CORRECTIVE ACTION PROGRAM GUIDE
Document source : www.fnal.gov
6
DOE G 414.1-5
3-2-06
problem findings may be opportunities for improvement that can be corrected easily, they
should be documented for trending purposes.
·
Procedures for reporting each of the levels and categories of problem findings should be
comprehensive, prominently defined, easily understood, and readily accessible to all workers.
Emphasis should be placed on reporting of problem findings and trends at the lowest level
for early resolution before more significant problems occur.
·
Reporting procedures should include guidance on who (i.e., who performed the activity, who
was involved, who should have been involved, who discovered the problem, who is the
site/organization responsible for the function/activity where the problem was identified, who
was notified), what (i.e., what is the specific problem and the impact on safety, security and
mission performance, what happened just before the problem, what is occurring now and the
potential for occurring later, what were the environmental conditions), when (i.e., when did
the problem occur, when was management notified, when has the problem occurred before) ,
where (i.e., where did the problem occur, where else could the problem occur, where were
the responsible/involved individuals), and how to report the identified finding (i.e., telephone
number, website, reporting document) including what information needs to be reported (i.e.,
brief description of finding, hazard category, location), and any immediate actions (if any)
and followup actions that should be initiated upon identification (i.e., preserve evidence,
contact management/emergency/technical personnel, document or photograph the situation,
shut down operations).
·
Methods for collecting, preserving, analyzing, and documenting information concerning the
identified finding.
·
Roles, responsibilities, and composition of assessment individuals and teams based on the
type, size, scope and complexity of the assessment.
·
Knowledge and skill requirements of selected assessment personnel in both the technical
areas being reviewed and the types of assessment processes to be used for identifying
findings (i.e., observation, interviewing, performance testing, and validating information).
Training and qualification in these knowledge and skill areas should be incorporated into the
corrective action program.
·
Methods for maintaining communications with those involved in the identified finding to
ensure understanding and ownership of information collected. This should include validating
the information obtained to verify accuracy.
·
Procedures for communicating the results of the identified findings (written and oral) to those
organizations and individuals affected. Results of these assessments and investigations
should be thoroughly documented to provide clear, factually accurate information on the
purpose; scope; results to include positive attributes, opportunities for improvement, and
problem findings; and conclusions. These results should also be reviewed to determine
applicability to the wider DOE community for possible inclusion in lessons learned
programs.
Summary :
· Reporting procedures should include guidance on who (i.e., who performed the activity, who was involved, who should have been involved, who discovered the problem, who is the site/organization responsible for the function/activity where the problem was identified, who was notified), what (i.e., what is the specific problem and the impact on safety, security and mission performance, what happened just before the problem, what is occurring now and the potential for occurring later, what were the environmental conditions), when (i.e., when did the problem occur, when was management notified, when has the problem occurred before) , where (i.e., where did the problem occur, where else could the problem occur, where were the responsible/involved individuals), and how to report the identified finding (i.e., telephone number, website, reporting document) including what information needs to be reported (i.e., brief description of finding, hazard category, location), and any immediate actions (if any) and followup actions that should be initiated upon identification (i.e., preserve evidence, contact management/emergency/technical personnel, document or photograph the situation, shut down operations).
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information,findings,identified,occur,results,reporting,finding,assessment,before,inoled,procedures,indiiduals,include
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