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DOE Corporate Safety Performance Indicators

ISM Best Practices WorkshopPatrice Bubar

Office of Corporate Safety Analysis

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What is the basis for DOE to utilize Corporate Safety Performance Indicators?

A review of industry practices shows that successful industries use corporate indicators. They are also using them as management tools to reward good performance. Businesses know what business lines they manage and therefore know what they have to control and measure. This includes operations and safety.DOE can do this as well but must overcome some complexities.

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Proposal for Consideration

The Department would benefit at a site level and corporately from having a more predictable set of corporate safety indicators Define a base set of “Unacceptable Outcomes” as Corporate Safety Performance IndicatorsProgress towards avoiding these outcomes can be measured by using a predictable set of leading indicatorsPredictability not only benefits DOE management but aids its contractors in meeting its customer’s needs. (While this meets the Department’s needs overall, it also fulfills the requirements of DOE P 450.7)

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“Unacceptable Outcomes”

Those events that must be avoided.

DOE Corporate safety performance is defined in terms of the DOE’s ability to avoid such outcomes.

Poor performance in preventing these outcomes would likely indicate serious systemic failures and impact the Department’s success.

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Proposed “Unacceptable Outcomes”

Significant Offsite Loss of Control of Radiological or Contaminated Material Significant Offsite Environmental or Public Impact (non-radiological)Inadvertent CriticalityDeaths/Serious InjuriesSerious Radiation or IH Exposure to WorkersSerious Unplanned Fire or Explosion

Loss of Control of SNMLoss of Control of Critical/Sensitive InformationMission Failures

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Reporting Results

Status Report A one point determination (quarterly) of

overall performance against an Unacceptable Outcome. Performance is expressed in terms of “Green (Good)”, “Yellow (Average)” and “Red (Poor)”.

Trend Report A measure of the quarterly change in

performance compared over a rolling 24 month period. Performance is expressed in terms of “Acceptable Trend” and “Unfavorable Trend”.

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Corporate Indicator Process

Normalize

•Hours worked•Rates of occurrence•Number of events

NormalizedLeading Indicator

WeightingFactor

• Relevance of Indicator to outcome

• Size of data set• Quality and depth

of data

TotalResult

Weighted Normalized

Events x

Number of events

Score ofLeading Indicator

Unacceptable Outcome

LeadingIndicators

Establish performance, benchmarked against

• 2 yrs. DOE Experience• commercial industry• management expectations

Sum of allscored

LeadingIndicators

OthersDeaths and

Serious Injuries

InadvertentCriticality

SignificantOffsite Loss ofCont. of Rad

Site A GGYGGY

Site B YYGGGG

Site C GGYGGG

Site D GRGGYG

Site E GYGGRY

Others YGYGYG

SignificantOffsite Env.Or Public

Imp.

Unacceptable Outcomes

Site

s

Serious Rad or IH Exposure

To WorkersLegend:

Acceptable Trend

Unfavorable Trend

Significant Weakness Requires Immediate Attention

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Path Forward

Proposal for Corporate Indicators to be discussed with ISM Champions at September Meeting.

Concept being tested with actual results (from earlier quarters) to determine it’s predictive capability.

Begin reporting in 1st Quarter FY07.

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Appendix

LEADING INDICATORS

Draft indicators are being reviewed against data availability, amount, accessibility,

quality and relevancy criteria

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Initial Data Sources for Leading Indicators

Report-Type Number in 2004-2005 Comment

ORPS 3528 reports Most real time. Initial reports may not be complete because of 48 hour reporting criteria. Numerous searchable fields.

CAIRS 4348 total recordable cases250 reporting entities

Each entity reports quarterly, maybe multiple entities per site. Includes normalized TRC and DART data and narrative incident reports

REMS 101 reporting entities Each entity reports individual exposure data annually. CAIRS data is used to normalize and ORPS data is used to correlate significant events.

Accident Investigations 13 reports (5 type-A, 8 type-B) Very detailed information for specific major events. Death or serious injury is the most common subject of an AI. Contamination incidents and fires have also been investigated. “Type-B like” investigations have been preformed for some incidents and those reports may be available.

SSA ES&H Evaluations

17 reports (several in two volumes) Very detailed assessments at a site or program level

PAAA 17 Enforcement actions10 Enforcement letters

Formal notifications of results of PAAA investigations with either fines or forbearance.

NTS 451 reports Includes site self disclosures and staff identified issues.

DNFSB Weekly Staff reports (7 sites) Staff Issue reports (35 @ 9 sites)Technical reports (3 complex wide)

DNFSB provides real time (weekly reports) and issue oriented technical reports for sites. Complex wide technical issue reports are issued by the Board.

Other Environmental Annual ReportsBeryllium Registry

Potential sources of confirmatory information. Annual reports may not be timely. Beryllium Registry is relatively new.

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Precursors (Leading Indicators) for “Significant Offsite Loss of Control of

Radiological and Contaminated Material”

Normalization Source Where Is It ReasonablePerformance Measures Factor Data Comes From and Relevant?Offsite Loss of Control of * ORPS Group 6A(1- 3)

Radioactive Materials or Spread Work Hours & 6B(1) Yes of Contamination Keywords: 2A, 9B

Transportation Incidents involving *

Radiological and Contaminated Number per Year ORPS Group 8(1- 4) Yes Material Keywords: 10A, 10D, 10E

Events Related to Excessed * Number per Year ORPS Group N/A Yes

Equipment Keywords: 11K

Onsite Loss of Control of Radioactive Materials or Spread ORPS Group 6A(2- 3) of Contamination Work Hours & 6B(2- 4) Yes

Keywords: 2A, 6B, 9B

Personnel Radiation Exposure ORPS Group 6C(1- 4) and/or Contamination Work Hours & 6D(1- 3) Yes

Keywords: 6A, 6C, 6F, 6G

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Precursors (Leading Indicators) for “Significant Offsite Environmental or Public Impact (non-radiological)”

Normalization Source Where Is It ReasonablePerformance Measures Factor Data Comes From and Relevant?

♦ OSHA Reportable Exposures * Work Hours ORPS Group 2A(4, 5) YesKeywords: 8C

Transportation Incidents involving * Hazardous Material (Non-Rad) Number per Year ORPS Group 8(1- 4) Yes

Keywords: 10A, 10E

Noncompliance Notification * Number per Year ORPS Group 9(1, 2) Yes Keywords: 2C, 10D

Onsite or Offsite Reportable Environmental Release Number per Year ORPS Group 5A(1- 4) Yes

Keywords: 2A, 2E

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Precursors (Leading Indicators) for

“Inadvertent Criticality”

Normalization Source Where Is It Reasonable Performance Measures Factor Data Comes From and Relevant?

Loss of Criticality Control Events * Number per Year ORPS Group 3C(1, 2) Yes

Keywords: 1J

TSR Violations Related to Criticality * Number per Year ORPS Group 3A(1- 3) Yes

Keywords: 1J, 4B, 12L

♦ Inadvertent Transfer Number per Year ORPS Group 4B(5) Yes

Keywords: 1E

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Precursors (Leading Indicators) for

“Deaths/Serious Injuries”

Normalization Source Where Is It ReasonablePerformance Measures Factor Data Comes From and Relevant?

Deaths due to DOE Operations * N/A Accident Investigations ORPS Group 2A(1) Yes

Keywords: 8E

Serious Injuries or Exposures Accident Investigations(Individuals & Multiple Persons) * Work Hours ORPS Group 2A(2- 6) Yes

Keywords: 8(A-D)CAIRS

Violations of Hazardous Energy Control Process (electrical and/or * Work Hours ORPS Group 2C(1, 2)

mechanical) and Electrical Keywords: 1(K, L, M ) YesSafety 8(A, J), 12(C & I)

Near Misses Work Hours ORPS Group 10(3) Yes Keywords: 12K, 8J, 8K __

TRC & DART (with Filter) Work Hours CAIRS Data Yes _____________

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Precursors (Leading Indicators) for “Serious Radiation or IH Exposure”

Normalization Source Where Is It Reasonable

Performance Measures Factor Data Comes From and Relevant?

OSHA Reportable Exposures * Work Hours ORPS Group 2A(4, 5) Yes

Keywords: 8C

CAIRS

Personnel Radiation Exposure ORPS Group 6C(1- 4) and/or Contamination * Work Hours & 6D(1-3) Yes

Keywords: 6A, 6C, 6F, 6G

Ventilation SystemEquipment Failures Number per Year Keywords: 5C, 5G Yes

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Precursors (Leading Indicators) for “Fire or Explosion”

Normalization Source Where Is It Reasonable

Performance Measures Factor Data Comes From and Relevant?

Explosion Number per Year ORPS Group 2B(1- 3), 7 Yes Keywords: 3C, 3D, 11A, 11C

Onsite Fires Number per Year ORPS Group 2B(1- 3) Yes Keywords: 3(A-E)

Offsite Fires Number per Year ORPS Group 2B(4) Yes Keywords: 3C