Activity Level Work Control and Planning

Draft 3/14/2006

FUNCTIONAL AREA GOAL: An effective work management process that promotes and improves nuclear, industrial, and radiological safety performance, increase productivity and reduce costs through the efficient use of resources; provides for a long-range plan; integrate site organizations into the process; provides an appropriate methodology for work prioritization; provides a methodology to address a graded approach to planning and scheduling and incorporates an effective feedback and improvement loop.

REQUIREMENTS:

DOE Order 414.1A: Quality Assurance
DOE Order 5480.19: Conduct of Operations
DOE Order 433.1: Maintenance Management
DOE Order 440.1A: Worker Safety and Health
DOE Order 231.1a "Occurrence Reporting and Processing of Operations Information."
10 CFR 830.122(b): Quality Assurance

GUIDANCE:

Draft DOE Order 210.x: Corporate Operating Experience Program
DOE G 450.4-1B, Integrated Safety Management System Guide
NNSA's Attributes, Best Practices, and Guidance for Effective Incorporation of Integrated Safety Management and Quality Assurance Into Activity Level Work Planning and Control Processes

Performance Objective 1: Contractor Program Documentation

1.1 Management & Organization

The Work Planning and Control Process attributes are documented and described in sufficient detail to ensure successful development and implementation at the activity level. Organizational structure, functional roles, responsibilities, levels of authority, accountability, and interfaces for those managing, planning, performing, and assessing work are clearly defined and documented

Criteria:

Manuals or procedures exist that contain the requirements for work planning and control for all work.
Expectations are established for all organizations and personnel involved with the work, including subcontractors to adhere to the manuals and procedures for the planning and execution of activity-level work.
Roles and responsibilities are defined and understood for work planners, work supervisors, responsible line managers, workers, subcontractors, subject matter experts, and all other personnel involved in activity level work planning and control.
Different work management processes or systems used by different organizations or for different types or categories of work, must be designed and implemented such that the combined requirements (e.g., resources, schedules, support, etc.), potential effects, and interdependencies of all work activities are effectively understood, analyzed, and coordinated.

1.2 Qualification and Training of Work Planners & Schedulers

The knowledge, skills, and abilities required for performing assigned work are established, documented, and maintained. Personnel possess the knowledge, skills, and abilities required for performing assigned work. Continuing training is provided, which includes lessons learned, to maintain and improve proficiency.

Criteria:

Management has established a set of criteria and programs for the establishment of a minimum set of knowledge, skills, and abilities for the work force involved in the planning and execution of the work.
Workers (including subcontractors) are trained to understand the hazards associated with their work, the safety significance of the controls provided to protect them from the hazards, and the importance of working within/adhering to the controls
Personnel are trained on activity level work planning and control process and understand how their function contributes to and integrates with the processes.
Personnel possess the knowledge, skills, and abilities required for performing assigned work.

1.3 Program Expectations

Worker knowledge and experience is used throughout the work process. A graded approach is defined, which determines the rigor for implementing these work planning and control attributes based on the importance/significance, and associated consequences of the activity.

Criteria:

Different work management processes or systems used by different organizations or for different types or categories of work must be designed and implemented such that the work is planned efficiently, effectively, and is performed safely.
An appropriate graded approach methodology is used to analyze work hazards and develop controls to ensure the safety of workers.
The graded approach considers the safety classification of the equipment impacted by the work (e.g., Safety Class or Safety Significant), and the assumptions concerning equipment availability, operation, and performance documented in applicable facility safety basis documents (e.g., DSA, SER, facility hazards analyses).
Work Control Processes include turnover requirements when line management or first line supervisor responsibilities are transferred.

1.4 Assessment and Continued Improvement

Organizations use their assessment and issues management processes to drive work planning and control improvements. A work environment is established that strives for excellence in work planning and performance and promotes productivity and safety.

Criteria

The contractor self-assessment program requires periodic and thorough evaluation of the effectiveness of incorporation of the ISM core functions and guiding principles, and appropriate QA criteria, into activity-level work planning and control. The evaluation process includes line management and independent assessment activities, review and analysis of results, and dissemination of lessons learned and noteworthy practices.
The results from assessments of work processes, including post-work feedback, are trended, evaluated, and used for work planning and control process improvement.
A computer-based system is used to:
1. Track issues identified from assessments, post-work feedback and lessons learned from workers, planners, and supervisors;
2. Identify responsible individuals and corrective actions planed and implemented in response to identified issues; and
3. Document final resolution and closeout of issues.
Assessment activities include routine and periodic management oversight of work activities on the floor (i.e., direct observation of work and interaction with workers) for the purpose of demonstrating management commitment to and expectations for effective ISM and QA, and identifying opportunities for work process and performance improvements through observations and direct communication with workers.
1. Open and effective communications, constructive feedback, and due consideration of diverse opinions are encouraged at all organizational levels.
2. A safety conscious culture is established that promotes individual ownership, accountability, teamwork, continuous improvement, and being proactive to prevent or address and correct issues and problems before they become major.
3. Workers maintain a positive questioning attitude towards safety and are vigilant towards:
  1. Unsafe or potentially unsafe conditions or situations;
  2. The possibility of faulty analysis or assumptions, errors, failures, over-simplifications, etc.; and
  3. Watching out for facility conditions or equipment performance problems that appear to need correcting and should be reported.
A formal feedback process exists that allows individuals involved with work planning and performing work (including workers, planners, supervisors, support organizations, SMEs, customers/users/stakeholders, etc.) to provide input for improving the work process.
The process is user friendly, provides capability to link feedback to specific work procedures, equipment, or types of work, and is being effectively used to make meaningful improvements where practical (i.e., work planning uses lessons learned and feedback from previous work).

Performance Objective 2: Contractor Program Implementation

2.1 Work Scope Identification, Prioritization, and Scheduling

A defined process is used to identify and request work. A defined process is used to prioritize work; work priority is managed to achieve integration among all necessary interfaces. Work is formally approved to proceed to the scheduling and planning phase. An integrated schedule(s) is developed that balances priorities and resources in a disciplined manner to ensure that work is accomplished safely and efficiently. The scheduling process has provisions for work not requiring a formal schedule. The schedule is managed through a formal change control process. The schedule(s) is resource loaded and the sequence and timing of activities adjusted to ensure that adequate resources are available and consistent with the applicable requirements.

Criteria:

The activity level work planning and control process has a formal work screening and validation process that determines work need and priority, identifies tentative work schedule and required resources, ensures that work is not duplicative, and initially determines applicable work planning and control process methods based on the nature of the work.
Prioritization considers safety and mission impact. Safety impact includes both personnel safety (e.g., OSHA and IH types of considerations) and facility safety (e.g., authorization basis assumptions concerning worker and public safety and environmental impact).
The rigor of scheduling matches the complexity of the work (i.e., complex work requiring multiple resources, coordination, etc. is scheduled in detail, where simple work may not require scheduling beyond understanding resource requirements).
Schedule tools such as rolling work week schedules and Plan-of-the-Day (POD) and Plan-of-the-Week (POW) meetings are used to manage and coordinate all work activities that can potentially impact safety and/or operations.
Schedules are developed and updated as necessary to effectively coordinate and communicate work activities.
The scheduling process:
1. Is owned by the facility operations organization;
2. Identifies the optimum window(s) of opportunity for performing work based on the time required to plan the work (including identification and analysis of hazards and identification and implementation of controls), the importance of the work to mission and safety, the impact of the work on facility operations, the required or desired sequence of planned work, and the availability and efficient use of resources (parts, equipment, personnel, support); and
3. Involves senior management as necessary for problems and critical path issues; and,
4. Includes methods for evaluation of effectiveness (e.g., feedback and improvement mechanisms, performance metrics, periodic meetings to critique performance, analyze trends, address emerging issues and concerns, etc.).
Planners responsible for planning work utilize previous work documents, documented work history, existing knowledge and experience, lessons learned, applicable standards and requirements, and manufacturer's recommendations.

2.2 Identification of Hazards

Identify and analyze the hazards with the work and the work environment; including predictable, potential undesirable events (i.e., "what if" scenarios). Personnel with the appropriate functional area expertise are used to plan the work.

Criteria:

A formal, structured methodology is followed for the systematic identification and analysis of hazards that:
1. Ensures thorough and complete analysis of hazards and identification of controls;
2. Associated with the work tasks; and
3. Associated with the work environment, including hazards from adjacent ongoing activities.
4. Includes consideration of potential transients or accidents (i.e., "what if" scenarios such as spills, fires, exposures, failures, changing conditions, interference, alarms, unexpected equipment actuations, errors, etc.) and their consequences;
5. avoids over-reliance on generic work documents, automated job hazard analysis (AJHA) tools and administrative controls such as permits (e.g., radiological, confined space, etc.) in lieu of thorough analysis of specific work tasks/activities;
Work activities and boundaries are defined in sufficient detail to allow a work planning team to determine the job steps necessary to complete the work so that all hazards can be identified, appropriate controls can be established, and adequate work instructions developed.
1. The work needed, objective to be accomplished, condition to be achieved or corrected, problem being addressed, expected outcome, etc, are well documented.
2. The specific tasks necessary to accomplish the work are identified. Workers, customers/users, supervisors, planners, and others are involved in task identification as appropriate.
3. Equipment, components, locations, etc. described are verified correct and accurate;
4. Applicable and affected documents are identified (e.g., procedures, drawings, specifications, vendor manuals, training materials, etc.), and the latest versions/revisions are used in work planning.
5. The work activity is clearly and adequately bounded/limited (e.g., physical boundaries such as equipment/components to which work activity is limited, specific area to which work is confined; conditions under which work can be performed; etc.).
The work planning process specifies when walkdowns are required to assist in defining work scope and boundaries, and clearly defines roles and responsibilities regarding worker involvement.
1. Walkdowns are performed when required.
2. Workers that will be performing the tasks participate in the walkdown.
3. Work site conditions are documented, including use of photographs if necessary, to ensure appropriate consideration of special or unique planning requirements or circumstances (e.g., lookouts/watches, permits, constraints or interferences to use of normal/routine practices or procedures, resources, support needs such as equipment, labor, engineering or operations, etc.).
A team approach used to identify and analyze hazards associated with complex or unique work involving multiple hazards.
The team operates (i.e., meets, communicates, reports, etc.) as defined in approved, controlled procedures.
The team consists of appropriate types of personnel (e.g., safety analysts, work planners, safety professionals, and SMEs such as health physicists, electrical safety specialists, criticality safety engineers, fire protection engineers, security experts, etc.) for the work being performed given the hazards involved.
Workers are involved in work planning to draw upon their knowledge and experience, to understand their concerns, to get their input concerning preferred methods and approaches to work (what works and what doesn't, obstacles frequently encountered and how to avoid them, etc.), and to familiarize them with the work and to buy-in to the selected approach for accomplishing the work.

2.3 Control of Work Hazards

Eliminating or reducing the hazards; for any remaining hazards use a hierarchy of controls (i.e. engineered controls first, administrative controls second, and PPE last).

Criteria:

Generic work documents, vendor-supplied work instructions, or previously used work packages/procedures are only used following confirmation of continued applicability and appropriateness to the current work site and activities, and applicable lessons learned and operating experience information has been incorporated.
1. Verifies that work activities are consistent with applicable standards and requirements, and do not challenge the facility safety basis or environmental limits; and
2. Reviews work tasks from a human performance perspective to identify and either eliminate or develop contingencies for error likely situations.
Hazards are analyzed collectively to arrive at the optimum set of controls for the work being performed, and to ensure that the selected controls do not conflict with each other or introduce additional hazards. This is an iterative process that must be repeated as tasks are added or changed and as controls are identified or modified.
Potential unwanted/undesirable impacts from the conduct of work activities (e.g., unanticipated alarms, unplanned entry into TSR LCOs, need for additional support, degraded or diminished safety or mission capability) are identified and eliminated.
A hierarchy of controls methodology is employed that seeks to prevent or mitigate the hazards by first eliminating hazards, second by controlling the hazards (first through engineered controls and next through administrative controls), and as a last resort through the use of personnel protective equipment to protect the worker from the hazard.

2.4 Work Package Instructions

Work plans identify the resources, including support organizations, needed to perform the work. Develop instructions necessary to complete work activities safely and efficiently, including integration of specific hazard controls. Identify and integrate into the instructions applicable technical and administrative requirements (ES&H, QA, Security, Emergency Management, Safety Basis, etc.) Establish acceptance/performance criteria to verify completion of the work. Work documents are written so they can be understood and effectively used by those who perform the work. Work documents are formally reviewed and approved.

Criteria

Work instructions identify impacts on safety systems and equipment and/or facility operations/processes, and applicable TSRs or other administrative controls.
Hazards associated with the work and the controls developed to protect the worker are appropriately documented in the work package.
Written work instructions include appropriate features (e.g., identification of appropriate controls, warnings and precautions, QA hold points, control room communications, required inspections, approvals to proceed to next steps, and independent verifications, etc.) necessary for confirmation of critical steps, values, equipment positions, etc., and for worker safety, equipment protection, and continuity of operations.
Work planning identifies and documents in work instructions/procedures all necessary prerequisite actions to be completed and verified before proceeding with work tasks. These include verification of required facility initial conditions (e.g., correct operating mode or availability of systems or equipment); communications (e.g., notifications/announcements and approvals); confirmation of equipment position and system status; confirmation of proper installation of controls (establishment of lookouts/watches, lock-outs and tag-outs, PPE, compliance with administrative limits, controls, and requirements); availability of support equipment (e.g., lighting and scaffolding); and any other field preparations or actions that must be completed before work is begun.
Work planning identifies and documents in work instructions/procedures all necessary precautions and limitations necessary to prevent or reduce personnel exposure to hazards (radiological, electrical, chemical, environmental, etc.) and damage to property and equipment.
Work instructions require documentation of as-found conditions; incomplete/uncompleted items; discrepancies; unexpected, unusual, abnormal, unplanned, or unexplained conditions; equipment responses and surrounding circumstances; relevant and indications or alarms etc. to ensure preservation of evidence and allow for subsequent analysis.
Acceptance/performance criteria should:
1. Conclusively determine whether the work was accomplished successfully;
2. Verify that the work did not introduce or cause other deficiencies or problems;
3. Determine that applicable design, safety, and interface criteria are met.
Testing is coordinated with operations where appropriate.
Work package procedures ensure proper equipment restoration and return to service so that there is positive assurance/confidence that design and safety functions will be adequately performed.
Work packages are clearly written and complete.
Work packages are user friendly (e.g., unnecessary information, having to look up required referenced information in other documents, or other actions that result in overly complex or cumbersome work packages are avoided).
The sequence of steps in work instructions ensure that work is performed safely, efficiently, and effectively/successfully.
All required information is identified (prerequisites, needed tools, test equipment, vendor information, reference materials, services, support equipment or personnel, conditions).
Required work package reviews and approvals are appropriate (i.e., only include those that are necessary and provide value).
The individuals responsible for work package execution, typically the first line supervisor or person-in-charge (PIC), and closure are clearly identified.

2.5 Confirmation for Readiness to Performance Work

Readiness is confirmed prior to scheduled work performance with regard to: system (including software), prerequisite controls, work environment, people, documents, tools and materials Field conditions are confirmed to match planning document(s). Work is formally authorized to proceed

Criteria:

Work documents are reviewed by workers prior to work performance to ensure workability and familiarity with the work.
Workers are confirmed to be trained and qualified.
Availability of tools, equipment and support services is confirmed.
Includes a final check to determine if circumstances have changed since the work was planned that could affect the safe performance of work activities.
Both the work instructions and the work site are reviewed, including walk downs where appropriate, to ensure that the hazards analysis results translate to the actual work environment (i.e., reflect actual conditions) and to verify that all hazards that could potentially affect the safety of workers have been identified and that selected controls are appropriate and adequate.
The impact of tools and temporary equipment (e.g., scaffolding, rigging, power supplies, welding equipment, enclosures, insulation, shielding, etc.) on facility systems and equipment is understood and accepted.
Work packages clearly identify the line manager responsible and accountable for authorizing the work and ensuring that the work is conducted safely.
The responsible facility manager understands the scope of work being performed and its relationship to other ongoing facility work activities.
There is a formal work authorization process that:
1. ensures all preparations have been completed (including required notifications, approvals, permits, etc.) and that required controls are implemented before the work is started; and
2. includes provisions to effectively integrate work activities and coordinates with others who may impact or be impacted by the work (e.g., plan-of-the-day meetings or other mechanisms used to prioritize, coordinate, and control ongoing work activities); the combined effect of all ongoing work activities should be understood.

2.6 Performance of Work

Personnel with the appropriate functional area expertise are used to perform the work. Pre-job briefings are conducted. Work is performed and documented in accordance with the applicable work instruction(s). Documentation includes any problems encountered during execution of the work, and any feedback information considered useful for improving the work process. Line management oversight is sufficient to ensure work proceeds as planned. Appropriate actions are taken if unexpected hazards or conditions are encountered. Field changes in work scope are thoroughly reviewed, analyzed (including adequacy of hazards analysis and controls), documented, and approved before being implemented. Field changes in work scope are thoroughly reviewed, analyzed (including adequacy of hazards analysis and controls), documented, and approved before being implemented. Work is complete when the outcome is achieved, the documentation is complete, and the work is accepted.

Criteria:

Pre-job briefings are held that:
1. Ensure that workers understand the hazards in the work area and the controls provided to protect them from the hazards, and that the controls will remain in effect as long as the associated hazards are present;
2. Ensures that all workers understand their responsibilities as related to the work activity, including required records, forms, information, or other documentation associated with the work that must be completed;
3. Confirms that work hazards and safety provisions are understood and appreciated by all workers involved such that each worker has confidence that their coworkers are knowledgeable and prepared;
4. Cover applicable procedures and instructions, critical job steps, warnings and precautions, error-likely situations, expected outcomes, response to unexpected outcomes, including emergency conditions (emergency communications and contingency or compensatory actions), and relevant operating experience; and
5. Allows opportunity for workers to ask related questions; worker concerns regarding unsafe work conditions are addressed
Workers understand that working outside the defined scope of a work package is prohibited. Workers are responsible and held accountable for explicitly following work instructions and procedures, and performing work within established controls, yet maintaining constant awareness and a questioning attitude with respect to safety.
Results of the work process are adequately documented (i.e., forms properly filled out; results, observations, and comments recorded; adequate information provided describing issues, problems, deviations, etc., and resultant actions taken). Documentation includes concerns and observations related both to the specific work activities performed and other facility conditions worthy of note that may not be directly related to the work being performed (e.g., leaks, degraded equipment condition, housekeeping issues, fire or other safety hazards, etc.).
Workers understand that they have the responsibility and authority to stop work if conditions are deemed unsafe or if there is doubt concerning how to proceed safely.
Workers know where to go and what to do should new or different hazards or circumstances other than addressed in work planning be encountered.
Safety issues affecting work in progress are resolved in an appropriate and timely manner.
Errors discovered during the course of performing work (such as errors in equipment labeling or location, or in drawings, procedures, and other documents) are promptly reported, and the effect on current work activities thoroughly assessed before proceeding.
Informal, un-reviewed, or un-approved deviations, shortcuts, or workarounds are not tolerated. Note: A graded approach is used that analyzes and approves field changes based on their importance/significance. Some field changes may be very minor where it can be readily determined that no new hazards are created or introduced, and where the existing controls are adequate, thus requiring minimal review and approval. Other field changes may involve significant changes in the hazards involved, or the adequacy of existing controls may be uncertain and require further analysis, thus requiring more formal review and approval. In all cases, the changes and the basis for the degree of review and approval deemed appropriate should be documented in the work package.
Housekeeping is completed in the area of work ensuring that the area is as clean when the job is finished as it was when it started.
The documentation supports the work performed and provides adequate traceability to any newly installed or replaced components.
Retesting is either completed satisfactorily or is identified as being required prior to turnover back to operations.
Operations Review is completed to accept the work performed and readiness of the equipment for use.

2.7 Post Work Review - Feedback and Improvement

Post-job reviews are conducted to collect feedback, including lessons learned. Feedback is analyzed to identify improvement opportunities. Improvement opportunities are effectively dispositioned. Work Documents are evaluated and processed in accordance with approved records management procedures. Timely updates and improvements are incorporated into affected documents (such as; engineering drawings, training documents, operating procedures, hazard analysis, etc.).

Criteria:

Post-job reviews are conducted to obtain feedback, both good and bad, for use in making work process improvements.
The post-job review process is a formal, proceduralized process that requires documentation of results and participation by appropriate workers and supervisors.
Work packages are not closed out until all required documents and records are included and are complete.
Work packages are closed out in a timely manner, i.e., timely revisions are made to documents affected by the work, such as facility drawings, the Master Equipment List (MEL), training materials, facility procedures, relevant historical information (e.g., equipment maintenance and repair history, calibration data), facility design basis documentation such as System Design descriptions (SDDs), etc.

Performance Objective 3: DOE Line Management Oversight

DOE line management have established and implemented effective oversight processes that evaluate the adequacy and effectiveness of contractor work control processes

Criteria:

To be developed

< BACK TO PREVIOUS PAGE