EVALUATION OF Integrated Safety Management System at the

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EVALUATION OF Integrated Safety Management System at the Lawrence Berkeley National Laboratory and the

EVALUATION OF Integrated Safety Management System at the Lawrence Berkeley National Laboratory and the DOE Berkeley Site Office Scoping Visit August 8 -9, 2006

Overview of Presentation • Team Members • Objectives • Scope and Approach • Onsite

Overview of Presentation • Team Members • Objectives • Scope and Approach • Onsite Activities 10/29/2020 2

Team Members • Larry Kelly, DOE ORO Berkeley Site Office, LBNL Institutional Processes •

Team Members • Larry Kelly, DOE ORO Berkeley Site Office, LBNL Institutional Processes • Ed Lessard, BNL Frank Kornegay, ORNL Tom Mullen, ANL Large Scale Research, User Facilities, CF 1 -5, GP 3 • Larry Mc. Clellan, PNNL Pat Wright, PNNL Laboratory/Bench Scale Activities, CF 1 -5, GP 3 • Mike Bebon, BNL TBD, BNL Facilities and Operations, CF 1 -5, GP 3 • Carol Scott, ORNL Doug Schlagel, Mc. T Worker/Industrial Safety, Waste Management, Environmental Protection, CF 1 -5, GP 3 • Bob Mc. Callum, Mc. T Kyle Turner, Mc. T Institutional Processes (Self-Assessment, Feedback and Improvement, Contractor Assurance), GP 1 -2 & 5, CF 5 10/29/2020 3

Objectives • Determine the overall effectiveness of the LBNL ISMS in satisfying the DOE

Objectives • Determine the overall effectiveness of the LBNL ISMS in satisfying the DOE expectations for ISM – Determine the ISMS implementation effectiveness of selected elements of the Laboratory’s programmatic missions and operations with respect to the five Core Functions (and Guiding Principles 1 -3 and 5) of ISM – Identify areas of vulnerability, gaps and weaknesses with respect to the five Core Functions (and Guiding Principles 1 -3 and 5) of ISM – Identify areas of strength and/or best practices with respect to the five Core Functions (and Guiding Principles 1 -3 and 5) of ISM • Evaluate the effectiveness and rigor of selected ISMS-related processes of the Berkeley Site Office 10/29/2020 4

Scope and Approach of Evaluation • Examine ISMS as it is designed and implemented

Scope and Approach of Evaluation • Examine ISMS as it is designed and implemented at LBNL – at the institutional, division/department, and activity levels – Understand critical institutional systems and process – Understand how personnel implement ISM in practice – what they do, how they do it, why they do what they do, how they know it is right – Determine the extent to which the ISMS – as articulated in documents and implemented in practice – is consistent with DOE expectations • Use criteria/expectations outlined by the DOE HQ Office of Independent Oversight (within the Office of S&S Performance Assurance), DOE Order 226. 1, and other key DOE documents as requirements framework – Use these a basis for lines of inquiry 10/29/2020 5

Scope and Approach of Evaluation • Examine ISM implementation in the four science directorates

Scope and Approach of Evaluation • Examine ISM implementation in the four science directorates and the Operations Directorate (Facilities and EHS) – Emphasize user facilities because of the inherent challenges and risks associated with ensuring that non-LBNL personnel are cognizant of work place hazards and competent in safe implementation of hazard controls – For ISMS at the science bench top, view elements within each science Directorate emphasizing those organizations having higher risk (e. g. , hazard profile, recent performance, proportion of visitors, etc. ) – Examine operations activities based on such factors as: risk, recent performance, and availability at time of onsite review; observe “plan-of-the -day” activities and “shadow” maintenance and operations personnel – Consider how the ISMS is reflected in the interplay of safe management of facilities and the safe conduct of work/research within those facilities 10/29/2020 6

Scope and Approach of Evaluation • Subject to LBNL approval and as feasible, observe

Scope and Approach of Evaluation • Subject to LBNL approval and as feasible, observe any ISMSrelated activities occurring during the onsite review – Event critiques – Performance reviews • Interview personnel from across the LBNL and Site Office organizations – – – – Senior managers First line supervisors PIs Researchers Technicians Maintenance and operations personnel ESH personnel Individual and group interviews 10/29/2020 7

Scope and Approach of Evaluation • Overarching Plans/Processes – – – • R&D Experimental

Scope and Approach of Evaluation • Overarching Plans/Processes – – – • R&D Experimental Planning and Execution – – – • ISM Plan Strategic Plan Annual Operating Plan Quality Assurance Program Plan Requirements Management Process Experimental Planning Process Hazard Analysis and Controls Process Authorization Process Management Observations Feedback and Improvement Maintenance and Operations Activities – – – 10/29/2020 Work Planning Process Hazard Analysis and Controls Process (JHA, JSA) Work Authorization Pre-Job Briefings Work Observations Worker Involvement/Feedback and Improvement 8

Scope and Approach of Evaluation • Performance Management – – – • Contractor Assurance

Scope and Approach of Evaluation • Performance Management – – – • Contractor Assurance Plan/Process Self-Assessment Process Event/Occurrence Reporting Process Causal Analysis Process Corrective Action Management Process Trending and Analysis of Performance Worker Safety and Health – Radiation Protection Program – Industrial Safety Program – Industrial Hygiene Program • Waste Management/Environmental Protection – Waste Management/Certification Process – Environmental Monitoring • Training and Qualifications – Process for T&Q of R&D personnel – Process for T&Q of Students, Visitors, etc. – Process for T&Q of Maintenance and Operations personnel 10/29/2020 9

Scope and Approach of Evaluation Key Planning Activities • Understand the Laboratory & Site

Scope and Approach of Evaluation Key Planning Activities • Understand the Laboratory & Site Office = How the “processes” of ISM are conducted – – Essential functions/roles and responsibilities Key programs R&D and maintenance and operations activities Ongoing improvement initiatives • Identify counterparts for team • Review critical documents • Identify personnel to be interviewed (end of August/early September) • Develop lines of inquiry – Based on DOE HQ Criteria Document – Based on activities at LBNL • Develop the equivalent of a series of mini-work plans • Periodic interactions with Laboratory/Site Office 10/29/2020 10

Onsite Activities • In-Briefing • Interviews • Document Review and Analysis • End-of-day Team

Onsite Activities • In-Briefing • Interviews • Document Review and Analysis • End-of-day Team Meetings • Other interactions as requested by LBNL • Out-briefing – LBNL – Maintenance & Operations (9/22); balance of Team (9/27 or 9/28) – Site Office (9/26 or 9/27) • Factual Accuracy Reports – nominally 2 weeks after out-briefing 10/29/2020 11