Role

Responsibility

Laboratory Management

Communicates and reinforces the importance of proactively identifying, reporting, and managing issues.

Division Management

Assures that personnel are working to the requirements outlined in this policy and the Issues Management Program manual

Office of Institutional Assurance

Provides oversight and administration for the Issues Management Program, which includes maintaining and revising program manuals, maintaining the Corrective Action Tracking System (CATS) and Lessons Learned and Best Practices databases, and providing technical guidance to Berkeley Lab staff with regard to the Issues Management Program

Employees

Adhere to the requirements outlined in this policy and the Issues Management Program manual

Term

Definition

Apparent Cause

The dominant reasonable cause(s) of an issue that management has the control to fix through effective corrective actions. There may be more than one apparent cause for a given incident.

Corrective Action

An action that addresses the apparent or root cause of an issue, prevents recurrence or significantly reduces the likelihood of recurrence, and demonstrates endurance.

Graded Approach

A method by which the levels of analysis, mitigation, documentation, verification. and validation are determined commensurate with risk severity.

Issue

A broad term that refers to any safety or operational incident, condition, or circumstance that:

• Results or could result in injury, damage, loss, or noncompliance (actual or near-miss incident)
• Represents a program, safety, or operational deficiency (audit or assessment finding, or performance deficiency as identified through trending and analysis or metrics)
• Adversely affects the achievement of mission, strategic and business objectives (risks)

Issues Management

The process by which issues are managed, tracked, and evaluated through resolution to prevent recurrence

Lessons Learned

A good work practice or innovative approach that is captured and shared to promote repeat application or an adverse work practice or experience that is captured and shared to prevent recurrence.

Policy

Statements or directives from the federal, state, or local government; the University of California; or Berkeley Lab senior management that set a course of action, define acceptable conduct, or implement governing principles. Example: LBNL Site Access

Procedure

A series of specific steps to be followed to accomplish work or to carry out a policy or requirement. Procedures are controls meant to mitigate risk, improve efficiency, or assure compliance. Examples: Obtaining a Berkeley Lab badge, maintaining the Laboratory's 12 kV electrical system, completing a travel expense form

Program

A course of action, typically comprising multiple coordinated projects, established to accomplish an organization's strategic objectives or to improve its performance. A program's duration may be perpetual or undetermined, and success is measured in terms of benefits derived. A program has a generally defined scope or mission, with specific objectives, and a prescribed governing structure with defined roles and responsibilities.

Requirement

A specific obligation to perform an action mandated by Berkeley Lab senior management or the federal, state, or local government; or to comply with the Laboratory's contract with DOE; or to comply with agreements made between the Laboratory and its corporate manager, the University of California

Risk Level

The severity / significance rating assigned to an issue to ensure that appropriate levels of analysis oversight and resolution are commensurate with Berkeley Lab requirements. Risk levels are stated as high, medium, or low.

Root Cause

The underlying or basic cause of an issue that can reasonably be identified and management has the control to fix, and when fixed, will preclude recurrence or significantly reduce the likelihood of recurrence of the same or similar issue. The root cause is typically one level further in analysis beyond an apparent cause.