**Objective:** Assess the institutional and department/division hoisting
and rigging (including forklift, overhead cranes small hoists, and
mobile cranes) requirements, policies, procedures, and work practices
for both professional and incidental activities. Review the roles and
responsibilities of line managers, support personnel and workers who are
involved in these activities as well as the adequacy of compliance with
institutional and/or Department/Division qualifications, training
requirements, and inspection requirements. Assess the laboratory's
process for understanding the causes and development of effective
corrective actions for incidents/accidents. Review the roles and
responsibilities of line managers, support personnel and workers who are
involved in the incident as well as the adequacy of the investigation,
development of corrective actions of such incidents, and the
verification of their effectiveness. Review line management's
understanding of the Laboratory's and division/department policies and
procedures for working safely. Focus will be on the adequacy of hoisting
and rigging requirements and policies and its flow down into lower
tiered procedures, concentrating on: planning hoisting and rigging work,
implementing effective hazards controls, and performing work within
controls. Assess the identification and analysis of forklift operations
and hoisting and rigging hazards, establishment of work controls,
procedural adherence, and implementation of lessons learned both from
previous work and current work activities. **Blue comments inserted by
Mike Viola, PPPL.**

1\. **Line Management Responsibility for Safety**

> Guiding Principle #1: *"Line Management Is Directly Responsible for
> the Protection of the Public, Workers, and the Environment."*

a.  **Criterion 1: Policy and Expectations**

> Hoisting and rigging policies and goals are documented, and
> initiatives are in progress to improve hoisting and rigging safety.
> Review laboratory-wide and department/division initiatives.

**[MANAGEMENT:]{.underline}**

 

Operate under what guidance:

OSHA?

DOE Standard?

Internal Procedure?

Formal flow down?

Is it adequate?

b.  **Criterion 2: Leadership**

> Line management demonstrates a commitment to protect the public and
> workers from hoisting and rigging incidents. Line management
> proactively demonstrates a leadership position in guiding their line
> organizations, subcontractors, and workers toward integrated safety
> management. Review Laboratory-wide and department/division performance
> metrics and conduct interviews of senior and middle managers.

c.  **Criterion 3: Worker Empowerment**

> Contractor line managers recognize that active participation by
> workers is essential to maintain and improve the hoisting and rigging
> program. Conduct interviews of middle management and workers to
> ascertain level of participation to improve performance.

1.  **Clear Roles and Responsibilities**

> Guiding Principle #2: *"Clear Lines of Authority and Responsibility
> for Ensuring Safety Shall Be Established and Maintained at All
> Organizational Levels Within the Department and Its Contractors."\
> *

a.  **Criterion 1: Clear Lines of Authority and Responsibilities**

Line management defined, documents and maintains clearly delineated
roles and responsibilities for hoisting and rigging that provide a
foundation for effectively integrating safety into hoisting and rigging
operations. Conduct interviews with managers/supervisors and workers to
determine their understanding of their authorities and responsibilities
for performing hoisting and rigging work safely.

b.  **Criterion 2: Defined Responsibilities and Accountability**

> Line managers are responsible and accountable for ensuring that
> hoisting and rigging work practices are performed in a manner that
> adequately protects the public, workers, and the environment. Review
> roles, responsibilities and authorities and accountabilities (R2A2s)
> of senior managers, middle managers, supervisors, and workers
> concerning hoisting and rigging.

c.  **Criterion 3: Accountability for Performance**

> Line managers are accountable for hoisting and rigging safety
> performance through performance objectives and appraisal systems.
> Performance is explicitly tracked and measured, and inadequate
> performance should have visible and meaningful consequences. Line
> managers execute actions to attain and continuously improve the safety
> of hoisting and rigging. Conduct interviews with line managers and
> supervisors on accountability for performance.

2.  **Competence Commensurate with Responsibilities**

> Guiding Principle #3: *"Personnel Shall Possess the Experience,
> Knowledge, Skills, and Abilities That Are Necessary To Discharge Their
> Responsibilities."*

a.  **Criterion 1: Staffing and Qualifications**

> Line managers and staff demonstrate a high degree of technical
> competence and a good understanding of the hoisting and rigging
> program. Review R2A2s as appropriate for select positions. Conduct
> interviews with senior managers, facility managers, principal
> investigators, building managers, supervisors, as appropriate. Review
> training and qualification programs. Review experience requirements
> needed to operate hoisting equipment. Sample training records. Review
> incidents reports to determine whether staffing and/or qualification
> were causal factors in hoisting and rigging incidents.

**[PERSONNEL]{.underline}**

Training - Who does the training?  Source of trainer qualification?
Experience!!? Train the trainer?

What is required to operate? Experience!!? How often do they perform
lifting activities? (Once or twice a year is not qualified.) Do they
recognize experts and bring them in for critical lifts?

What is required to Rig? Operate Small hoist? Overhead crane? Mobile
crane? Forklift? Test for understanding of [Load charts]{.underline}?

Is it adequate? Any training for off-normal conditions?

b.  **Criterion 2: Technical Competence**

> Workers and managers are technically competent to perform hoisting and
> rigging jobs and are appropriately educated and knowledgeable of
> hazards, vulnerabilities, and risks. Conduct interviews with senior
> managers, facility managers, principal investigators, as appropriate.
> Review hoisting and rigging incidents reports to determine whether
> technical competence was a causal factor in incidents.

What is the method of operator qualification (test, OJT)?

What are acceptable criteria?

How are crafts qualified?

How are subcontractors onsite qualified? Proof? Supervision?

Graded approach?  Short term vs. long term? Is it too dilute? (500 lbs
can kill you just as fast as 10 tons)

Review examples of training?

Forklift qualifications? By type? Gas handling? Battery handling?

How did they implement the "new" OSHA forklift training rule
requirements?

Follow up evaluation?  When?  By whom?  Records? Supervision?

3.  **Define the Scope of Work and Balanced Priorities**

> Guiding Principle #4: *"Resources Shall be Effectively Allocated To
> Address Safety, Programmatic, and Operational Considerations.
> Protecting the Public, the Workers, and the Environment Shall Be a
> Priority Whenever Activities Are Planned and Performed."*
>
> Core Function #1: *"Missions are Translated Into Work, Expectations
> are Set, Tasks Identified and Prioritized, and Resources are
> Allocated."*

a.  **Criterion 1: Translate Mission into Work; Set Expectations**

> Contractors use defined mechanisms to define the scope, schedule and
> cost of hoisting and rigging work and to identify and communicate
> associated risks and hazards. Review the hoisting and rigging work
> processes and compare expectations in division/department procedures
> for conformance as well as recent hoisting and rigging events.

b.  **Criterion 2: Provide for Integration**

ES&H functions and activities are integrated into program, activity, and
work planning at all levels of the line organization. Review
division/department procedures that demonstrate that ISM is integrated
into hoisting and rigging activities. Conduct interviews of a cross-cut
of personnel for their level of understanding.

4.  **Identification of Safety Standards and Requirements and Analyze
    the Hazards**

> Guiding Principle #5: *"Before Work Is Performed, the Associated
> Hazards Shall Be Evaluated and an Agreed Upon Set of Safety Standards
> Shall Be Established That, if Properly Implemented, Will Provide
> Adequate Assurance That the Public, the Workers, and the Environment
> Are Protected from Adverse Consequences."*
>
> Core Function #2: *"Hazards associated with the work are identified,
> analyzed and categorized."*

a.  **Criterion 1: Hazards Analysis and Work Planning**

> Prior to the initiation of work, line management identifies, analyzes,
> and categorizes the hazards associated with the work activity so that
> the appropriate hoisting and rigging administrative and engineering
> controls can be put in place to prevent or mitigate those hazards.
> Review work processes from division/department procedures and compare
> with recent hoisting and rigging events and observations, especially
> skill-of-the-craft determinations. Review the activities associated
> with the Laboratory's Lifting Safety Committee.

b.  **Criterion 2: Identification of Standards and Requirements**

> Line management has identified, communicated, executed, and monitored
> all applicable DOE requirements, and Federal, state, and local
> regulations. Review division/department for omissions which may have
> been factors in recent hoisting and rigging events.

**[EQUIPMENT:]{.underline}**

 

How is it stored?  Controlled?  Who can access slings and hoists?
Supervision?

How often is equipment inspected?  By whom?  Qualifications?  What
criteria for inspections? Use service manuals?   Documented monthly hook
and wire rope, periodic inspections. Daily checks?

How are inspected items marked?

Who oversees inspection program?

Any audits?

Review (inspection, storage, use) examples of:

Slings; Fixtures; Chainfalls; Cranes; Mobile cranes; Forklifts

5.  **Hazard Controls Tailored to Work Being Performed; Develop and
    Implement Hazard Controls**

> Guiding Principle #6: *"Administrative and Engineering Controls To
> Prevent and Mitigate Hazards Shall Be Tailored to the Work Performed
> and Associated Hazards."*
>
> Core Function #3: *"Applicable Standards and Requirements are
> Identified and Agreed Upon, Controls to Prevent/Mitigate Hazards are
> Identified, the Safety Envelope Established, and Controls are
> Implemented."*

a.  **Criterion 1: Identify Controls to Prevent/Mitigate Hazards**

> Line management has established processes for identifying and
> tailoring controls for hazards associated with all hoisting and
> rigging activities. Review Laboratory's process for identifying and
> tailoring controls in recent hoisting and rigging incidents. Review
> the Laboratory's process for identifying lifts as critical lifts or
> pre-production lifts.

Any critical lift procedures used? Supervision?

Any production procedures used? Supervision?

How are high dollar items moved?  Oversight? Do they bring in "old
timers" to watch/supervise the lift?

How are radiological items moved?  Oversight? " " " " "

b.  **Criterion 2: Establish Safety Controls**

> Hazard controls are established based on the understanding of the
> hazards, vulnerabilities, and risks in the work environment (e.g.,
> nuclear, radiological, chemical, industrial, physical, and natural
> phenomena). Review Laboratory's process for establishing safety
> controls in recent hoisting and rigging incidents.

c.  **Criterion 3: Implement Controls**

> Line management has established methods to implement controls at every
> level and ensures that controls remain in effect as long as hazards
> are present. Review Laboratory's investigations and conduct
> observations to determine if implementation of controls in recent
> hoisting and rigging incidents.

6.  **Operations Authorization; Perform Work Within Controls**

> Guiding Principle #7: *"The Conditions and Requirements to be
> Satisfied for Operations Initiated and Conducted Shall Be Clearly
> Established and Agreed-Upon."*
>
> Core Function #4: *"Readiness is Confirmed and Work is Performed
> Safely."*

a.  **Criterion 1: Confirm Readiness**

> Line management has established and implemented processes to confirm
> that a facility or work process/activity that involves hoisting and
> rigging, as well as the work force, are in an adequate state of
> readiness prior to authorizing the performance of work. Review the
> Laboratory's process for assuring that work preparation is adequate.
> Review the Laboratory's process for performing pre-job briefs. Review
> the Laboratory's hoisting and rigging preventive maintenance program.
> Review the Laboratory's hoisting and rigging periodic, daily, and
> monthly inspection program. Conduct work observation and review
> documentation at work site. Review recent hoisting and rigging events
> to determine whether lack of readiness was a causal factor.

b.  **Criterion 2: Operations Authorization**

> Line management has assumed the responsibility for ensuring that all
> hoisting and rigging operations are authorized at a level commensurate
> with the hazards and has established work authorization processes for
> both facility- and activity-level operations. All hoisting and rigging
> work activities are subject to authorization based on appropriate
> review of the preparation and readiness to perform work. Review work
> processes and sample documentation from activities observed in the
> field. Review hoisting and rigging events to determine whether
> improper authorization was a causal factor.

c.  **Criterion 3: Perform Work Safely**

> Line managers are responsible for implementing hoisting and rigging
> programs in compliance with defined requirements. Line managers ensure
> that contractors, and subcontractors, execute defined requirements in
> such a manner that employees, the public, and the environment are
> protected from adverse consequences. Conduct interviews with senior
> managers, division directors, supervisors, and workers on procedural
> compliance and their understanding of the effectiveness of the
> division/department implementation procedures. Review reports to
> determine when procedural compliance was a factor in hoisting and
> rigging incidents.

**[INCIDENCTS / ACCIDENTS:]{.underline}**

 

What categories? Is there a pattern/obvious weakness? Training related?
Equipment related?

Special attention to recurring events.

7.  **Provide Feedback and Continuous Improvement**

> Core Function #5: *"Feedback Information on the Adequacy of Controls
> is Gathered, Opportunities for Improving the Definition and Planning
> of Work are Identified and Implemented, Line and Independent Oversight
> is Conducted, and, If Necessary Regulatory Enforcement Actions Occur"*

a.  **Criterion 1: Assessment and Measurement of Performance for
    Continuous Improvement**

> Line management has established formalized mechanisms and processes
> (at the institutional, facility/project, and activity levels) for
> collecting both qualitative and quantitative information on hoisting
> and rigging performance as the basis for informed management decisions
> to improve performance through assessments, performance measures, and
> other feedback mechanisms. Conduct interviews with senior and middle
> managers on the investigation and subsequent tasks associated with
> hoisting and rigging incidents. Review reports for technical adequacy.
> Review the Laboratory's process for performing post-job briefs

b.  **Criterion 2: Follow-up and Correction of Safety Management System
    Deficiencies**

> Line management has established a formalized process to capture and
> track hoisting and rigging -related deficiencies and associated
> corrective actions. Line management has executed mechanisms, such as
> independent verification and performance-based evaluations, to ensure
> that corrective actions are timely, complete, and effective. Review
> Laboratory's process for determining whether the corrective action
> management system is effective in reducing the probability of repeat
> events. Review the corrective actions associated with the recent
> recurring ORPS on hoisting and rigging.

c.  **Criterion 3: Lessons Learned**

> Line management has established a method to capture hoisting and
> rigging related deficiencies, to identify causes and generic
> applicability, and to disseminate lessons learned within and across
> organizations. Evaluate process and interview line managers and
> workers on the use and effectiveness of the lessons learned system.

Are prejob briefs conducted? Post job briefs?

Is post job information disseminated? Feedback!!?

Worker level Forklift safety meetings? Frequency?

Worker level Hoisting and rigging safety meetings? Frequency?

How are lessons-learned disseminated to others of the same craft?
Feedback!!?

**Concerns:**

**Findings:**

**Observations:**

**Noteworthy Practices:**

**Records Reviewed:**

**Personnel Interviewed:**

**Work Observations:**

**Signatures:**

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Facility Representative Facility Representative