Purpose - Jefferson Lab



Appendix 10 – Core Function #1 – Define the Scope of Work

Recommended Activities and Lines of Inquiry

General to the Assessment

• Review the JLab ISM Website and provide feedback on content

• Review the JLab ISMS Program Description and provide feedback on content

Document Reviews

• Are documents being used the most current version?

• Are forms being used the most current version and are they filled out properly?

• Is collected data dispositioned in accordance with the procedure or applicable program document?

• Are there conflicting requirements between procedures and program documents applicable to the activity being reviewed?

Observing the Conduct of Activities

• Attend pre-job briefing

• Review work control document applicable to activity being performed

• Is it clear which document(s) or procedure(s) is applicable to the activity being conducted?

• Can the work control document be followed as written?

• If not, is the activity stopped until the work control document is revised (if necessary)?

• Is authorization received prior to commencing conduct of activity?

• Are all hazards addressed in the work control document or hazard analysis document?

• Are hazard controls specified in the work control document being followed?

• Record observations and questions and verify facts either during the observation or after with the goal of being able to make a positive statement about what was observed in the report.

Interviews

• Strive to ask open ended questions rather than yes/no questions

• Conduct interviews either before observing activities, after observing activities, or both

Assessment Report

• While reviewing documents, observing activities, and conducting interviews keep in mind the information that will be needed to make a concise and complete statement in the report related to the objectives of the assessment focus area

Core Function Specific

From the U.S. DOE, Office of Independent Oversight, Criteria Review and Approval Document - Work Planning and Control Implementation Inspection Criteria, Approach, and Lines of Inquiry (11/26/07)

Inspection Criteria: Line management ensures that the contractors and subcontractors utilize systematic mechanisms to define the scope and schedule of work and identify associated risks and hazards so that the plan at each successively lower tier reflects an increasingly detailed description of the work to be performed.

Inspection Activity: Through interviews and document reviews, evaluate the involvement of managers, planners, and subject matter experts in the planning, review, and approval of work definition for projects for site, facility, and building work activities.

Inspection Criteria: Work control systems and procedures that address definition of work scope are developed for all types of work activities and are effectively implemented. These processes ensure that the scope of all work is clearly defined, communicated, and bounded such that activities necessary to control hazards to workers, the public, and the environment are identified.

Inspection Activity: Review contractor requirements, implementing procedures, guidance, and facility specific procedures governing work control processes. Review planned and in-progress work and corresponding technical work documents. Interview managers, subject matter experts, work package and procedure writers, workers and researchers, and work planning personnel.

Inspection Lines of Inquiry:

• Are contractor/subcontractor managers and subject matter experts' managers actively involved in the definition of projects to ensure allocation of resources can be addressed?

• Do project documents, safety envelopes, and permits adequately bound the scope of work defined in work orders, procedures, and/or instructions? Does the work definition process include a screening against the safety envelope and/or permits?

• Is the work observed adequately bounded by approved work packages, procedures, and permits?

• Have higher-level work documents, such as project plans, been translated into discrete work packages and procedures with well-defined boundaries and interfaces?

• Is work defined at the task level such that workers, supervisors, planners, and appropriate environment, safety, and health (ES&H) personnel can readily identify the hazards and risks associated with both the work activities and the environment/location in which it is performed?

• Are work activities properly prioritized to allow adequate allocation of resources and scheduling based on the importance of the work, safety impact, and risk?

• Have adequate personnel and equipment resources been identified for the performance of work, including operations, maintenance, and ES&H support?

• Do work-planning processes provide for early involvement of workers and ES&H staff to fully define the work and allow effective identification of hazards? Are specific thresholds identified for involvement of ES&H personnel in the hazard analysis process?

• Are tasks for minimizing waste generation and controlling the release of effluents to the environment adequately defined during work planning?

• Are work packages sufficiently detailed, based on work activity and degree of hazard, to establish a clear understanding of the work to be performed and how safety should be integrated into that work?

• Is worker input integrated into planning activities?

Potential assessment activities applicable to this core function

Partial List of JLab Documents/Processes Applicable to this Core Function

• FEList Task Description

• Independent Investigator Proposal

• Program Advisory Committee / Experimental Schedule

• ATLis Task Entry

• TATLs Task Description

• Work Order or Subcontractor Specifications

• Worker Health and Safety Protection Program

• Radiation Protection Program

• Contractual Compliance Documents

Interviews – potential questions

|Q: Is work defined at the task level such that the individuals |A: Work is defined in several ways across the lab: (a) with on-line |

|performing the work, supervisors and appropriate ESH&Q personnel can |work planning tools (ATLis, TATLs…), (b) through work orders, (c) |

|readily identify the hazards and risk associated with both the work |through the experimental review processes. Each of these processes |

|activity and the location in which it is performed? |includes a mechanism for identification of the hazards and risks. |

| | |

| |Have the interviewee show the inspection team the tools and processes |

| |used to define work activities. |

|Q: Are work efforts always described in some sort of work package, |A: Other than the most simple tasks (such as changing a light bulb), |

|procedure or permit? |yes. The simplest description can be in an electronic log entry and it|

| |can get as detailed as an experimental plan or a subcontractor |

| |specification. |

| | |

| |Have the interviewee explain how the decision is made to use the |

| |different mechanisms. |

|Q: When do workers, ES&H staff, or other subject matter experts get |A: From the beginning. All of our work planning tools require that we|

|involved in work planning efforts? |solicit feedback from workers either during the scope of work |

| |development; or they review the scope of work and provide comments and |

| |recommendations. |

| | |

| |Have the interviewee show the inspection team documentation, for each |

| |type of planning effort, that workers and subject matter experts were |

| |consulted. |

|Q: How do we assure contractor work scopes are adequate before work |A: For subcontractors who have an existing contract, the JLab work |

|is started? |supervisor, as well as the subcontracting officer, review the task |

| |order scope. The scope is developed by the work supervisor who gets |

| |input on subject matter experts relevant to the work activities. A |

| |similar process is used to develop the scope and specifications to |

| |support subcontract procurements. |

| | |

| |Have the interviewee demonstrate how a task order or a specification is|

| |prepared and the procedure/policy that guides this process. |

|Q: If you had a question or concern about safety or environmental |A: I am expected to raise the issue immediately with my supervisor. |

|protection during a work planning activity how would you raise the |If the question is not resolved, I would continue to raise it through |

|issue? |the JLab organization, all the way to DOE. There is a procedure in the|

| |ES&H Manual (2310) that outlines the process. |

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