SELF ASSESSMENT TECHNIQUES

Transcription

1 SELF ASSESSMENT TECHNIQUES Eng. Dua a Jilani QMS Manager Technical Meeting to Share Experience and Lessons Learned from the Application of Different Management System Standards in the Nuclear Industry Vienna, December 18, 2014

2 Self Assessment The continued excellence of any system depends on the ability to continue to grow, improve, and maintain the vigilance against the false security provided by ratings. Self Assessment is one of the tools used to maintain this vigilance and it is a process owner activity. We continually maintain a healthy skepticism in all what we do, and continually self-evaluate our work processes, programs, and organizations.

3 Self Assessment as Performance Improvement Tool RESULTS Trending Performance Assessment Performance Indicators Action Tracking Resource Management Task Assignment Implementing Solutions LEADERSHIP AND OVERSIGHT Standards Effectiveness Reviews Performance Monitoring Benchmarking Self Assessments Industry OE Management Oversight/ Reinforcement Organizational Accountability Excellence in Performance Improvement Problem Reporting Behavior Observations Independent Oversight ACTIONS KNOWLEDGE AND SKILLS Analyzing, Identifying and Planning Solutions CULTURE GAPS Business Planning Considerations Management Review & Approval Action Planning Problem Analysis

4 Why Self Assessment? Benefits of self-assessment: Identify precursors to problems before they become problems ; Identify problems before they manifest themselves through the system events ; Identify performance improvements opportunities. Self-Assessment pay for itself as a preventive tool

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6 Type of Self Assessments Ongoing Assessments Focused Self Assessments (Comprehensive Reviews) Quick Hits (Limited Scope Reviews)

7 Self Assessment Types Ongoing Self Assessment Routine and / or continuous evaluations of performance and activities to verify that standards of performance and practices are being achieved, Ongoing self-assessments are performed by employees at all levels on a regular basis in accordance with other program or procedure requirements. Examples of (but not limited to) ongoing self-assessments: Management observations; Pre- and post job reviews; Trend analysis reports ; Performance indicators. RESULTS SHOULD BE REVIEWED AT PERFORMANCE ASSESSMENT MEETINGS

8 Self Assessment Types Focused Self Assessment A critical evaluation and analysis of an organization s performance, processes and programs measured against management s expectations, high industry standards, and station and regulatory requirements to identify strengths, areas for improvement, challenges, and weaknesses. performed periodically to determine the health of organizations, activities, processes, or program implementation, or prior to third party assessments.

9 Indications may be based on input from: Ongoing self-assessment results or results from internal or external oversight groups ; Adverse trends ; Implementation of significant program, process ; Organizational changes ; Signs of process inefficiencies or trends in performance data ; Emergent station or industry issues ; New regulatory requirements have been implemented ; Areas that are critical to safety, reliability or profitability ; Complement to Nuclear Oversight assessments and audits ; Timing of third party review.

10 FOCUSED SELF-ASSESSMENT (FSA) Attributes: Executed in accordance with annual schedule, Team leader and members are assigned by sponsoring manager (Process Owner Activity), Thorough preparation documentend in FSA Plan, Executed in accordance with the Plan, duration 1-2 week, Results are documented FSA Report, FSA Report are reviewed and approved by Top Management, Resulting issues and actions are captured and monitored in actions tracking system, Quality of FSA activity is evaluated.

11 Self Assessment Types QUICK HIT SELF-ASSESSMENT Attributes: Limited Scope Review Not scheduled (reactively driven) assessment, Managed by relevant department (initiator), Narrow scope, No need for a team, usually performed by individual, Short duration, Results are documented Quick - hit SA Form, QSA Report are reviewed and approved by sponsoring manager, Resulting issues and actions are captured and monitored in action tracking system.

12 SELF ASSESSMENT PROCESS 1. SCHEDULING Topics selection 2. PREPARATION SA activity plan 3. EXECUTION Gathering of data 4. REPORTING OF RESULTS Approval and implementation

13 WHAT TO ASSESS? When determining what and when to assess, important assessment themes and focus should be considered: A good look at system performance nuclear safety focus Identify the gaps to excellence consider the industry Consider the objective and cost if not adding value, then should the assessment be performed?

14 Potential Self Assessment Areas Examples of Areas That Could Be Self Assessed Plant and Company Programs (Policies / Procedures) Training Effectiveness evaluations (Improving human performance) Commonality reviews (issue follow-up and problem extent-ofcondition assessments) Implementation of changes required by new regulations and IAEA Guidelines

15 The Preparation Phase The Preparation Phase is the most important part of a successful focused self-assessment. The following seven steps (or characteristics) should be used: 1. Define the purpose or objective of the assessment. 2. Establish the scope of the assessment. 3. Determine the resources to be used. 4. Identify the performance standards to be used. 5. Develop an understanding of the process to be assessed. 6. Develop a methodology to use in examining/evaluating. 7. Develop written worksheets and complete the assessment plan.

16 EXECUTION OF SA ACTIVITY SA PLAN INTERVIEW OBSERVATION DOC REVIEW DATA ANALYSIS

17 Summary - Fundamentals For Good SA Focus is Always needed to Improve Performance Need a structured approach to assess performance To know exactly where to look To Have an annual SA schedule / Follow it / Adjust it as needed Need to know performance requirements / standards Know what excellent performance looks like Need to identify performance gaps to the standards Need to correct the gaps in a timely manner Repeat periodically - Performance changes over time

18 Lessons Learned Resources and time are limited target the right topics for self-assessment at the right time Do not ignore self-assessment findings. Though all are not equally important, act on all Be timely in taking actions to resolve issues Be critical and thorough in assessment. Use a questioning attitude. Incremental improvements are better than none Learn to assess Assess to learn

19 THANK YOU