|5||Charter for the Work Smart Standards Process|
section 1 Objectives and Expectations for this N&S Process
section 2 Identification of Participants in This N&S Process
2.1 Agreement Parties
2.2 Resource Authorities
2.3 Customer Organizations
2.4 Responsible Organization
2.5 Convened Group
2.6 Executive Team (ET)
2.7 Advisory Team
2.8 Process Leader
2.9 Integrated Functional Analysis Team (IFA)
2.10 Operational and Technical Experts
2.11 Identification Team (IT)
2.12 Internal Review Teams
2.13 Confirmation Team (CT)
section 3 Protocols
3.1 Approval of Standards Set
3.2 Instructions to the Identification Team
3.3 Scope of Standards Set
3.4 Documentation of Standards Set
3.5 Review of the Standards Set
3.6 Confirmation of the Standards Set
3.7 Interactions between Convened Group and Identification Team
3.10 Contract Modification
OBJECTIVES AND EXPECTATIONS FOR THIS N&S PROCESS
This document outlines the plans and protocols for conducting the Department of Energy's Necessary & Sufficient (N&S) Process (Attachment A) at Lawrence Berkeley National Laboratory (LBNL) in Berkeley, California. The Necessary and Sufficient Process will examine the work performed by LBNL, identify the hazards, and specify an N&S set of Environment, Safety and Health (ES&H) standards. The N&S set of standards will serve as the agreed-upon basis for operating LBNL in a safe, efficient, and cost-effective manner with low risk to staff, the public, and the environment.
This process will seek out and emulate practices which have been proven successful both in terms of safety performance and cost effectiveness in industry and other comparable laboratories. When implemented, these N&S standards and safety practices will maintain the Laboratory in the upper quartile of ES&H performance as compared to similar activities both internal and external to DOE.
This charter has been developed as a partnership effort by the parties to this agreement (see "Responsibilities" below), and is considered to be a living document. This charter provides a basis for agreement that all parties who must agree with the set of standards will participate in the process planning, that stakeholder contributions will be incorporated into the process, and the confirmation of the standards will be conducted by highly trained and experienced experts and will reflect agreement of all the parties.
IDENTIFICATION OF PARTICIPANTS IN THIS N&S PROCESS
The agreement parties are the authorities that must approve the Set of Standards. The Convened Group has agreed that the following individuals have approval authority for the LBNL Set of Standards:
Department of Energy /Oakland Operations Office -- James Turner
2.2 Resource AuthoritiesResource Authorities are organizations or individuals who have control over the equipment, facilities, personnel, and budget necessary to accomplish the work. Such authorities include the line management of LBNL, UC, and the DOE, and other public and private institutions. DOE, UC, and LBNL line management are responsible for providing adequate resources to support the execution of the N&S process.
2.3 Customer OrganizationsThe work performed at Lawrence Berkeley National Laboratory is performed for the Department of Energy and the University of California, and for other public and private institutions.
2.4 Responsible OrganizationLawrence Berkeley National Laboratory has direct responsibility, accountability, and authority for performing the work subject to the agreed-upon set of standards.
2.5 Convened GroupThe Convened Group's responsibilities are defined in Process Elements 2 and 3 of Attachment A, the DOE Necessary & Sufficient Process Manual (DOE M 450.3-1). This group also has ownership of this charter document. The Convened Group is responsible for resolving issues that the Identification Team is unable to reach consensus on. This group is a combination of the Executive Team, the Advisory Team, the Process Leader, and the Deputy Process Leader, as defined below.
2.6 Executive Team (ET)The Executive Team's responsibilities, as part of the Convened Group, are defined in Process Elements 2 and 3 of Attachment A. Its role is to provide DOE, UC, and LBNL management input into the N&S process. This Team includes:
- Klaus Berkner -- Deputy Director for Operations, LBNL
- Howard Hatayama -- Director ES&H for Laboratory Administration, UCOP
- Phillip Hill -- Waste Management Division, OAK, DOE
- David C. McGraw -- Director, EH&S Division, LBNL
- Richard H. Nolan -- Director, Berkeley Site Office, DOE
- Philip Roebuck -- Berkeley Site Office, OAK, DOE
2.7 Advisory TeamThe Advisory Team's responsibilities, as part of the Convened Group, are defined in Process Elements 2 and 3 of Attachment A. Its role is to provide advice from person's familiar with the N&S process. This team includes:
- Larry Coulson -- Fermilab Pilot N&S Process Leader, Ass't. Director, FNAL
- DeVaughn Nelson -- ES&H, Office of Energy Research, DOE
- Charles Simkins -- DOE/OAK Alternate Representative to the Department of Energy Standards Committee
- David Short -- DOE Department Standards Committee Member, N&S Initiative developer, LLNL
- Phil Williams -- NTLF Pilot N&S Process Leader, LBNL
2.8 Process LeaderThe Process Leader's responsibilities are defined in Process Elements 1, 2, and 3 of Attachment A. Ben Feinberg, the Operations Head of the Advanced Light Source Center, LBNL, has this responsibility. The Process Leader is a member of all N&S teams and tracks overall costs of the project. Jack Bartley, the Deputy Director of the EH&S Division, LBNL, is the Deputy Process Leader. Charles Simkins, the DOE/OAK Alternate Representative to the Department of Energy Standards Committee, is the advisor to the process leaders.
2.9 Integrated Functional Analysis Team (IFA)An inventory and analysis of the work performed by the Laboratory and the associated hazards will be performed by the IFA. The IFA is charged with following the N&S process. Team members will be of the highest level of expertise to assure a quality analysis. Criteria for selecting the team and its members will be set by the Convened Group. The IFA Team will include members of the Identification Team to ensure sufficient overlap between defining the work and hazards and identifying the set of standards. Comments on the work hazards inventory may be submitted by anyone; any issues will be addressed in the weekly IFA Team meetings.
The IFA will also work with the Laboratory division safety coordinators, division directors and principle investigators (PIs) to verify and understand work processes and associated hazards. The associated responsibilities of the Process Leader and the Convened Group are set out in Process Element 1 of Attachment A.
2.10 Operational and Technical ExpertsOperational Experts are individuals with knowledge and expertise relevant to the work, the site, the facility, and the activities addressed by the necessary and sufficient set of standards.
Technical Experts are individuals with knowledge and expertise relevant to a particular environment, safety and health discipline (for example, industrial hygiene or industrial safety).
2.11 Identification TeamThis group's responsibilities for identifying and confirming the set of standards are defined in Process Elements 3 and 4 of Attachment A. Its membership is determined by the Convened Group. The Identification Team will consist of LBNL representatives, DOE representatives, and other parties and subject matter experts as needed.
The Identification Team will be divided into the Core Team and four Activity Teams. The Core Team will identify the standards and requirements applicable site wide, will minimize duplication among the sets identified by the Activity Teams, and provide a venue for technical issues resolution among the Activity Teams. The Core Team shall consist of the Leaders of the Activity Teams, and includes:
- Jack Bartley -- Core Team Leader
- Alan Jackson -- Accelerator Activity Team Leader
- Ron Pauer -- Environmental Protection Team Leader
- Bert Schleifer -- Facilities and Infrastructure Team Leader
- Phil Williams -- Laboratory Safety Team Leader
- Chester Chang -- Facilities and Infrastructure Team DOE Representative
- James Chwang -- DOE/OAK ES&H Support Coordinator
- Joanne Lorence -- Accelerator Activity Team DOE Representative
- Carl Schwab -- Environmental Protection Team DOE Representative
- Jeff Chung -- Deputy Director, EH&S Division, LBNL
- Tanya Goldman -- Waste Management Division, DOE Representative
- Bruce King -- Industrial Hygiene Team Leader, EH&S Division, LBNL
- Mike Schoonover -- Health Physicist, EH&S Division, LBNL
- Dave Tudor -- Process Hazards Review and NEPA/CEQA Support, EH&S Division, LBNL
- Dean Decker -- Laboratory Safety Team, DOE Representative
- Jack Sims or Jim Johnson -- DSC/LLNL Advisor for N&S Process
The Accelerator & Fixed Radiation Sources Activity Team will identify standards in the areas of radiation protection, including fixed sources, fixed source dosimetry, shielding, radiofrequency safety, high voltage electrical safety, and waste management/minimization unique to accelerators. The Accelerator Activity Team includes:
- Alan Jackson -- Team Leader, Accelerator Group Leader, Advanced Light Source Center, LBNL
- Rob Connelly -- Industrial Hygienist, EH&S Division, LBNL
- Keith Gershon -- Electrical Engineer, EH&S Division, LBNL
- Roger Kloepping -- Health Physicist, EH&S Division, LBNL
- Mark Lasartemay -- Waste Management and Generator Support, EH&S Division, LBNL
- Joanne Lorence -- DOE Berkeley Site Office
- Edwin Njoku -- ESH Division, DOE/OAK
- Peggy McMahan - NSD Researcher, LBNL
The Environmental Protection Team will identify standards in the areas of water protection, including sanitary sewer, surface, and ground water; air protection; monitoring and surveillance; site wide waste management; and NEPA/CEQA. The Environmental Protection Team includes:
- Ron Pauer -- Team Leader, Group Leader, EH&S Division, LBNL
- Carol Kielusiak -- NEPA/CEQA Coordinator, Office of Planning, LBNL
- Carl Schwab -- . ESH Division, DOE
- Tim Wan -- Waste Management, EH&S Division, LBNL
- Tanya Goldman -- Waste Management Division, DOE/OAK
- Peter Persoff -- Earth Science Division Researcher, LBNL
- Stan Terusaki -- Waste Management, LLNL
The Facilities and Infrastructure Team will identify standards in the areas of safety design, construction safety, maintenance, occupational safety (including cranes and hoists and ergonomics), fire and building codes, vehicular and pedestrian traffic, and waste management/minimization associated with construction and design. The Facilities and Infrastructure Team includes:
- Bert Schleifer -- Team Leader, Deputy Facilities Manager, Facilities Division, LBNL
- Chester Chang -- DOE Berkeley Site Office
- Paul Davis -- Industrial Hygienist, EH&S Division, LBNL
- Paul Johnson -- Safety Engineer, EH&S Division, LBNL
- Karl Olson -- Operations, Researcher, LBNL
- Pat Thorson -- Environmental Engineer, Air Quality, EH&S Division, LBNL
- James Chwang -- ESH Division, DOE/OAK
- Steve McConnell -- Safety Engineer, LLNL
- John Bowerman -- Facilities/Operations Researcher, LBNL
The Laboratory Safety Team will identify standards in the areas of occupational safety; chemical hygiene; biohazard/medical safety; radiation protection, including sealed sources and unconfined radioactivity and dosimetry; waste management/minimization associated with laboratories; and local environmental issues, including permits and emission sources. The Laboratory Safety Team includes:
- Phil Williams -- Team Leader, Co-PI NTLF, Structural Biology Divsion, LBNL
- Paul Blodgett -- Industrial Hygienist, EH&S Division, LBNL
- Chris Donahue -- Health Physicist, EH&S Division, LBNL
- Nancy Rothermich --Waste Certification Specialist, EH&S Division, LBNL
- Jack Salazar -- Field Support Department Group Leader, EH&S Division, LBNL
- Dean Decker -- ESH Division, DOE/OAK
- Richard Haddock -- ESH Division, DOE/OAK
- Rick Schwarz - LSD Researcher, LBNL
- Rick Kelly -- Radiation Protection, LLNL
- Michele Sundsmo -- Radiation Protection, LLNL
2.12 Internal Review TeamsThese groups are responsible for reviewing the draft set of N&S standards prior to confirmation. The membership is determined by the Convened Group. The Internal Review Teams will consist of the LBNL Safety Review Committee, and the DOE / OAK ES&H Policy Committee.
2.13 Confirmation Team (CT)This group's responsibilities for reviewing and confirming the set of standards are defined in Process Element 4 of Attachment A, as follows:
- Review the information available to and used by the Identification Team.
- Confirm that the set of standards is necessary and sufficient to satisfy the performance expectations and objectives of the work.
- Confirm that implementation of the set of standards will be feasible.
The Confirmation Team's membership is determined by the Convened Group. The Confirmation Team will consist of industry representatives, DOE representatives, and other parties and subject matter experts as needed. The selected members of the Confirmation Team are:
- Dr. Marty Blume -- EH&S and management Systems, Brookhaven Nat'l Laboratory
- Lewis Carroll -- Accelerators (Cyclotrons), Carroll Ramsey Associates
- Albert E. Evans -- Accelerator Safety, DOE
- Dr. Ross W. Fisher -- Construction Safety, Bechtel International
- Bill Freeman -- Accelerator and Fixed Radiation Sources, Fermi
- Jim Jackson -- General Safety, Chemical, Safety Management, LLNL
- Larry Jones -- Quality Assurance, LANL
- Joe Juetten -- Fire Protection and Safety Management, DOE
- Eugene Lau -- Environment, UC San Francisco
- Mike Lichtenstein -- ES&H Program Management, Lichtenstein Associates
- David Michlewicz -- Infrastructure and Safety Management, DOE
- John Neave -- Waste Management and Environmental Protection, DOE
- Ray Schwartz -- Facility Operations and Safety Management, DOE
- John Scott -- Electrical Safety, LLNL
- Leonard Smith -- Radiation, E.I. DuPont de Nemours
- Susan Spencer -- General ES&H and Management Issues, UC Berkeley
- Ara Tahmassian -- Biohazards, U.C. San Francisco
2.14 StakeholdersA Stakeholder is any party other than the Resource Authorities or the Agreement Parties that will be materially affected by, or can materially affect, the outcome of the work, either favorably or unfavorably (for example, representatives of state, local and federal governments; labor unions; and citizens' groups).
3.1 Approval of Standards SetThe Standards Set will be considered approved when it has been agreed to and signed by the following parties in the order listed:
Responsible Organization: Charles V. Shank, Director, LBNL.
Customer Organization: James Turner, Manager, DOE Oakland Operations Office.
3.2 Instructions to the Identification TeamThe Convened Group will issue a charge letter to the Identification Team outlining its expectations for the conduct of this N&S process.
3.3 Scope of Standards SetThe Necessary and Sufficient Set of Standards will focus on standards in the area of Environment, Safety and Health (ES&H). Any decision to include areas beyond ES&H will be made by agreement of the Convened Group and included in the final instructions to the Identification Team.
3.4 Documentation of Standards SetThe specific format and level of detail with which the standards set will be documented will be decided by the Identification Team. The Convened Group expects that this document will include, at a minimum, a listing of the standards and a summary discussion sufficient to communicate an understanding of the relationship between the LBNL work, its associated hazards and the standards selected.
3.5 Review of the Standards SetOnce the Identification Team has completed assembling the set of standards, it will be delivered to the Internal Review Teams for internal review. The Identification Team will address all comments of the Internal Review Teams.
3.6 Confirmation of the Standards Set
When the Identification Team has reached consensus that the set as a whole is adequate, the Convened Group shall present the set to a Confirmation Team for concurrence. This team will be expected to challenge the set and the Identification Team will be called upon to defend it (see Appendix C for details).
The Standards Set will be considered confirmed when the the Identification Team has successfully defended or modified it. At this point, the Convened Group will recommend it for approval.
Upon concurrence of the set by the Identification Team, Convened Group, Confirmation Team and response to stakeholder comments, the set will be presented to the approval parties.
3.7 Interactions between Convened Group and Identification TeamThroughout this process, the Process Leader will act as the liaison between the Identification Team and the Convened Group. The Convened Group and the Core Team will form the Extended Convened Group. Convened Group and Extended Convened Group meetings will be convened as necessary.
3.8 StakeholdersIn order to keep the Identification Team to a workable size, it will not be possible to include stakeholders on the team. Therefore, a meeting will be held with the Stakeholders early in the process to receive suggestions on the actual process being followed at the Berkeley Laboratory. Following the meeting, the work and hazards information will be made available at reading rooms accessible to the public. Once the Work Smart Standards set has been identified, a draft set will be placed in the reading rooms as well. Following confirmation, the set will be sent to the Stakeholders, and a second meeting will be held to present the set and ask for comments.
All Stakeholder comments will be treated as "issues" for the Identification Team, and addressed in the same manner as issues raised by the IFA and the IT teams.
The Standards Set should represent the consensus of the members of the Identification Team. Consensus is arrived at through a negotiation process that identifies the set of standards each team member considers adequate and acceptable. Conflict resolution should be based on the assumption that the Identification Team is composed of "reasonable people." Consequently, if one team member will not commit to support a decision, the team should recognize the team member as a reasonable person and emphatically listen and understand the team member's concerns. Once the team understands the concerns, satisfactory resolution of the concerns may follow. On the other hand, if the concerns are not fully resolved, the team member should recognize the team as "reasonable people," and consider supporting their recommendation as generally acceptable (but perhaps not ideal). If at any point, the Identification Team is unable to reach consensus on any issue, they may bring this issue for resolution to the Convened Group.
3.10 Contract ModificationThe approved standard set will replace the EH&S Orders in Appendix G of LBNL's contract effective the date of approval.