NNSA CRAD for Assessing Activity Level Work The Office of Health

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                        NNSA CRAD for Assessing
                          Activity Level Work


Assessment Criteria and Guidelines for Performing Assessments
   of the Effectiveness of Incorporation of Integrated Safety
Management (ISM) and Quality Assurance (QA) Principles Into
   Activity Level Work Planning and Control at NNSA Sites

  Known as the “Appendix B CRAD” (Criteria, Review, and Approach Document)
because it is Appendix B to the NNSA Document: “Activity Level Work Planning and
 Control Processes - Attributes, Best Practices, and Guidance for Incorporation of
   Integrated Safety Management and Quality Assurance” (dated January 2006)




                                 Presented by: Rick Kendall, NA-17
          Integrated Safety Management Best Practices Workshop September 2006; Denver Co.
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                                       NNSA Document
                                               Attributes
                                               There are 40 attributes listed among the following seven headings:
Activity Level                                 1. Activity Level Work Planning and Control Process; 2. Identify,
                                               Prioritize, and Approve Work; 3. Scheduling; 4. Planning Work; 5.
Work Planning and                              Readiness; 6. Performing Work; and 7. Post Work Review and
Control Processes                              Closeout. Incorporation of the attributes into work planning and
                                               control processes will help to ensure that ISM and QA requirements
Attributes, Best Practices, and Guidance for   are met at the activity level.
Effective Incorporation of Integrated Safety
Management and Quality Assurance               Best Practices and Guidance
                                               Best practices and guidance information is provided under each of the
                                               attributes to help implement them, and thus to meet associated
                                               requirements. The best practices/guidance provides suggested
                                               approaches/acceptable methods for meeting DOE/NNSA requirements
                                               and expectations.

                                               CRAD (Appendix B)
                                               • focused at the work activity level;
                                               • will complement existing site ISM processes that flowdown
                                               nfrequirements from the site and facility levels;
                                               • interact with workers, work planners, and work supervisors;
                                               • not resource intensive (people, time, or documentation) compared to
               January 2006                    mother assessments;
                                               • use standard forms (part of the CRAD); and
                                               • results can be used to fulfill other assessment requirements where
                                               mappropriate.
                               3

www.doeism.org




                 NNSA Document
                 with Appendix B
                 CRAD
                                                           4



            Appendix B CRAD Scope


•Focused at the Activity Level - where the problems are!

• Used for Assessing All Types of Activity Level Work
   •   Operations
   •   Research and Development
   •   Maintenance
   •   Construction
   •   Modifications

• Used to Assess a Single/Specific Work Activity
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                       Purpose/Goals

• Ensure reliable, consistent work planning and control performance
nfconsistent with requirements/expectations so that mission work is
nfaccomplished safely and efficiently

• Interact with Workers, Work Planners, and Work Supervisors
    - ensure requirements/expectations appreciated/understood
    - use their knowledge/experience to improve work planning and
    nfcontrol process

• Requirements:
    - 48 CFR 970.5223-1 and 48 CFR 970.5204-2 and -78
    - 10 CFR 830.120
    - DOE O414.1C
    - 10 CFR 851

• Guidance:
   - DOE G450.4-1B Vol.
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                   Different Assessment Approach

• No pre-visit, plan of action, entrance meeting, or large team of people on-site
nffor a couple of weeks
• Thorough and Focused (specific work activity)
    - Generally does not look at ISMS, QAP, or site level or facility level
    nfpolicies/procedures not germane to work activity being assessed
• Can be performed by one or two people
    - Site Office, Contractor, or combination
• Non-Intrusive - limited/minor impact on mission/facility
• Results documented using standard forms
• Documentation requirements are minimal
    - provide objective evidence where criteria are met
    - sufficient detail to understand and correct issues
    - additional explanation where needed
• Needed flexibility built in (graded approach)
• Typically short duration (roughly equivalent to work activity)
• Can be used as input to other assessments/oversight activities
• Can be used as training tool
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                  Assessment Method Comparison
                                     Typical Team Assessment
         Assessment
                                     (ORR, ISM, SSA/SP, Phase II         Appendix B CRAD
    Methodology/Approach
                                     VSS, etc.)
Plan of Action Required                         Yes                               No
Entrance Meeting/Daily
                                                Yes                               No
Meetings Required
Use of Criteria, Review, and
                                                Yes                               Yes
Approach Document (CRAD)
Conduct document reviews,
                                                Yes                               Yes
interviews, and observations
Identified Issues tracked in Site-
wide Integrated Issues                          Yes                               Yes
Management System
Preparation and use of qualified
                                                Yes                               Yes
and independent assessors
Requires Team Leader and large
                                                Yes                               No
team (e.g., 5-15 people)
Detailed documentation of                                          Only if criteria are not met, and
                                                Yes
assessment required                                                where explanation is needed
                                                                   Several times per year at least/As
Performance Frequency                  Infrequent/As Necessary
                                                                   Necessary
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                        Approach Benefits


• Allows assessments to be performed more frequently
• Can assess different organizations, departments, divisions, crews, teams,
nfsubcontractors, etc.
• Can interact with more workers, planners, and supervisors over shorter
nfperiod of time
• Provides consistent reinforced set of expectations across site and
nfcomplex (same rules when move to different job)
• Works well with other Site Office Action Plan (2004-1 #23) actions (e.g.,
nftraining and qualification of work planners; management on the floor
nfinteraction with workers to reinforce ISM; etc)
• Leads to improvements in work processes (ISM/QA more effectively
nfimplemented on the floor) and activity level work (repeat work and
nfpersonnel efficiency)
• Repeated use over time ensures/promotes continued excellence
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Assessment Form Sample Pages
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                            Conclusion


The Department’s Implementation Plan for DNFSB Recommendation
2004-1, Oversight of Complex, High-Hazard Nuclear Operations,
states that improvement in reliability and consistency of work planning
and work control performance at the activity level is needed, and that
that the current ISM system contains minimal expectations, and no
explicit requirements, at any level to routinely assess the
implementation of work planning and work control processes at the
activity level. Institutionalization of the NNSA Appendix B CRAD
(2004-1 #23 Site Office Action Plans) is intended to address these
concerns by helping to achieve needed improvements and ensure that
all future work is performed in a safe, efficient, quality manner.
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                                   Future Work

Revise the January 2006 Activity Level Work Planning and Control Processes -
Attributes, Best Practices, and Guidance for Incorporation of Integrated Safety
Management and Quality Assurance document, including the Appendix B
CRAD “Assessment Criteria and Guidelines for Performing Assessments of the
Effectiveness of Incorporation of Integrated Safety Management and Quality
Assurance (QA) Principles Into Activity Level Work Planning and Control at
NNSA Sites” based on:
    • Feedback (comments from reviewers and users - both the main
    nfdocument and the Appendix B CRAD)
    • DNFSB Tech-36
    • Human Performance Improvement Principles
    • 10 CFR 851 Worker Safety and Health Rule
    • ISM Champions Workshops (April 2006 and September 2006)

Please provide feedback/comments/suggestions for improving these documents to:
Rick.Kendall@nnsa.doe.gov or 301-903-3102)
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                    Final Thought - Leading Indicators
Assessments conducted using the NNSA Appendix B CRAD can be used to identify
real-time leading performance measures/indicators of safety culture problems:

    • Failure to implement ISM
         - Failure to adequately define the scope of work
         - Working outside the approved envelope (scope creep)
         - Failure to identify all hazards (work and site)
         - Failure to work within approved controls
    • Failure to implement Conduct of Operations
         - Lockout/Tagout violations
         - Failure to follow procedures
         - Failure to properly perform independent verifications
         - Failure to record field conditions, errors, near misses, etc.
         - Failure to ensure unexpected conditions are analyzed and understood before
         nfproceeding

As compared to conventional reporting mechanisms (e.g., ORPS), collecting and
analyzing this information may provide a more accurate and leading indication of
pending safety problems, and lead to taking corrective actions that prevent future
unacceptable outcomes/events

				
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