"DOE and its contractors are required to perform management and independent assessments in
• Title 10, Code of Federal Regulations (CFR), Part 830, Subpart A, “Quality Assurance
• DOE O 414.1C, Quality Assurance;
• DOE M 450.4-1, Integrated Safety Management System Manual;
• DEAR 970.5223-1, Integration of Environment, Safety, and Health into Work Planning
• DOE O 226.1A, Implementation of Department of Energy Oversight Policy; and
• QC-1 Rev. 10, Nuclear Weapons Quality Policy.
This Guide provides information on establishing processes for performing effective assessments.
See Appendix A for a list of consensus standards and other references related to assessments.
Assessments add value to products and services by providing feedback and linking the
management and conduct of work to meaningful improvement actions. Assessment programs
should embody the following principles:
• Managers are involved in the assessment process to ensure results contribute to improved
performance of the programs, systems, and work processes.
• Managers receive timely, objective feedback from assessments.
• Managers take timely, appropriate actions to resolve quality problems.
• Feedback addresses the effectiveness of policies, requirements, standards, processes,
procedures, and their implementation.
• The process is planned, coordinated, and integrated to promote efficiency and
• Organizational culture seeks quality improvement, and assessments are accepted as
• Assessment processes and results support the goal of protecting people and the
• Quality problems (including environment, safety, and health issues) are identified for
DOE G 414.1-1B 3 (and 4)
All DOE products and services, and the programs, systems, and processes that deliver them can
be assessed over their entire life cycles. DOE directives require integration of environment,
safety and health (ES&H), safeguards and security, and emergency management assessments to
ensure that DOE and its contractors perform assessments as stated in 10 CFR 830, Subpart A;
DOE O 414.1C; DOE M 450.4-1; and DOE O 226.1A. Examples of functional areas for
assessments are listed in Appendix B.
This Guide expands upon the details of the assessment criteria discussed in DOE G 414.1-2A,
Quality Assurance Management System Guide, dated 6-15-05. The Quality Assurance
Management System Guide also describes the relationship between quality assurance (QA) and
integrating the safety management system requirements. DOE G 450.4-1B Integrated Safety
Management System Guide (Vol. 2, Appendices D and G), dated March 1, 2001, describes the
role of assessment in the feedback and improvement of safety management functions.
DOE line managers fulfill their safety responsibilities in part through line management ES&H
oversight and have unfettered access to information and facilities in accordance with safety and
security requirements. Contractor line managers fulfill safety responsibilities in part through the
implementation of their assessment programs. Contractors are responsible for establishing
robust, rigorous, and credible ES&H, safeguards and security, and emergency management
assessment programs, integrated with their safety management systems (DOE O 226.1A, DOE O
414.1C and DOE M 450.4-1).