flagflagChapter 9


Approved by Tonya Petty
Revised 03/17

9.1 Policy
9.2 Scope
9.3 Applicability
9.4 Exceptions
9.5 Roles and Responsibilities
9.6 Definitions
9.7 Required Work Processes

Work Process A. Analyze Hazards - All Hazards Planning Basis
Work Process B. Define Scope of Work – Program Administration
Work Process C. Establish Controls – Identify Resources
Work Process D. Implement Controls - Training and Drills
Work Process E. Perform Work - Emergency Response and Recovery
Work Process F. Continuous Improvement - Readiness Assurance
9.8 Source Requirements
9.9 Reference Documents

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9.1 Policy

Lawrence Berkeley National Laboratory’s Emergency Management Program maintains a comprehensive emergency management system based on an all-hazards approach that is designed to protect the health and safety of laboratory workers and the public from hazards associated with Laboratory operations. The Emergency Management Program also works to prevent damage to the environment, protect Laboratory assets, and ensure the essential functions of the Laboratory can continue.

9.2 Scope

This program provides requirements and guidance related to LBNL’s Emergency Management Program in accordance with DOE Order 151.1D, Comprehensive Emergency Management System, which includes emergency planning, preparedness, mitigation, response, reconstitution/recovery, and readiness assurance. This program also integrates DOE O 150.1A to provide the continued performance and/or recovery of essential functions.

9.3 Applicability

This program applies to all Laboratory employees, affiliates, and contractors.

9.4 Exceptions


9.5 Roles and Responsibilities



Laboratory Director

  • Approves the Comprehensive Emergency Management Plan and supports lab-wide emergency management initiatives
  • Approves the Continuity Program Plan
  • Approves protective actions for Berkeley Lab and communicates these as mandatory actions to Berkeley Lab personnel.
  • Supports divisional participation in emergency management and continuity requirements
  • Supports a safety culture at the Laboratory through approval of and mandatory implementation of protective actions during emergencies
  • Identifies key personnel at the management level


  • Assign individuals to the Emergency Response Organization (ERO), as necessary
  • Support employee involvement in training, drills, and exercises
  • Support employee participation in the Emergency Management Team (EMT), Building Emergency Team (BET), Community Emergency Response Team (CERT), Damage Assessment Team (DAT), and/or Medical Emergency Response Team (MERT)
  • Ensure division and personnel meet Laboratory requirements for employee emergency management and continuity activities
  • Support efforts to maintain Building Emergency Plans for the division based on their respective facilities, which include safe startup and shutdown procedures and identification of essential functions, critical infrastructure, key personnel, and vital records
  • Assist with the identification and implementation of contingency measures for personnel that have disabilities or limitations that could impede protective action implementation
  • Identify essential functions for the division
  • Identify key personnel and develop orders of succession and delegations of authority
  • Identify critical infrastructure and essential/vital records for the performance of essential functions

Protective Services Department

  • Develops the Emergency Management and Continuity Programs
  • Provides emergency management training on hazards and protective actions for laboratory employees
  • Provides drills on protective actions for Lab personnel
  • Participates in off-site interface activities with the local community, county, and state in accordance with the State Emergency Management System (SEMS)
  • Ensures the readiness of Berkeley Lab’s ERO through drills and exercises
  • Provides continuous improvement through evaluations and assessments to ensure issues are identified, corrective actions are implemented, and lessons learned are shared
  • Establishes and maintains the ability to communicate emergency information
  • Provides facilities-level and site-wide drills and exercises
  • Ensures the readiness of the Laboratory’s Emergency Response Organization (ERO)
  • Identifies an Emergency Management Program Administrator and Continuity Manager
  • Provides continuous improvement through evaluations and assessments to ensure issues are identified, corrective actions are implemented, and lessons learned are shared
  • Assembles a team of personnel to identify contingency measures for personnel that have disabilities or limitations that could impede protective action implementation
Emergency Response Organization
  • Provide the Laboratory with expertise and experience based on their day-to-day positon or with a specific skill set
  • Attend annual ERO training
  • Participate in one drill, exercise, or real event annually
  • Agree to cover assigned duties as identified in the Comprehensive Emergency Management Plan, position-specific job aid, and duty roster

Building Emergency Teams (BETs)

  • Members are Berkeley Lab employees who “live” in the building of assignment and provide building-specific knowledge and information to Protective Services.
  • Assist with the implementation of protective actions of building occupants
  • Conduct personnel accountability once occupants are evacuated or sheltered and communicate necessary information to the Emergency Management Team
  • Attend necessary training, coordinate protective action drills, and assist with developing Building Emergency Plans
Damage Assessment Teams
  • Attends training and drills to become certified for DAT inspections and evaluations of buildings, bridges, roadways, and utility systems after an emergency has affected Berkeley Lab
Emergency Management Team (EMT)
  • Attends necessary training and participates in one drill, exercise, or real event every fiscal year
  • Provides contact information and remains fit-for-duty when on call
  • Responds to the Emergency Operations Center (EOC) during an emergency to provide strategic guidance and support the Incident Command Team and first responders
  • Additional functional positions may be activated as the incident evolves
Medical Emergency Response Team
  • Certified as an Emergency Medical Technician — Basic through the State of California
  • Participates in drills and exercises, providing basic medical care, patient triage, and patient stabilization
Supervisors and Managers
  • Approve personnel’s participation in disaster assistance teams
  • Provide personnel to serve as BETs for all occupied buildings
  • Maintain personnel accountability of employees within their purview
  • Establish a mechanism to communicate with employees during an emergency or during Lab shutdown
  • Assist with the identification and implementation of contingency measures for personnel that have disabilities or limitations that could impede protective action implementation


  • Participate in required training, drills, and exercises
  • Implement protective actions as needed and as communicated
  • Assist co-workers and colleagues with building a prepared and resilient community
  • Serves on ERO as a BET, CERT, DAT, EMT, or MERT member
  • Self-identify any disabilities or limitations that could impeded their ability to implement protective actions


9.6  Definitions

 Refer to EM-TBLE-001, Emergency Management Dictionary

9.7 Required Work Processes

Work Process A. Analyze Hazards - All Hazards Planning Basis
Work Process B. Define Scope of Work – Program Administration
Work Process C. Establish Controls – Identify Resources
Work Process D. Implement Controls - Training and Drills
Work Process E. Perform Work - Emergency Response and Recovery
Work Process F. Continuous Improvement - Readiness Assurance


General Flow of the Emergency Management Program

Figure 1 - EM Flowchart

Work Process A. Analyze Hazards - All Hazards Planning Basis

The model shown above (a slightly modified version of the Integrated Safety Management model) demonstrates the Emergency Management Program cycle of analysis of hazards prior to defining the scope of work. The Department of Energy requires DOE sites to operate under an Operational Emergency Core Program or expand to an Operational Emergency Hazardous Materials Program, as needed per the analysis of hazards. The full extent and scope of work is determined based on this hazards analysis, referred to as the Technical Planning Basis (TPB).

Initially, all sites at a minimum consist of an Operational Emergency Core Program, which is an all-hazards planning basis and provides the framework for response to serious events involving potential impacts to health and safety, the environment, safeguards, and security.  Should the all-hazards planning basis reveal the potential for releases of specific hazardous materials, the all-hazards planning ramps up additional planning to identify and mitigate potential consequences. The all-hazards planning basis includes an Emergency Planning Hazards Survey (EPHS).  The EPHS identifies specific concerns (potential events and conditions and the impacts of such emergencies) that need to be planned for and addressed. At a minimum, the Emergency Management Program will plan for:

If it is determined that significant quantities of hazardous materials are on site, the technological hazards are further analyzed and documented in the Bounding Hazards Analysis and Emergency Planning Hazards Assessment (EPHAs). This is the formal incorporation or designation of an Operational Emergency Hazardous Materials Program, which requires evaluation for the potential to generate a “classifiable emergency.” Classifiable emergencies occur when hazardous materials are released and cause a serious airborne health hazard at or beyond 30 meters from the point of release, affecting Lab employees and potentially the public.

Such materials are present at LBNL and therefore the development of additional emergency planning efforts is required. These efforts are outlined in Emergency Planning Hazards Assessment (EPHAs), Emergency Action Levels (EALs), and identification of Emergency Planning Zones (EPZs), as well as a site-wide EPZ. The EPHAs are an emergency planning tool that support rapid event recognition, categorization, and classification so that prompt mitigating and protective actions can be taken to reduce or eliminate consequences. 

EALs are a set of decision criteria with pre-approved determinations for actions that address generic types of emergency conditions and aid in identifying, categorizing, and classifying the emergency event, directing on-site protective actions, and recommending protective actions to off-site agencies and jurisdictions within the EPZ. The EPZ is the geographic area identified in the EPHAs that may be impacted by a hazardous materials release at the laboratory and could result in serious health consequences.

The EPZ is the area where pre-planned protective action implementation strategies are focused with all involved jurisdictions for hazardous materials events (see Figure 2 below). Additional planning is facilitated through the Emergency Management Program with the various off-site agencies that may be impacted by this type of event, including invitations to participate in various training, drills, and exercises conducted at the Lab. These efforts reduce the potential health and safety impacts from events involving hazardous materials via timely communication of the event and implementation of the appropriate protective actions.

Figure 2 - EPZ

Although the Emergency Director has authority to implement protective actions for the LBNL site, protective actions for specific jurisdictions can only be recommended. As mentioned, the goal of this additional analysis and planning is to reduce or minimize the impact to on-site personnel and public health in the event of an Operational Emergency.  For more information on protective actions, refer to EM-PLAN-009.

The hazards and potential consequences identified in the EPHS and EPHAs (i.e., Technical Planning Basis) provide the foundation for the Emergency Management Program and determine the resources necessary for mitigation and response to Operational Emergencies.  For more information on the Technical Planning Basis, refer to EM-PLAN-005. During the hazard analysis, in efforts to integrate continuity of operations into the Emergency Management Program framework, essential activities pertaining to continuity will be identified, as will critical infrastructureand key personnel.

Another hazard to the Laboratory is the inability to conduct business. The primary mission of the Laboratory is research in the areas of computing, physical sciences, biosciences, environmental and earth science, energy technologies, and energy sciences.  Research is often funded by external organizations under what is known as Work for Others (DOE O 481.1D, Strategic Partnership Projects). The Continuity Program, which operates under the Emergency Management Program, encompasses the identification of research activities that are deemed essential to the business.

Once research is identified by the owning division, a prioritization or ranking occurs based on an analysis or assessment of the risk to that function. Risks will be based on four criteria to prioritize:

Once research has been identified as an essential function, the acceptance, avoidance, or controlling of risk will determine the acceptable level of protection. This process will consider associated costs and benefits for any planned, mitigating, or compensatory actions. Research projects will be maintained in a database with safe startup and shutdown or safe and stable states documented in Building Emergency Plans.

Work Process B. Define Scope of Work - Program Administration

This chapter outlines the elements for effective implementation, organizational management, and administrative control of the Emergency Management Program by establishing and maintaining authorities and resources necessary to plan, develop, implement, and maintain a viable, integrated, and coordinated program. This program is subject to DOE O 151.1D and requires that an individual be designated to administer and oversee all elements of the program. This individual shall brief senior management; develop and maintain the emergency plan; develop the annual Emergency Readiness Assurance Plan (ERAP); allocate budget, funding, and resources; oversee the development and conduct of the various programs (training and drills program and readiness assurance program); maintain off-site interface; and approve the suite of emergency management documents necessary for an effective program.

The various components and framework of the Emergency Management Program are outlined in a host of plans, procedures, policies, job aids, and records, among other documents that capture and delineate the necessary controls. Procedures help to ensure an efficient and effective response to emergencies at LBNL. Figure 3 outlines the various documents and approvals for the Emergency Management Program.

Figure 3 – Document Hierarchy

Work Process C. Establish Controls - Identify Resources

After plans and procedures are developed outlining the program’s operations, the resources must be identified. Resources are based on the hazards and potential consequences and consist of equipment, facilities, and personnel necessary for emergency response. This section will outline the resources necessary for the LBNL Operational Emergency Hazardous Materials Program.

The Laboratory strives to be as self-sufficient as possible in handling on-site emergency situations.  Facilities, equipment, and supplies that are adequate to support emergency response are available, operable, and maintained to meet the needs determined by the EPHS and EPHAs. Emergency facilities includes the following:

Facilities that serve in various capacities during an emergency situation are discussed in detail and can be found in EM-PLAN-001.

Emergency equipment and supplies must be readily available and operable to meet the credible emergency hazards that are identified in the EPHS. Several organizations maintain equipment that can be used in the event of an emergency.  Each organization is responsible for periodic inspections, operational checks, calibration, preventive maintenance, restocking, and testing of equipment and supplies.  Equipment available and maintained at the Laboratory that can be used to mitigate an Operational Emergency include:

A detailed list of equipment available during an emergency is maintained in EM-MANL-001.

The facilities that serve in various capacities during an emergency situation are discussed in the following sections.

The Emergency Response Organization (ERO) is a structured organization with overall responsibility for initial and ongoing emergency response and mitigation for events at LBNL. The ERO has the responsibility for maintaining effective control of an event/incident and is comprised of three teams: the Incident Command Team (ICT), which handles the tactical response for emergencies; the Emergency Management Team (EMT), which handles strategic aspects of the site response; and the Emergency Oversight Team (EOT), which provides DOE oversight. There are a host of functional areas and personnel represented on the ERO (see Figure 4).

Figure 4 - ERO

LBNL has selected individuals for the ERO based on experience and daily workplace responsibilities. Once selected, personnel are trained and/or qualified and placed on a schedule for timely recall and effective performance of ERO functions.  If necessary, the ERO can integrate emergency response activities with those of local agencies and organizations that may provide on-site response services, which is consistent with the National Incident Management System (NIMS). For detailed information on the ERO, please refer to EM-PLAN-001.

Work Process D. Implement Controls - Training and Drills

The goal of the Emergency Management Training Program is to assure that personnel are prepared to respond to, manage, mitigate, and recover from emergencies involving the hazards associated with LBNL facilities and operations.  A comprehensive, coordinated, and systematic training program has been established and documented to accomplish the emergency management training goals. The program includes general training that is provided (for all LBNL personnel, subcontractors, and visitors) to identify the hazards and protective actions personnel are to implement.

Training also applies to emergency response personnel and organizations expected to respond to on-site emergencies. Some ERO members are required to complete certain National Incident Management System (NIMS)/Incident Command System (ICS) courses, as necessitated by their ERO position. In some cases, state certification/qualification is used. General training and site familiarity is also provided to off-site responders on hazards and specific response actions if they are expected to respond to an emergency at LBNL. 

Drills build upon training and maintain employee and ERO member confidence, knowledge, and understanding of personal roles and responsibilities during an emergency. Drills provide supervised, hands-on training and validate not only individual actions, but integrated and collective emergency response actions. For more information on training and drills, please refer to EM-PLAN-006.

Work Process E. Perform Work - Emergency Response and Recovery

Emergency Response and Recovery are the ultimate goals in which life safety is maximized and damage to the environment or Laboratory assets is minimized. This requires training, qualification, notification, and protocol for all types of events, from medical situations to Operational Emergencies. Protective Services uses an array of emergency equipment, supplies, facilities, and personnel for emergency response as noted in Work Process C. Each responding organization has capabilities and controls documented in a host of plans and procedures. The response for some personnel is to implement protective actions, such as evacuate or shelter-in-place. Others, such as Building Emergency Team (BET) Leads, must assist with protective action implementation, conduct personnel accountability, and provide crowd control at Emergency Assembly Areas while the Fire Department responds to fires, medical calls, and hazardous material incidents while the Security Force responds to security events such as workplace violence or theft.

Fire and Security are operated through contracts for the Laboratory and are trained in accordance with state requirements and certification processes and respond to daily emergencies and events. Protective Services personnel are identified as members of the EMT and would activate the EOC if necessary. The EMT would also provide notification to local, state, and federal authorities and request mutual aid from off-site agencies if necessary.

Regardless of the responders needed during an emergency, the overarching goal is to minimize the impact and consequences to LBNL by:

The Emergency Management Program plans and prepares the resources so that effective emergency responsecan occur through efficient operations and integration of the necessary response assets. In order to accomplish this, the following emergency response system has been developed.

Figure 5– Emergency Response System

Due to the varying levels of potential emergencies the Laboratory might experience, a graded approach has been developed for the recall of personnel listed in the Emergency Response System. The activations start with day-to-day operations and monitoring, and progress up to an Operational Emergency.

Figure 6 – Activation Levels

Should a regional disaster impact the entire Laboratory, disaster assistance teams have been established. Community Emergency Response Team (CERT) members assist emergency responders for hazards that may impact LBNL in basic disaster response skills, such as crowd control, shelter operations, basic fire suppression, light search and rescue, victim transport, basic medical assessments, and triage. DAT members perform assessments to designate facilities as safe, restricted, or unsafe after earthquake, fire, wind, and flood events.  To this end, DAT members inspect LBNL buildings, bridges, roads, utilities, pump stations, tanks, and water/wastewater treatment facilities. DAT members will also make recommendations for locations of shelters, medical triage areas, and emergency support facilities. MERT members are trained and equipped to oversee medical triage areas, provide basic medical care, patient triage, and patient stabilization. Members of the MERT are trained at the Emergency Medical Technician or Paramedic levels and certified by the State of California.

Recovery and reconstitution are the final phases of the emergency management cycle and consist of the actions taken to return the facility to normal operation after it has been brought to a stable or shutdown condition. Recovery continues until the affected facility and any affected areas meet predetermined criteria for the resumption of normal operation or use.  Short-term recovery returns vital life support systems to minimum operating standards.  Long-term recovery from a disaster may go on for months or even years until the entire disaster area is completely redeveloped, either as it was in the past or for an entirely new purpose.

Recovery is initiated during the time of the emergency itself, and involves personnel of the ERO. Recovery also requires coordination among appropriate federal, state, and local agencies/organizations and the affected populace. Recovery and reconstitution also include provisions for investigation of the root cause of the emergency and the development of corrective action plans to prevent recurrence, as noted in Work Process F.

Work Process F. Provide Continuous Improvement - Readiness Assurance

The purpose of the Readiness Assurance Program is to assure controls are implemented in accordance with the requirements of the Emergency Management Program. A Readiness Assurance Program serves to verify and validate the readiness and effectiveness of an Emergency Management Program on a programmatic and performance level while promoting a culture of continuous improvement. The Readiness Assurance Program consists of three primary elements:

All emergency management functions and activities are evaluated regularly by the program and periodically by independent/external parties. The evaluations are focused on areas that need improvement. The improvement program must ensure that corrective actions are rigorously developed and implemented, verified and validated; identified problems are corrected; lessons learned are developed; and relevant experience from other sites and industries is incorporated.

Protective Services regularly conducts assessments and exercises for the Emergency Management Program. Assessments may be internal or external, and may include DOE oversight. For more information on readiness assurance, refer to EM-PLAN-008. Exercises are formal, evaluated demonstrations of the integrated response capabilities of the Emergency Management Program, including the ERO. Protective Services plans, coordinates, and conducts evaluated tabletop, functional, and full-scale exercises annually based on a five-year matrix that rotates through scenarios. Detailed information on exercises can be found in EM-PLAN-007.

After any assessment or exercise, the Emergency Management Program develops an After Action Report (AAR) that outlines the successful completion of exercise objectives and identifies areas for future improvement. The AAR is a critical element to applying the concept of continuous improvement to the Emergency Management Program. For real events, a Final Report is developed in accordance with DOE Order 232.2.

The AAR or Final Report captures issues, improvement opportunities, as well as strengths. Issues undergo a causal analysis process to identify root causes, contributing factors, and corrective actions. Corrective actions are formally documented in a Corrective Action Plan and entered into the LBNL Corrective Action Tracking System (CATS). Lessons learned may be developed if the strength is deemed a “good practice” or an innovative approach that would be worth sharing in order to promote repeat application. The lessons learned may also stem from an adverse practice or experience that is captured and shared to avoid recurrence. For more information on lessons learned, refer to DOE Order 210.2A and EM-PLAN-007.

9.8   Source Requirements

Other Driving Requirements

• California Code of Regulations, Title 19, Division 2, Chapter 1 – Standardized Emergency Management System
• Occupational Safety and Health Administration requirements for employee evacuation plans (29 CFR 1910.38) and notification systems (29 CFR 1910.165)
• Federal property management regulations for occupant emergency programs (41 CFR 102-74.235 to 102-74.260) and accident and fire prevention (41 CFR 102-74-360)
• Federal Emergency Management Agency requirements for emergency operations plans for state and local governments (44 CFR 302) that address similar hazards
• Environmental Protection Agency requirements implementing the Clean Water Act through the National Pollution Discharge Elimination System (40 CFR 104 through 129). (Of particular note are requirements for contingency planning for oil spills through the 40 CFR 112 series, which mandates preparation of Spill Prevention Control and Countermeasure Plans)
• Environmental Protection Agency requirements implementing the Comprehensive Environmental Response, Compensation, and Liability Act, embodied in the 40 CFR 300 series, including Title III, the Emergency Planning and Community Right-to-Know Act, embodied at 40 CFR 355
• Department of Transportation requirements for emergency response information (49 CFR 172.600 series) and hazardous materials training (49 CFR 172.700 series)
• National Incident Management System, U.S. Department of Homeland Security, December 2008

9.9  Reference Documents


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