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Office of Quality Assurance Programs EFCOG QA SUBGROUP

Office of Quality Assurance Programs EFCOG QA SUBGROUP . Office of Environment Safety & Health Wednesday, November 5, 2003. IM EFCOG Quality Assurance SG Fall Meeting, November 2003 Attachment 4. Overview. EH QA Programs Quality Assurance Order Software QA - DNFSB 2002-1

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Office of Quality Assurance Programs EFCOG QA SUBGROUP

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  1. Office of QualityAssurance ProgramsEFCOG QA SUBGROUP Office of Environment Safety & Health Wednesday, November 5, 2003 IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  2. Overview • EH QA Programs • Quality Assurance Order • Software QA - DNFSB 2002-1 • Voluntary Protection Program • Self-Assessment Certification • Quality Engineering • Corrective Action Management • Analytical Services/DOELAP • Software QA Status • Challenges for the EFCOG QA Group IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  3. EH-3 ORGANIZATION EH-3 Deputy Assistant Secretary for Corporate Performance Assessment Frank Russo EH-32 EH-31 EH-33 Office of Information Management Sharon Root Office of Analytical Studies Frank Tooper Office of Quality Assurance Programs Chip Lagdon • Quality Assurance (QA) • Software QA (DNFSB Recommendation 2002-1) • Quality Assurance Support Services • - Voluntary Protection Program (VPP) • -Accreditation Association for Ambulatory Health Care (AAAHC) • - Self Assessment • - Radiological Environmental Science Laboratory (RESL)/DOE Laboratory Accreditation Program (DOELAP) • Corrective Action Management Program (CAMP) • Behavioral Based Safety • Department-wide ES&H Assessments (Topical/Program Specific) • Operating Experience Dissemination • DOE Lessons Learned/Best Practices Program • Contract Reviews/ ES&H Terms and Conditions • Under Secretary Quarterly Reviews of ES&H Performance • Annual DOE ES&H Reports • Support the Office of Independent Oversight and Line Programs • Meets E-Gov Goals • Develops information management policy • Maintains ES&H InfoCenter • Maintains EH Web Site • Develops and maintains ES&H Reporting Systems and Mission-Specific Databases • Assures delivery of information technology infrastructure services • Develops Knowledge Management Program IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  4. QUALITY ASSURANCE ORDER New Version of QA ORDER - O 414.1B: • Safety Software (IP for 2002-1) • Suspect/Counterfeit Items (Incorp. O 440.1, DNFSB letter 4/25/03, Independent Oversight Report ) • QA Program Direction/Rule interface • National Standards Use • Office of Quality Assurance Programs Responsibilities • 3rd Party Validation of QAP IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  5. QUALITY GUIDANCE • “Basic” QA Guide G 414.1-2 Drafted • Suspect/Counterfeit Items Guide – Update G 440.1-6 • Nuclear Facility Safety Software Guide Development • QA Training Update Drafted – web-based • Assessment Guide Update G 414.1-1 (QAP CRADs, Enforcement Guide, QAIP) IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  6. Quality Assurance for Safety Software SCOPE OF DNFSB 2002-1 • Establish roles, responsibilities and authorities for safety software • Establish infrastructure for effective software quality assurance (SQA) program • Identify safety analysis, design and safety system software that are subject to SQA program • Establish requirements and guidance for rigorous software assurance process • Establish a process for continuous improvements IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  7. Quality Assurance for Safety Software Activities • Issue Notice, Qualification standards etc. • Assessment of “Toolbox” codes; establishment of Central Registry for long term maintenance • Issue Criteria and Guidance for design and systems software And completion of site assessment and corrective action • Issue SQA Directives • Establishment of Continuous improvement program IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  8. Quality Assurance for Safety Software • PSO/Field Element Support Functions • PSOs Identify SQA Positions (10/31/03) and qualify personnel to FAQ (9/30/04) • PSOs Schedule assessments using approved CRADs (10/31/03) • PSOs and Field Update the PSO FRA (4/30/04) • Update the TQP list for safety software positions (10/31/03) • Conduct safety safety software assessments (as scheduled) • Ensure that DOE approved contractor QA programs are applied to safety software IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  9. Voluntary Protection Program Program mission is to promote working safety as demonstrated by downward trends in lost work time injuries and illnesses, increased worker morale, decreased absenteeism and an improved work environment. IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  10. Elements of a Successful VPP • Management Leadership • Employee Involvement • Work Site Analysis • Hazard Prevention and Control • Safety and Health Training IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  11. Current Status of VPP • Currently, 19 “STAR” sites • Nearly 31,000 employees are involved • Large, “operating” contractors and small, subcontractors • Workers - both independent & union represented • Other Federal, State and local government groups IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  12. VPP - Next 12 Months • 11 re-evaluations of Star sites are due • 3 organizations are applying and in-process • 3 additional applications are expected IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  13. A voluntary, independent evaluation against established and agreed upon objectives, criteria, and process Twelve performance objectives– based on INPO principles for Self-Assessment and Corrective Actions Self-Assessment process defined, implemented throughout organization Management involvement Corrective actions – prioritized, tracked, trended, Self-Assessment process continually appraised & adjusted to correct problems Self Assessment Certification IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  14. Why Certify? • Improves performance of self-assessment activities/corrective action implementation • Increases Management Awareness of Performance • Emerging deficiencies/recurrence of deficiencies/trends • Evaluates effectiveness of corrective actions • Optimizes lessons learned • Minimizes unexpected independent/external findings or violations • Increases workforce understanding of standards, requirements, and performance expectations • Improves analysis and use of performance data • Improves acceptance of changes and improvements in work processes IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  15. Industry Experience • Effective operating organizations have the following characteristics: • Operationally focused • Experience exceptional equipment performance • Utilize training continuously improve performance • Strong leadership and management involvement • Workers are engage and contribute to success • Organizations are self critical IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  16. Quality Engineering Pilot study being developed to apply the principles of effective programs to engineering to improve the quality of goods and services to the department to enable mission accomplishment and reduce costs. IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  17. Quality Engineering • Approach • Evaluate reports for engineering quality issues, including ORPS, ORRs, AI, and others • Document any trends determined • Share results to confirm analysis • Evaluate engineering processes used in corrective actions • Evaluate other (non DOE) industry experience in systems engineering approaches and best practices IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  18. Quality Engineering • Project Goals • List factors that enhance and degrade quality in Engineered products. • Make recommendations as to how the quality can be enhanced. IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  19. CORRECTIVE ACTION MANAGEMENT • Provide a clear, comprehensive, systematic and effective process to address, track, report, complete, and assure effective resolution of: • Office of Independent Oversight and Performance Assurance (OA) ES&H and emergency management assessment findings • Type A Accident Investigation Judgments of Need • Findings identified during other assessments directed by the Secretary or Deputy Secretary to be addressed and reported in the CAMP. IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  20. CORRECTIVE ACTION MANAGEMENT BACKGROUND • DOE Implementation Plan to DNFSB Recommendation 98-1, March 10, 1999 • CAMP Directives: • DOE O 414.1A, QA • DOE O 470.2B, Independent Oversight and Performance Assurance Program  • CAMP Quarterly Reports • CAMP Website - http://tis.eh.doe.gov/ism/cats.html IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  21. EH Challenges • Completing SQA • Improve communications for quality issues. • Improving the application of Quality Assurance IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  22. Software Quality Assurance IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  23. SQA IP – Completed Activities • DOE Notice 411.1 Issued • Industry & Federal Standards Report Issued • SQA Toolbox Criteria Established • Interim Code Specific Guidance Reports Issued • Central Registry Established • Safety Software Assessments CRADs Issued • Office of Quality Assurance Programs Established IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  24. Current Toolbox Codes IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  25. Central Registry is Part of TSP Procedures and Topical Committee Procedures under development to address functions in IP Web Site Contains: Toolbox Codes (6) SQA Criteria Code Specific Guidance Reports Industry & Federal Standards Report Design Code Survey Form Central Registry IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  26. Communication Functions SQA problem reports Lessons Learned & Best Practices Sharing assessment results Central Registry (Cont.) IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  27. Coordinate use of toolbox codes Assist code users in configuration control POC for resolving user issues Work with code owners to ensure technical support and training are available Central Registry Functions IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  28. Supporting accomplishment of IP commitments Developing & implementing and effective SQA program Providing SQA expertise Identifying & address crosscutting SQA issues Serve as a forum for sharing lessons learned, ideas and proven processes SME Panel Responsibilities IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  29. Identification of Federal SQA Positions – October Functional Area Qualification Standard – November Schedule Established for Conducting Safety Software Assessments – October DNFSB Briefing – October Design Code Survey – December Relationship Established with Outside SQA Groups and POC identified – December SQA Information Sharing Mechanism - October What is Coming Up? IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  30. Establishment of QA Office in Headquarters Initial EFCOG Meetings Conducted Suspect/Counterfeit Parts Processes Established SQA Implementation Plan DOE 414.1B In REVCOM COMPLETED QA ACTIVITIES IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  31. Identification of Site Issues Share information freely on their QAP including a focus to improve its effectiveness Consider using the nuclear utility QAP Assessment process Interfaces EH-31 Interface through QA Topical Committee Utilizing EH to inform PSOs of issues requiring attention Improving Procurement Quality Quality Engineering (HEPAs, Welding, etc.) Leading Indicators CHALLENGES FOR EFCOG QA IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

  32. Work with initiatives that deliver products which result in improvements in the Quality of work that supports the Department’s missions. Reduction in Recommendations (No complex wide recommendations) Improved ORRs and Readiness Assessments Information Sharing, Lessons Learned and applying Best Management Practices for improving quality QA is NOT optional WHAT IS SUCCESS IM EFCOG Quality Assurance SG Fall Meeting, November 2003Attachment 4

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