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Observation ProcessMay 2005 Revision
The Key to Effective Review -
The Performance Element of the Performance-Based Review
Process!
10T10L
Upon successful completion of this topic, you should be able to:
Describe how to prepare to observe an ORR/RA evolution.
Explain the principle of observation vice participation (Heisenberg Principle).
Describe requirements based observation techniques.
List several types of ORR/RA evolutions.
Explain the need for a facility to run a drill vice only respond to a drill.
10T10L May 2005 Revision 2
10T10L May 2005 Revision 3
Evolution Purpose
• To perform, to the maximum extent possible, a representative sample of anticipated operations and evolutions, and responses to credible casualties and “off-normal events” in order to demonstrate the facility operational readiness . . .
10T10L May 2005 Revision 4
Types of EvolutionsSome Samples
• Exercise
• Drills
• Operations
• Maintenance
• Surveillances
• Tours
• System startup
• Briefings
• Training session
• Critique
• Meetings
• Turnovers
• Walk downs
• Alarm response
10T10L May 2005 Revision 5
Steps for Conducting an Observation
• Preparation . . .
• Actual observation . . .
• Follow-up . . .
• Reporting . . .
10T10L May 2005 Revision 6
Step 1 - Preparation
• Single most important step in the process:– Serves as a foundation;
– Team must select representative operations;
– Surrogate material use . . .
Steps for preparation:– Select the activity to be observed;
– Determine appropriate standards of performance;
– Become familiar with standards/knowledge required;
– Integrate appropriate upset conditions.
10T10L May 2005 Revision 7
Selecting the Activity• Important to plant, personnel, procedures, management
system:– Plant-people-procedure-process relationship;– Surveillance versus routine preventive maintenance;– Critical process versus routine operation;– Minimize simulations!
Known or suspected problem area:– ORPS review;– CORR or MSA results;
• Corrective actions to rectify previous problems . . .
10T10L May 2005 Revision 8
Selecting the Activity (continued)
• Existing facility condition:
– Material condition of equipment;
– Housekeeping practices;
– Labeling;
– Industrial safety conditions;
– Surrogate material available and use . . .
10T10L May 2005 Revision 9
Selecting the Activity (continued)
• Targets of opportunity:– Drills / Dry-runs;
– System operability checks;
– Maintenance work in progress;
• Teamwork:– Keep other members informed of your observation;
– Deploy Team to Achieve Complete Coverage!
10T10L May 2005 Revision 10
Selecting the Activity (continued)
• Review of off-normal condition preparedness:– process upset conditions;
– emergency conditions;
– Facility integrates upsets into selected evolutions . . .
• Practical considerations:– Time availability;
– Accessibility of activity.
10T10L May 2005 Revision 11
Preparation
• Be a prepared and knowledgeable observer:– Obtain and study the procedure;
– Understand what actions you should see and where;
– Mark-up the procedure in advance to enhance notation;
– Walk down the area, understand the systems;
– Understand ancillary processes . . . log keeping, pre-job briefing processes, authorization/control mechanisms;
– Have clear understanding as to who is to watch what;
– Prepare for copious notes including time of happening.
10T10L May 2005 Revision 12
Rules for Observations
• Do not act as a Safety Observer!• Do not violate rules!• Do not interfere with operations!• Do not impose conditions, simulations, or
anomalies!• Be transparent . . .• Request Facility to communicate roles and rules!
10T10L May 2005 Revision 13
Step 2 – Actual Observation• Interaction with observed personnel:
– Establish rapport;
– Explain purpose of observation;
– Outline your role as an observer:• Questioning techniques;• Will not interfere with work;• Be Transparent.
10T10L May 2005 Revision 14
Step 2 – Actual Observation (continued)
• Take thorough notes in real time:– Times actions occurred;
– Procedure details- have procedure in hand;
– Nomenclature and physical details;
– Be quantitative, record pertinent data;
– Include questions and follow-up items;
– Follow procedure as conducted.
10T10L May 2005 Revision 15
Step 2 – Actual Observation (continued)
• Clearly understand what actually happened:– Don't assume . . .
– Ask clarifying questions without interfering;
– Seek additional details as needed;
– Full understanding is imperative to accuracy of the observations;
– Coordinate with other Team Members who observed.
10T10L May 2005 Revision 16
Observe beyond the Activity
• Start at the true beginning:– Observe Pre-job briefings;
– Observe system alignment checks;
– Observe daily checks;
• Note the peripheral activity:– People;
– Environment;
– Preparation/set-up activities.
• Become creatively inquisitive . . .
• Keep attention to important items . . .
10T10L May 2005 Revision 17
Heisenberg Uncertainty Principle
• Difficult to make an accurate measurement without affecting what is being measured . . .
• Difficult to measure people performance without influencing their performance . . .
• Do not ask prompting type questions that could change performance . . .
10T10L May 2005 Revision 18
Problems
• Often, if not always, symptomatic of problems elsewhere:– keep Team Leadership informed of problems that have broad
impact (training, procedures, supervision, safety culture, etc.)!
• Isolated problems not likely . . .
• Often recurring:– those where management has taken corrective action . . .
10T10L May 2005 Revision 19
Step 3 – Follow-up
• Resolve open questions . . .
• Primary purpose of follow-up:– What you observed are indicators . . .
– Follow-up will define real problem:• need for improvement;
• underlying causes.
10T10L May 2005 Revision 20
Primary Follow-up Questions
• What is the problem?
• How big is the problem?
• Where else might this problem exist?
• Other Contributors ? – Program Problems?– Training Problems?
10T10L May 2005 Revision 21
Step 4 – Recording the Observation
• Perspective . . . – Clearly understood?
– What does it really mean?
• Record immediately after observation:– (Observer notes / Form 1 . . . ).
• Many indications/deficiencies lead to a finding – identified in Form 1 and summarized on a Form 2 . . .
10T10L May 2005 Revision 22
Step 4 -- Recording the Observation
• Avoid speculation . . .
• Stick to specifics when describing observed strengths and weaknesses . . .
10T10L May 2005 Revision 23
Step 4 (continued)
• Avoid superlatives such as:– "is the worst I've ever seen” . . .
– "is the ________ ever seen” . . .
• Stay focused on whether the objective is being met as defined by the criteria . . .
10T10L May 2005 Revision 24
Other Lessons Learned for Conducting Observations
• The ORR Team observes the drill process: – The Team does not run the drill;
– DO NOT act as Safety Observers or Drill Initiators!
• Observe pre/post-job/setup activities . . .• Have an “observation contingency plan” ready . . . • Use more than one observer for most activities . . .• “Off-normal events” are not “emergency drills” . . .
10T10L May 2005 Revision 25
Observations to Findings
• Observations provide the basis for:– Findings;– Observations;– Correlation with Interviews/Document Reviews.
• Combine several observations if appropriate to draw conclusions concerning program status:– Rarely should a single observations result in a finding;– Adequacy is the standard, perfection is the goal.