GO TO: Planned Dates Purpose & Scope Requirements Team Members Specific Area Being Assessed Final Report Criteria Review and Approach Documents (CRAD) & Lines of Inquiry (LOI) Comments E-Mail Attachments Save, Submit, or Delete Signatures Assessment Administration Assessment Plans and Reports
	Assessment Plan Review an Assessment Plan
	Contact:	Bruce Lenzer, QA/CI Assessment Specialist	Date:	July 31, 2015
	The more formal the assessment the more critical it is to have an accurate plan. Call the QA/CI Assessment Specialist for clarification. A rejected (Deleted) plan or report must be accompanied by a comment or reason. It must be saved. The plan is then reviewed and, if appropriate, revised by QA/CI prior to resubmittal. The Lead Assessor receives an “Impending Assessment” email notification. The notification includes: · A link to the Assessment Plan Template (click the link to access); · An anticipated start and end date; and · Other relevant information. Complete the Plan. · Coordinate changes (or rejection) with QA/CI Assessment Specialist. · Save regularly. If the system “times-out,” you will lose your content to the point of the last save. Below is provided to define the sections of the template.

Step 1: PLANNED DATES:

Dates are auto-generated from the Assessment Schedule.

If blank, or dates have changed, manually enter a Planned Start and End Date.

Planned Start Date: Date of anticipated start.

Planned End Date: Date of anticipated completion.

Changes made to this section will be updated on the Assessment Schedule.

Step 2: PURPOSE & SCOPE:

Defines how narrow or broad the assessment is expected to be.

In the space provided, state the purpose or reason the assessment is being performed, and the general scope of the effort.

Example:

“Due to challenges experienced with several experiment installations, the Physics Division will review the Experimental Readiness Review process. The scope of this assessment is confined to two projects taking place in Hall A.”

Step 3: REQUIREMENTS:

Define the requirement (Federal, State, Local, Contract, etc.) that determines the need for the assessment.

In the space provided, enter or list the requirements against which the assessment is being performed.

Example:

Requirements could include: DOE Orders, ES&H Manual Chapters, Departmental Instructions, etc.

Step 4: TEAM MEMBERS AND INTERVIEWEES:

Team Members must have a Jefferson Lab User Name and Password (unless otherwise noted).

In the spaces provide identify the following positions:

· Lead Assessor(s) – Enter the Lead Assessor’s name. There may be more than one. All Lead Assessors have “write” access to the Plan and Report documents.

· Team Members – List all team members’ names.

· Interviewees – Enter individuals’ names whom the team expects to interview.

· Non-JLab People – Enter the names, contact information, type/role/position, and company affiliation. This section is for those who do not have a Jefferson Lab user name or password.

· Anyone Else - Enter individuals who need to see the plan, or be informed of the assessment. This section typically identifies managers, supervisors, Associate Directors, etc. who are not directly involved in the assessment.

· Identify Additional Plan Signers - add managers or others who have been identified as appropriate to approve the plan although they may not be in the usual management approval chain. When you enter an individual’s name into the box another opportunity to enter a name is provided. You do not have to take advantage of this, only include as many individuals as appropropriate.

Step 5: SPECIFIC AREAS BEING ASSESSED:

In the space provided, define the specific area(s), procedure(s), or process(es) being assessed. Note any special requirements or limitations.

Example:

“The Experimental Readiness Review (ERR) documents, updated to Operational Safety Procedures, prior to a formal ERR.”

Step 6: FINAL REPORT:

This section explains the responsibilities of the Lead Assessor(s) upon completion of the Assessment.

Step 7: CRITERIA REVIEW AND APPROACH DOCUMENTS (CRAD) & LINES OF INQUIRY (LOI)

These are required only if the CRAD Approach “YES” box was checked when the Assessment Schedule was created.

· CRADs: The standards against which the assessment is being done. Enter each separately.

· LOIs: Questions to be answered by interviewees or team member research to determine whether the CRAD is met, partially met, or not met.

Example:

CRITERION 1 – Documents & Records are maintained securely.

Enter one LOI per box. (For Example: a. Are Documents dated? b. Are Records accessible?)

Click “Add Criteria” button to save the Criterion and associated LOIs.

Step 8: COMMENTS:

There may be special instructions, circumstances, or other information that would benefit the assessment process.

Add comments at any time prior to final submittal. Once you click on the “Submit” button (at the bottom of the page) and QA/CI signs the Plan it is locked from further editing.

Click the “Add Comment” button to attach additional comment(s) to the Assessment Plan.

Step 9: EMAIL:

This section allows you to transmit the Assessment Plan to the Team Members for comments prior to final submittal.

· An email list is generated from the team members listed.

· Comments are captured dynamically in the Comments section for consideration by the Lead Assessor(s).

· Lead Assessor(s) should resolve comments and document a disposition as needed prior to commencement of the assessment and finalization of the Plan.

Step 10: ATTACHMENTS:

Often there are associated documents, or web links, that need to be reviewed as part of the Plan. These could include procedures, checklists, or drawings.

To add a document or link: Click on the appropriate button.

Step 11: SAVE, SUBMIT, or DELETE:

SAVE Button:

It is recommended you save regularly, the plan will not be submitted, but content will be saved. NOTE: If the system “times-out,” you will lose your content to the point of the last save.

DELETE Button:

Click the Delete button to delete the entire Plan. It is recommended you contact the QA/CI Assessment Specialist before executing a deletion.

SUBMIT Button:

Use the Submit button ONLY when the Plan is complete and all comments from the Team Members have been resolved.

HINT:

What Happens when you click the “Submit” Button?

o Review: The Plan is sent to QA/CI for review. (If there are questions or issues, QA/CI will contact the Lead Assessor.)

o Approval: When the Plan is acceptable, QA/CI will approve it. (Once the Plan is approved it is locked from further editing.)

o Report Generation: An electronic Assessment Report Template is automatically generated.

· Information from the Plan is auto-populated into the Report Template.

· The Lead Assessor will receive an e-mail notification when the Report Template is ready for use.

· Interviewees will receive an e-mail notifying them of the upcoming assessment.

· Others who have been added to the Team Member list will also receive an email notification.

When the Plan is satisfactory click the “Submit” button to transmit it for appropriate review and approval:

Step 12: SIGNATURES:

When you “Submit” a Plan your electronic signature, the date, and the time are automatically recorded.

QA/CI approval is recorded in the same manner.