a feedback and continuous improvement tool to ace audit readiness keith s. joy quality manager...

A Feedback and Continuous Improvement Tool to ACE Audit Readiness

Keith S. JoyQuality Manager

September 14, 2004

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OAK RIDGE NATIONAL LABORATORYU. S. DEPARTMENT OF ENERGY

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DOE OA-40

DOE Office of Independent Oversight and Performance Assurance Integrated Safety Management (ISM) System Evaluation

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ORNL Profile

Conduct basic and applied research that provides innovative solutions to complex problems

3800 staff members

Scientific competencies include Neutron Science Energy High Performance Computing Complex Biological Systems Advanced Materials National Security

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Facilities and Operations Profile

Provides facilities and operating services to support research and development

930 total employees (527 bargaining unit)

Employee types: Managers Administrative staff Engineers Technicians Bargaining Unit – Pipefitters, Carpenters, Laborers,

Janitors, Painters, Millwrights, etc.

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Facilities and Operations Directorate

Chief Engineer

Matrix Support

F&O Director

Reservation Manager

CraftResources

Division

FabricationDivision

FacilitiesManagement

Division

Facilities Development

Division

Laboratory ProtectionDivision

LogisticalServicesDivision

NonreactorNuclear Facilities

Division

IntegratedOperations

Support Division

FacilitiesStrategicPlanning

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The Request

Take the lead in preparing the entire organization for the evaluation and help ensure that the group doesn’t look bad.

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Initial Preparation Thought

Mimic upcoming audit

•Obtain Lines of Inquiry•Conduct series of self-assessments•Submit a Final Report of findings•Schedule/Track corrective actions

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•Field interviews•Often unescorted•Unannounced interviews with ANY staff member •Interviews focused on ISM on the tasked being conducted•Not much time spent on procedure reviews

The OA-40 audit method

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The Problem

How do you ensure that 930 employees of different job types understand, and can articulate, how ISM controls are implemented for any job task that they conduct?

Training in ISM and work control has already occurred

In less than 5 months

Minimal disruption of productive time

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The Challenge

Find an efficient method to simultaneously

Assess worker knowledge of actual hazards and hazard controls for the tasks they perform

Correct any worker misunderstandings

Educate worker on the “how” and the “why” controls are in place

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The Solution

Mimic the approach to be used by the upcoming evaluation by conducting field interviews of workers to ASSESS worker knowledge

And for readiness…

CORRECT any misunderstandings and EDUCATE workers on hazard controls

The ACE Concept

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To deploy our ACE concept, we

Developed a tool to guide the assessment

Conducted orientation sessions to acquaint managers with the procedure

Programmed a database to capture results

Created a performance metric to illustrate areas of opportunity

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To develop the tool, we obtained questions from

Other site’s escorts

Our staff members who were previous OA-40 auditors

An analysis of our internal controls

Previous OA-40 reports

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Our ACE Card

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ACE Procedure

Be acquainted with questions on checklist

Set aside time to conduct field assessment

Select worker, unannounced, while conducting work

Enter into a non-threatening, two way dialog guided by the questions

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ACE Procedure (con’t)

Immediately correct wrong responses

Educate worker on the reasons for controls

Thank worker and encourage worker to continue safe performance

Complete online ACE Card

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ACE Results

Performance metric

Ad Hoc Reports

Corrective Actions

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OA-40 Feedback

Quote from OA-40 final report

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ACE Concept Benefits

Adapts to different areas

Demonstrates management presence in field

Promotes worker feedback

Assesses actual worker knowledge

Allows trending of opportunities for improvement

Provides a quick, effective self assessment

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a feedback and continuous improvement tool to ace audit readiness keith s. joy quality manager...

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