Working Group Task EN/04/06 Results: Setting Site EMS Goals, Objectives and Targets - Processes and Examples

1. Working Group Task EN/04/06 Results:Setting Site EMS Goals, Objectives and Targets - Processes and Examples Presented by Eric G. Damberg To Fall EFCOG Environmental Subgroup Meeting November 2, 2006

2. Setting Site EMS Goals, Objectives and Targets - Processes and Examples Task Description: Perform a survey of the sites to collect information on processes/procedures, best business practices, lessons learned and recommendations sites have in setting EMS goals, objectives and targets for their sites. Results of the survey will be published in the “Setting EMS Goals, Objectives and Targets” section of the new EMS Guidebook to be published and maintained by the EFCOG sub group. Include a set of metrics and indicators used to measure targets. Team Lead: Eric Damberg (PNL) Team Members: Steve Birrer (INL) , Orin Haworth (NTS) 2 / 25

3. Participants Results: I. Status of EMS implementation II. Establishing Goals, Objectives and Targets III. Communicating Environmental Goals Objectives and Targets IV. Additional Information Discussion / Path Forward Outline 3 / 25

4. Survey Participants NNSA Los Alamos National Laboratory Sandia National Laboratories, California Pantex SC Pacific Northwest National Laboratory Oak Ridge National Laboratory OCRW Yucca Mountain Project EM Idaho Cleanup Project at INL 4 / 25

5. I. Status Of EMS • Q5: DOE Order 450.1 is in the contract of 6 of 7 respondents. Note: PNNL is the exception. • Q6: All 7 sites reported having a functional EMS. • Q6a: 4 of 7 sites have completed third party registration to ISO 14001. (LANL; PNNL; ORNL and ICP) • SNL expects to have ISO 14001 in Fall of 2006 • Q7: 2 sites currently participate in other voluntary environmental programs: • USEPA National Performance Track (PNNL) • Clean Texas Program through Texas Commission on Environmental Quality (Pantex) • Two other sites intend to pursue voluntary programs: • ORNL applying for EPA Performance Track and Tennessee P2 Partnership. • SNL intends to pursue voluntary programs after obtaining ISO 14001 registration. 5 / 25

6. II. Establishing Goals, Objectives and Targets 6 / 25

7. Q10: Are the pollution prevention and sustainable environmental stewardship goals from DOE Order 450.1 incorporated into your site’s EMS? • All 7 sites reported that the DOE 450.1 environmental stewardship goals are incorporated into their EMS. Comments: • (LANL): EMS is heavily P2 based but focused on upstream waste elimination rather than waste minimization goals. • (PNNL): The DOE goals from 450.1 have been adopted has the highest level environmental stewardship goals. • (Pantex): DOE goals are incorporated largely through the P2 section of the Waste Ops Department. 7 / 25

8. Q11: How many environmental goals / objectives does your site EMS have? • Two sites (SNL and ICP) indicated that they have >10 environmental stewardship goals. The remaining sites reported having between 4 to 6 goals / objectives for their site. Comments: • (LANL): Essentially: compliance, prevention, the EMS itself and an excess equipment, materials and chemicals reduction goal derived from bottoms up goal setting processes • (PNNL): Five site environmental stewardship goals which are the same as those in DOE Order 450.1. • (Pantex): Goals selected on a risk-based ranking. 8 / 25

9. Q12 - 14:Questions regarding targets to support objectives? 9 / 25

10. Q15:How frequently are goals, objectives and targets revised? 10 / 25

11. Q16: Does the site’s senior management participate in establishing the goals, objectives and targets? • All sites reported senior management participation in establishing environmental goals, objectives and targets. Comments: • (LANL):The Senior Management Steering Committee approves specific objectives, targets and key performance indicators based on both bottoms-up input and known objectives such as improved compliance. • (SNL CA): Drafts are prepared by our EMS core team and then discussed/modified and then eventually approved by senior mgmt. • (PNNL): R&D Divisions establish internal goals via annual business planning process. Laboratory Director reviews current goals and provides feedback at annual EMS review meeting. • (Pantex): They have to formally approve the environmental targets by signature. A quorum must be present for the EMS Senior Team to conduct business. • (ORNL): Although they don't develop the obj/targets, the Leadership Team has the opportunity to review/revise the set prior to finalization. • (ICP): The Project Environmental Leads, deployed to each of the ICP project areas, work with the Area Project Manager to develop draft objectives and targets on a fiscal year basis. The draft targets and objectives are presented to the Executive Safety Review Board (ESRB) for review and approval. The ESRB, by their charter, is the management review body for the company EMS. The board is comprised of the senior management team, including the Area Project Managers. EMS status is presented to the ESRB on a quarterly basis and they perform an annual review to provide feedback and direction for improvements. 11 / 25

12. Q17:What process does your organization use to establish goals, objectives and targets? • (LANL):LANL uses both a bottoms-up and top-down objectives and targets process. IN the first year of implementation each of the Lab's 31 Divisions and major contractors executed an ISO 14001 type process resulting in Environmental Action Plan for each. Management review of these EAPs identifies institutional environmental issues that need to be addressed. • (SNL CA): EMS core team consists of the program leads for the site. We established at least one objective for each aspect that is general in nature and should not change much over time (i.e. minimize the production of hazardous waste). Each year the core team, knowing the current status of each program and the site's status, re-validates the objectives and then spends most of our time validating/retiring old targets and establishing new ones. • (PNNL): Internal goals are established for each major division within PNNL as part of the annual business planning process. The goals are selected based on the significant environmental aspects and impacts of each organization • (Pantex): Questionnaires, process knowledge, and risk-ranking by a team of knowledgeable individuals. • (YMP): Following our annual review and update of the Environmental Aspects, we request input from managers across the company that are responsible for or significantly contribute to various environmental aspects. • (ORNL): EMS staff develop the list based on ISO 14001:2004 requirements • (ICP): The environmental goals and objectives for the Idaho Cleanup Project (ICP) are specified in the contract. Annual targets are developed to align with the contract objectives for the associated year. The targets chosen are directly from the business planning process. The major deliverable from the business planning process is the Milestone Sequence Chart which details all milestones for the life of the contract. The environmental targets are specifically chosen from this Milestone Sequence Chart. 12 / 25

13. Q18: How do you establish metrics to evaluate progress with respect to the site’s goals, objectives, and targets? • (LANL): Each objective has a target and each target has specific key performance indicators. During EMS implementation we have taken steps to assure that these KPI's are consistent for all EPA, State and internal reporting activities (i.e., one set of Lab-wide measures). • (SNL CA): We have metrics directed towards both targets and objectives. We also have metrics that focus on the operation of the EMS itself - process metrics (i.e. communications, NOVs, etc.) • (PNNL): Metrics are established as part of the PNNL EMS. Progress towards internal and external environmental stewardship goals is reviewed on a quarterly basis. • (Pantex): Targets are established that can be measured. For instance, a target to purchase 750 remanufactured printer cartridges in the fiscal year. Or save 6,000 MWH of electricity. Consideration is also given to measures the Texas Commission on Environmental Quality wants to see. We try to match up with them. • (YMP): The metrics are established as part of the process for setting the objectives and targets. Deciding what and how to measure is done at the time when the objective is established. • (ORNL): Several assessments are conducted to ensure progress is being made • (ICP): Environmental targets are specifically chosen from the Milestone Sequence Chart (see response to question 16). 13 / 25

14. Q19: How do you flow down responsibility for achieving the goals, objectives and targets within your organization? • (LANL): Each target and KPI has activities that flow down from the Institutional to the Division level. For example, a compliance measures like RCRA has institutional objectives but the measurement tracks down to the Division level. When Divisions have issues in performing in a particular area, those issues become the basis for the following years Environmental Action plan. We develop specific guidance for each target that allows Divisions to 1) track their current performance (generally on-line), 2) see what other organizations have done in the target area, 3) pick from a list of potential actions and 4) get assistance in implementing the goal. • (SNL CA): EMS core team coordinates the efforts for the site. • (PNNL): Each R&D division selects internal goals which support the PNNL wide external environmental commitments (e.g., EPA Performance Track Goals). • (Pantex): Work instructions, and identifying responsible parties for approval by the EMS Sr. Team. Acceptance of the targets is required by the responsible managers. Forms were developed and are used to document the process. • (YMP): Responsibility is established and communicated when objectives and targets are established. If sub organizations are involved we use standard company communication tools (Intranet, newsletters, e-mail, IOM, phone, etc.) • (ORNL): Link in Lab wide procedure, letter from ESHQ Director, meetings with involved divisions, etc. • (ICP): Goals are established at the contract level for each project area. Objectives and targets for each project area are then developed annually to align with the contract goals for that fiscal year. 14 / 25

15. Q20:How do your goals, objectives and targets incorporate pollution prevention and sustainable environmental stewardship goals? • (LANL): All are based on proactive risk reduction not just pollution prevention. Goals are designed to target upstream sources of risk and systematically eliminate them. One common Action Plan commitment is a Prevention Opportunity Assessment with a focus on process evaluation, efficiency optimization and engineering design. • (SNL CA): There are specific objectives/targets for these. • (PNNL): Goals include specific measurable commitments for waste minimization and for the purchasing of environmentally preferable products. • (Pantex): Depending on risk, P2 and sustainable stewardship are often defined as primary objectives. Even if they are not specifically identified within a fiscal year as EMS targets, the P2 Section continually pursues improvements in those areas as a matter of course. • (YMP): We have several goals specifically targets at recycling, waste prevention, and sustainable design. • (ORNL): P2 staff participate in the development of objectives and targets. • (ICP): Waste minimization P2 goal is one of our environmental objectives. A target for that objective is formalized each fiscal year, as appropriate, depending on the contract requirements for that year. 15 / 25

16. Q21: Do your DOE stakeholders participate in establishing, monitoring or evaluating the goals, objectives or targets? Q22: Do your goals, objectives or targets involve the participation of more than one contractor? 16 / 25

17. III. Communicating Environmental Goals Objectives and Targets 17 / 25

18. Q23:How frequently do you publish metrics describing the site’s progress towards meeting your objectives and targets? Q23a: What is the audience for your progress reports? 18 / 25

19. Q24: How do you communicate EMS Goals, Objectives and Targets (and associated progress) to all levels or the organization and /or members of the public? • (LANL): EMS website (internal and external), Sr. Management Steering Committee minutes posted, news articles, briefings (New Mexico Environment Department) • (SNL CA): We have a communications plan that describes every possible way to communicate (i.e. email, newsletters, new hire briefings, presentations to line orgs, posters, earth day activities, badge card, etc.) Even still it is a continuous challenge. • (PNNL): Progress is communicated to senior management via the annual EMS review. DOE is provided an informal quarterly status report. The public is informed of PNNL's progress via the annual EPA Performance Track report which is available to the public from EPA. • (Pantex): Internet, Plant intranet, plant publications and public displays at Earth Day or Business Connection booths. • (YMP): Through our established company communication tools. • (ORNL): Same process as used to flow down responsibilities for goals. That is; Link in Lab wide procedure, letter from ESHQ Director, meetings with involved divisions, etc. • (ICP): Objectives and Targets (and associated progress) is reported to all levels or the organization. Several mechanisms are used to communicate EMS information including, ICliPs (email communication tool), memos from the company president, and the internal website. Communication with public stakeholders is done via the contract. The contract is a public document and is available in a number of ways including public reading rooms and from the DOE-ID website. Routine reporting of ICP progress includes status of meeting the contract requirements as shown on the Milestone Sequence Chart. Again, the EMS objectives and targets are one and the same with the contract goals. 19 / 25

20. Q25: How do you track progress towards Environmental Goals; Objectives and Targets? • (LANL): We either achieve our key performance indicators or we don't. They are SMART metrics so it is easy to tell. • (SNL CA): EMS core team continually reviews progress at our routine meetings. Our metrics are continually updated and posted on our site web site. • (PNNL): Via Corporate Intranet WebPages and a program called “PBviews”. • (Pantex): Contact the points of contact to report monthly. Report to the EMS Senior Team quarterly. • (YMP): Still in development. We have our objectives and targets posted on our EMS web pages and will develop some type of tracking process that is available on the web page through periodic updates. • (ORNL): Several assessments are performed during the year. • (ICP): The company business processes are used to track progress on targets as a part of the Milestone Sequence Chart reviews. Specific reviews of progress from an EMS perspective are conducted on a quarterly basis and progress posted on the internal EMS page of the website. 20 / 25

21. IV. Additional Information 21 / 25

22. Q26: Are there any other aspects of your EMS goal setting and tracking process that you wish to share (e.g., lessons learned; future plans; barriers to the goal setting process)? • (LANL): The bottom-up process has been very important to LANL. The point of our EMS is not to get ISO certification or DOE blessing. It is to find the root causes of environmental problems, isolate them, determine corrective pathways and then fix the problem permanently. Staff at a lower level can then track the problem they identified to a specific set of fixes being implemented. This year big targets are excess materials and chemicals that 17 different divisions identified as a problem. A lab-wide clean-out effort is underway as a result of the EMS. • (SNL CA): We prioritize our site aspects two ways, under normal" operating conditions and under "off norm" conditions. We consider our significant aspects to be the highest risk under normal operating conditions. We then emphasize those associated objectives and targets by developing detailed project plans for the actions needed to achieve them." • (PNNL): Setting goals at the bench top that link with the overall site objectives has been a successful strategy for driving continual improvement at PNNL. The lower level goals help to engage staff in the EMS and P2 program as they take measurable actions appropriate for the nature of their work. • (YMP): Not at this time. This is one area of our EMS that we our trying to mature. • (ICP): A lesson learned from our ISO 14001 registration audit is that the company objectives and targets should be formally documented AND placed under configuration control. 22 / 25

23. Q27: Please list any documents that you would like to share with other EFCOG members as examples of best practices for the setting and tracking of Environmental Goals. 23 / 25

24. Path Forward? • Solicit more responses? • Fold current results into EFCOG EMS guidebook? • Other actions? 24 / 25

25. EMS Points of Contact for Sites Participating in the Survey (LANL): Dennis Hjeresen (SNL CA): Gary Shamber (PNNL): Alice Ikenberry (Pantex): Dale Stout (YMP): Ronald Green (ORNL): David Skipper (ICP): Steve Birrer 25 / 25