NSC Audits & Assessments Workshop - September 9 - 10, 2009National Aeronautics and Space AdministrationSafety & Mission As...
PM Challenge – 2011                         2Agenda
PM Challenge – 2011Background: S&MA Audits OSMA/NSC AAO is responsible for conducting the  following:    –   Institutiona...
Background: S&MA Audits (continue)                                                                 PM Challenge – 2011 Be...
2009/2010 Improvements and Collaboration                                                                                  ...
AAO Organization: Personnel                                                                                               ...
PM Challenge – 2011Yearly AAO Workshop (September timeframe) Key Focus:   – Identify the Potential Systemic Issues (nonco...
PM Challenge – 2011IFO Safety Audit: Analysis of theNoncompliances                  8
PM Challenge – 2011IFO Safety Audit Findings: Analysis Reviewed audit data from FY2007 - FY2010      - 2010      - 2009  ...
PM Challenge – 2011QAAR: Analysis of theNoncompliances                 10
PM Challenge – 2011QAAR Audit Findings: Analysis Reviewed audit data from FY2007 - FY2010       - 2010       - 2009      ...
PM Challenge – 2011REDAA: Analysis of theNoncompliances                12
PM Challenge – 2011REDAA (IPS Design) Audit Findings: Analysis Reviewed IPS design audit data from FY2007 - FY2009      -...
2009/2010 Potential Agency Systemic Issues and                                                                            ...
PM Challenge – 2011Backup Information                15
PM Challenge – 2011Online Audit Information   Integrated Audit Schedule available at http://secureworkgroups.grc.nasa.gov...
Audit Trends: Electrical Safety                                                                                           ...
Audit Trends: Electrical Safety                                                                                           ...
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Lau.cheevon

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Lau.cheevon

  1. 1. NSC Audits & Assessments Workshop - September 9 - 10, 2009National Aeronautics and Space AdministrationSafety & Mission Assurance (SMA) Audits: Here to Help you February 2011 PM Challenge Cheevon (Mi-Mi) B. Lau Director, NSC Audits and Assessments Office (AAO) cheevon.b.lau@nasa.gov (440) 962 – 3093
  2. 2. PM Challenge – 2011 2Agenda
  3. 3. PM Challenge – 2011Background: S&MA Audits OSMA/NSC AAO is responsible for conducting the following: – Institutional/Facility/Operational (IFO) Safety Audit: – Independent verification that institutions, facilities, and operations at each Center, Component Facility, and JPL are compliance with applicable Agency’s SMA requirements as well as Federal, State, and local OSHA requirements – Requirements Flow-down and SMA Engineering Design Audits and Assessments (REDAA)*: – Independent verification of SMA requirements flow-down to Centers, Component Facilities, and JPL; Programs/Projects down to NASA contracts – Independent evaluation of SMA requirements implemented on Programs/Projects for system safety, reliability/maintainability, risk analysis and management – Quality Audit, Assessment, and Review (QAAR)*: – Independent verification that Center, Component Facility, JPL, and Programs/Projects down to the suppliers are compliant with SMA quality requirements – Independent Assessments as requested *REDAA and QAAR activities began in FY10 (result of restructuring the scope of the audit program); Replaced the Institutional Programmatic Support (IPS) and Programmatic Audit and Review (PA&R) 3
  4. 4. Background: S&MA Audits (continue) PM Challenge – 2011 Before 2009, OSMA/NSC AAO focus was on conducting audits and returning to the Center every 2-3 years Starting in 2009, OSMA/NSC AAO focus is to conduct audits –and- to help the Center prior to and after the audits 4
  5. 5. 2009/2010 Improvements and Collaboration PM Challenge – 2011 •2 year audit schedule: online Increased collaboration with stakeholders •Audit process defined/documented: online COMMUNICATIONS •Customer feedback •Annual Audit report: online •Annual AAO Workshop: online and improved audit processes KNOWLEDGE TRANSFER •Audit data: online ACROSS NASA •Best practices: online •Audit cards: consistency, quality, etc. •Restructured/renamed IPS and PA&R to have a EVOLUTION: PROCESS clear focus and to line up with Program/Project Lifecycle IMPROVEMENT •Corrective Action Plan (CAP): content, feedback •Real-time audit tool •Agency Systemic Issues ANALYZE AUDIT DATA – RISK •Action Plan: update quarterly •Risk Factors REDUCTION •Correlating mishaps to audit findings •Repeat audit findings 5
  6. 6. AAO Organization: Personnel PM Challenge – 2011 Cheevon (Mi-Mi) Lau Audits & Assessments Director (NC) Paul Boldon REDAA * Brad Kaustinen Robert Cross Manager COTR Analyst, Auditor (located at HQ) (located at NSC) (located at JSC) Brian Jackson QAAR* Michael Milbert Manager Analyst, Auditor (located at NSC) (located at KSC) Arthur R. Lee IFO Safety Audit Manager (located at HQ)Note: For audits, Center and OSMA personnel comprise the team* Replaced Institutional Programmatic Support (IPS) and Programmatic Audits and Review (PA&R) 6
  7. 7. PM Challenge – 2011Yearly AAO Workshop (September timeframe) Key Focus: – Identify the Potential Systemic Issues (noncompliances for a specific requirement that occur across 3 or more Centers) – Address potential solutions and develop action plans • Session is co-chaired by OSMA requirements owner and OSMA/NSC Audit Manager – Discuss Best Practices tied to potential Agency systemic issues – Recommend list of Agency systemic issues to bring forward to an appropriate Headquarters Forum • Present to Headquarters in February and October In 2010, 130 Attendees from: – All NASA Centers, including JPL – Headquarters (OSMA, Procurement, OCHMO, OCE, OICMS, OSI) – NESC, NSC 7
  8. 8. PM Challenge – 2011IFO Safety Audit: Analysis of theNoncompliances 8
  9. 9. PM Challenge – 2011IFO Safety Audit Findings: Analysis Reviewed audit data from FY2007 - FY2010 - 2010 - 2009 - 2008 - 2007 Total number of noncompliances reviewed: 1,349 Total number of noncompliances related to Potential Systemic Issues (PSI): 930 (69%) Majority of the IFO Safety Audit’s PSI were in Electrical Safety 9
  10. 10. PM Challenge – 2011QAAR: Analysis of theNoncompliances 10
  11. 11. PM Challenge – 2011QAAR Audit Findings: Analysis Reviewed audit data from FY2007 - FY2010 - 2010 - 2009 - 2008 - 2007 Total number of noncompliances reviewed: 244 Total number of noncompliances related to PSI: 182 (75%) Majority of the QAAR’s PSI were in Inspection/Work Records* NOTE: Previous audit data was removed from calculation 11
  12. 12. PM Challenge – 2011REDAA: Analysis of theNoncompliances 12
  13. 13. PM Challenge – 2011REDAA (IPS Design) Audit Findings: Analysis Reviewed IPS design audit data from FY2007 - FY2009 - 2009 - 2008 - 2007 Total number of design noncompliances reviewed: 15 Total number of design noncompliances related to PSI: 6 (40%) Majority of the PSI in design was related to Probabilistic Risk Assessment (PRA) 13
  14. 14. 2009/2010 Potential Agency Systemic Issues and PM Challenge – 2011Action Items 2009 2010Potential Agency Systemic Issues 44 21 Closed 7 2 Work in Progress 34 19 Not Addressed 3 0 Proposed for Elevation to 0 0 Headquarters Forum (action required)**Action Items* 56 25 Closed 30 0 Work in Progress 25 25 Not Addressed 1 0 *For each issue, an action plan was developed that has at least 1 action item **In October 2010, the Pressure Vessel Systems and Software Assurance/Engineering concerns were addressed at the Headquarters’ forum as “Information Only” 14
  15. 15. PM Challenge – 2011Backup Information 15
  16. 16. PM Challenge – 2011Online Audit Information Integrated Audit Schedule available at http://secureworkgroups.grc.nasa.gov/ifo- sa?go=333384, http://secureworkgroups.grc.nasa.gov/redaa?go=424238, and http://secureworkgroups.grc.nasa.gov/qaar?go=434005 Integrated Audit Schedule also available at – OSMA homepage http://www.hq.nasa.gov/office/codeq – Agency Calendar http://aci.nssc.nasa.gov/index.cfm?event=monthView Milestone Templates defining the audit process http://secureworkgroups.grc.nasa.gov/ifo-sa?go=344812 and http://secureworkgroups.grc.nasa.gov/qaar?go=440698 All Centers (designated personnel) have access to their own and other Centers’ audit data as well as best practices (except JPL) http://secureworkgroups.grc.nasa.gov/ifo-sa?go=z51072 , http://secureworkgroups.grc.nasa.gov/ips-audit?go=z65494, http://secureworkgroups.grc.nasa.gov/redaa?go=z67204 and http://secureworkgroups.grc.nasa.gov/qaar?go=z58387 Annual Audit Report – audit and analysis results http://secureworkgroups.grc.nasa.gov/nsc-audit-assmt-ows?go=393554 Annual AAO Workshop – potential Agency systemic issues, work towards compliance http://secureworkgroups.grc.nasa.gov/nsc-audit-assmt- ows?go=z56696 16
  17. 17. Audit Trends: Electrical Safety PM Challenge – 2011 (Based on Total Number of Noncompliances) Percent/Number of Total Noncompliances by IFO Safety Audit Functional Area Percent/Number of Total Noncompliances by IFO Safety Audit Electrical Safety Functional Area70.0% 61.1% / 824 35.0% 32.9%/27160.0%50.0% 30.0%40.0%30.0% 25.0% 16% / 21620.0% 18.7%/154 7.56% / 102 7.2%/97 5.63%/76 20.0%10.0% 2.52%/34 15.4%/127 0.0% 15.0% Electrical PVS Facility LDE Mishap Fire 11.7% /96 Safety System Reporting Protection 10.2%/84 10.0% Safety 5.3%/44 5.0% 2.1%/17 1.1%/9 .8%/7 0.6%/50.6%/50.6%/5 0.0% Percent/Number of Total Noncompliances by IFO Safety Audit Electrical Safety Functional Area with Potential Systemic Issues across Centers by Clause35.0% 32.9%/27130.0%25.0% 18.7%/15420.0% 15.4%/12715.0% 11.7%/9610.0% 10.2%/84 ANSI – American National Standards Institute 5.3%/44 NEC – National Electrical Code5.0% 2.1%/17 1.1%/9 NESC – National Electric Safety Code0.0% IEEE – Institute of Electrical and Electronics Engineers NFPA – National Fire Protection Agency OSHA – Occupational Safety and Health Administration 17
  18. 18. Audit Trends: Electrical Safety PM Challenge – 2011 Potential Systemic Issues Potential Systemic Issues: Details by Clause/Paragraph 60 52 Number of Noncompliances 50 46 40 40 37 35 37 37 30 26 24 22 22 20 20 17 16 14 14 14 13 11 12 12 10 11 9 7 6 6 8 8 8 10 5 5 4 6 5 5 4 6 3 3 3 5 4 4 4 3 5 5 0 Percent/Number of Total Noncompliances by IFO Safety Audit Electrical Safety Functional Area with Agency Potential Systemic Issues by Clause 35.0% Clause/Paragraph 32.9%/271 30.0%.147(c)(5) Protective materials and hardware .147(f)(1) Testing or positioning 7.4.6 Certification Requirements 29 CFR 1910.147 25.0%.147(c)(6) Periodic inspection .303 Installation and use 7.3 Plan/Implement-Safety Training Program 29 CFR 1910.147(c)(4) Energy control procedure .269 18.7%/154 20.0% Safety of power gen, trans, and dist 3.6.1 Electrical Safety 15.4%/127 NEC.147(c)(7) Training and communication .146 Employee protection-confined spaces 3.8.2 Hazardous Operations 15.0% 11.7%/96 3.17.4 Confined Spaces.147(f)(3) Group lockout or tagout .335 Personal protective equipment NPR 8715.3 10.2%/84.147(c)(3) Full employee protection 10.0% Flexible cords and cables .305 8.3.1 Facility safety 5.3%/44 NFPA 70E.147(e)(3) Lockout or tagout devices removal 5.0% Use of Equipment .334 130 Electrical work hazards 2.1%/17 1.1%/9 NESC&IEEE.147(b) Definitions to section .137 Electrical Protective Equipment 400 General requirements- electrical installs 0.0%.147(f)(2) Outside personnel (contractors, etc.) .332 Training requirements 110 General requirements-electrical safety ASTM F496.147(a)(1) Servicing and maintenance 110 Requirements for electrical installations 120 Electrically safe work ANSI.147(a)(3) Purpose 408 Switch boards and panel boards 110A Necessary description for safety signs.147 Control of hazardous energy 400 Flexible cords and cables 180B11 Safety sign application.147(f)(4) Shift or personnel changes 314 Electrical devices 146B Safety signs for battery room.147(c)(2) Lockout/tagout 406 Receptacles, cords and plugs .445 Protective grounds.147(a)(2) Application 300 Wiring Methods and Materials 7.1Dimensions.147(d)(6) Verification of isolation 348 Flexible metal conduit .1-.5 Obeyance of Safety Signage 18

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