Jack Bartley Former Deputy Director of EH&S Presentation to LBNL Safety Coordinators Meeting

1. McCallum-TurnerIntegrated Safety Management System Evaluation atLawrence Berkeley National LaboratoryCorrective Action PlanOverview Jack Bartley Former Deputy Director of EH&S Presentation to LBNL Safety Coordinators Meeting April 13, 2007

2. Today’s Presentation • Key milestones in developing the CAP • CAP schedule • CAP organization • Corrective Action summaries • Causal factors • Crosswalk from Peer Review CAP • Summary

3. Key Milestones in Developing CAP • January/February 2006 - ISM Peer Review & Report • March/April 2006 - Back-look and Root Cause Analysis • June 1, 2006 - Peer Review CAP submitted to BSO • June/July 2006 - DOE Validation Review & Report • September 2006 - McCallum-Turner (M-T) Review • November 2006 - McCallum-Turner ISMS Evaluation Report • March, 2007 - McCallum-Turner review of draft ISM CAP • March 30, 2007 - Final ISM CAP submitted to DOE-BSO

4. Seven Corrective Actions

5. Major Activities Supporting the Seven Corrective Actions • 58 Major activities/outcomes planned • 37 (64%) scheduled for completion by 10/1/07 • 54 (93%) scheduled for completion by 12/1/07 • 4 ( 7%) scheduled for completion in 2008 FY07 PEMP: B+ = 90% (34 of 37) of major activities scheduled for completion by 10/1/07 are completed

6. CAP Organization • Overall “front matter” • Background/History/Objectives/Organization • How the CAP was developed • Senior management commitment & oversight • Project tracking and change control • Commitment to ISM continuous improvement • CA Specific “front matter” • Objectives • Crucial assumptions • Major activities • Condition/Status as of 12/1/07 • Final closure

7. CA-1 Re-emphasize expectations for line accountability and responsibility for safety and strengthen implementing processes to reflect these principles • Summary of major activities completed • Safety communications plan in-place and working • “Safety line management chain” and “work leader” now defined • Walk-around requirements revised, tailored training being provided • New Job Hazards Analysis (JHA) process requires direct interaction between work leaders and workers, resulting in specific authorization • 2006 Integrated Functional Appraisal (IFA) focused specifically on implementing formal authorization • Summary of major activities planned • Enhance safety expectations used in PRD process for HEERA supervisors and managers • Develop a safety performance assessment process for non-HEERA Safety Line Managers • Modify institutional ISM Plan, Job Hazards Questionnaire (JHQ) process and Division S/A process to support implementation of Safety Line Manager concept • Develop and initiate training of non-HEERA Safety Line Managers • Add requirements for worker involvement in policies and ISM Plans • Implement the new JHA process

8. CA-2 Restructure and refine institutional EHS/ISMS documents to clarify their inter-relationship and provide overarching set of safety principles and expectations • Summary of major activities completed • Formal procedure developed for Safety Review Committee (SRC) review and approval of ES&H Manual (Pub 3000) changes • Over 18 changes formally reviewed and approved by the SRC since September, 2006 • Division Safety Coordinator and EHS Liaison roles and responsibilities revised • Summary of major activities planned • Clarify and articulate the hierarchy of ISMS documents • Develop a set of high level institutional safety goals • Formalize procedures for the annual WSS process

9. CA-3 Increase the rigor of the performance management process • Summary of major activities completed • Performance Evaluation and Management Plan (PEMP) sets annual goals and objectives, and performance is measured to these • 2006 IFA and MESH reviews focused on significant ES&H concerns • Annual Division Self-Assessment criteria revised for 2007 to reflect institutional goals and objectives • Lessons Learned/Best Practices up and running • Trending and analysis training for Subject Matter Specialists (SMEs), Coordinators and Liaisons • Summary of major activities planned • Develop methodology for reviewing effectiveness of assurance systems • Apply analysis and trending methodology to FY07 ESH S/A results • Implement procedures for incorporating lessons learned and corrective actions into an overall Issues Management Program • Develop mechanisms for collecting and utilizing sub-contractor and vendor on-site safety record in procurement processes

10. CA-4 Fully implement an integrated corrective action management system • Summary of major activities completed • Increased staffing for ESH assurance • CATS database developed and functional • Monthly review of CATS actions with Divisions and COO • Trending and analysis training being provided to safety managers and staff • Summary of major activities planned • Develop and implement Issue Management Program • Develop and implement ESH Technical Assurance Program

11. CA-5 Strengthen Laboratory self-assessment processes • Summary of major activities completed • Revised 2007 Division S/A criteria • Summary of major activities planned • Develop and implement a risk-based gap analysis methodology to prioritize assurance activities • Develop and implement ESH Technical Assurance Program • Initiate assurance system effectiveness review • Revise Division S/A Program Manual

12. CA-6 Increase the rigor and consistency of the work planning and control processes • Summary of major activities completed • Developed a new Job Hazards Analysis (JHA) process that incorporates hazard assessment, identification of controls and authorization of work • Upgrading HEAR (Hazard, Equipment, Authorization, and Review) database functionality • Enhanced oversight of construction-related work • Streamlined the penetration (Dig) permit process • Summary of major activities planned • Conduct JHA pilots, revise process, roll-out institution-wide • Revise Safety Analysis Document (SAD), establish Un-reviewed Safety Issues procedure and shielding policy for ALS (Advanced Light Source Division) • Complete refresher training on JHA process in Facilities • Complete HEAR upgrades • Develop and implement formal process for pre-construction O&M (Operations and Maintenance) maintainability reviews

13. CA-7 Assure that the ISMS-related elements of LBNL-UCB relationship are consistently articulated and clearly understood • Summary of major activities completed • UCB/LBNL Research Collaboration Steering Committee established in July 2006, Chaired by Deputy Director Fleming and Vice Chancellor Burnside • ES&H Sub-committee discussing mechanisms for assuring equivalent safety for LBNL-funded work conducted on UCB campus • UCB and LBNL laser safety training now equivalent • Summary of major activities planned • Modify UCB/LBNL Partnership Agreement as needed • Develop an initial listing of locations and individuals performing LBNL-funded work in UCB space • Develop and implement a process for assuring equivalent protection for LBNL-funded work at UCB

14. Summary • Accepted all seven recommended actions as the foundation of the CAP • CAP builds on the strengths/noteworthy practices identified by M-T ISMS review • Incorporates and builds on ISM Peer Review corrective actions and 10CFR 851 related program changes • CAP will improve implementation of ISM in key areas and help us sustain excellent safety performance • UC/LBNL Contract Assurance Council will review the status of ES&H performance progress and CAP implementation