Appendix G - Management Oversight and Risk Tree (MORT) Analysis cont'd

Providing planning/scheduling, administrative controls, resources, or constraints

Verifying that the barriers/controls have been implemented and are being maintained by

operational readiness, inspections, audits, maintenance, and configuration/change control

Verifying that planning, scheduling, and administrative controls have been implemented

and are adequate

Policy and policy implementation (identification of requirements, assignment of

responsibility, allocation of responsibility, accountability, vigor and example in leadership

and planning).

Cause definitions used with this method are similar to those in DOE Order 5000.3A:

A cause (causal factor) is any weakness or deficiency in the barrier/control functions or in the

administration/management functions that implement and maintain the barriers/controls and the plans/

procedures.

A causal factor chain (sequence or series) is a logical hierarchal chain of causal factors that

extends from policy and policy implementation through the verification and implementation functions to

the actual problem with the barrier/control or administrative functions.

A direct cause is a barrier/control problem that immediately preceded the occurrence and

permitted the condition to exist or adverse event to occur. Since any element on the chart can be an

occurrence, the next upstream condition or event on the chart is the direct cause and can be a

management factor. (Management is seldom a direct cause for a real-time loss event such as injury or

property damage but may very well be a direct cause for conditions.)

A root cause is the fundamental cause which, if corrected, will prevent recurrence of this and

similar events. This is usually not a barrier/control problem but a weakness or deficiency in the identifica-

tion, provision, or maintenance of the barriers/controls or the administrative functions. In the context of

DOE Order 5000.3A, a root cause is ordinarily control-related involving such upstream elements as

management and administration. In any case, it is the original or source cause.

A contributing cause is any cause that had some bearing on the occurrence, on the direct cause, or

on the root cause but is not the direct or the root cause.

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