OPERATING PLAN 450.4-1F - National Energy Technology ... Library/Business/Site Support/450_4... · Title: INTEGRATED SAFETY MANAGEMENT SYSTEM PLAN Owner: Steve Curfman, ... NETL is

OPERATING PLAN 450.4-1F

Title: INTEGRATED SAFETY MANAGEMENT SYSTEM PLANOwner: Steve Curfman, ESS&H Division, Office of Institutional and Business OperationsApproving Official: Thomas Wilson, Jr., Director, Office of Institutional and Business Operations

{signature} /s/ Thomas Wilson, Jr.Approval Date: 7/16/10Last ReviewedDate: 7/16/10

Cancellation: Operating Plan 450.4-1E, Integrated Safety Management System Plan

TABLE OF CONTENTS

1. PURPOSE .....................................................................................................................................32. APPLICABILITY .........................................................................................................................33. PLAN ............................................................................................................................................3

a. Executive Summary ..........................................................................................................3b. Component 1: Objective of ISMS ....................................................................................3c. Component 2: Guiding Principles for ISMS ....................................................................6d. Component 3: Core Functions for Integrated ES&H Management .................................7e. Component 4: Integrated ES&H Management Mechanisms .........................................13f. Component 5: Responsibilities for Integrated ES&H Management ..............................14g. Component 6: Implementation of Integrated ES&H Management ................................15

4. RESPONSIBILITIES..................................................................................................................15a. ESS&H Division Director ...............................................................................................15b. Deputy ESS&H Division Director ..................................................................................15c. Safety and Health Team Leader ......................................................................................15d. Line Managers .................................................................................................................15e. Employees .......................................................................................................................16

5. REQUIREMENTS......................................................................................................................166. REFERENCES............................................................................................................................167. DEFINITIONS............................................................................................................................168. REVISION HISTORY ................................................................................................................17

ATTACHMENTS

Attachment 1, NETL ES&H Functions, Responsibilities, and AuthoritiesAttachment 2, Organizational Functions for ES&H Liaison Between NETL and Our Customers

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Operating Plan 450.4-1F, Integrated Safety Management System Plan

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FORMS

There are no forms in this operating plan.

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1. PURPOSE

a. The purpose of this plan is to document the NETL environment, safety, and health(ES&H) activities, functions, responsibilities, and authorities that support the integratedsafety management system (ISMS) and the environment, safety, and health managementsystem (ES&HMS).

2. APPLICABILITY

a. This operating plan applies to all NETL employees, research associates, sites, and visitorsto NETL.

3. PLAN

a. Executive Summary

This integrated safety management plan is intended to support the ISMS and theES&HMS and to define those activities, functions, responsibilities, and authoritiesrequired to maintain those systems. This plan sets forth the principles and goals by whichNETL will accomplish its work so that the public, employees, property, and theenvironment are protected.

The plan was developed to meet the requirements of DOE Policy 450.4, SafetyManagement System Policy, and the Office of Fossil Energy’s (FE) ES&H commitmentthat states that FE will adopt the integrated safety management system as the frameworkfor its Environment, Safety, and Health Management System and related programs. Thisplan is also consistent with FE’s functions, roles, and authorities manual (FRAM). TheDOE Guidance Manual, DOE Guide 450.4-1, was used to prepare this plan.

The plan addresses the following six components:

Component 1: Objective of Integrated Safety Management Component 2: Guiding Principles for Integrated ES&H Management Component 3: Core Functions for Integrated ES&H Management Component 4: Integrated ES&H Management Mechanisms Component 5: Responsibilities for Integrated ES&H Management Component 6: Implementation of Integrated ES&H Management

b. Component 1: Objective of ISMS

NETL is committed to a management systems approach to ensure work is performedsafely and in a manner which protects workers, the public, and the environment. Thisapproach is called the integrated safety management system (ISMS), and the policy forthis approach is contained in DOE Policy 450.4, Safety Management System Policy.ISMS provides a formal, organized process by which NETL plans, performs, assesses,improves, and maintains the safe conduct of work by integrating safety into the work

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process. ISMS is also the basis for NETL’s ES&HMS, which is certified to the ISO14001 and OHSAS 18001 standards. The ISMS champion and ES&HMS representativefor NETL is the deputy director of the Environment, Safety, Security, and Health(ESS&H) Division.

ISMS consists of six components, as shown in Figure 1. The following sections of thisplan explain how NETL implements each of these components. This plan captures thepolicies, roles and responsibilities, processes, and guidelines for implementing ISMS.The Functions, Responsibilities, and Authorities Manual (FRAM), Attachment 1,contains the responsibilities and authorities needed to support the ISMS.

(1) Policy

NETL will achieve environmental, safety, and health quality by proactively,systematically, and fully integrating ES&H considerations into the planning andexecution of all work, so that the mission is successfully accomplished for thesafety and health of the public without detriment to NETL or the environment.

NETL is committed to reducing environmental, safety, and health impacts by:

Complying with all applicable ES&H laws, regulations, and standardsthrough rigorous regulatory compliance programs.

Implementing pollution prevention programs to eliminate or reduce wasteand emissions and accident and incident reduction programs to eliminateor reduce accidents and incidents.

Conserve energy and materials through resource management andrecycling or reuse.

Using safety analysis and review systems to identify, control, and reducesafety and health risks and environmental impacts through engineeringand administrative controls.

NETL will work continually to improve environmental, safety, and health systemswith the goal of improved ES&H performance. Performance will be measuredagainst stated objectives and targets.

NETL will communicate information to employees and seek their involvement inreducing our environmental, safety, and health impacts and communicate ourpolicies to stakeholders and the public.

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Figure 1. Integrated Safety Management System Components

(2) Commitment

NETL implements the above policy by striving to achieve DOE ES&H goals setforth in DOE Policy 450.7. In addition, NETL is committed to achieving theES&H goals developed by the Office of Fossil Energy in the Commitment toEnvironment, Security, Safety, and Health.

(3) Input to Directives and Resource Allocations

NETL will provide input to departmental ES&H policies, orders, guidance, andstrategic decisions that may affect the NETL sites. NETL commits to implementES&H program guidance that will enhance performance at the NETL sites.NETL also commits to provide input to proposed allocations for its ES&HProgram.

Safety ManagementOBJECTIVES

Safety ManagementPRINCIPLES

Safety ManagementFUNCTIONS

Safety ManagementMECHANISMS

Safety ManagementRESPONSIBILITIES

Safety ManagementIMPLEMENTATION

Component 1

Component 2

Component 3

Component 4

Component 5

Component 6

Increasing Level of Complexity

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c. Component 2: Guiding Principles for ISMS

The following are the principles of ISMS by which NETL will operate. By carrying outthese principles, NETL ensures that its ES&HMS meets the objectives and policies statedin Component 1.

(1) Line Management Responsibility for Safety

Line management, from the NETL director down through the management ranks,has the ultimate responsibility for the safety of employees, the public, and theenvironment. This responsibility cannot be delegated.

(2) Clear Roles and Responsibilities

Attachment 1 is a matrix that outlines the general roles and responsibilities for thevarious ES&H functions within NETL. Specific roles and responsibilities arecontained within NETL directives.

(3) Competence Commensurate with Responsibilities

All employees have the required competence, training, equipment, and knowledgeto conduct their work in such a way as to prevent injury to employees, the public,or the environment. NETL continues to improve employee performance throughtraining, professional certifications, advanced education, and practice.

(4) Balanced Priorities

Resources are allocated to address ES&H issues and concerns. ES&H issues arebalanced with overall programmatic needs. However, no operation is everundertaken which endangers employees, the public, or the environment unlessmitigation measures are first identified and implemented to reduce the risk to anacceptable level. The primary process for planning, requesting, and allocatingresources is the departmental budgeting process.

(5) Identification of Safety Standards and Requirements

NETL identifies the requirements needed to operate its facilities safely andmaintains these standards by identifying hazards associated with projects, supportoperations, and facilities and through review of new regulatory and DOEpolicies. The standards are implemented in the following priority: laws,regulations, DOE orders, consensus standards, and best management practices.

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(6) Hazard Controls Tailored to Work Being Performed

The order of protective controls is engineering, administrative, and personalprotective controls. All efforts are made to first provide protection throughengineering controls. When engineering controls are not practical or possible,then administrative controls are used. Finally, personal protective controls areused as a last resort when engineering and administrative controls are not feasible.

(7) Operations Authorization

The safety analysis and review system (SARS), the work control system (WCS),and the work permit system (WPS) ensure that all operations containing hazardsare fully reviewed, appropriate controls are implemented, and formal approval isobtained to begin the operation. The cognizant office director approves theoperations under their control through the SARS.

d. Component 3: Core Functions for Integrated ES&H Management

Five core safety management functions provide the necessary structure for work activitiesto prevent injury to employees or the public or damage to the environment. Thefunctions are part of a continuous cycle and are shown in Figure 2.

(1) Define Scope of Work

(a) Translate Mission into Work

NETL’s mission is to resolve environmental, supply, and reliability issuesassociated with the use of fossil energy. The NETL Executive Boardallocates resources to the work to be accomplished based on technical andpolitical direction from DOE Headquarters and Congress. Projectimplementation plans describe the research and development projects tobe executed, and other pertinent program plans include details ofoperations that support the mission.

(b) Set Expectations

Project requirements flow into R&D contracts for work that is performedoffsite. These projects are overseen by project managers. Onsiterequirements flow down into site support contracts through tasks whichare managed by federal task contracting officers or their representatives.Site support contractors communicate requirements into subcontracts andcreate and maintain ISMS plans which are submitted to NETL forapproval. In addition to the plans previously mentioned, directivesimplement the identified ES&H standards and performance expectations.These documents are available to all NETL employees.

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Figure 2. ISMS Functions

(c) Allocate Resources

Appropriate resources are made available to staff ES&H functions, tomake corrective actions, and to maintain and improve existing programs.The mechanism for allocation captures the resource needs and provides apriority system for use of these resources.

(d) Provide for Integration

Since NETL is a government-owned, government-operated laboratory,ES&H is integrated across all NETL sites, operations, and employees,including contractors. All employees must adhere to NETL ES&Hrequirements, policies, and procedures, regardless of employer. NETLemployees receive the same ES&H training and have access to ES&Hprogram documentation. The ES&H program is seamless across all ofNETL.

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(e) Prioritize Tasks and Allocate Resources

ES&H tasks are prioritized based on the hazards and associated risks ofthe project, support operation, or facility. The hazards and risks areanalyzed through the safety analysis and review system, which alsoprovides for mitigation strategies and controls to ensure that risk ismanaged and maintained at the lowest level possible.

(2) Analyze the Hazards

(a) Identify Hazards

Before any project, support operation, or facility construction ormodification is undertaken, it must undergo a full safety analysis andreview. This review ensures that hazards have been identified andaddressed and that the operation is fully compliant with all identifiedES&H standards. This review is documented in a SARS package that ismaintained throughout the life of the project.

For routine work, such as preventive and corrective maintenanceactivities, the WCS is the primary vehicle for identifying and controllinghazards. In addition, the work permitting system (WPS) also ensures thatparticularly hazardous operations, such as hot work, confined space work,digging activities, or asbestos abatement, are specifically analyzed,controlled, and authorized before beginning the work activity.

(b) Analyze Hazards

The SARS ensures that hazards are analyzed and that controls for projects,support operations, and facilities are identified and implemented. Otherroutine work is controlled through the WCS and WPS, which analyzehazards and ensure that appropriate control measures are in place beforethe work commences.

(c) Categorize Hazards

Unmitigated hazards are categorized through the SARS as to their severityand probability. Mitigation methods to be implemented are documented,along with the resultant risk level. Operations are not permitted tocontinue with unacceptable risks to line management.

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(3) Develop and Implement Hazard Controls

(a) Identify Standards and Requirements

NETL maintains a set of ES&H standards by which ES&H programs aremaintained and audited. The list of standards is maintained through theNETL directives process, with input from SARS processes and theregulatory/DOE requirements review process, by adding standards as newhazards or requirements arise or by removing standards if the hazard orrequirement no longer exists. These standards are implemented throughlocal policies, plans, procedures, and employee training. These standardsare also referred to as the Focused Standards List (FSL).

Exemptions from any approved standard are requested through the ES&Hprogram managers. Exemptions from consensus standards are approved atthe local level. Exemptions from DOE or regulatory requirements areforwarded to DOE-HQ for review and submission to the regulatoryauthority.

(b) Identify Controls to Prevent and Mitigate Hazards

Following the SARS process, which identifies the hazards and theassociated mitigation methods, engineering controls are implementedduring the design and construction of the project or facility. Theadministrative controls and personal protective controls are implementedthrough procedures and training before and during the life of the project oroperation. All efforts are made to control hazards through engineeringcontrols. However, administrative and personal protective controls areimplemented when engineering controls are not feasible.

(c) Establish Safety Controls

The safety envelope is established by the SARS and documented in thepermit application and operating procedures. Approval of the operatingpermit is an approval of this safety envelope. For routine activities, theWCS establishes the safety envelope.

(d) Implement Controls

Line management is responsible for implementing identified controls.Controls are documented in procedures and communicated to employees.Oversight is provided by line management to ensure that the controls arebeing implemented and continue to provide the expected level ofprotection. Internal audits also help to determine if controls are beingfollowed and are effective.

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(4) Perform Work

(a) Confirm Readiness

Prior to startup of any project or operation, the SARS review is approvedby line management. This is documented through a construction,operating (for projects and operations), or use (for facilities) permit orother authorization mechanism. The construction permit is valid as longas the project or facility is under construction. The operating permit isvalid until a significant change to hazard level or hazard control requires amodification to the permit. The use permit is valid as long as the facilitycontinues to be used for the purpose for which it was approved. TheESS&H Division and the Engineering Research Division jointly conductannual assessments of permitted operations to determine if projects areoperating within their safety envelope and scope of authorization. TheSite Operations Division is responsible for oversight of all facility SARSpermits.

For routine work, the WCS is used to document the work, the hazards,and the appropriate protective actions to take. Other uniquely hazardousactivities such as hot work, confined space, asbestos abatement, or leadabatement require the issuance of a work permit.

Line management is responsible for ensuring that operations areconducted within the approved safety envelope.

(b) Perform Work Safely

All employees are responsible to perform work safely and in accordancewith requirements. Line management is responsible for ensuring that theworkers are properly trained, equipment is provided and in good workingorder, operating procedures are correct and available, and that materialsto accomplish the work are appropriate and do not present hazards toemployees.

Employees who are found to consistently disregard ES&H requirementswill be subject to the appropriate disciplinary actions. These proceduresinclude informal reprimands, written reprimands, suspensions, andtermination.

Information regarding suspected criminal activity will be forwarded to theappropriate law enforcement agency for action. NETL will not tolerateintentional disregard for the safety of others and will take necessary actionto prevent harm to employees, the public, or the environment.

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All work conducted on the NETL site for any agency is subject to thesame ES&H requirements consistent with the Integrated SafetyManagement System.

(5) Feedback and Continual Improvement

(a) Collect Feedback Information

Feedback is provided through annual assessments, oversight of theoperation by line management, program assessments, and internal andexternal audits. Changes to standards and processes are made as needed toprovide improved levels of safety. Any operation that is not conformingto requirements is stopped until it is brought into conformance.

NETL also collects ES&H performance indicators. These include ISO14001/OHSAS 18001 metrics, high level institutional ES&H metrics,Office of Institutional and Business Operations metrics, ESS&H Divisionmetrics, and DOE-HQ required metrics.

NETL maintains a Lessons Learned Program that includes a review oflessons from internal and other sources, such as DOE sites, industrialfacilities, and trade publications; applies lessons learned within NETL;and tracks the results of the Lessons Learned Program. NETLcommunicates these lessons to the NETL organization and to DOE.

NETL will report occurrences through the DOE Occurrence Reporting andProcessing System (ORPS) in accordance with DOE directives. NETLwill also report injury and illness information to the DOE ComputerizedAccident and Incident Reporting System (CAIRS) in accordance withDOE directives.

(b) Identify Improvement Opportunities

The information collected is analyzed by the ESS&H Division andreported to NETL senior management and the NETL organization. Iftrends show that the process or system is degrading, improvement plansare developed to bring the process back into conformance with therequirements. Improvement plans are documented, prioritized, andbudgeted through the DOE/FE budget process.

Improvement opportunities are also identified from ISO 14001/OHSAS18001 internal and external audits.

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(c) Make Changes to Improve

ES&H program managers have the responsibility for oversight andimprovement of their specific ES&H programs. ES&H managers haveresponsibility for recommending policy and continual improvementinitiatives.

Workers are involved in the development and implementation of theES&H management system. This includes participation in thedevelopment and implementation of policies, plans, and procedures; workprocess and hazard evaluations; and established feedback and continuousimprovement processes.

(d) Oversight and Enforcement

Line management has the first responsibility for oversight andenforcement of ES&H requirements. This oversight is accomplished inseveral ways: informal reviews of operations, site and facility (informal)walkthroughs, formal inspections and assessments, internal and externalaudits, annual performance appraisals, and other mechanisms deemedappropriate by the responsible line manager. All employees have theauthority to stop operations that are immediately dangerous to the life orhealth of employees or the public or which present potential harm to theenvironment. Only line management has the authority to restartoperations after they are satisfied that the hazard has been addressedsatisfactorily.

Onsite support contractors doing work at an NETL site are subject to thesame ES&H requirements as DOE employees. Assessment of contractorwork performed, including ES&H aspects of that work, is theresponsibility of the contracting officer and the contracting officer’srepresentatives. The contracting officer has the authority andresponsibility to inform contractors of violations of ES&H requirementsand to take necessary action, including contract termination, to ensure thatemployees, the public, and the environment are not harmed.

e. Component 4: Integrated ES&H Management Mechanisms

NETL ensures that the above functions are carried out through documented processeswhich set expectations for performance. The following is applied when developingmechanisms:

Directives are developed and maintained to provide direction to employees andcontractors working at NETL sites. The direction includes the processes used toimplement ISMS and ensure that the ISMS is integrated with the ES&HMS andits associated processes.

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The primary processes for hazard analysis and control are the safety analysis andreview system (SARS), the work control system (WCS), and the work permitsystem (WPS). These processes are used to identify, analyze, and providecontrols for hazards associated with NETL operations.

ES&H standards are maintained by NETL’s ESS&H division director andsupported through SARS/WCS and regulatory/DOE order reviews.

Additional processes and programs are developed to comply with regulations,DOE requirements, and other standards adopted by NETL.

f. Component 5: Responsibilities for Integrated ES&H Management

This chapter outlines the functions, responsibilities, and authorities for NETL’sorganization.

(1) NETL ES&H Program Implementation

The functions, responsibilities, and authorities for ES&H Programimplementation are contained in the matrix in Attachment 1. This organizationalmatrix shows the responsibilities for each office and division that have some roleor responsibility for developing, implementing, maintaining, or overseeing theNETL ES&H Program.

The matrix is based on the following principles:

Responsibility, accountability, authority, and resources for implementationare located within the organization where the work is performed.

Site-wide ES&H programs are developed, managed, and implemented bythe ESS&H Division, unless otherwise noted on the matrix.

(2) Interface with External Entities

A second matrix found in Attachment 2 outlines the interfaces between NETL andexternal entities for the ES&H Program. This matrix is based on the followingprinciples:

The ES&H program managers have general liaison functions on policyissues.

The ESS&H Division has liaison and reporting functions for thoseactivities for which it is primarily responsible, including programdevelopment and implementation functions.

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(3) Contractors

Onsite support contractors doing work on the NETL sites are subject to NETL’sES&H requirements. This is documented in contracts and the referenceddirectives. NETL strives for a unified ES&H program with the samerequirements for all NETL employees, regardless of their employer.

g. Component 6: Implementation of Integrated ES&H Management

By implementing this plan, NETL is confident that the principles of ISMS will be fullyimplemented. Work will be defined and planned and hazards will be identified andcontrolled. Work will be performed safely, monitored, and assessed. Neededimprovements will then be implemented.

This plan is reviewed for effectiveness in conjunction with the NETL’s auditing process.Annually, co-incident with the development of NETL’s annual ES&H objectives andtargets, NETL will declare to the secretary of fossil energy that it is in conformance withthe ISMS requirement and provide him with a copy of the next fiscal year’s objectivesand targets.

Internal verification of the ISMS will occur once every 3 years in conjunction with thefull external surveillance ISO 14001 and OHSAS 18001 audits. Continued certificationto the ISO 14001 and OHSAS 18001 standards is considered sufficient to ensure thatISMS requirements are being implemented.

4. RESPONSIBILITIES

a. ESS&H Division Director

(1) Ensures that all ES&H programs developed are in accordance with the principlescontained within the plan.

b. Deputy ESS&H Division Director

(1) Acts as ISM champion and ESS&H management system representative forNETL.

c. Safety and Health Team Leader

(1) Ensures that the plan is maintained, reviewed annually, and updated as needed.

d. Line Managers

(1) Ensure that their ES&H functions, responsibilities, and authorities as contained inthe plan are implemented.

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e. Employees

(1) Carry out their ES&H responsibilities identified in the plan and in all integratedsafety management directives that support the plan.

5. REQUIREMENTS

a. DOE Policy 411.1, Safety Management Functions, Responsibilities and AuthoritiesPolicy.

b. DOE Policy 450.4, Safety Management System Policy.

c. DOE Policy 450.7, Environment, Safety, and Health (ES&H) Goals.

d. DOE Manual 411.1-1, Safety Management Functions, Responsibilities, and AuthoritiesManual.

e. DOE Manual 450.4-1, Integrated Safety Management System Manual.

f. Office of Fossil Energy, Commitment to Environment, Security, Safety and Health,November 2006.

g. NETL Order 421.1, Safety Analysis and Review System.

h. NETL Order 440.1, Safety and Health Program.

i. NETL Order 436.1, Departmental Sustainability.

j. NETL Order 450.4, Integrated Safety Management Program.

6. REFERENCES

a. NETL Procedure 421.1-1, R&D Safety Analysis and Review System.

b. NETL Procedure 421.1-2, Support Operations Safety Analysis and Review System.

c. NETL Procedure 421.1-3, Facility Safety Analysis and Review System

7. DEFINITIONS

a. None.

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http://www.directives.doe.gov/







http://intranet/procedures/directiv/o-pdf/421_1original.pdf




http://intranet/procedures/directiv/p-pdf/421_1-1original.pdf




Page 17 of 17

8. REVISION HISTORY

VERSION DATE SUMMARY OF CHANGES

Original 5/23/00 The purpose of this plan is to establish the NETL environment, safetyand health (ES&H) functions, responsibilities, and authorities thatsupport the Integrated Safety Management Program.

A 9/20/02 These revisions reflect changes in the NETL organizational structure andthe resulting changes in ES&H functions, responsibilities, andauthorities. This revision was also required due to DOE’s policy toupdate the ES&H functions, responsibilities, and authorities manual(FRAM) on a periodic basis. Also, the crosswalk between the NETLFRAM and DOE-HQ FRAM has been removed from the operating planto make this document more readable. The crosswalk will be updatedand will be placed separately on the intranet for informational purposes.

B 12/23/02 These revisions reflect changes in the NETL integrated safetymanagement (ISM) policy. The policy was updated to incorporate theenvironmental management system (EMS) into the ISM infrastructure.The 1998 ES&H policy memorandum was also removed from thedocument.

C 10/15/03 These revisions reflect changes in the ES&H integrated safetymanagement plan that incorporate provisions involving theenvironmental management system (EMS) at the laboratory, andupdates references and other ES&H program implementation activities.

D 9/17/04 These revisions reflect changes in the ES&H integrated safetymanagement plan that incorporate provisions involving the newrequirements for Department of Energy ES&H goals and recent NETLorganization changes.

E 4/2/08 Major revisions were made to conform to updated DOE requirements andthe requirement to develop an ISM description. Other minor changeswere made for clarity and accuracy.

F 7/16/10 Minor changes were made to address finding 350-2009-0052. Otherchanges were made to include the annual requirement to declare the ISMin conformance, to identify the ISM champion (deputy ESS&H directoras part of his duties as ES&H MS representative), and the inclusion ofDOE Manual 450.4-1 in the list of requirements.

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ATTACHMENT 1

NETL ES&H Functions, Responsibilities, and Authorities

ES&H Functions, Responsibilities, and AuthoritiesOffice/Division

Director/ChiefOperating

OfficerSCC/OSAP/

SCNGO/PMC ORD OIBO ESS&H DivisionSite Operations

DivisionProgram Planning and Development

Approves ES&Horders.

Director approvesNETL ES&Hdirectives.

Sponsors development ofNETL ES&H orders, oper-ating plans, and proce-dures. Establishes ES&Hgoals and performancemeasures.

Develops SCC/OSAP/SCNGO/PMC ES&Hprograms/proce-dures based onNETL policy.

Develops ORDES&H programs/procedures basedon NETL policy.

Develops site-wide4

ES&Hprograms/procedures basedon NETL policy.

Develops SOD ES&Hprograms/procedures basedon NETL policy.

Participates inrelevant ES&Hprogram/proceduredevelopment.

Participates inrelevant ES&Hprogram/proceduredevelopment.

Participates in relevantES&H program/proceduredevelopment.

Participates in relevantES&H program/proceduredevelopment.

Coordinates withother relevantNETL offices indevelopment ofORD ES&Hprograms/procedures.

Coordinates with otherrelevant NETL offices indevelopment of site-wideES&H programs/procedures.

Coordinates with otherrelevant NETL offices indevelopment of SODES&H programs/procedures.

Reviews, coordinates, andtracks revisions to ES&Hprocedures.

Develops ES&Hmission andpolicy.

Provides input to seniormanagement on ES&Hpolicies.

Approves andissues ES&Hpolicies.

Provides oversight ofES&H standards to ensurethey are relevant andconsistent.

Provides legalcounsel onES&H issues.

4 The term “site-wide” means ES&H programs that are not otherwise specifically assigned to organizations in other blocksof the table and includes the following as examples: chemical inventory and MSDS management, non-hazardous wastemanagement (e.g., recycling), site-wide (general) HAZCOM, and lead and asbestos abatement activity.

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OfficerSCC/OSAP/


Division

Provides generaloversight of theNETL ES&Hstandards andrequirementsidentificationand maintenanceprocess.

COs/CORs willincorporate anapplicable ES&Hstandards andrequirements listas contractualrequirements inmajor onsite SSCprocurements.

Develops and maintainsNETL ES&H FocusedStandards List.

Develops and maintainsa register of NETLdirectives.

Appoints ES&Hrepresentative.ApprovesES&HMSpolicy. COOdesignated asES&HMSsteward andchampion.

Deputy division director isdesignated as ES&HMSrepresentative.

Encourages per-sonnel to seekresolution ofES&H concernswith first-linesupervisors orthrough existingcomplaint or dis-pute resolutionsystems.

Assists in theresolution ofemployee ES&Hconcerns andcooperates withassessments usedto verify theorganization hasacted to mini-mize, correct, orprevent recur-rence of asituation that pre-cipitated a validconcern.


Assists in theresolution ofemployee ES&Hconcerns andcooperates withassessments usedto verify theorganization hasacted to mini-mize, correct, orprevent recur-rence of asituation thatprecipitated avalid concern.


Assists in theresolution ofemployeeconcerns andcooperates withassessments usedto verify theorganization hasacted to mini-mize, correct, orprevent recur-rence of asituation thatprecipitated avalid concern.

Develops Employee Con-cern Program (ECP) pro-cesses, procedures toreport concerns.

Maintains ECP trackingsystem and a secure filingsystem.

Prepares quarterly andannual reports and reviewsthem for lessons learnedand possible trends.

Encourages personnel toseek resolution of ES&Hconcerns with first-linesupervisors or throughexisting complaint or dis-pute resolution systems.

Assists in the resolution ofemployee ES&H concernsand cooperates with assess-ments used to verify theorganization has acted tominimize, correct, or pre-vent recurrence of a situa-tion that precipitated avalid concern.

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OfficerSCC/OSAP/


Division

Delegates stopwork and restartauthority forNETL operations.

Shuts down workif a clear andpresent ES&Hdanger exists andpromptly notifiesESS&H DD.


Determines theappropriate levelof readiness forthe startup ofoperations.


Shuts down work if a clearand present ES&H dangerexists and promptlynotifies ORD, SOD, SSC,and/or CO as necessary.

Shuts down work if a clearand present ES&H dangerexists and promptly notifiesES&H, ORD, SSC, and/orCO as necessary.

Determines the appropriatelevel of readiness for thestartup of operations.

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DirectorSCC/OSAP/


DivisionProgram Implementation

Accepts responsi-bility for ES&Hperformance ofNETL.

Office directoraccepts respon-sibility for ES&Hperformance ofSCC/OSAP/SCNGO/PMC.

Office directoraccepts respon-sibility for ES&Hperformance ofORD.

Office directoraccepts responsi-bility for ES&Hperformance ofOIBO.

Manages budgetof SCC/OSAP/SCNGO/PMCES&H programsand activities.

Manages budgetof ORD ES&Hprograms andactivities.

Manages budget of site-wide ES&H programs andactivities.

Manages budget of SODES&H programs andactivities.

Appoints authori-ties (i.e., NCO,signatureauthority).

Assigns indi-viduals respon-sible for ORDES&H programs(points ofcontact).

Appoints authorities (i.e.,AHJ).

Assigns individualsresponsible for site-wideES&H programs (points ofcontacts).

Manages ISM, lessons-learned, QA, ORPS,CAIRS, and ES&Hoversight budgets.

Assigns individualsresponsible for SODES&H programs (pointsof contact).

Provides NETLES&H spokes-person foremergencypreparedness.ImplementsES&Hprocedures.

ImplementsES&Hprocedures.



Implements ES&Hprocedures.

Implements ES&Hprocedures.

Maintains aware-ness of ES&Haspects of con-tracted R&Dactivities.

Manages contrac-tor resources forORD ES&Hprograms.

Manages contractorresources for site-wideES&H programs.

Manages contractorresources for SOD ES&Hprograms.

Prepares NEPAdocumentationfor SCC/OSAP/SCNGO/PMCprojects.

Prepares NEPAdocumentationfor ORD projects.

Prepares NEPA documen-tation for ES&H Divisionprojects.

Prepares NEPA documen-tation for SOD projects.

Trains ORDemployees onR&D projectspecific hazards.

Coordinates site-wideES&H training.

Trains SOD employeeson SOD project specifichazards.

Puts appropriateES&H require-ments into con-tracted R&D.

Develops andmanages ES&Hdirectives controlsystem (policyrelated).

Manages site-wide ES&Hprograms.

Manages lessons learned,ORPS, and CAIRSprograms.

Minimizes waste.

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DirectorSCC/OSAP/


DivisionProvides regulatory over-sight of wastewater treat-ment facility.

Manages and providesoversight of hazardouswaste facility.

Manages wastewatertreatment facility.

Approves envi-ronmental assess-ments. ApprovesCXs (NCO).

Manages NEPAprogram.

Minimizes wasteand chemicalinventories.

Manages inactive wastesite remediation.

Manages recycling andpollution preventionprograms.Reviews, approves, andprocesses ES&H exemp-tion requests for NETL.Coordinates statutorilly-required informationgathering for site-wideES&H programs (reportingand permits).(Manages NEPA documen-tation preparation uponrequest.)

Provides consultation toNEPA document managersand project managers.Manages lead and asbestosabatement in collaborationwith SOD.Manages chemical inven-tory system, MSDSinformation.Provides site-wideHAZCOM program andcommunication.Supports accident/incidentinvestigations.

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DirectorSCC/OSAP/


DivisionOversight, Assessment, Auditing, Inspections

Self-assessmentof SCC/OSAP/SCNGO/PMCES&H activities.

Self-assessmentof ORD ES&Hactivities.

Self-assessmentof all ES&Hactivities.

Self-assessment of ES&Hactivities.

Self-assessment of ES&Hactivities.

Provides ES&Hperformanceinformation uponrequest.

Provides ES&Hperformanceinformation uponrequest.

Provides ES&H perfor-mance information uponrequest.

Provides ES&H perfor-mance information uponrequest.

Conducts orcoordinatesES&H site-wideperformanceaudits for NETLactivities.

Conduct ES&H inspections(e.g., OSHA, chemicalhygiene, and constructionactivities).

Reviews and actson ES&Hperformance.

Reports to NETL seniorstaff and HQ on NETLES&H performance.Provides human resourcesfor ES&H assessments(subject matter experts).Reviews constructiondesigns for ES&H concerns.Performs regulatory ES&Hprogram self-assessments.

COO reportsES&HMS per-formance tosenior staff atmanagementreview meetings.

Division director reportsES&HMS performance tosenior staff at managementreview meetings.

Acts as assessors in auditingachievement of ES&HMSobjectives/targets andEMPs.

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DirectorSCC/OSAP/


DivisionR&D Operations

R&D SARS pro-cess caretakers.

Appoints ERDrepresentativesfor R&D SARS.

Provides consultation andreview of R&D SARSpackages.

Initiates R&DSARS packages.

Provides ES&H representa-tives and assessors to R&DSARS processes.

Office directorapproves ORDSARS packages.Establishes andmaintains projectoperating pro-cedures for R&Doperations.

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DirectorSCC/OSAP/


DivisionFacilities, Support Operations, and Properties

Approves allmodifications toR&D property(e.g., facilitiesand buildings).

Provides consultation andreview of facility andsupport operation SARSpackages.

Approves all modifica-tions to NETL property(e.g., facilities andbuildings).

Coordinates allR&D facilitychanges withSOD.

Provides ES&H represen-tatives and assessors tofacility and support opera-tion SARS processes.

Coordinates all facilitychanges.

Analyzes andcontrols ORDhazards.

Analyzes and controlsSOD hazards.

Jointly with SODestablishes a splitof facilitiesresponsibilities.Jointly with SODestablishes asplit of utilitiesresponsibilitiesrelated to ES&H.Consults andcoordinates withES&H and SODDivisions onORD constructionactivities.

Office directorapproves facilitySARS packages.

Provides consultation andreview for facility con-struction and use (FacilitySARS).

Coordinates the develop-ment of and manages theNETL facility configura-tion management process.

Provides guidance for site-wide alarms standardization(gas alarms).

Coordinates network forsite-wide alarms.

Maintains facility recordsand drawings.

Monitors ES&H aspects ofoffsite properties.

Develops and implementsfacility operatingprocedures.

Provides consultation andreview for support operationSARS.

Coordinates design andconstruction reviews andactivities with ES&HDivision.

Generates supportoperation SARSfor support activi-ties under theirmanagement.

Generates supportoperation SARSfor support activi-ties under theirmanagement.

Generates support operationSARS for support activitiesunder their management.

Generates support opera-tion SARS for supportactivities under theirmanagement.

Facility SARS processcaretakers.Initiates facility SARSpackages.

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DirectorSCC/OSAP/


DivisionCommunication, Information, Committees

Communicates lessonslearned to appropriate NETLemployees.Maintains databases andrecords for site ES&Hconditions and assignedperformance measures.

Maintains databases onES&H standards, perfor-mance measures, andperformance trends.

Maintains databases forsite maintenanceactivities.

Maintains an ES&Hcorrective action trackingsystem.

Analyzes ES&H databasesfor performance trends.Maintains an audit andinspection database andregulatory compliancedatabase.

Director appointsES&H manage-ment reviewteam.

Completes cor-rective actions forSCC/OSAP/SCNGO/PMC.

Completes cor-rective actions forORD office.

Appoints ORDrepresentatives toES&HMS cross-cutting team.

Completes cor-rective actionsfor OIBO.

Completes correctiveactions for ES&H Division.

Appoints ES&H represen-tatives to ES&HMS cross-cutting team.

Completes correctiveactions for Site OpsDivision.

Validates/verifiesperformance ofcompleted cor-rective actions.

Interfaces with HQ onES&H issues and initiativeswithin (NETL’s) area ofresponsibility.

Coordinatesformal responsesto HQ ondirectives (e.g.,policies, orders).

Provides input to formalresponses to HQ on ES&Hdirectives (e.g., policies andorders).

Identifies responsibleofficials for work spacesand operations.

Identifies respon-sible officials forwork spaces andoperations.

Oversees ES&Hdispute resolutionamong NETLoffices.

Coordinates cross-office/division aspects of ES&H.

Coordinates GPP andES&H projects with ORDand ES&H.

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Page 10 of 11


DirectorSCC/OSAP/


DivisionProvides tech-nology consulta-tion on ES&Hissues.

Provides ES&H policy andNEPA consultation servicesto NETL employees (e.g.,SARS, OSHA, etc.).

Coordinates periodicES&H-related operatingand maintenance activitymeetings with ORD andES&HD.

Facilitates public interac-tions related to ES&H.

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Page 11 of 11


DirectorSCC/OSAP/


DivisionContinuous Improvement and Corrective Action

Develops andprioritizes ORDES&H correctiveactions.

Develops and prioritizesES&H Division’s correctiveactions.

Oversees NETL ES&Hcorrective action trackingsystem.

Develops and prioritizesSOD’s ES&H correctiveactions.

Recommendsnew or modifi-cations todesign standardsaffecting ES&H(e.g., factor ofsafety).

Provides ES&H bench-marking information.

Recommends new ormodifications to designstandards affecting ES&H(e.g., factor of safety).

Manages and overseesES&H continuous improve-ment process and initiatives.

Establishes maintenancepriorities consideringES&H requirements.Implements ES&H-related improvements andcorrective actions toinfrastructure (e.g.,ventilation).

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Page 1 of 1

ATTACHMENT 2

Organizational Functions for ES&H Liaison Between NETL and Our Customers

LIAISON ITEMPRINCIPALNETL POC

NOTIFICATIONS(Within NETL) ACTION

DISTRIBUTION(Within NETL)

DISTRIBUTION(Outside NETL)

Proposed LegislationReview

DD DD and SMEs OIBO with SMEand DD input

DD and SMEs EHFE-7

Others as neededRegulatorCoordination

SMEs DD and SMEs SMEs DD and SMEs RegulatorLocal

MunicipalityDOE Orderand PolicyCorrespondence

DD DD and SMEs OIBO with SMEand DD input

DD and SMEs FE-7

FE Pipeline(ES&H Newsletter)

DD SMEs DD with SMEinput

All ES&H staff FE-7

Weekly ES&HReport

DD All ES&H staff DD with input All ES&H staff FE-7

Periodic OSHAReports (e.g.,CAIRS and FEOSH)

SHM DD and SMEs SHM with SMEinput

DDOIBO director

INEL and FE-7

ORPS Reports Facilitymanager

for ORPS

Facilityrepresentative

for ORPS

Facility manager Facilityrepresentative

DD

INELHQ ORPSprogrammanager

FE-7Regulator

MunicipalityPeriodic ES&HReports


SMEs FE-7, EH, EMINEL, Regulatory

Agency(as appropriate)

ES&HConference Call

DD SHM and EM DD, SHM,and EM

As needed FE-7All FE sites

PerformanceIndicators


Senior staff andSMEs

FE-7

Meetings andConferences

DD SMEs DD and SMEs SMEs

BudgetCoordination

DD SHM, EM, andSMEs as needed


FE-7

ES&H ManagementPlan



FE-7

DD — Division Director, ESS&HSHM — Safety and Health ManagerEM — Environmental ManagerSME — Subject Matter ExpertOIBO — Office of Institutional and Business Operations

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OPERATING PLAN 450.4-1F - National Energy Technology ... Library/Business/Site Support/450_4... · Title: INTEGRATED SAFETY MANAGEMENT SYSTEM PLAN Owner: Steve Curfman, ... NETL is