EXPECTATION

VALIDATION

RATING

DEFINE WORK

E1. Line management regularly communicates ES&H policy, procedures, and lessons learned to all staff. Division staff has clear lines of communication to convey ES&H issues to Berkeley Lab and division management, including evidence of clear policy for all staff to communicate safety concerns. Examples of appropriate communication/policy include:

• Annual all-hands division meeting
• Research procedures and protocols include safety notes, PPE requirements
• Division-wide emails
• Active Division Safety Committee
• Group safety meetings
• Division ES&H web site
• roles and responsibilities detailed in ISM plan

V1.  Is there evidence of ongoing and two-way communication of ES&H between line management and staff?

E2.  Line management provides evidence that division ISM plans and work planning adequately identify and prioritize resources to address programmatic needs and work safely.

IDENTIFY HAZARDS

• project safety review
• workspace safety review
• HEAR databas

V3.  For all division projects and programs, have hazard reviews, including work under formal authorizations (i.e., AHDs, RWAs, SSAs, XRAs) and self-authorized work (i.e., division approval only) been performed within the required review schedule and documented to the division office?  Are hazards appropriately addressed?  Do the reviews cover both new work and modification of existing work?

>85% of hazards reviewed and controls certified: green
  60-85% of hazards reviewed and controls certified: yellow
<60% of hazards reviewed and controls certified: red

E4. Workspaces are inspected and evaluated on a regular basis.

V4. % division workspaces inspected

>85%: green
  60-85%: yellow
<60%: red

CONTROL HAZARDS

E5. Engineering and administrative controls are in place and maintained.

V5. Are fume hoods, biocabinets, interlocks, and glove boxes being certified/checked within the required test schedule? Are required monitors (toxic and flammable gas, stack emission, dosimetry) being calibrated and serviced within the required maintenance schedule or annually?

>85% done on schedule: green
  60-85% done on schedule: yellow
<60% done on schedule: red

E7. Managers and staff are regularly involved in ES&H activities.

V7.  Do line management (including division directors, principal investigators, and senior/mid managers) and staff participate in walkthroughs and other ES&H activities?

Satisfactory: green
Partial: yellow
Marginal: red

PERFORM WORK

E8. Work is performed within the ES&H conditions and requirements specified by Berkeley Lab policies and procedures.

V8a. Work within authorization: % SAA compliance (including MWSAAs, RWCAs)

% Authorization compliance (i.e. RWAs, RWPs, XRAs, AHDs)

# of NCARs

V8b. Injuries and accidents: Is TRC rate under 2.67, or is there evidence of divisional improvement?

Is LWC rate under the DOE contract control level of 1.54, or is there evidence of divisional improvement?

Regulatory driven
>90%: green
  75-90%: yellow
<75%: red

Regulatory driven
>90%: green
  75-90%: yellow
<75%: red

Regulatory driven
>95% or only 1 failure: green
  92-95%: yellow
<92%: red

Regulatory driven
0: greentype
1^a: yellowtype
2^b: red

Contract drivenTRC
>25% below 2.67 or 20% improvement or 1 case/yr: green
TRC <25% below/above 2.67 or 10%
improvement or 2 cases/yr: yellow
TRC >25% above 2.67: red

Contract driven
LWC >25% below 1.54 or 20% improvement or
1 case/yr: green
LWC <25% below/above 1.54 or 10%
improvement or 2 cases/yr: yellow
LWC >25% above 1.54: red

E9. Staff is proficient in performing work safely.

V9a.  % completion of JHQs or equivalent system.



V9b. Based on JHQs or training profiles, % completion rate for required courses.

>85: green
  60-85%: yellow
<60%: red

Contract driven
>90%: green
  80-90%: yellow
<80%: red

E10. Waste minimization performance goals are met or exceeded

V10. Divisions review multiple research or operations processes.  Reviews are documented and , if possible, waste reduction strategies implemented.

Satisfactory: green
Partial: yellow
Marginal: red

FEEDBACK AND IMPROVEMENT

E11.  ES&H deficiencies identified from workspace inspections, self-assessment activities, and external appraisals are corrected in a timely manner.  A downward trend of repeat deficiencies is established.

V11. % completion rates for Levels 1, 2, and 3 LCAT-recorded deficiencies and Self Assessment report opportunities for improvement.

Contract driven
>90%: green
  80-90%: yellow
<80%: red

E12. Division employs mechanisms that use ES&H information and reports to institute appropriate mitigation measures or opportunities for improvement.
Examples include:

• Accident Review Board, SAARs reviewed
• Lessons-learned dissemination and review
• Division Safety Committee recommendations
• Safety Committee minutes communicated
• Improvements to ISM plan

V12a. Does the division actively review ES&H information and reports to mitigate hazards and promote continuous ES&H improvement? 

V12b. Has the division ensured that accident causes and corrective actions are effectively identified on SAARs?

Satisfactory: green
Partial: yellow
Marginal: red

Satisfactory: green
Partial: yellow
Marginal: red