# Presentation: 866440

## Assessment Processes for Feedback and Improvement

**Public Meeting****December 4, 2003**

- River view of 100K area

*Herbicide application to road shoulders**  *

**Ron Gallagher, President and Chief Executive Officer**

## Purpose

- Expectations
- Overview of Fluor self-assessment program and activities
- Requirements
- Technical competencies
- FH corrective action management program

- DNFSB Public Meeting --- December 4, 2003

**Notes:**
I’m relatively new to FH, but my initial observations indicate we:

Recognize the importance of self-identification.
Realize our assessment programs were not consistently producing the intended results.
Understand the direction we need to go and have implemented actions.
There is a new dedication on the part of the staff to perform meaningful FH self-assessments that directly support our core mission activities.

## Expectations

- Line management ownership
- Line management accountability
- Do work safely
- Strong assessment program
- Management assessments
- Independent assessments

- DNFSB Public Meeting --- December 4, 2003

**Notes:**
I am responsible for safety at FH

 Independent Assessment reports to me.
 I expect line managers to self-identify and fix problems.
 Recognize that a stronger assessment program results in:
 fewer operational problems
 less rework
 early identification of opportunities for process improvements

## Current Program	 Status	

- Program performance in fiscal year 2003
- Functional areas not consistent or comprehensive
- Programmatic and systemic issues still evident
- Not adequately integrated with RL oversight
- Program enhancements for fiscal year 2004
- Integrated Evaluation Plan
- Quality vs. quantity
- Monitoring performance for emerging issues

- DNFSB Public Meeting --- December 4, 2003

**Notes:**
First of all let me say we are in strong agreement with the customer

Past Problems:
 many of self-assessments shallow/poor quality
 follow-up actions related to assessments delayed
 some assessments delayed or not conducted

Program Enhancements:
 greater senior management accountability
 actions taken to ensure assessors are qualified
 more rigorous scheduling accountability
 more effective tracking mechanisms put in place
 database software/CAM
 more targeted independent assessments in high importance areas.

## Requirements

- Contractual requirements
- Title 10, Code of Federal Regulations, Part 830, *Nuclear Safety Management,* Subpart 122, Q*uality Assurance Criteria*
- DOE Order 414.1A, *Quality Assurance*
- Implementing document
- HNF-MP-599, *Project Hanford Quality Assurance Program Description*

- DNFSB Public Meeting --- December 4, 2003

**Notes:**
Requirements that provide the basis for what we are doing:
Describe a process used to conduct effective assessments
Describes training and qualification for personnel conducting assessments
Describes various tools to be used for conducting effective assessments

## DOE N 226.1, Implementation of DOE Oversight Policy

- Current program has fundamental elements
- Would need additional rigor
- Working with RL to identify the potential changes and impacts from DRAFT contractor requirements document

- DNFSB Public Meeting --- December 4, 2003

**Notes:**
FH has not yet formally received DOE N 226.1 – are reviewing the draft for input
Preliminary review indicates:
increased emphasis on utilization/formalization of worker related assessment activities
increased emphasis on the competence of personnel conducting independent assessment activities
use of performance indicators and measures
Working with DOE-RL to understand any assessment program impacts as a result of the new policy

## Topics Assessed

- Integrated Safety Management System
- Configuration management
- Engineering program
- Operations
- Maintenance
- Radiation protection
- Fire protection
- Packaging and transportation

-   Acquisition management
-   Waste management
-   Nuclear safety
-   Quality assurance
-   Training and qualification
-   Emergency management
-   Safety management    programs

- DNFSB Public Meeting --- December 4, 2003

**Notes:**
Examples of selected sub-topics that are included within the major functional areas:
 Engineering:
 engineer qualifications
 modification processes
 suspect/counterfeit parts
 design changes
 Nuclear Safety:
 Unreviewed Safety Question (USQ) processes
 Criticality Safety program
 Safety Analysis (including operational & administrative controls)
 Operations (review of the 18 chapters of DOE Order 5480.19):
 Lockouts and Tagouts
 Control of Equipment and System Status
 procedures (technical & administrative)
 investigation of abnormal event

## Frequency

- Each topic assessed minimum of once during a three-year period
- Integrated Evaluation Plan (IEP) details fiscal year plan by quarter, type of assessment, and functional area
- Monitor performance monthly
- Use monthly and quarterly metrics to update Integrated Evaluation Plan as needed

- DNFSB Public Meeting --- December 4, 2003

**Notes:**
 Monitor performance monthly (how)
 detailed management review of IEP schedule
 conduct quality review of each assessment
 formal discussions with RL on program activity

 Metrics
 FH performance dashboard
 additional metrics being developed in FY04

## Assessments

- 320

- 329

- FH self-assessments completed in fiscal year 2003

- DNFSB Public Meeting --- December 4, 2003

**Notes:**
Examples of:

 Independent Assessments:
Beryllium Program
FH Job Hazards Analysis Process
FH Hazardous Energy Control Program
 Management Assessments:
Lock & Tag
Price-Anderson Amendments Act Program
Plutonium Finishing Plant Configuration Control
Waste Receiving and Processing Nondestructive Analysis Program

## Management Assessment

- Opportunity to improve the quality of the organization’s systems, processes, and programs
- Determine if systems, processes, and programs are being implemented
- Determine if the Integrated Safety Management System is continuously improving and functioning properly
- Senior managers look at management systems; first line supervision assesses for compliance
- Requires lines of inquiry; recommends using independent assessment performance objectives and criteria

- DNFSB Public Meeting --- December 4, 2003

## Independent  Assessment

- Performance-based assessments
- Readiness Activities
- Vital Safety Systems
- Functional areas (e.g., QA, RadCon, S&H) using established performance-based objectives and criteria
- Targeted assessments for emerging issues
- Measures adequacy of work performed and compliance to  requirements
- Evaluates quality programs, items, and services of subcontractors and suppliers
- Evaluates effectiveness of Management Assessment program

- DNFSB Public Meeting --- December 4, 2003

## Staffing and Competency	

- Staffing
- Recently centralized staff to establish core competency
- Core augmented by subject matter experts as needed
- Training
- Management assessment
- Management experience
- Functional knowledge
- Training on management assessment program
- Independent assessment
- Demonstrated technical competencies for assessment areas
- Formal training and qualification program
- Classroom training
- Infield training under guidance of qualified personnel
- Formal management approval

- DNFSB Public Meeting --- December 4, 2003

**Notes:**
Examples of Subject Matter Experts brought in for assessment support:
 Vital Safety Systems
 Operational Readiness Reviews

## Issues

- 40%

- 40%

- 20%

- Issues identified
- by all oversight activities in fiscal year 2003

- DNFSB Public Meeting --- December 4, 2003

**Notes:**
Examples of External Reviews:
 DOE Facility Representatives 
 DOE Headquarters teams
 Inspector Generals office & General Services Administration review teams
 Washington State Department of Ecology and Department of Health

## Corrective Action Management

**Pre-Screening**

**Significant****	****?**

**Initiating****Document**

**Evaluation/Process**
**Internal to **
**Project/Program**

**Evaluation**

**Track to **
**Closure **

**END**

- Causal Analysis
- Corrective Actions
- Closure Requirements

**Verification,****Validation, and****Trending**

**END**

**Feedback and Improvement**

- DNFSB Public Meeting --- December 4, 2003

**Notes:**
All Independent and management assessment reports inputted into Corrective Action Management process:

Issues are graded as significant or low threshold deficiencies, opportunities for improvement, or for trend information only.
Significant deficiencies are formally evaluated for root cause.
Corrective actions are developed and tracked to closure.
Effectiveness of corrective actions for significant deficiencies is verified by independent assessment.

## Integrated Evaluation Plan 

- Basis to assure coverage of functional areas
- Database identifies (Contractor, DOE and other external) assessment activities
- Monitoring and reporting tool for managing the assessment program
- identifies gaps in overall assessment program
- provides assessment activity reports
- Schedules revised based on emerging issues, performance, organizational changes, external assessments

- DNFSB Public Meeting --- December 4, 2003

**Notes:**
 Gaps identified based on a snapshot
 safety management program
 conduct of operation areas
Adjustments made to schedule to ensure gaps addressed
High important functional areas addressed multiple time, e.g., hazardous energy (LO/TO)
IEP is regularly reviewed by management to ensure any new gaps are properly addressed.

## Summary

- Multi-tiered assessment program involving all levels of management and workers
- Management and Independent Assessment programs fundamental elements of Integrated Safety Management System
- Identifies and implements opportunities for improvement
- Performance, measures, and commitments for fiscal year 2004 include management assessments and independent assessments

- DNFSB Public Meeting --- December 4, 2003

**Notes:**
Summary
The overall FH assessment program is not where I want it to be.  The program is functioning but is in need of several enhancements to address performance issues.
A number of actions have already been implemented to enhance the program.
Additional actions are being implemented over the next several months to further strengthen the program.
By the end of the fiscal year, I believe the FH assessment programs will be functioning at a level where we and the customer expects them to be.
Monitor performance monthly in Dashboard review.  RL attendee in monthly review.
Two major independent assessments of the FH management and independent assessment programs are scheduled for late in the fiscal year to verify the programs have evolved as intended.
We will continue to work closely with DOE-RL to ensure our assessment programs meet their expectations.
My management team fully appreciates the importance of a viable/effective self-assessment activities and are fully committed to the successful implementation of our assessment programs.