#  Work Planning and Control for Experiments

**Steward Assessment Tool**

**Assessed Dept/Div Date:**

**Objective:** The objectives of this assessment tool are to determine
the status of the Experimental Review processes that exist within the
above noted Department/Division. Specifically the assessment will focus
on the following:

a)  Ensuring the general process for experimental review, approval, and
    operations, as stated in section 1 of the WP&C Subject Area, are
    being properly implemented.

b)  Ensure "significant modifications" to existing experiments are
    reviewed and approved prior to implementation

c)  Ensure all existing experimental configurations have an approved
    Experimental Safety Review (or fall within the boundaries of an
    existing ESR)

d)  Ensure all long term experiments are reviewed annually

e)  Understand the Department/Division interface between WP&C for
    Operations and WP&C for Experiments

> 1\) **[Department/Division Experimental Process
> (Administrative)]{.underline}**

a)  Does the Department/Division use the SBMS WP&C Subject Area as an
    implementing procedure or does it have an internal procedure?

> 1\) If an internal procedure is being used, review it to ensure
> compliance with section 1 of the WP&C Subject Area. Note any comments:

b)  How has the Department Chair/Division Manager appointed members of
    the ESRC? (i.e., by charter, by memorandum, by R2A2, informally,
    etc):

c)  As a minimum, are the following individuals part of the ESRC: ERC,
    F.S. Representative, ECR, and ES&H Coordinator? Do the R2A2s of
    these individuals reflect their ESRC responsibilities?

d)  As required, does the ESRC supplement its membership with Subject
    Matter Experts?

e)  What type of tracking mechanism does the ESRC use to ensure
    corrective actions are tracked to completion?

2\) **[Department/Division Experimental Process (Review, Approval,
Operations)]{.underline}**

a)  Do all existing experiments have an Experimental Safety Review (or a
    referenced ESR that bounds the experiment's operation)?

b)  Review between two to five (if that amount exists) of the
    Department/Division's active Experimental Safety Reviews; ask the
    following: 1) Does the review contain the pertinent items in the
    "Experimental Review Contents List"? 2) Is the experimental scope
    adequately described in the review? 3) Are the hazards adequately
    described? 4) Are the Controls and Limits described? Are they
    adequate for the hazards? 5) Are Controls and Limits contained in or
    referenced in the FUA? 6) Are the ESRs approved by the appropriate
    level of management? 7) Was the PI/RP actively involved in the
    development of the ESR? 8) Did the ESRC review the experimental
    proposal and recommend its approval?
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

c)  If possible sit in on an ESRC and/or planning meeting.

d)  Perform a walk through of several experiments in the field with the
    ERC. Determine his/her understanding of the experimental
    configuration. Does he/she know enough to notice if a change has
    taken place? Is day-to-day monitoring adequate?
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

e)  Has there been any voluntary or involuntary shutdown of any
    experimental operation? If yes why? Any lessons learned that can be
    shared?

f)  If the ESRC or any other committee required pre-start or post-start
    actions, have they been completed?

3\) **[Long Term Reviews]{.underline}**

a)  Verify that all long-term experiments have been reviewed in the last
    year:
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

b)  Review up to two long-term experiments (if that amount exists), ask
    the following: 1) Has the scope of the experiment changed? If yes
    has it been documented? If the change was "significant" (i.e.,
    exceed the approved controls and limits) has it been reviewed by the
    ESRC or appropriate members and approved by the appropriate level of
    management? Has the FUA been updated? 2) Is the scope of the
    experiment, hazards, and mitigating measures within the boundaries
    of the original or a new up to date ESR?
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

c)  What is the mechanism to ensure long- term experiments are reviewed
    on an annual basis?
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4\) **[Experimental Setup and Terminationa)]{.underline}**

a\) If an experiment is being originally constructed or modified,
determine the process involved. I.E., is section 2, WP&C for Operations
of the Subject Area being used? If no experiments are under construction
discuss the past planning and constructing of the experiments with the
ERC.

b\) If an experiment is being torn down, determine the process involved.
If no experiments are being torn down then visit sites of past
experiments and determine the following: 1) Have wastes and hazardous
chemicals been removed. 2) Has the area been restored to a condition
satisfactory to the host Department/Division?

5\) **[Feedback and Improvement]{.underline}**

a)  Are lessons learned and occurrence reports captured in the original
    and long-term review processes?

b)  Has any pertinent information from experimental shutdowns been
    forwarded to the Laboratory ERCs?

6\) **[Interview Questions]{.underline}**

a\) Review the "General Question Set" attachment to ensure you have
addressed the appropriate questions with the appropriate personnel (Use
a continuation sheet for any additional comments)

7\) **[Survey]{.underline}**

a)  Perform the worker involvement survey with as many people as
    possible in the Department/Division.

8\) **[Follow-Up]{.underline}**

a\) Follow up on areas of improvement noted on the last
assessment/review/audit of the Department/Division:

b\) Denote any corrective actions, observations, or areas for
improvements:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

c\) Denote any corrective actions, observations, etc, that should be
shared with the Lessons Learned Coordinator, PAAA Coordinator, or at the
WCM/ERC
Meetings;\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_