1. Lawrence Berkeley National Laboratory Integrated Safety Management Systems Review August 8-9, 2006 Contractor Assurance John Chernowski

2. Updated: 7/28/2006 INTERNAL AUDIT T.L. HAMILTON LABORATORY DIRECTOR S. CHU DEPUTY DIRECTOR G.R. FLEMING CHIEF OPERATING OFFICER D.C. MCGRAW COMPUTING SCIENCES H.D. SIMON Associate Laboratory Director LIFE & ENVIRONMENTAL SCIENCES J.W. GRAY Associate Laboratory Director GENERAL SCIENCES J.L. SIEGRIST Associate Laboratory Director PHYSICAL SCIENCES A.P. ALIVISATOS Associate Laboratory Director CHIEF OF STAFF N.J. PADGETT WORKFORCE DIVERSITY H. REED INSTITUTIONAL ASSURANCE J.T. KRUPNICK LABORATORY COUNSEL G.R. WOODS CHIEF FINANCIAL OFFICER J.A. FERNANDEZ CHIEF INFORMATION OFFICER A.X. MEROLA PLANNING AND DEVELOPMENT M.A. CHARTOCK Office of the Director GENOMICS E.M. RUBIN Division Director LIFE SCIENCES J.W. GRAY Division Director EARTH SCIENCES G.S. BODVARSSON Division Director NATIONAL ENERGY RESEARCH SCIENTIFIC COMPUTING CENTER H.D. SIMON Division Director COMPUTATIONAL RESEARCH H.D. SIMON Division Director PHYSICS J.L. SIEGRIST Division Director ENGINEERING K.E. ROBINSON Division Director NUCLEAR SCIENCE T.J. SYMONS Division Director ACCELERATOR & FUSION RESEARCH S. GOURLAY Division Director MATERIALS SCIENCES A.P. ALIVISATOS Division Director CHEMICAL SCIENCES D.M. NEUMARK Division Director PHYSICAL BIOSCIENCES J.D. KEASLING Division Director ENVIRONMENTAL ENERGY TECHNOLOGIES M.D. LEVINE Division Director ADVANCED LIGHT SOURCE J. KIRZ Acting Division Director INFORMATION TECHNOLOGY A.X. MEROLA Division Director FACILITIES G.D. REYES Division Director PUBLIC AFFAIRS R.A. EDWARDS Department Head OFFICE OF THE CHIEF FINANCIAL OFFICER J.A. FERNANDEZ Director WORKFORCE DIVERSITY H. REED Department Head HUMAN RESOURCES N.A. TALCOTT Acting Department Head ENVIRONMENT, HEALTH & SAFETY H. HATAYAMA Division Director OPERATIONS D.C. MCGRAW Associate Laboratory Director and C.O.O. A. X. MEROLA Deputy C.O.O.

3. Office of Contract Assurance J. Chernowski Office of Institutional Assurance J. Krupnick Project Management Office J. Krupnick Laboratory Director S. Chu Deputy Director G.R. Fleming UCOP R. Foley Office of Institutional Assurance

4. Assures Lab Management, UCOP, and DOE that LBNL is: –following contract terms & conditions –complying with applicable laws and regulations –has programs in place for continuous improvement In compliance with DOE Order 226.1 Office of Contract Assurance

5. Assurance Process

6. Provide Assurance Performance metrics Contract performance measures Programmatic performance measures Assessments Self-assessments Peer reviews Management reviews

7. Continuous Improvement Corrective Action Tracking  CATS database  New version launched December 2005  Designed to track “deficiencies” in all disciplines

8. Continuous Improvement Lessons Learned Program –Lessons learned and best practices –Database in pilot phase- implementing in ES&H Gateway for new lessons learned/ best practices Targeted emails generated Library of previous lessons

9. UC/ DOE Contract Assurance Monitor performance in meeting targets in Performance Evaluation and Measurement Plan (PEMP) Maintain Risk Registry of performance concerns Survey of all significant M&O assurance/ assessment systems Track implementation of 26 strategic initiatives identified in contract proposal

10. 10 Workplace Safety Division Self- Assessment Line Management Environment, Safety & Health Assurance Safety Review Committee MESH (Management of ES&H) Safety Management Peer Researchers & Staff Integrated Functional Appraisal In Depth TechnicalEH&S Personnel PEMP (Contract Performance Measures) DOE/UC ContractFunctional Managers AssessmentType of ReviewPerformed by

11. Attributes of Self-Assessment System: –Different but complimentary focus for each type of assessment –Assessments conducted by personnel with differing perspectives –Unique protocol for conducting each type of assessment LBNL ES&H Self-Assessment Program

12. ISM Core Functions Define work Identify hazards Control hazards Perform work Feedback and improvement Self Assessment Criteria Metrics designed to determine implementation of ISM functions and principles Performance Rating Performance in each metric is assigned a rating Satisfactory = Green Partial = Yellow Marginal = Red Division Self Assessment Performed by Division line management and staff Continuous Improvement

14. Research and operations community perspective on management of ES&H in assessed Division Focus on effectiveness of Division management in implementation of Division ISM plan –Communication –Management Involvement –Feedback and Improvement Safety Review Committee MESH Review

15. ES&H technical review of Division work activities and operations Focus is medium an d high hazard operations that require formal authorizations –Hazard controls –Authorization/ hazardous work permit compliance –Applicability of standards and requirements Integrated Functional Appraisal

16. Injury and accident rates Environmental/ radiological incidents ES&H Training ISM- communication, hazard identification, feedback & improvement Environmental management/ waste minimization Contract Performance Measures (PEMP)

17. ES&H Self-Assessment Alignment with ISM Division SA SRC MESHIFAPEMP Performance Criteria Appraisal Protocol Appraisal Protocol Contract Performance Measures ISM Five Functions and Seven Principles

18. Efficiency and Effectiveness Maturity of ISM Program Pioneer Stage conceptual broad-based Implementation Stage prescriptive transactional detailed and numerous Innovative Stage multi-tiered self-assessments active DOE/lab engagement oversight focus on: implementation effectiveness continuous improvement Evolution of Self-Assessment