Preparing to Assess Investigation of Abnormal Events

DOE-EM-STD-5505-96

6.6.2 Preparing to Assess Investigation of Abnormal Events. To develop an assessment plan

for Investigation of Abnormal Events, assessors should first review the activity-specific graded-

approach document for conduct of operations and determine which guidelines are applicable at

the activity. This will allow them to determine the scope of the assessment and which applicable

activity policies and procedures to review when developing the assessment plan. Sections 5.4 and

5.8 provide a detailed explanation of assessment planning and the use of assessment techniques.

Assessment of this area presents several challenges in that it might appear difficult to observe the

process in action, but with proper planning and coordination between the team leader and activity

management, assessors can collect enough data points to determine how effectively the activity

has implemented the guidelines of this area of conduct of operations.

6.6.3 Observation. While assessment of investigation of abnormal events requires an emphasis

on document reviews and interviews, it is possible to perform an observation of an on-going

investigation. However, before allowing an assessor to observe the investigation process, the

team leader should receive concurrence from the activity manager in order to minimize any

distractions to the investigation team. Observations could include the following:

Management/supervisory response with respect to classification and notification of a pre-

planned drill event

Observation of an on-going investigation of a previously identified and reported event

Observation of this area is extremely difficult, but in the absence of an on-going investigation, an

assessor can walk through the necessary steps required for an actual investigation. Whether

observations are made during an actual investigation or during a walkthrough, the following

methodology can be used:

Determine the person responsible for leading the investigation. Review this person's

qualifications as the investigation team leader.