Contractor Assurance John Chernowski

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

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

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

4. Office of Contract Assurance • 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

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

11. LBNL ES&H Self-Assessment Program • 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

12. Division Self Assessment Performed by Division line management and staff • 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 Continuous Improvement

14. Safety Review Committee MESH Review • 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

15. Integrated Functional Appraisal • 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

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

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

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