priorities may apply. The following items should be considered when setting priorities in sabotage investigations. • Investigation should be started immediately to determine the condition of the affected systems and the operability of all safety-related systems. • Personnel should consider the possibility that: DOE-HDBK-1226-2019 Conduct of Operations Implementation 52 o Multiple acts of sabotage may have been committed. o Safety-related or other critical systems may have been specifically targeted. o Deliberate steps may have been taken to prevent discovery. o The event may be an instance of insider threat, with special security considerations. • The appropriate manager or supervisor should determine the capability for continued operation or safe shutdown. This may include independent verification of lineups for some critical safety systems. • Corrective actions should include steps to minimize the impact of the sabotage and steps to deter further acts through enhanced security at the facility. HUMAN PERFORMANCE IMPROVEMENT Minimizing human performance errors and their consequences is key to reducing the frequency and severity of events. DOE’s Human Performance Improvement Handbook, DOE-HDBK-1028-2009, describes individual, leadership, and organizational techniques for promoting excellence in human performance. Human performance issues discovered during event investigation should be addressed using the Handbook as a guide. DOE-HDBK-1226-2019 Conduct of Operations Implementation 53 8.0 NOTIFICATIONS General Concepts Value of Notifications. An effective notification program provides a positive means for the facility to respond to public health and safety concerns. DOE policy encourages a positive attitude toward reporting occurrences. Facilities should develop notification guidelines that are directed toward ensuring uniformity, efficiency, and thoroughness of notifications consistent with the requirements of DOE Orders covering operational, emergency, and security events. Requirements and Forms. Facility procedures should integrate notification requirements from DOE senior leadership and program-specific direction and requirements in DOE O 232.2A, DOE O 151.1D, Comprehensive Emergency Management System, DOE O 470.4B, Safeguards and Security Program, and DOE O 205.1B, Department of Energy Cyber Security Program. Notifications may include computer system data entries, written forms or correspondence, e-mail, texts, or telephone calls. For urgent events, notification may flow from a facility to a local 24-hour operating station or emergency operations center, to DOE headquarters, and to local, state, and tribal stakeholders. For small organizations, there may not be a local round-the-clock operations center, and all levels of notifications would flow from the facility.

Facility Guidelines. The need for facility-specific notification guidelines is apparent if one considers the situation of a supervisor during, and immediately after, a serious operating event. The supervisor’s first priority is to ensure safety. This may involve implementing emergency operating procedures, reassigning operating personnel, and personally supervising immediate actions. In the midst of this activity, the supervisor requires concise notification guidelines that clearly indicate the appropriate level of notification for the specific event, based on an evaluation of its potential to affect safety, health, security, the environment, or operations. The supervisor also needs to know the time available to make the notification within regulatory requirements, the individuals to be notified, and the method to be used to notify each. Well-designed guidelines will ensure that notifications do not interfere with the immediate actions that are needed in response to abnormal conditions. They should also ensure that notifications are regarded as an integral part of the response, not an action to be considered after conditions have returned to normal. PROGRAM OBJECTIVES The notification program should ensure that DOE and DOE contractor line management are kept fully and currently informed of all occurrences that could: • Endanger the health and safety of workers. • Affect the health and safety of the public; • Seriously affect the intended function of DOE facilities; • Have a noticeable adverse effect on the environment, or • Impact physical, cyber, or information security of the facility; DOE-HDBK-1226-2019 Conduct of Operations Implementation 54 Responsibility for the event has no bearing on the notification process; the agencies and organizations that respond to the event require prompt notification so that necessary emergency procedures can be implemented. Notification may be required for instances of equipment failure, fire, loss of electric power, or even dangerous weather conditions that are capable of causing a release of hazardous or radioactive materials. Certain classes of security incidents may also require prompt notification. Another function of the notification program is keeping DOE and facility management informed of conditions that could affect the facility’s ability to perform its mission. This is necessary to enable proper allocation of human and material resources. For example, non-availability of spare parts for an aging pump may threaten to disable a critical system. Timely notification of this condition will alert management to the problem. Management may then initiate an engineering review, leading to a budgetary request for a replacement pump of a newer design, for which spare parts are available. NOTIFICATION PROCEDURES Facilities should establish notification procedures that include: • Guidelines identifying facility events and conditions that require notifications • Specific responsibilities for categorizing occurrences and making notifications • Up-to-date list of primary and alternate personnel to be notified, together with their contact information • Guidelines for timely provision of details and follow-up reports after initial notification • Time requirements for notifications consistent with the facility emergency plan Notifications for some categories of occurrences can be made electronically through the Occurrence Reporting and Processing System. DOE O 232.2A includes specific instructions for completing each data field in the occurrence report.

Facilities should provide training to ensure consistent application of the notification procedures. The training for involved personnel should include categorization, notification, and associated reporting requirements. In addition, training for all personnel should address the philosophy of occurrence reporting to develop a positive attitude toward reporting occurrences and to emphasize the importance of timely reporting and follow-up notification. Persons at the “worker” level in the organization may not have formal responsibilities for the notification program; however, their input through normal reporting to their supervisors is essential to the success of the program. More information concerning reporting of abnormal operating conditions is contained in this Handbook’s Section 3.0, Shift Routines and Operating Practices. DOCUMENTATION Documentation is an essential part of the notification process. From a practical viewpoint, documenting the reason for the notification, time, and identity of the persons notified can prevent confusion and permit more focused attention on the immediate actions necessary to mitigate an ongoing event. In some DOE-HDBK-1226-2019 Conduct of Operations Implementation 55 situations, the documentation can help persons on the scene of an occurrence determine what type of assistance they may expect and when it should arrive. All notifications made in accordance with DOE O 232.2A follow documentation requirements in the Order. Facility procedures should establish a format for documenting notifications at all levels and consider the use of fill-in-the-blank forms to simplify the process. These forms can serve as a checklist, helping ensure that all notifications are made as required. DOE-HDBK-1226-2019 Conduct of Operations Implementation 56 9.0 CONTROL OF EQUIPMENT AND SYSTEMS General Concepts Maintaining System Operability. DOE facilities are required to establish administrative programs to control equipment and systems status. A program for controlling equipment and system status, or status control, will be broad in scope. It should incorporate measures to ensure awareness by operating personnel concerning the physical configuration and operating status of equipment and systems. It should contain methods to maintain system operability in accordance with design requirements. Several other individual programs comprise portions of the status control program and are referenced where appropriate. Authority and Responsibility. Proper control of equipment and systems requires clear lines of responsibility and authority. The facility status control program should clearly designate the authority and responsibility for controlling status to ensure proper configuration. All personnel need to understand the importance of keeping the facility operations manager, shift or daily operations supervisors, and other designated operations personnel informed of activities that could affect the status or operability of equipment. Deficiencies. Effective control of equipment and system status also means coordinating operations and maintenance activities. Equipment deficiencies should be promptly identified for correction in the work control system, and deferred maintenance items should be documented to ensure any operational limitations are considered and made known to operators.

Work Control. The operations manager or delegated daily or shift operations supervisors should sign the work control documents to authorize the start of all maintenance activities, including testing, calibration, and related activities. Lockout and Tagout should be performed by authorized employees to ensure that all energy and hazardous material sources are properly isolated and required safety functions are not inadvertently disabled. A process for post-maintenance testing should be in place to confirm proper operation of equipment after maintenance, ensure that all equipment operation is controlled by approved operating procedures, and that maintenance and operations personnel are represented during the testing. The status or alignment of equipment should be verified as part of restoring the equipment to service following outages for maintenance or design modifications. Special Controls. Special administrative controls are required whenever equipment is operated with temporary modifications such as jumpers in place. These controls should include methods for ensuring that operators are aware of the modified status of the equipment and its operating limitations. The controls should provide for safety and technical reviews, documentation, updating of procedures and drawings, and training. Status Control Documentation. The status control program requires specific methods for verifying and documenting the configuration of equipment and systems, changes in equipment status, and compliance with operational and safety limits. Status control documentation may include checklists, logs, status boards, or a combination of these. Requirements for status control documentation should be coordinated with other documentation requirements such as logkeeping to avoid unnecessary forms or duplication of DOE-HDBK-1226-2019 Conduct of Operations Implementation 57 information. This ensures that status information is updated as a regular part of the job, not treated as an added administrative task. It also provides those personnel having operating responsibility with simple, direct access to current status information. STATUS CHANGE AUTHORIZATION AND REPORTING An effective program for control of equipment and system status is based upon the designation of responsibility for status control and authority to effect status changes. During the operation of any facility process or project, there is one individual who is responsible for operational control and who has authority to make changes. That person is usually a daily or shift operations supervisor delegated by the facility operations manager, and will be referred to as the operations supervisor. The operations supervisor is typically the senior operating person present. The supervisor is tasked with maintaining a broad perspective of all facility operations; however, when abnormal or emergency conditions occur, the supervisor’s response should be based on current knowledge of system status. Therefore, changes in the status of safety-related systems or other equipment critical to the operation of the facility should be pre-authorized by the operations supervisor. This means that the supervisor’s perspective of status is the focal point for all operations. Status updates to the supervisor may be required, even for actions that have already been authorized. For example: during the morning shift briefing, a supervisor gives instructions for operational testing of a control system, to be performed later during that shift. In the afternoon, when the operator or technician is ready to begin the test, it is appropriate to check back with the supervisor, both to verify that the process or equipment status still supports the test, and to inform the supervisor of the current status.

To facilitate operation of equipment or processes, the operations supervisor may delegate the authority to operate and make status changes in systems or equipment that are not critical to facility safety or process output. When delegating authority to operate, the supervisor ensures that all pertinent operating information is provided to the designated operator in charge. Each designated operator ensures that the supervisor is periodically updated on the status of the delegated systems. The operations supervisor should ensure that all facility personnel are aware of the potential effect their activities may have on the status of equipment and systems and that they obtain concurrence prior to beginning work that could change the status of equipment. Any status changes that occur during the progress of work should be reported to the responsible operator or the operations supervisor. EQUIPMENT AND SYSTEM ALIGNMENT Operations personnel should be aware of the alignment of systems and equipment within their area, whatever the current mode of operation. Several methods for documenting and tracking system alignment are acceptable. Alignment checklists could be developed for all modes of operation and incorporated into pertinent procedures, and used as guides for establishing the correct component positions when placing systems and equipment into service or other operating modes. Another method is to develop system alignment checklists for the standard shutdown configuration, and then base startup and operations alignments on that configuration as the standard starting point. Shutdown would return the system to the original standard configuration. In either system, changes in configuration for DOE-HDBK-1226-2019 Conduct of Operations Implementation 58 evolutions would be tracked by logs, status boards, or a combination. In any system, checklists should identify each component by the exact name and identifying number that appears on the component label and indicate the required alignment position. The checklist should also make provision for signature or initials verifying the component position and provide space to note any deviation. Checklists that cover initial positioning of components as well as independent verification should provide space for both processes. See Section 11.0, Independent Verification, of this Handbook for more information. The frequency for performing or verifying system alignments depends on the level of control required and the level of operating activity. For example, if a system has minimal effect on safety or process output and is maintained in a steady-state operating mode (normal operation, standby, shut down) with few changes in component status, then it may not be necessary to perform complete or frequent alignment checks. However, if a system is critical to safety or process output or is constantly undergoing component status changes such as valve manipulations, then more frequent alignment checks would be called for. Equipment and system alignment should be verified following any maintenance activity, including testing, if the activity could have placed components in a position other than that required for normal operation. Functional testing prior to startup, and periodic surveillance during operation, may be required for equipment that is subject to technical safety requirements. Techniques for verifying component positions and additional information are contained in Section 11.0, Independent Verification.

When alignment checklists have been completed, they should be signed and approved by the operations supervisor. Completed checklists serve as documentation of the system and equipment status and provide a basis for verification. They should be retained in an accessible location until the next time the checklist is completed, at which time the superseded checklist may be filed. A system to track deviations from the normal alignment should be established. One method commonly used for this purpose is the status board. Status boards typically contain a graphic or schematic representation of the system, or a listing of system components. When status changes are made, the status board is annotated to indicate the current status of equipment. The status board (or other tracking system) should be promptly updated when a change to system or equipment alignment occurs. In addition, all status changes should be documented in the narrative log. Section 12.0, Logkeeping, provides additional information for maintaining narrative logs. The status board or other tracking system should be controlled by the operations supervisor and designated system operators. The status control information recorded in the narrative logs and reflected in updates to the tracking system should be incorporated into the operations turnover process. 9.2.1 Equipment Lockout and Tagout Lockout and tagout requirements are found in Occupational Safety and Health Administration (OSHA) regulation 29 CFR §1910.147, The Control of Hazardous Energy. This rule is intended to prevent energizing or operating equipment during maintenance or testing. Administrative control locks and tags are used for circumstances requiring special administrative controls to prevent inadvertent or unauthorized operation of equipment, components, and systems for reasons other than protection of personnel. DOE-HDBK-1226-2019 Conduct of Operations Implementation 59 Because lockout/tagout changes the operational status of the affected equipment, lockout/tagout activities should be approved by the operations supervisor. All personnel should receive training on the requirements of the facility lockout/tagout program and their individual responsibilities under the program, and clearly understand that operation or manipulation of equipment under lockout/tagout control is strictly forbidden. 9.2.2 Operational Limits Compliance Those facilities subject to technical safety requirements have administrative controls to ensure proper adherence to limiting conditions for operation (LCO). These operational limits are usually expressed as specific conditions (for example, a redundant ventilation blower is not operable) requiring specific response actions (for example, curtail some operations). The operations supervisor should direct, or be aware of, all actions that are taken in response to the operational limit requirements or actions to mitigate adverse consequences to the facility. All appropriate personnel should be informed of the operational limit requirements. All personnel having responsibility for actions under operational limits should periodically review the conditions for operation and ensure that the required actions are performed.

One method for facilities to document actions taken to comply with operational limits is to initiate an operating limit tracking document or file each time a designated condition is encountered. Examples are an LCO log, a Material at Risk (MAR) log, or environmental discharge log. The Operating Limit/LCO Log would include information derived from operator logs, alignment checklists, turnover checklists, or other documentation to indicate the initial conditions and circumstances that resulted in restricting operations. All actions taken in response to the operational limit requirements and other actions to mitigate the consequences to the facility would be documented. When normal operations are resumed, the Operating Limit/LCO Log would provide data to evaluate the event. 9.2.3 Alarm Status Reliable, up-to-date information on the status of important processes and systems is essential to the safe and reliable operation of any facility. Much of this information is transmitted to the operator by control panel or local panel meters, gauges, and alarms. Checking the status of indicating devices and alarms should be part of each operator’s routine inspection tours and rounds. Performance of operator rounds and response to alarm actuation are discussed in greater detail in Section 3.0, Shift Routines and Operating Practices. Alarm systems provide a valuable backup to the operator’s monitoring and control of system status. But just like the systems they monitor, alarms require periodic maintenance and are subject to breakdown. Operators should know the status of alarms in their areas of responsibility. Within their program for control of equipment and system status, facilities should include measures to ensure that personnel are aware of the status of alarms. The following specific areas should be addressed: • Alarms that are totally disabled should be identified to operators through the tagout program, if applicable, or through the use of deficiency stickers, color coding of alarm windows, or other positive means of identification. Instructions for operating personnel should be provided to ensure that DOE-HDBK-1226-2019 Conduct of Operations Implementation 60 equipment parameters are more closely monitored by operators during the period when alarm indication is not available. • Alarms with individual inputs disabled should be identified to operators and documentation should be available reflecting the changed alarm characteristics. Operators should devote extra equipment monitoring to those parameters with disabled alarm inputs. For example, a particular alarm is designed to receive inputs for system pressure and temperature, and actuate if either is out of specification. If the temperature input to the alarm is disabled, the operator compensates by monitoring the system temperature more closely to compensate for the lack of alarm capability.