BRIEF

Policy Summary

The Environment, Safety & Health (ES&H) Core Policy requires all persons who work at or visit Berkeley Lab to perform all work safely with full regard to the well-being of workers, affiliates, the public, and the environment.

To achieve this, Berkeley Lab has adopted the guiding principles and core functions of the Integrated Safety Management System (ISMS) from Department of Energy (DOE) DEAR Clause 970.5204-2, and incorporated them into the UC-DOE Prime Contract, Contract Number DE-AC02-05CH11231 (Contract 31).

This wiki page presents:

• The Laboratory's ES&H Core Policy and philosophy
• An overview of roles and responsibilities of various stakeholders in the ISMS
• A summary of the Laboratory's Integrated Safety Management (ISM) principles and guidelines, which are fundamental to the Laboratory's ES&H programs
• An illustration of the relationship between this Requirements and Policies Manual (RPM), Contract 31, and the ES&H Manual (PUB-3000) and its supporting work processes and procedures

Who Should Read This Policy

All persons who visit or work at Berkeley Lab

To Read the Full Policy, Go To:

The POLICY tab of this wiki page

To Read the ES&H Program Details, Go To:

• ESH Manual, Chapter 1
• EHS Division Charter

Contact Information

EHS Division
[email protected]

POLICY

A. Purpose

This describes the Environment, Safety & Health (ES&H) Core Policy of Lawrence Berkeley National Laboratory.

To achieve this, Berkeley Lab has adopted the guiding principles and core functions of the Integrated Safety Management System (ISMS) from Department of Energy (DOE) DEAR Clause 970.5204-2, and incorporated them into the UC-DOE Prime Contract, Contract Number DE-AC02-05CH11231 (Contract 31).

B. To Whom This Applies

All persons who visit or work at Berkeley Lab

C. Exceptions

None

D. Policy

1. Berkeley Lab policy requires all work to be performed safely with full regard to the well-being of workers, affiliates, the public, and the environment.
   1. Keys to implementing this policy are the following core safety values:
      1. The institution demonstrates a strong commitment to safety by integrating safety into all facets of work.
      2. Managers, supervisors, and work leads are actively involved and demonstrate leadership in performing work safely.
      3. Individuals take ownership to work safely and continuously strive to improve.
      4. Individuals demonstrate an awareness and concern for the safety of others and strive to prevent harm to other workers, the general public, and the environment.
   Berkeley Lab has adopted the DOE Integrated Safety Management System (ISMS) approach for establishing ES&H policies and programs. This is a requirement in Contract 31, Clause I.131, Integration of Environment, Safety, and Health into Work Planning and Execution (DEC 2000) (prev. I.086) .
2. Berkeley Lab's overall ES&H philosophy is as follows:
   1. In the context of carrying out the Laboratory's technical missions, ES&H policies and programs are the most important day-to-day consideration given the emphasis on doing good science.
   2. Accidents are preventable by each individual and responsible organization paying close attention to potential hazards and taking appropriate action.
   3. Responsible stewardship of environmental resources is an integral part of ES&H management, and results in the reduction of environmental impacts locally, regionally, and globally.
   4. The Laboratory recognizes that humans are fallible and that everyone makes errors. The most common causes of human error are weaknesses in the organization, not lack of skill or knowledge. When events occur, management's first reaction should be to look within the organization rather than to blame an individual.
   5. Managers, supervisors, safety line managers, and work leads are responsible for ensuring that an adequate system is in place to carry out work safely while also being environmentally responsible. An identifiable line management chain is ultimately responsible for each work activity.
   6. Each supervisor and safety line manager is expected to ensure that all individuals reporting to him or her understand the ES&H expectations, governing work controls, and the means by which they can safely and successfully perform their assignments while providing stewardship of the environmental resources in their care.
   7. Each individual is directly responsible for ensuring his or her own safety and environmental stewardship, looking out for fellow workers, and promoting a safe, healthful, and environmentally sound workplace and community. Individuals may participate in setting policy, establishing coordinating processes, and assessing and improving activities. All individuals must follow ES&H-related work instructions. If the work instructions cannot be followed safely or present a new hazard, the employee is responsible for notifying the appropriate individuals and assisting, as appropriate, in modifying the work instructions.
   8. Employees, contractors, and affiliates are held accountable for their performance with respect to ES&H policies and principles.
3. The Laboratory's Integrated Environment, Safety & Health Management Plan (PUB-3140) describes the institutional management system requirements for all operations associated with this ES&H Core Policy. The Laboratory's ES&H Manual (PUB-3000) describes detailed and technical work processes.
4. New – or changes to existing – ES&H policies or implementing programs and documents must comply with the Laboratory's Requirements Management Policy (document number 04.04.001.000) and Document Management Policy (document number 10.06.001.000).

E. Roles and Responsibilities

The principal roles and responsibilities of the various stakeholders in the ISMS are listed in the table below. A complete list of stakeholders and their responsibilities is in the ES&H Manual, Chapter 1, Section 1.4.

F. Definitions/Acronyms

G. Recordkeeping Requirements

See the PUB-3000 for record-keeping requirements associated with an ES&H program's work processes.

H. Implementing Documents

I. Related Berkeley Lab Policies

• Requirements Management Policy, 04.04.001.000
• Document Management Policy, 10.06.001.000

J. Contact Information

EHS Division
[email protected]

K. Revision History

INTEGRATED SAFETY MANAGEMENT SYSTEM OVERVIEW

Berkeley Lab has adopted the principles and functions of the Integrated Safety Management (ISM) system to assure that work is performed safely. All employees and visitors at Berkeley Lab are expected to exercise the ISM process whenever they plan or do work. The five ISM core functions are as follows:

The seven guiding principles of ISM are as follows:

• Line management responsibility for safety
• Clear roles and responsibilities
• Competence commensurate with responsibilities
• Balanced priorities
• Identification of safety standards and requirements
• Hazard and environmental controls tailored to the work being performed
• Operations are authorized

The ISM core functions and guiding principles are reflected in Berkeley Lab's detailed policies and procedures. Principal investigators, managers, supervisors, and work leads are expected to incorporate these principles into the management of their work activities. They are also responsible for integrating ES&H requirements into work procedures, and for ensuring active, rigorous communication between the management chain and the workforce. Specific details on responsibilities at each level are described in the ES&H Core Policy and ES&H General Requirements, Responsibilities, and Work Practices.

Implementing the ISM Process

The seven guiding principles of ISM are achieved through implementing the five ISM core functions, which must become part of every aspect of work at Berkeley Lab.

1. Define the Scope of Work (Work Planning)

Missions are translated to work, expectations are set, tasks are identified and prioritized, and resources are allocated.

2. Analyze the Hazards

Hazards and risks associated with the work to be performed are identified, analyzed, and categorized as to impact on employees, public, and the environment. A formal hazard analysis is performed using a graded approach, and tailored to the work and workers. Each worker has an individual Job Hazards Analysis (JHA) for the tasks he or she will perform. Subcontractors use a similar process called the Subcontractor Job Hazards Analysis (sJHA) for nonconstruction work, or the Construction JHA for construction work.

EHS provides a number of special-purpose institutional data tracking systems in which hazards must be identified for analysis and communication (e.g., Activity Hazard Document (AHD), Chemical Management System (CMS), Laser Management System, RADAR). The Hazard Management System (HMS) is used to collect baseline hazard information for a work location, in part, to determine if higher-level hazard analysis and authorization is required. It also provides a hub to compile institutional hazard identification and tracking systems. For example, the Facilities Division planning data system, Maximo, references the HMS to identify location-based hazards when planning work.

3. Develop and Implement Controls

Controls are established based on identified applicable standards and requirements to reduce the risks to acceptable levels. Acceptable levels are determined by responsible line management or work leads, but are always in conformance with all applicable laws and the ES&H Standards Set included in Contract 31, and as described in the hazard-control programs developed in the ES&H Manual.

4. Perform Work within Controls

Activities are conducted in accordance with controls, procedures, requirements, and authorizations.

5. Feedback and Continuous Improvement

Information is gathered from employee suggestions, assessments, lessons learned, operational awareness, and worker/customer/regulator and stakeholder feedback, as appropriate, to improve the work activity.

Supervisors and work leads must regularly review work practices and operations in light of any new hazard information or changes in actual work practices. Occurrence reporting, self-assessment, peer reviews, and lessons learned can be used as ways of improving the cost-effectiveness and reliability of hazard controls (engineering and administrative). Based on findings from occurrence reporting and other assessments, improvements are made to work planning and, in rare instances, used as a basis for changing line management responsibility, roles and responsibilities, worker competence, or other appropriate parts of the work cycle.

To ensure continued effectiveness, periodic reviews of procedures and operations are conducted by each division, the EHS Division, and the Safety Advisory Committee (SAC). Each division conducts an annual self-assessment based on Office of Institutional Assurance guidelines and divisional areas of interest. The EHS Division assesses the effectiveness of divisions’ programs and processes on a triennial basis (more frequently if deemed necessary or if required by regulation). The SAC also conducts Peer Reviews on a triennial basis. Special assessments and peer reviews may also be conducted as needed under the coordination of the EHS Division Director.

Source Requirements Documents for ISM

• Contract 31, Clause I.131, Integration of Environment, Safety, and Health into Work Planning and Execution (DEC 2000) (prev. I.086)

Implementing Documents for ISM

Contact Information

EHS Division
[email protected]

ES&H DOCUMENT HIERARCHY

Figure 1 below illustrates the document hierarchy of Laboratory ES&H documents relative to Contract 31 (and applicable federal, state, and local regulations) and the Laboratory Requirements and Policies Manual (RPM). The documents listed under "LBNL Driving Requirements" are mandated by the Contract; must be reviewed and approved by Laboratory management; and drive institutional policies, processes, or other documents. LBNL Driving Requirements documents do not include Laboratory policies, but are typically program or system descriptions. They are often titled a "plan" in accordance with the Contract or regulation requirement. The authority or authorities for each document category are also noted in Figure 1.

Laboratory documents that guide or are used by more than one function or department are considered "institutional." Institutional documents are subject to document management and control practices as required by the Laboratory's Document Management Policy (document number 10.06.001.000).

Links to the documents listed in Figure 1 are in the Implementing Documents table on the DOCUMENT INFORMATION tab of this wiki page.


Figure 1

This RPM wiki contains all the Laboratory's ES&H policies, and is mapped to PUB-3000 programs and work processes. Figure 2, below, illustrates the relationship between the RPM and the PUB-3000.



Figure 2

DOCUMENT INFORMATION

Source Requirements Documents

• Contract 31, Clause I.131, Integration of Environment, Safety, and Health into Work Planning and Execution (DEC 2000) (prev. I.086)
  
• Contract 31, Clause I.123, DEAR 970.5204-2, Laws, Regulations, and DOE Directives (Dec. 2000) (Deviation) (prev. I.079)
  
• Contract 31, Appendix I, Environment, Safety and Health Standards for LBNL
• PUB-3140, Integrated Environment, Safety & Health Management Plan

Related Berkeley Lab Policies

• Requirements Management Policy, 04.04.001.000
• Document Management Policy, 10.06.001.000

Implementing Documents