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Chapter 33 Table of Contents. View the entire chapter in a PDF format. Please use the pdf for printing.
Requirements:
General (5.1)
Line Management Walkthroughs (5.1.1)
Purpose
Assess work behavior, assess adherence to mitigation measures identified in worker JHAMs, and reinforce safe work behavior while engaging staff in meaningful discussions about workplace safety
Specific Responsibilities
Line Responsibilities
As further described in directorate ISEMS plans (see Section 3.6, "Feedback and Continuous Improvement"):
- Conduct the walkthroughs. As the worker-supervisor relationship is especially important in promoting safe work behavior, the front-line supervisor should be the most involved manager in the walkthrough program. However, it is no less important that senior management be involved to show commitment to safety from the highest levels of SLAC.
- Consider inviting a representative authorized by employees (Bargaining Unit) for the purpose of aiding the inspection when applicable. When no authorized employee is available, the line manager should consult, as appropriate, with employees in the area on matters of worker safety and health.
- Record the results in the SMART system.
- Summarize results in the annual directorate ES&H self-assessment report (see
Section 5.1.4, “Annual Directorate ES&H Self-assessments
and Report”)
ES&H Division Responsibilities
ES&HCC Responsibilities
- Produce listings of which directorate owns or is the primary owner for all inside and outside space at SLAC via the Outdoor Area Report
Office of Assurance Responsibilities
- Work with ES&H to create guidelines for walkthroughs
- Validate results of line self-assessments
- Work with the ES&HCC staff person to schedule presentation of annual self-assessment reports by directorates
Participants
- Line management as described in directorate-level ISEMS plans
- Workers present in the workplace
Frequency
The line will conduct walkthroughs of all occupied workspaces at least annually between October 1 and September 30 of every year. Frequency above the minimum is at management discretion and should be based on the potential for changing work scope/hazards and the need to have more frequent dialogue with staff. The directorates may choose to combine management walkthroughs with annual workspace compliance assessments described in Section Error! Reference source not found..
Reports
All management walkthroughs are to be appropriately documented. Management walkthroughs will use the
Line Management Self-Assessment: Walkthrough Checklist
[pdf] or equivalent form and deficiencies not corrected on the spot are to be recorded in the SMART system and reported to CATS. Management walkthroughs where no deficiencies are recorded must still be appropriately documented in the SMART system.
Line Management-led ES&H Workspace Compliance Assessments (5.1.2)
Purpose
Line management must assess how well its workspaces and outside areas adhere to all ES&H standards that are typically evaluated in external compliance inspections, especially worker safety and health standards now enforceable by the DOE SSO under Title 10,
Code of Federal Regulations, "Energy", Part 851, "Worker Safety and Health Program" (10 CFR 851).
Specific Responsibilities
Line Responsibilities
As further described in directorate ISEMS plans (Section 3.6, "Feedback and Continuous Improvement"):
- Clarify which line management elements (supervisors, higher level managers, facility managers, area managers) will conduct the workspace compliance assessments
- Consider inviting a representative authorized by employees (Bargaining Unit) during the physical inspection of the workplace (workspace compliance assessments) for the purpose of aiding the inspection when applicable. When no authorized employee is available, the line manager should consult, as appropriate, with employees in the area on matters of worker safety and health.
- Conduct workspace compliance assessments (see
Line Management Self-Assessment: Workspace Compliance Assessment Checklist
[pdf]) or management assessments as appropriate
- Maintain compliance checklists
- Record the results in the SMART system
- Summarize results in the annual directorate ES&H self-assessment report (see Section Error! Reference source not found.)
ES&H Division Responsibilities
- Provide training
- Accompany the line as requested
ES&HCC Responsibilities
- Produce listings of which directorate owns or is the primary owner for all inside and outside space at SLAC via the Outdoor Area Report
Office of Assurance Responsibilities
- Validate results of line self-assessments
Participants
Compliance assessment teams will consist of
- Line management representatives and usually the division or department-level ES&H coordinator
- A representative authorized by employees (see
SLAC Worker Safety and Health Program Description)
- ES&H Division subject matter experts (optional)
- Safety officers where appropriate (optional)
- A representative from the DOE SSO (optional)
- Building managers (optional)
Frequency
All workspaces and outside areas are to have a line management ES&H compliance assessment once each year or, as an alternative, a management assessment (with the approval of the Office of Assurance) that more clearly pertains to ES&H issues/hazards in directorate operations (for example, hydrogen furnace management assessment, lockout/tagout management assessment, hoisting and rigging management assessment).
Compliance assessments may be combined with other assessments. For example:
- For compliance assessments of workspaces and outside areas subject to an area hazard analysis (AHA), the assessment may be timed to coincide with the annual AHA validation.
- Directorates may elect to combine workspace/outside area compliance assessments with one of the annual management walkthroughs.
- Where the line and ES&H subject matter experts participate in compliance assessments driven by the
Building Manager Program Manual [pdf], the requirement under
Section 5.1.2, “Line Management-led ES&H Workspace
Compliance Assessments”, is met.
Line managers may also be responsible for additional required self-assessments as applicable, such as the following:
Frequency above the minimum is at the directorate's discretion and should be based on whether or not the spaces are occupied, the hazards and compliance issues that exist, the potential for changing work scope/hazards, and perhaps most important the compliance history of a work process, workspace, or outside area.
Reports
All assessments are to be appropriately documented. Workspace compliance assessments will use the
Line Management Self-Assessment: Workspace Compliance Assessment Checklist
[pdf]. Management assessments approved by the Office of Assurance will follow the report format discussed in the plan. Issues and deficiencies not corrected on the spot are to be recorded in the SMART system and reported to CATS. Assessments where no deficiencies are recorded must still be appropriately documented in CATS.
Line Management Assessment of Work Procedures (5.1.3)
Purpose
Line management must assess how well its own written procedures (standard operating, department, or other procedures), written to standards described in the
SLAC Assurance Program Description
[pdf], adequately implement the five ISM core functions and provide assurances of quality and reliability for the work processes they describe.
Specific Responsibilities
Line Responsibilities
As further described in directorate ISEMS plans (Section 3.6, "Feedback and Continuous Improvement"):
- Clarify which line management elements (supervisors, higher level managers, facility managers, area managers) will conduct the assessments of written procedures
- Record the results in the SMART system
- Summarize results in the annual directorate ES&H self-assessment report (see
Section 5.1.4)
ES&H Division Responsibilities
- Provide training
- Assist the line when requested
Office of Assurance Responsibilities
- Validate results of line self-assessments
Participants
Procedure assessment teams will consist of
- Line management representatives and usually the division or department-level ES&H coordinator
- ES&H Division subject matter experts (optional)
- Safety officers where appropriate (optional)
Frequency
All written procedures and their associated, active work processes are to be assessed once every three years (triennially) at a minimum to ensure they adequately implement the five ISM core functions and assure quality and reliability of the work they address.
- Certain procedures and processes may require more frequent assessments/review based on other requirements, such as safety analysis documents (SADs), which require biannual review, and equipment lockout procedures (ELPs) contained in the
SLAC Lock and Tag Program for the Control of Hazardous Energy
[pdf], which requires annual review.
- Procedures for work processes that have been inactive for more than three years need only be assessed before work under the procedure is once again undertaken.
- Procedures that have been rewritten within two years need not be assessed. The process used to rewrite them should have assured the ISM core functions are adequately implemented and that quality and reliability issues have been satisfied.
Frequency above the minimum is at directorate discretion and should be based on the potential for work processes to change, the level of hazard addressed by the work procedure, the hazards and compliance issues that exist, the potential for changing work scope/hazards, and perhaps most importantly the history of a work process.
Reports
Compliance assessments of work processes and procedures will be documented in the SMART system. Each assessment report will include judgments on how well the procedure implements the five core ISM functions and assures reliability and quality.
Annual Directorate ES&H Self-assessments and Reports (5.1.4)
Purpose
Summary evaluation and report written by the line on ES&H performance and ISEMS implementation within each directorate
Each directorate is to measure its ES&H performance and the effectiveness of its ISEMS implementation by evaluating results of previously described walkthroughs and compliance assessments as well as other forms of assessment described in
Section 1, “Overview”. This assessment and report emphasizes the principles of line management responsibility and accountability for safe work practices, work authorizations, and feedback and improvement.
Participants
Participants are to include line management of the directorate, the directorate ES&H coordinator, invited subject matter experts, and others appointed by the program director.
Frequency
The self-assessment must be done annually. The self-assessment performance period will be October 1 through September 30 and the report is to be issued each year by November 15. However, self-assessment activities should be ongoing throughout the entire performance year.
Reports
The program director will draft a report of the annual self-assessment based on a template designed to be consistent with directorate reports to the ES&HCC (see
Annual Directorate ISEMS Self-assessment Report Template
[doc]). The report provides input to the annual institutional ES&H report. Issues and deficiencies from this self-assessment are to be recorded in CATS. The report will include all assessment data including judgments on the following:
- Effectiveness of ISEMS/ES&H communications by the line as reflected in summaries of staff meetings
- Staff accountability for sound ES&H performance
- Validation of JHAMs, position descriptions, and SLAC training assessments for completeness and relevance
- Percent workspace assessed
- Percent work processes assessed. This is primarily for work processes that, under our new Assurance Program description, are committed to formal written procedures having significant ES&H issues.
continue to Requirements, Roles &
Responsibilities (5.1.5)
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Stanford Linear Accelerator Center, Menlo Park, CA