This document is no longer a CPR. This document implements the requirements of Corporate procedure ESH100.1.WPC.1, Plan and Control Work. 

IMPORTANT NOTICE: A printed copy of this document may not be the document currently in effect. The official version is the online version located on the Sandia Restricted Network (SRN)

MN471018 – WORK PLANNING AND CONTROL MANUAL

Subject Matter Expert: Brad Elkin; CA Counterpart: Aden Jackson
MN471018
Revision Date: June 1, 2009; Replaces Document: October 28, 2008

Change History

Table of Contents

CHAPTER 1 – OVERVIEW OF THE WORK PLANNING AND CONTROL PROCESS

1.1 Purpose
1.2 Statement of Applicability
1.3 Requirements

1.3.1 Establishing Organizational WP&C Processes
1.3.2 Identification and Delegation of Key Roles
1.3.3 Elements of the WP&C Process

1.4 Roles and Responsibilities
1.5 Regulatory Drivers

CHAPTER 2 – ACTIVITY-LEVEL WORK PLANNING AND CONTROL PROCESS

2.1 Introduction

2.1.1 Purpose
2.1.2 Correlation to Integrated Laboratory Management System

2.2 Define Scope

2.2.1 Define Scope
2.2.2 Compare to Operating Envelope
2.2.3 Accept Work
2.2.4 Schedule Work

2.3 Analyze Hazards

2.3.1 Determine Level of Rigor
2.3.2 Complete Hazard Identification/Analysis
2.3.3 Identify Controls

2.4 Control Hazards

2.4.1 Apply Graded Approach
2.4.2 Develop TWDs or Job Aids as Appropriate
2.4.3 Approve Work Documents
2.4.4 Implement Controls
2.4.5 Conduct Final Preparedness Verification
2.4.6 Authorize Work to Proceed

2.5 Perform Work

2.5.1 Execute Work
2.5.2 Finalize Work

2.6 Feedback and Improve

2.6.1 Conduct Post-Job Reviews
2.6.2 Analyze and Process Feedback

CHAPTER 3 – DEFINE SCOPE

3.1 Introduction
3.2 Elements of Define Scope

3.2.1 Define Scope
3.2.2 Compare to Operating Envelope
3.2.3 Accept Work
3.2.4 Schedule Work

CHAPTER 4 – ANALYZE HAZARDS

4.1 Introduction
4.2 Elements of Analyzing Hazards

4.2.1 Determine Level of Rigor
4.2.2 Complete Hazard Identification/Analysis
4.2.3 Identify Controls

CHAPTER 5 – CONTROL HAZARDS

5.1 Introduction
5.2 Control Hazards

5.2.1 Apply Graded Approach
5.2.2 Develop TWDs or Job Aids as Appropriate
5.2.3 Approve Work Documents
5.2.4 Implement Controls
5.2.3 Conduct Final Preparedness Verification
5.2.3 Authorize Work to Proceed

CHAPTER 6 – PERFORM WORK

6.1 Introduction
6.2 Perform Work

6.2.1 Execute work
6.2.2 Finalize Work

CHAPTER 7 – FEEDBACK AND IMPROVE

7.1 Introduction
7.2 Feedback and Improve

7.2.1 Conduct Post-Job Reviews
7.2.2 Analyze and Process Feedback

REFERENCES

Requirements Source Documents
Implementing Documents

ATTACHMENT 1 — NNSA ATTRIBUTES

CHAPTER 1 - OVERVIEW OF THE WORK PLANNING AND CONTROL PROCESS

1.1 Purpose
1.2 Statement of Applicability
1.3 Requirements

1.3.1 Establishing Organizational WP&C Processes
1.3.2 Identification and Delegation of Key Roles
1.3.3 Elements of the WP&C Process

1.4 Roles and Responsibilities
1.5 Regulatory Drivers

1.1 Purpose

The purpose of the Work Planning and Control (WP&C) Manual is to define, establish, and implement a scalable, comprehensive process for Sandia-wide work planning and control within the Integrated Safety Management System (ISMS) framework. This manual establishes the minimum institutional requirements of the Sandia WP&C process and instructs line organizations to develop comprehensive, organization-specific WP&C processes and procedures that implement identified requirements and directives. One corporate objective of this manual is to fully integrate all aspects of activity-level work (ALW) planning and execution in a consistent and predictable manner that will help achieve mission success.

1.2 Statement of Applicability

The WP&C Manual applies to all line management personnel and Members of the Workforce who have roles and responsibilities associated with proper implementation and execution of ALW

Exceptions to or deviations from this manual must be approved per the Corporate Policy System exception process. See Corporate Procedure CG100.1.7, Request an Exception to a Policy, Process, or Procedure for the process to obtain exception approvals. Consequences for violating Corporate Policy System rules will be determined in the same manner as other disciplinary actions.

1.3 Requirements

1.3.1 Establishing Organizational WP&C Processes

In accordance with the first guiding principle of Integrated Safety Management (ISM), line management is responsible for safety and for the protection of employees, the public, and the environment. Line management of organizations that perform ALW shall establish procedures and/or process documents (as appropriate to the type and complexity of work performed) that implement the requirements of this manual for work performed under their supervision.

The organizational WP&C process documents and/or procedures must be placed at the appropriate level(s) within the organization, depending on the various types and complexities of the work being performed. The organizational WP&C processes must incorporate the required WP&C elements described in Chapter 2 of this manual, “Activity-Level Work Planning and Control Process.”

Organizations shall complete the attributes applicability matrix (SF-2001-WAM) when preparing new or modified organizational WP&C procedures. This tool is used to determine gaps in an organization’s existing WP&C process, and to identify and document equivalencies and exceptions to the corporate WP&C process.

1.3.2 Identification and Delegation of Key Roles

Line management of organizations that perform ALW are responsible to designate personnel to perform the function of work planners, project leads if appropriate, and persons in charge (PIC) as appropriate, within their organization(s). Work planners are required to be trained and qualified in the activity-level WP&C process through participation in the Work Planner Qualification Course, WPC200, or its equivalent. Enrollment in WPC200 is through TEDS.

1.3.3 Elements of the WP&C Process

The Sandia WP&C process links directly to the five core functions of the Integrated Safety Management System (ISMS).

Chapter 1 and Chapter 2 of the WP&C Manual prescribe specific WP&C requirements. Chapter 3 (Define Scope) through Chapter 7 (Feedback and Improve) provide additional direction that helps ensure an organization’s WP&C process is adequately robust to fully protect Members of the Workforce, the public, and the environment from activity-level work-related hazards.

1.4 Roles and Responsibilities

All personnel have the responsibility to identify and appropriately communicate the presence of work hazards.

1.5 Regulatory Drivers

Applicable regulations, Department of Energy Acquisition Requirements (DEAR) Integrated Safety Management (ISM) clause, and quality assurance (QA) criteria require a formal, deliberate process for identifying, scheduling, prioritizing, planning, analyzing, coordinating, performing, documenting, assessing, and improving work activities. The section below lists and describes regulatory drivers associated with the Sandia WP&C processes.

REGULATORY DRIVERS

The section below summarizes the relevant DOE work management references.

DOE WORK MANAGEMENT REFERENCES

This Manual also incorporates DOE/NNSA attributes and best practices, guidance for effectively incorporating ISM core functions and guiding principles, and QA criteria into ALW planning and control processes for contractor personnel involved in construction and modification work, operations activities, research and development, and maintenance activities. The NNSA attributes are included as additional information in Attachment 1 to this manual.

Work Planning and Control Manual

CHAPTER 2 – ACTIVITY-LEVEL WORK PLANNING AND CONTROL PROCESS

2.1 Introduction

2.1.1 Purpose
2.1.2 Correlation to Integrated Laboratory Management System

2.2 Define Scope

2.2.1 Define Scope
2.2.2 Compare to Operating Envelope
2.2.3 Accept Work
2.2.4 Schedule Work

2.3 Analyze Hazards

2.3.1 Determine Level of Rigor
2.3.2 Complete Hazard Identification/Analysis
2.3.3 Identify Controls

2.4 Control Hazards

2.4.1 Apply Graded Approach
2.4.2 Develop TWDs or Job Aids as Appropriate
2.4.3 Approve Work Documents
2.4.4 Implement Controls
2.4.5 Conduct Final Preparedness Verification
2.4.6 Authorize Work to Proceed

2.5 Perform Work

2.5.1 Execute Work
2.5.2 Finalize Work

2.6 Feedback and Improve

2.6.1 Conduct Post-Job Reviews
2.6.2 Analyze and Process Feedback

2.1 Introduction

2.1.1 Purpose

This chapter of the Work Planning and Control (WP&C) Manual outlines required steps of the WP&C process and identifies the recommended responsible parties for each task. In all cases, in accordance with the first guiding principle of Integrated Safety Management (ISM), line management is responsible for safety and for the protection of employees, the public, and the environment. Although elements of the WP&C process can be delegated, line management remains responsible and accountable for effective WP&C performance and fulfillment of ISM principles.

The formality and discipline used to apply the process will vary depending on the rigor level of the work. The activity-level work (ALW) management process described in this chapter is implemented by organizational WP&C processes in accordance with Section 1.3.1.

Sections 2.2 through 2.6 contain requirements for each step of the WP&C process, including specific actions and responsibilities, while Chapters 3 through 7 of the manual provide additional direction that helps ensure an organization’s WP&C process is adequately robust to fully protect Members of the Workforce, the public, and the environment from activity-level work-related hazards.

2.1.2 Correlation to Integrated Laboratory Management System

The Integrated Laboratory Management System (ILMS) is the framework for managing SNL operations and provides the context for implementing the Integrated Safety Management System (ISMS). The activity-level WP&C process aligns with the ILMS corporate work process (CWP) as shown below. The WP&C process is described in terms of the five ISMS core management functions.

2.2 Define Scope

Required steps associated with the “Define Scope” element of WP&C are shown in the chart below.  Recommended methods for meeting these requirements are described in steps 2.2.1 through 2.2.4.

2.2.1 Define Scope

• Line Manager: 
• Define scope and objectives of work to be done
• Identify key roles for planning the project as appropriate, e.g., work planner, person in charge (PIC)
• Work Planner
• Plan work activity as directed by line manager
• Identify critical steps
• Coordinate interfaces, especially where different organizations are involved.

2.2.2 Compare to Operating Envelope

• Work Plannera;
• Review applicable documents and information that comprise the operating envelope
• Identify requirements and standards applicable to the work.
• Review applicable lessons learned
• Compare defined work against operating envelope.

2.2.3 Accept Work

• Line Manager: 
• Develop criteria for accepting work.
• Accept or reject work as appropriate.
• Determine if work is an existing approved activity.

• If the work IS an existing approved activity, schedule the work in accordance with 2.2.4 and then proceed to 2.4.3, Approve Work Documents.
• If the work is NOT an existing approved activity, then proceed to 2.3, Analyze Hazards.

2.2.4 Schedule Work

• Work Planner: 
• Develop cost and schedule estimates as directed by line manager
• Develop project budget as directed by line manager.
• Identify and define resources required to accomplish work safely as directed by line manager.
• If work is an existing approved activity, proceed to 2.4.3, Approve Work Documents.

2.3 Analyze Hazards

Required steps associated with the “Analyze Hazards” element of WP&C are shown in the chart below.  Recommended methods for meeting these requirements are described in steps 2.3.1 through 2.3.3.

2.3.1 Determine Level of Rigor

• Work Planner: 
• Determine level of rigor.
• Walk the space as necessary.
• Involve Environment, Safety and Health (ES&H) subject matter experts (SMEs) and persons who will perform the work.

2.3.2 Complete Hazard Identification/Analysis

• Work Planner: 
• Perform activity-level hazard identification and control process. 
• Identify aggregate hazards.
• Identify common errors (and error precursors and error-likely situations) that often (or could) impact the activities.
• Involve ES&H SMEs and persons who will perform the work.

2.3.3 Identify Controls

• Line Manager:
• Apply skill-of-the-worker (SOW) or skill-of-the-researcher (SOR) criteria based on organizational use of skill standards.
• Work Planner: 
• Identify defenses and controls necessary to mitigate/eliminate hazards and risks.
• Perform risk assessment to determine Management Operational Review (MOR) needed and to what level, if this process is used by an organization.
• Identify human performance tools for managing critical steps.
• Identify mitigating actions for credible failure modes.
• Involve ES&H SMEs and persons who will perform the work.
• In identifying applicable controls, the following hierarchy is used:
  1. Passive engineered controls.
  2. Active engineered controls.
  3. Administrative controls, including substitution.
  4. Personal protective equipment (PPE) per ESH100.2.IS.8, Assess Workplace Hazards and Provide and Maintain Personal Protective Equipment

2.4 Control Hazards

Required steps associated with the “Control Hazards” element of WP&C are shown in the chart below. Recommended methods for meeting these requirements are described in steps 2.4.1 through 2.4.6.

2.4.1 Apply Graded Approach

• Work Planner: 
• Apply the organization’s graded approach.
• Apply required WP&C process elements based on rigor level determination.
• Review and confirm adequacy of procedures, tools, equipment, work environment, defenses and controls (including engineered controls), personnel training and qualifications, improve these elements if necessary.
• Ensure defenses and controls do not conflict with one another.
• Implement the hierarchy of controls by selecting engineering controls first – then administrative controls, then personal protective equipment (PPE).
• Evaluate feasibility of identified controls needed for work and revise plan accordingly.
• Ensure selection of defenses and controls with adequate defense-in-depth, ensuring controls are diverse, redundant and error-tolerant.

2.4.2 Develop TWDs or Job Aids as Appropriate

• Work Planner: 
• Develop TWDs, guidance, processes, and procedures that:

• Clearly specify the work to be accomplished, expected outcome, and the steps/actions necessary for successful and safe completion of the subject activity.
• Establish work scope boundaries/limits.
• Provide sufficient detail where level of detail is proportional to the importance, complexity, and potential consequences.
• Identify and highlight critical steps.
• Communicate all hazards and the related defenses/controls for each identified work step or task.

• Establish and incorporate appropriate quality assurance (QA) criteria.

2.4.3 Approve Work Documents

• Line Manager or PIC: 
• Review and approve work documents, employee preparedness and program readiness.

2.4.4 Implement Controls

• PIC: 
• Conduct readiness review if required by the Safety Basis Manual.
• Perform workability walk-down as necessary of the work location, TWDs, processes, procedures, tools, and equipment.
• Line Manager, PIC, Work Planner: 
• Ensure required PPE provided.
• Control or integrate roving personnel access.¹

2.4.5 Conduct Final Preparedness Verification

• Line Manager or PIC: 
• Verify training is complete and TWDs have been read and are understood.
• Hold pre-job briefing , as needed.
• Clearly identify roles, responsibilities, authorities, accountabilities, and expected behaviors for successful completion of the subject work activity.
• Members of the Workforce:
• Participate in pre-job meetings, as required.

2.4.6 Authorize Work to Proceed

• Line Manager/PIC: 
• Ensure work documents are complete, have documented approval, and that they implement the appropriate WP&C requirements.
• Ensure personnel have been informed of the hazards and their defenses and controls.
• Ensure all prerequisites and initial conditions are met, and that all aspects of preparation are adequate for work to commence.
• Authorize work to start in a manner based on rigor level.

2.5 Perform Work

Required steps associated with the “Perform Work” element of WP&C are shown in the chart below.  Recommended methods for meeting these requirements are described in steps 2.5.1 through 2.5.2.

2.5.1 Execute Work

• Line Manager or PIC:
• Verify presence and adequacy/integrity of defenses and controls.
• Perform periodic management surveillances of work areas and activities, and assess work to ensure it is being performed as planned.
• Members of the Workforce:
• Execute work in accordance with established TWDs, plans, procedures, and other work control documents.
• Expect success, but anticipate failure; be prepared to respond to the unexpected.
• Maintain a questioning attitude.
• Identify unresolved error precursors; error-likely situations, and flawed defenses, and report to line manager or PIC.
• Perform self-checking, as appropriate.
• Watch for, and guard against scope creep.
• Stop when unsure.

2.5.2 Finalize Work

• Line Manager:
• Accept completed work.
• Line Manager, PIC, and Work Planner:
• Close out work documents as appropriate.
• PIC:
  • Dispose of records as established by organizational records management requirements and the corporate requirements of the Sandia Records Retention and Disposition Schedule.

2.6 Feedback and Improve

Required steps associated with the “Feedback and Improve” element of WP&C are shown in the chart below. Recommended methods for meeting these requirements are described in steps 2.6.1 through 2.6.2.

2.6.1 Conduct Post-Job Reviews

• PIC:
• Perform post-job review to gather feedback, as appropriate.
• Identify error precursors; error-likely situations, and flawed defenses encountered during the work activity.
• Determine if actions taken were appropriate.
• Discuss with employees who provided feedback what was done.

2.6.2 Analyze and Process Feedback

• PIC:
• Revise/improve TWDs and other work documents and supporting documents.
• Work with appropriate line management to resolve error precursors; error-likely situations, and flawed defenses encountered during the work activity.
• Communicate lessons learned.
• Archive lessons learned for future reference.
• Provide feedback to administrative support for entry into appropriate database, in accordance with organizational requirements.

Work Planning and Control Manual

CHAPTER 3 – DEFINE SCOPE

3.1 Introduction
3.2 Elements of Define Scope

3.2.1 Define Scope
3.2.2 Compare to Operating Envelope
3.2.3 Accept Work
3.2.4 Schedule Work

3.1 Introduction

This chapter provides supplemental information to support effective implementation of the first of five elements of planning and controlling work as defined in Chapter 2 of the Work Planning and Control (WP&C) Manual. Planning the work is key to ensuring safe and efficient work completion.

3.2 Elements of Define Scope

3.2.1 Define Scope

The define scope step is tied directly to the first ISMS core function, “Define Scope of Work.” If the work scope is not completely and accurately defined, it is impossible to accurately plan the work or to even know when work objectives have been met. The scope of work statement is the foundation for the successful completion of the planned work. 

Line management is responsible for defining the scope and objectives of work to be performed. The line manager is responsible for:

• Defining the scope of work. As a component of defining the scope of work, the line manager or delegated individual also defines specific processes, programs, and activities required to support the work.
• Identifying personnel to perform key functions, including work planner(s) and person(s) in charge (PIC) as appropriate.

The work planner plans the activity as directed by the line manager, identifying critical steps and necessary resources and coordinating any interfaces necessary to ensure safe and efficient accomplishment of work. When coordinating interfaces, the work planner considers the resources needed for the work, as well as any organization or group that will impact or be impacted by the proposed work. When different organizations are involved, interfaces are coordinated so that combined requirements, potential effects, and interdependencies of work activities are effectively understood. Additionally, the work planner coordinates with other organizations as necessary to complete any permit applications, National Environment Policy Act (NEPA) checklist(s) and other NEPA documentation, and meet any other federal, state, or local requirements.

3.2.2 Compare to Operating Envelope

The term operating envelope is used to describe the operational and administrative boundaries within which Sandia facilities, groups, individual laboratories, or capabilities may safely conduct work activities. Organizations may use various processes for defining the operating envelope. For example, an organization may develop and use a “laboratory notebook” to define its operating envelope, or it may maintain a “virtual” assembly of relevant electronic documents.

The PIC or work planner, designated by line management, is responsible for ensuring that the new work fits within the organization’s existing operating envelope. If the work cannot be performed within the bounds of the existing operating envelope, the applicable documents may be revised (using existing corporate processes) to reflect a change to the operating envelope. The operating envelope must be formally changed prior to the commencement of work. The PIC should also:

• Identify requirements and standards, including internal (Sandia), and external (DOE and other federal, state, and local) requirements. Also identify compliance and consensus standards (ISO, IEEE, ASTM, etc.).
• Review previous work documents, documented work history, existing knowledge and operating experience, lessons learned, applicable standards and requirements, manufacturer’s recommendations, etc.

3.2.3 Accept Work

The line manager and/or work planner should develop and implement a documented process for accepting or rejecting proposed work, based on alignment with the organization’s operating envelope, including existing approved activities, or the demonstrated ability to safely and efficiently perform the work after confirming appropriate resources and/or modifying/improving the existing operating envelope.
The line manager should document the decision to accept or reject the proposed work.

3.2.4 Schedule Work

Line management or an established delegate must evaluate and prioritize available resources against the backdrop of existing and known work load. In this role, the line manager must:

• Identify and define resources required to accomplish work. Such resources may include equipment, materials, labor, and energy.
• Develop a budget for the work.
• Ensure that an appropriate cost estimate and integrated execution plan is developed that balances priorities and resources to ensure that work is accomplished safely and efficiently.

CHAPTER 4 – ANALYZE HAZARDS

4.1 Introduction
4.2 Elements of Analyzing Hazards

4.2.1 Determine Level of Rigor
4.2.2 Complete Hazard Identification/Analysis
4.2.3 Identify Controls

4.1 Introduction

This chapter addresses the second of five elements of planning and controlling work as defined in Chapter 2 of the WP&C Manual. At the activity level, the “Analyze Hazards” element of WP&C is accomplished by determining the rigor level of the work to be performed, and then identifying and analyzing the hazards associated with each step of the work. For each analyzed hazard, an appropriate control is identified that can be implemented to protect the worker(s). Hazards are not always apparent. Thorough hazard analysis is fundamental to ensuring that work controls are sufficient to protect workers while they efficiently execute the work.

4.2 Elements of Analyzing Hazards

4.2.1 Determine Level of Rigor

The following list identifies activities that will always be performed at high rigor level:

1. Accident recovery for damaged facilities
2. Permit Required Confined Space (PRCS) entry
3. Manipulation of energized circuit components > 50 V with a short circuit current > 5 milliamps and >10 joules (watt-second)
4. Use of primary explosive material and/or use of low energy electro-explosive devices (EEDs). Any Type 2 explosives work.
5. Work on equipment or processes involving multiple types of hazardous energy sources requiring lockout/tagout (LOTO)
6. Work within <10 ft of an overhead power line > 50 kV, including equipment movement underneath, excluding work by high voltage linemen
7. Work in a Very High Radiation Area
8. Any excavation or wall, floor, or ceiling penetration where a site investigation has not or cannot identify all potential hidden hazards
9. Excavation work that includes digging with power equipment to a depth of eight inches or more that might contact underground utilities or when an employee must enter an excavation five feet or more in depth
10. Work performed on a surface four feet or more above the next lower surface where a fall hazard exists and normal protective measures or means of safe elevation are not employed
11. Entry into potential imminent danger to life or health (IDLH) environments including work that may activate chemical deluge systems.

Graded approach is the methodology used to determine appropriate level of rigor required for performing activity-level work (ALW) and for incorporating the appropriate WP&C process requirements into work planning. The WP&C rigor level is used to determine the formality and discipline for planning, documenting, and managing ALW.

Work Planners screen proposed ALW to identify the consequence and complexity applicable to the proposed work scope.

Note 1: Use the criteria for complexity and consequence in Table 4-1 to determine the applicable rigor level.

Note 2: Use the examples in Table 4-2 to confirm the rigor level was appropriately selected.

Table 4.1. Activity-Level WP&C Rigor Levels Screening Criteria

4.2.2 Complete Hazard Identification/Analysis

The work planner is responsible for performing and documenting a thorough hazard analysis that identifies task steps to be performed, identifies hazards associated with those steps, and proposes mitigating controls for the identified hazards. See ESH100.2.IS.8, Assess Workplace Hazards and Provide and Maintain Personal Protective Equipment, for requirements on identifying the need for PPE and its use.

Note:  Managers are responsible for ensuring that the scope of operations are identified and evaluated in the ISMS primary hazards screening (PHS) software as describedin MN471017, Safety Basis Manual, prior to the start of any work at Sandia (facilities, operations, projects, and activities, etc).

• For low rigor level work, determine if an activity-level PHS exists that identifies and analyzes all hazards and assigns specific controls at the task level.
• If an activity-level PHS does not exist, then analyze the work through the job safety analysis (JSA) or equivalent process.
• If an activity-level PHS does exist, proceed to 4.2.3, Identify Controls phase.
• For ALL medium and high rigor level work, the work planner must use a JSA or equivalent, whether an activity-level PHS exists or not. There are several ways to perform a documented hazard analysis, including:
• Completing SF-2001-JSA, Job Safety Analysis (Word File)/Acrobat File)
• Performing a procedure analysis, identifying hazards and appropriate controls step by step, and documenting this analysis within the procedure itself.

During the hazard analysis, an effort should be made to include as many perspectives as possible, particularly from Members of the Workforce, as they often are the most familiar with the tasks and their related hazards. The PIC or work planner should also strive to identify aggregate hazards and common errors (and error precursors and error-likely situations) that could or often do impact the activities. Select and involve ES&H subject matter experts (SMEs), based on ES&H requirements applicable to reviewing the hazard, to assist with identifying and characterizing hazards and selecting appropriate defenses and controls.

A JSA planning team should be considered when conducting a JSA. The team can be as simple as the designated work planner or procedure author and a worker, or as complex as a large group representing many technical disciplines and areas of expertise. Participants should include representatives of those who will actually be performing the work and possessing the skill levels and expertise necessary to complete an effective hazard analysis based on the defined task.

4.2.3 Identify Controls

After identifying all the hazards associated with the proposed work, the work planner identifies the defenses and controls necessary to mitigate or eliminate the hazards associated with the work. In identifying applicable controls, the following hierarchy is used:

1. Passive engineered controls
2. Active engineered controls
3. Administrative controls, including substitution.
4. Personal
5. protective equipment (PPE) per ESH100.2.IS.8, Assess Workplace Hazards and Provide and Maintain Personal Protective Equipment.

In this effort, the work planner should again include as many perspectives as possible, particularly Members of the Workforce and ES&H SMEs, as they often are the most familiar with the tasks and their related hazards. In addition to identifying specific controls, the work planner identifies mitigating actions for credible failure modes, as appropriate.

If the organization maintains and uses skill standards for performing certain work, then the appropriate skill-of-the-worker (SOW) or skill-of-the-researcher (SOR) classification forms or equivalent should be completed and referenced.  Forms that can be used for this purpose are SF-2001-SOW, Skill of the Worker Classification Form, and SF-2001-SOR, Skill of the Researcher Classification Form.

If the Management Operational Review (MOR)  process is used by the organization, the work planner performs a risk assessment to determine the level of MOR needed, and line Management conducts the MOR.

In evaluating the hazards associated with the accepted work, the work planner performs a planning walk down based on rigor level. By performing the planning walk-down, the work planner, with input from SNL ES&H SMEs and Members of the Workforce, can gain a clearer understanding of hazards associated with the accepted work.

Work Planning and Control Manual

CHAPTER 5 – CONTROL HAZARDS

5.1 Introduction
5.2 Control Hazards

5.2.1 Apply Graded Approach
5.2.2 Develop TWDs or Job Aids as Appropriate
5.2.3 Approve Work Documents
5.2.4 Implement Controls
5.2.3 Conduct Final Preparedness Verification
5.2.3 Authorize Work to Proceed

5.1 Introduction

This chapter addresses the third of five elements of planning and controlling work as defined in Chapter 2 of the WP&C Manual. The application of hazard mitigation is imperative to ensure worker protection. 

5.2 Control Hazards

5.2.1 Apply Graded Approach

The key to managing the differential risk level associated with activity-level work (ALW) is the application of a graded approach. After determining the level of rigor associated with the work, the work planner applies the appropriate WP&C process requirements from Table 5-1 below, based on the rigor level of the ALW to be performed.

Table 5-1. WP&C Aspects and Rigor Levels Actions

The work planner determines defenses and controls to mitigate hazards, using appropriate input from the SME by the following methods:

• Manage hazards or reduce risk through design.
• Use the following hierarchy for mitigating hazards:

1. Passive engineered controls.
2. Active engineered controls.
3. Administrative controls, including substitution.
4. Personal protective equipment (PPE) per ESH100.2.IS.8, Assess Workplace Hazards and Provide and Maintain Personal Protective Equipment.

• Evaluate the feasibility of defenses and controls needed for work and ensure that they provide adequate defense-in-depth and are diverse, redundant, and error-tolerant. Care should be taken to ensure that the defenses and controls do not conflict with each other or with other activities or processes associated with the accepted work. 

In addition, the work planner reviews and confirms adequacy of existing procedures, tools, equipment, work environment, personnel training and qualifications, and coordinates improving these elements if necessary to meet minimum company and organizational requirements.

5.2.2 Develop TWDs or Job Aids as Appropriate

The development of documented instructions and guidance is critical to ensuring that Members of the Workforce have access to accurate information. The line manager ensures that needed TWDs or job aids are developed as appropriate to communicate the requirements of the job and information necessary to perform the work safely. A TWD is required when indicated by Table 5-1, WP&C Aspects and Rigor Levels Actions included in Section 5.2 of this WP&C Manual or Table 1 in ESH100.2.GEN.3, Develop and Use Technical Work Documents.

TWDs, guidance, processes, procedures, job aids, etc., should be developed such that they:

• Clearly specify the work to be accomplished, the expected outcome, and the steps/actions necessary for successful and safe completion of the subject activity;
• Establish work scope boundaries/limits;
• Provide sufficient detail (level of detail proportional to the importance, complexity, and risk involved in the subject activity);
• Identify and highlight critical steps and associated error-prevention tools, and
• Communicate all hazards and the related defenses/controls for each identified work step or task. 

In addition, as a part of developing the TWDs, the work planner establishes appropriate quality assurance (QA) criteria.

These documents should be walked-down to confirm their appropriateness, correctness, feasibility, and workability before actual use.

For additional information regarding the development of TWDs, see ESH100.2.GEN.3, Develop and Use Technical Work Documents.

5.2.3 Approve Work Documents

The line manager or PIC reviews and approves hazard analyses and work documents (and emergency plans, if necessary) for completeness and for appropriate SME review and concurrence, and ensures that they are written so that they can be understood and effectively used by those performing the work.

5.2.4 Implement Controls

In order to implement previously identified defenses and controls to mitigate hazards, several issues are addressed:

• The work planner uses quality significant purchases (Q-sig) when needed.
• If indicated based on the rigor level of the work, the PIC conducts a workability walk-down.

NOTE: If a readiness review is required and is performed immediately prior to performing work, it may be used as a workability walkdown, and meets the requirements of MN471017, Safety Basis Manual.

• A readiness review is a comprehensive review of space, resources, and personnel required to complete the approved work. The review will consider the tasks and the hazards associated with each task (including common errors, error precursors, and error-likely situations), and the defenses and controls required to mitigate those hazards. 
• If a workability walk-down or readiness review is not performed immediately prior to performing work, then the PIC will perform a field verification to ensure that conditions are consistent with the TWD. The PIC will also review personnel qualifications and training as necessary to ensure only qualified personnel perform work.
• When necessary, the line manager ensures that a workplace hazard assessment has been completed in accordance with ES&H requirements. Use ESH100.2.IS.8, Assess Workplace Hazards and Provide and Maintain Personal Protective Equipment, to determine if absorption, inhalation, or physical contact hazards are present or likely to be present that would necessitate the use of PPE for those hazards. The JSA or equivalent may have been used in lieu of the “Workplace Hazard Assessment Certification Form” of ESH100.2.IS.8, Assess Workplace Hazards and Provide and Maintain Personal Protective Equipment, to document the assessment. See Section 4.2.2 regarding JSA development.
• The PIC ensures any necessary PPE is provided and utilized in accordance with ESH100.2.IS.8, Assess Workplace Hazards and Provide and Maintain Personal Protective Equipment. 
• If necessary, line management or the work planner will develop a documented procedure to control roving personnel access (personnel transient to work area including maintenance, housekeeping, etc.).  For additional information on managing roving personnel, see General Guidelines for Roving Personnel.

5.2.5 Conduct Final Preparedness Verification

The commencement of work requires verification that hazards are properly controlled.  The line manager or PIC is responsible for:

• Holding a pre-job briefing when required in accordance with the level of rigor assigned during the graded approach.
• Verifying that training is complete and TWDs are understood.

5.2.6 Authorize Work to Proceed

After all hazards have been assessed and all defenses and controls have been identified, implemented, and verified to be adequate, the line manager may authorize work to proceed. This authorization consists of:

• Ensuring Members of the Workforce are informed of the hazards and defenses and controls applicable to the activity in which they are involved.
• Ensuring the activity-level work is in accordance with the documented and approved operating envelope.
• Confirming readiness prior to performing scheduled work, including evaluation of readiness associated with the following, as applicable:
• Systems
• Prerequisite controls and initial conditions
• Work environment
• Personnel (including required training and qualifications)
• Documents, ensuring that they are complete and implement the appropriate WP&C requirements based on rigor level
• Tooling/tools
• Materials.
• Ensure all work documents have written approval. 

After the completion of the above items, the line manager or PIC then provides a written work authorization based on rigor level. 

Work Planning and Control Manual

CHAPTER 6 – PERFORM WORK

6.1 Introduction
6.2 Perform Work

6.2.1 Execute work
6.2.2 Finalize Work

6.1 Introduction

This chapter addresses the fourth of five elements of planning and controlling work as defined in Chapter 2 of the WP&C Manual.

6.2 Perform Work

6.2.1 Execute Work

Depending on the level of rigor of the work, the line manager or PIC oversees the work. This oversight consists of:

• Providing sufficient oversight to ensure the work is executed safely as planned by ensuring previously prescribed hazard controls and risk mitigation efforts are implemented and working.
• Regularly reviewing the content and implementation of JSAs and TWDs.
• Prior to implementation of changes, thoroughly reviewing, analyzing (including the continued adequacy of hazards analysis and controls), documenting, and approving changes in work scope, conditions, hazards, controls, or execution (e.g., field changes).

The execution of work is performed by Members of the Workforce, who are responsible for:

• Performing work in accordance with established TWDs, plans, procedures, and other work control documents.
• Expecting success, but anticipating failure; being prepared to respond to the unexpected.
• Maintaining a questioning attitude.
• Identifying unresolved error-likely situations, and flawed defenses, and reporting to line manager or PIC.
• Using self-checking, peer-checking, and other error-prevention tools as appropriate.
• Watching for and guarding against scope creep.
• Stopping when unsure.
• Informing the responsible line manager or PIC of any unsafe conditions that arise from the normal progress of work, changes in scope, changes in conditions or changes in materials or equipment.

Members of the Workforce also promptly report to the PIC or line management any changes in hazards or conditions, safety concerns, or errors (such as errors in equipment labeling or location, or in drawings, procedures, and other documents) discovered during the course of performing work. Should an unsafe condition arise, Members of the Workforce take appropriate actions prior to continuation of work in accordance with one or more of the following:

• ESH100.3.1, Prepare for and Manage Emergencies, if significant safety or programmatic issues are identified. The reporting guideline OOPS may be used to aid in meeting these requirements.
• ESH100.4, Feedback and Improve.

Note:  Resumption of work may require management to modify cost and schedule as necessary.  

6.2.2 Finalize Work

After closing out work documents as appropriate, the line manager should accept work as complete only when:

• The defined outcome is achieved.
• The desired product/deliverable has been delivered to and accepted by the customer.
• Work area housekeeping has been restored to acceptable levels and all waste materials have been properly dispositioned.
• Post-work acceptance activities, when necessary, are complete or scheduled as a separate work activity.

All activity-level work (ALW) documentation is complete and has been submitted to the customer or to line management or the work planner for final records management disposition.

Work Planning and Control Manual

CHAPTER 7 –FEEDBACK AND IMPROVE

7.1 Introduction
7.2 Feedback and Improve

7.2.1 Conduct Post-Job Reviews
7.2.2 Analyze and Process Feedback

7.1 Introduction

This chapter addresses the final element of planning and controlling work as defined in Chapter 2 of the WP&C Manual. A critical part of the Work Planning and Control Process, feedback and improvement is key to ensuring continual improvement of work development.

7.2 Feedback and Improve

7.2.1 Conduct Post-Job Reviews

Upon completion of work, as required for the applicable rigor level of the work, the person-in-charge (PIC) is responsible for conducting and documenting post-job reviews to collect feedback and lessons learned.
Commensurate with the WP&C rigor level, conduct activity level post-job reviews or equivalent to.

• Formally document feedback after completing high WP&C rigor level work.
• Collect pertinent feedback, including lessons learned.

A post-job review is required whenever:

• Activity-level work (ALW) was suspended to change work documentation (excluding minor changes), or to resolve an unanticipated or unanalyzed hazard.
• A Member of the Workforce requests a post-job review.

Form SF-2001-PJR, “Post-Job Review Form” should be used to document the post-job review.

Forward feedback from the post-job review to cognizant work planners and line management.

Members of the Workforce should provide activity-level feedback in accordance with the organization’s feedback process:

• Provide feedback to improve the accuracy of work planning information.
• Identify error-likely situations and flawed defenses encountered during the work activity.
• Document concerns/problems, opportunities for improvement, noteworthy practices, and lessons learned for all phases of work.
• Provide proactive and constructive feedback to prevent or address and correct issues and problems before they become major.

Members of the Workforce utilize ESH100.3.1, Prepare for and Manage Emergencies, if significant safety or programmatic issues are identified during activity-level feedback collection. Members of the Workforce may use the reporting guideline OOPS to aid in meeting these requirements.

The line manager or PIC should document the following minimum information when conducting a post-job review:

• Task descriptor information
• Date
• Person conducting the post-job review
• Involved personnel by job title or work organization
• Applicable information that can be used to improve future work activities or the WP&C process
• Organization initially assigned to track the post-job review.

7.2.2 Analyze and Process Feedback

PICs are responsible for compiling, reviewing, and reporting feedback results as required. PICs are also responsible for the following:

• Collecting, tracking, and trending the organization’s activity-level feedback data.
• Documenting and analyzing activity-level feedback findings and observations in accordance with organizational processes.
• Reviewing activity-level lessons learned and identifying noteworthy practices in accordance with organizational processes.
• Communicating activity-level feedback results, as necessary, to improve program and mission performance.
• Reviewing the activity-level feedback results and reporting into other corporate process/ systems (e.g., Radiation Protection Improvement Report, Occurrence Reporting and Processing System) as required in ESH100.4, Feedback and Improve.

Managers are expected to take corrective action on feedback results and do the following:

• Promptly address problems, safety concerns, or technical work document (TWD) errors discovered by Members of the Workforce or the person-in-charge (PIC) during the course of performing work.
• Follow instructions on suspending and resuming work in ESH100.3, Perform Work, when Members of the Workforce report unsafe work conditions or operations during performance of work.
• Utilize the OOPS process if significant safety issues are identified during activity-level feedback collection.
• Implement an organizational change control process to be used when job safety analyses (JSAs), TWDs, and statements of work scope require modification.
• Develop corrective actions (CA) in accordance with organizational processes.
• Ensure that the CAs incorporate updates and improvements into affected documents (e.g., engineering drawings, training documents, TWDs, JSAs, etc.) in a timely manner.

After receiving activity-level feedback, the PIC is responsible for processing and analyzing the feedback. Included in these tasks are:

• Ensuring updates and improvements are incorporated into affected documents (e.g., engineering drawings, training documents, operating procedures, hazard analyses, TWDs, etc.) in a timely manner.
• Communicating and archiving lessons learned for future reference.
• Disposition of records as established by organizational records management requirements.
• Providing feedback to administrative support for entry into the appropriate database, in accordance with organizational requirements.

Database entry of feedback may be performed by administrative support or other designated person.

REFERENCES

Requirements Source Documents

10 CFR 830.122, Nuclear Safety Management, Subpart A, Quality Assurance Requirements.

10 CFR 851, Worker Safety and Health Program.

29 CFR 1910, Occupational Safety and Health Standards.

48 CFR 970.5223-1, Integration of Environment, Safety, and Health into Work Planning and Execution.

DOE P 450.4, DOE Safety Management System Policy.

DOE M 450.4-1, DOE ISMS Manual.

SNL, DE-AC04-94AL85000, M&O Contract Between Sandia Corporation and DOE.

Implementing Documents

SNL, Integrated Safety Management System (ISMS) Description.

SNL, AOP 04-02, ES&H and Emergency Management Requirements Management Process.

Work Planning and Control Manual

ATTACHMENT 1 — NNSA ATRIBUTES

1. Activity Level Work Planning and Control Process

The attributes in this section are generally applicable to many or all of the sections that follow and have been listed here once to avoid repeat listings in multiple sections. A graded approach is required by each organization as it establishes their work control processes. The approach should reflect the risk, complexity and hazards involved in the work undertaken. It is the manager’s responsibility to determine the appropriate level of rigor to apply. For example, for very low risk activities, the application of the attributes provided in this document will be minimal. For high risk activities, the rigor must increase and the number of attributes that apply will correspondingly increase.

Organization

1. Organizational structure, functional roles, responsibilities, levels of authority, accountability, and interfaces for those managing, planning, performing, and assessing work are clearly defined and documented.
2. Where different organizations are involved, work management processes are coordinated such that the combined requirements (e.g., resources, integrated schedules, support, etc.), potential effects, and interdependencies of all work activities are effectively understood, analyzed, and coordinated by the affected organizations.
3. Organizations use their assessment and issues management processes to drive work planning and control improvements.

Structure

1. A graded approach methodology is incorporated into the work planning and control process that determines the rigor for implementing these work planning and control attributes based on the complexity and associated consequences of the activity.
2. The process(es) and requirements for the incorporation of appropriate integrated safety management core functions, guiding principles and quality assurance criteria into activity level work planning, control and execution are clearly documented.
3. The knowledge and experience of Members of the Workforce is sought early in the work planning process concerning how to safely and efficiently complete assigned tasks, and their input is factored into ensuring that adequate controls are in place.

Personnel

1. The knowledge, skills, and abilities required for performing assigned work are established, documented, and maintained.
2. Personnel possess the knowledge, skills, and abilities required for performing assigned work.
3. Personnel are trained on the activity-level work planning and control process and understand how their function contributes to and integrates with the process.
4. To maintain and improve proficiency, personnel are provided continuing training that reflects lessons learned and changes to work practices.

2. Identify, Prioritize, and Approve Work

1. A defined process is used to identify and request work.
2. A defined process is used to prioritize requested work; work priority is managed to achieve integration among all necessary interfaces.
3. Requested work is reviewed (according to a graded approach) and a decision made to permit to proceed to the scheduling and planning phase.

3. Scheduling

(Note: For some work, e.g., research and development (R&D) work, scheduling may be addressed at either the project or activity level, and thus the attributes listed in this section would be applied at the appropriate level.)

1. An integrated schedule(s) is developed that balances priorities and resources in a disciplined manner to ensure that work is accomplished safely and efficiently. The schedule is managed through a formal change control process. The scheduling process has provisions for work not requiring a formal schedule.
2. Where appropriate, the schedule(s) is resource loaded; the sequence and timing of activities adjusted to ensure that adequate resources are available and consistent with the applicable requirements.

4. Planning Work

1. Refine the work scope by identifying activities required to complete the work.
2. Personnel with the appropriate functional area expertise (e.g., SMEs) are used to plan the work.
3. Criteria are established for when team planning is required.
4. Work is planned using previous work documents, documented work history, existing knowledge and operating experience, lessons learned, applicable standards and requirements, and manufacturer’s recommendations.
5. Identify and analyze the hazards with the work and the work environment; analyze those including potential undesirable events (e.g., “what if” scenarios); and select controls necessary for the protection of workers, the public, and the environment.
6. Focus on eliminating or reducing the hazards; for any remaining hazards use a hierarchy of controls (i.e., engineered controls first, administrative controls second, and PPE last).
7. Identify the resources, including support organizations, needed to perform the work and incorporate that knowledge appropriately into work plans.
8. Develop instructions necessary to complete work activities safely and efficiently, including integration of specific hazard controls. Identify and integrate into the instructions applicable technical, safety (ES&H, Radiation Protection, Safety Basis, etc.) and other programmatic requirements (QA, Security, Emergency Management, etc.).
9. Establish acceptance or performance criteria necessary to verify completion of the work.
10. Work documents are written so they can be understood and effectively used by those who perform the work.
11. Work documents are reviewed for completeness.

5. Readiness

1. Readiness is confirmed prior to performing scheduled work with regard to: systems (hardware and software), prerequisite controls, work environment, people, documents, tools and materials.
2. Field, facility, or laboratory conditions are confirmed to match planning document(s).
3. Work is formally authorized to proceed.

6. Performing Work

1. Personnel with the appropriate functional area expertise are assigned to perform the work.
2. Pre-job briefings are conducted to an extent appropriate for the complexity of and hazards associated with the work.
3. Work is performed in accordance with the applicable work instruction(s) and documented appropriately. Documentation includes a provision to capture any problems encountered during execution of the work, and any feedback information considered useful for improving the work process.
4. Line management oversight is sufficient to ensure work proceeds safely as planned.
5. Appropriate actions are taken if unexpected hazards or conditions are encountered.
6. Changes in work scope, conditions, or execution (e.g., field changes) are thoroughly reviewed, analyzed (including the continued adequacy of hazards analysis and controls), documented, and approved before being implemented.
7. Work is complete when the outcome is achieved, the documentation is complete, and the work is accepted.

7. Post-Work Review and Closeout

1. Post-job reviews are conducted to collect feedback, including lessons learned.
2. Feedback and lessons learned information is analyzed to identify improvement opportunities. Improvement opportunities are effectively dispositioned.
3. Work documents are evaluated and processed in accordance with approved records management procedures.
4. Timely updates and improvements are incorporated into affected documents (such as engineering drawings, training documents, operating procedures, hazard analysis, etc.).

Bradley S. Elkin, bselkin@sandia.gov
Al Bendure, aobendu@sandia.gov

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