Approved by Howard Hatayama
Revised 07/08
1.3.1 Line Management Authority and Accountability for ES&H
1.3.2 Clear Roles and Responsibilities for ES&H
1.3.2.1 Laboratory Director
1.3.2.2 Associate Laboratory Director for Operations/Chief Operating Officer
1.3.2.3 EH&S Division Director
1.3.2.4 Divison Directors
1.3.2.5 Supervisors, Managers, and Work Leads
1.3.2.6 Employees, Contractors, and Casual and Participating Guests
1.3.2.7 Matrixed Employees
1.3.2.8 Building Managers
1.3.2.9 Division Safety Coordinators (DSC)
1.3.2.10 EH&S Division Liaisons
1.3.2.11 Functional Organizations and Institutional Committees
1.3.2.11.1 EH&S Division
1.3.2.11.2 Facilities Department
1.3.2.11.3 Office of Contract Assurance (OCA)
1.3.2.11.4 Engineering Division
1.3.2.11.5 Facilities Construction Project Managers
1.3.2.11.6 Safety Review Committee (SRC)
1.3.3 Employee Involvement and Worker Rights
1.3.4 Competence Commensurate with Responsibilities
1.3.5 Balanced Priorities
1.3.6 Identification of ES&H Standards and Requirements
1.3.7 Establishment and Hazard Controls1.3.7.1 Subcontractor Flow-Down of Safety and Health Requirements
1.4.1 Define Scope of Work (Work Planning)
1.4.2 Analyze the Hazards
1.4.3 Develop and Implement Controls
1.4.4 Perform Work Within Controls
1.4.5 Feedback and Continuous Improvement
1.5 Stopping Unsafe Work
1.6 Reporting Employee Concerns
1.7 Requesting a Variance from Berkeley Lab Safety Policy
1.8 Glossary
1.9 Standards
1.10 References
1.11 Appendix1.11.1 Appendix A. Process for Revising the LBNL Health & Safety Manual (PUB-3000)
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Berkeley Lab is committed to performing all work safely and in a manner that strives for protection for employees, participating guests, visitors, subcontractors, the public, and the environment, commensurate with the nature and scale of work. In addition, Berkeley Lab seeks continuous improvement and sustained excellence in the quality of all E&HS programs.
To achieve these goals, Berkeley Lab has adopted the seven guiding principles and five core functions of the Integrated Safety Management System (ISMS), as prescribed in Department of Energy (DOE) DEAR Clause 970.5204-2, which are reflected in Berkeley Lab’s detailed policies and procedures.
It is the policy of Lawrence Berkeley National Laboratory (LBNL) to perform all work safely with full regard to the well being of workers, guests, the public, and the environment.
Keys to implementing this policy are the following core safety values:
Berkeley Lab employees, contractors, and casual and participating visitors at the Lab or its off-site locations are required to be familiar with and observe Lab safety (Work Smart) standards. The Berkeley Lab articulates this policy through its Integrated Environment, Health and Safety Management Plan (PUB-3140, ISMS Management Plan). These standards are designed to protect people from injury and illness and to protect property and the environment from damage or loss or degradation due to accidents or other causes. Like research integrity, scientific discipline, and fiscal responsibility, safety is a product of culture and sound management. To achieve a truly integrated systems approach to doing work safely, ES&H programs and activities will need to be an integral part of work from initial planning through final execution.
The purpose of pursuing Integrated Safety Management (ISM) is to:
Fundamental to the attainment of ISM are personal commitment and accountability, mutual trust, open communications, continuous improvement, worker involvement, and full participation of all interested parties. To achieve ISM, Berkeley Lab has adopted the following seven guiding principles, discussed below, which are reflected in the detailed policies and procedures of the Laboratory. In addition, principal investigators, managers, supervisors, and work leads are expected to incorporate these principles into the management of their work activities. While these principles apply to all work, the exact implementation of these principles is flexible and can be tailored to the complexity of the work and the severity of the hazards.
Line management and work leads are accountable for the protection of the public, the workers, and the environment. More specifically, laboratory line managers and work leads are responsible for integrating ES&H into work and for ensuring active, rigorous communication up and down the management line with the workforce.
The vision and goals are articulated by identifying specific targets, developing and implementing plans, securing resources, and operating and maintaining facilities and operations (including work activities and processes). Integration of ES&H considerations into all phases of planning and implementation through to the final work processes is critical to the success of Berkeley Lab. ES&H considerations must be part of the planning process, commencing with identification of what hazards may arise, what standards apply, what controls need to be integrated into the design and specification, and what competencies are required to work safely. While line management and work leads are responsible for assuring that ES&H concerns are addressed in work planning, implementation, and operation, the EH&S Division serves as a primary technical support resource through its EH&S Liaisons.
As a condition of employment, every employee, visiting scientist, student, or other person performing work at the Laboratory or at one of the Laboratory’s off-site locations must be familiar with and implement applicable Laboratory safety standards. This responsibility includes taking the initiative to consult with resource groups when assistance or advice is needed to carry out operations safely. The Berkeley Lab organizational chart presents the organizational structure at the Laboratory.
Clear and unambiguous lines of authority and responsibility for ensuring safety must be established at all organizational levels. Institutional, functional, and individual responsibilities for environment, safety, and health at Berkeley Lab are defined below.
Supervisors, Managers, and Work leads are part of the safety line management chain from every Worker to the Laboratory Director. Supervisors and Managers are part of the formal management chain, and they have the responsibility for adherence to all EH&S policies and safe work practices. Work leads derive authority from formal Laboratory Managers and/or Supervisors to assure that day-to-day work, operations, and activities in their assigned area(s) and activities are conducted safely and within established work authorizations.
Supervisors, Managers, and Work Leads (by category) are to be specified in the Integrated Safety Management Plan for each division.
Safety Responsibilities of Supervisors, Managers, and Work Leads
An employee is considered matrixed if the employee has a “home” division or department from which he/she is assigned to work in a host division or department and receives daily directions exclusively from the host organization. The host division or department also provides physical space and oversight.
Safety Responsibility |
Home Supervisor or Work Lead |
Host Supervisor or Work Lead |
Matrixed
Employee |
JHQ and JHQ-Identified Training
|
Retains responsibility to assure all required JHQ training is completed in a timely manner. |
Provides input to home supervisor during JHQ completion. |
Complete JHQ; review annually with “home” supervisor and update as needed. |
On-the-Job Training |
Clarify how each (or which) organization will subsidize the cost of training and employee time to attend training. | Provides specific safety training and operating procedures to matrixed employee for work performed for host organization. |
Acquire on-the-job and formal EH&S training before commencing work. |
Self-Assessment Program of Matrixed Employee’s Workspace |
Negotiable with host supervisor or work lead. |
Negotiable — may assume responsibility. |
Keep work areas safe and uncluttered. |
Hazard Correction of Matrixed Employee’s Workspace |
Negotiable with host supervisor or work lead. |
Negotiable — may assume responsibility. |
Report unsafe conditions and practices to supervisor or work lead in a timely manner. |
Engineering Controls for Health and Safety |
Negotiable with host supervisor or work lead. |
Negotiable — may assume responsibility. |
Utilize the installed engineering controls in your work area. |
Personal Protective Equipment (PPE) |
Negotiable with host supervisoror work lead. If supplied by home organization, matrixed employee may take PPE to next job assignment. |
Negotiable — may assume responsibility. If supplied by host organization, PPE remains when matrixed employee leaves. |
Understand the capabilities and limitations of PPE issued to you and wear PPE when performing tasks. |
Administrative Controls for ES&H, including AHDs, RWAs, RWP, etc. |
Negotiable with host supervisor or work lead.. |
Negotiable — may assume responsibility. |
Follow prescribed administrative controls when performing work. |
Accident Investigation and SAAR Reporting |
Retains responsibility for investigating incident to determine root cause(s) and complete necessary reports in a timely manner. Assures that corrective actions are completed to prevent recurrence to matrixed employee. |
Provides input during the investigation process and into the SAAR. |
Report all work injuries/illnesses, accidents, and discomfort symptoms to both supervisors or work leads; seek medical assistance from LBNL Health Services. Provide input during the SAAR investigation process. |
Ergonomics | Retains responsibility for assuring any required ergonomic awareness training (EHS 60) and ergonomic workstation evaluation (EHS 68) are completed prior to performing work assignments for host organization. | Provides the appropriate ergonomic furniture and accessories that enables “matrixed” employees to safely perform their computer-related tasks. | Request Ergonomic Workstation Evaluation and take EHS 60 training. Perform work with proper ergonomic practices. Adjust and use ergo equipment properly. |
EH&S Division Liaisons are designated for each assigned Laboratory division or Laboratory facility; they provide a convenient, single EH&S point of contact between a customer division [typically via the Division Safety Coordinator and the EH&S Division (EHSD)], and function as the troubleshooter and problem-resolution facilitator. This relationship does not preclude any Laboratory employee from directly approaching an EH&S professional/subject matter expert to address a particular issue or need. The EH&S liaison:
Function
The Safety Review Committee (SRC) performs research for and makes recommendations to the Laboratory Director on the development and implementation of Environment, Safety, & Health (ES&H) policy, guidelines, codes, and regulatory interpretation. It conducts reviews of special safety problems and provides recommendations for possible solutions to the Laboratory Director and/or the ES&H Division. The SRC also provides advice and counsel to the Associate Laboratory Director for Operations by reviewing appeals from the Laboratory Divisions when any Division and the EH&S Division do not agree on the interpretation or application of criteria, rules or procedures. Such advice and counsel may include options for a resolution.
In addition, the SRC chair, in cooperation with the Office of Contract Assurance, is responsible for scheduling and conducting the portion of institutional self-assessment known as Management of Environment, Safety & Health (MESH) reviews. These reviews are designed to ensure management systems consistent with Integrated Safety Management (ISM) are in place in all Laboratory Divisions and that these systems are leading to effective implementation of the Laboratory's ES&H program. MESH reviews are normally triennial by Division and are conducted by an SRC sub-committee. Depending on the MESH review results and the Division response, the SRC shall have the option to recommend changing the interval by one year. All members of the SRC are expected to serve on MESH sub-committees.
To properly execute its responsibilities under this charter, the SRC Chair may appoint expert sub-committees to address specific health and safety matters. Such sub-committees may become long standing expert sub-committees, or they may be of short duration, depending upon the technical support requirement.
Membership/Composition
The Laboratory Director appoints the SRC Chair. SRC membership includes a representative
from every Laboratory Division.
Division Directors and Department Heads nominate members of their organizations to the Chair and the Laboratory Director formally appoints them to the SRC. The EH&S Division Director or Division Deputy will also attend SRC meetings as resources for the committee.
Appointments are normally for three-year terms that can be renewed once. In addition to SRC members, the Chair may invite (based on SRC agenda) the following advisors:
Membership Qualifications
The SRC is designed to be a committee of peers involved in the research and development activities of the Laboratory. In research-oriented divisions, members should be drawn from the scientific staff; participation by active experimental scientists is important to the functioning of the SRC. There are no specific prescribed qualifications for SRC members in terms of their position, experience, and training at the Laboratory. However, since the SRC is involved in determining Laboratory policy as described above, individuals who can effectively represent their Divisions should be nominated.
SRC members are expected to:
Meeting Schedule
Meetings will be held as necessary, but at least every two months. When members
are unable to attend, substitutes may be designated to attend specific meetings.
If a member does not attend at least four meetings throughout the calendar
year, the SRC Chair will consult the member's Division Director or Department
Head to ask that a replacement be nominated. The SRC chair will designate a
recording secretary. Minutes shall be recorded for every meeting; and once
a year, the committee will submit a written and oral report of activities to
the Director.
Provision for Amendment
The Chair shall submit to the Laboratory Director any recommendations for the
amendment of this charter.
Worker involvement in safety and health is essential to the success of LBNL’s
ISMS. Workers are encouraged to identify safety and health problems and to
develop solutions, and involvement is actively sought throughout the work review,
authorization, and execution process. Line management and work leads must ensure
that workers are given the opportunity
to
participate
in the analysis of hazards, and the determination of appropriate work controls
for work activities.
Worker involvement is promoted through:
Workers have the right to participate in activities related to the ES&H Program on official time, including those activities listed above.
Workers have the right of access to:
Workers have the right to observe exposure monitoring or measurement of hazardous agents, and to be provided with the results of their own exposure monitoring. When personnel exposure monitoring is conducted on individuals, the monitored employee and their supervisor receive a copy of the exposure assessment [see Chapter 4 (Industrial Hygiene)].
Workers shall be notified when monitoring results indicate they have been overexposed to hazardous materials. Written notification of monitoring results is provided by the industrial hygienist conducting the exposure monitoring to the employee (and employee's supervisor) in accordance with the specific OSHA requirements for that substance. Where no criterion exists, monitoring results will be provided within 15 days of receiving analytical results from the laboratory performing the analyses [see Chapter 4 (Industrial Hygiene)].
Workers have the right to a representative authorized by workers to accompany the DOE Director or his or her authorized representative during the physical inspection of the workplace for the purpose of aiding the inspection. When no authorized worker representative is available, the DOE Director or authorized representative must consult, as appropriate, with workers on matters of worker safety and health.
Personnel need to possess the experience, knowledge, skills, and abilities to discharge their responsibilities. Competency is demonstrated through education, experience, qualifications, training, and fitness for duty. The minimum requirements for staff competency are set forth in the Operating and Assurance Plan (OAP), Section 1.4; and the Regulations and Procedures Manual (RPM), Chapter 2. However, Lab supervisors or work leads shall ensure that all employees, contractors, visitors, and guests possess sufficient knowledge, skills, and experience to perform work safely. As a minimum, all employees, contractors, visitors, and guests:
Must be knowledgeable of the hazards associated with a work activity and the appropriate controls in place to minimize the hazard.
Priorities need to be established and resources effectively allocated to address safety, programmatic, and operational considerations. Work cannot be carried out unless there is appropriate consideration of ES&H resource needs in the work process. ES&H resource needs must be taken into account during planning, design and specification, implementation, and ongoing conduct of the work. No work will be conducted at LBNL where there are recognized hazards until controls tailored to the work being performed are in place. Before each new project or significant change to any process or work activity (including research) is commenced, a work process analysis for hazards to workers, the public, and the environment is to be conducted in accordance with Chapter 6 of PUB-3000. The objective is to ensure that hazard controls enhance and further the nature of research and all other work activities, and not impede it.
A Project Coordination Committee is responsible for balancing priorities at the institutional level. The Project Coordination Committee is facilitated by the Facilities Department and consists of representatives from each of the Laboratory’s resource divisions and the Office of Planning and Communications. The Committee performs two functions: (1) it informs all resource divisions of upcoming projects and allows for advance coordination when required, and (2) it provides a broad-based review of projects using a priority rating system. From the Committee review, a recommended list of prioritized projects is compiled. This in turn is submitted for collective review to the Facilities Manager and the Director of the Environment, Health & Safety Division, who in turn advise the Associate Laboratory Director for Operations/Chief Operating Officer regarding preparation of a final list. Projects that are not funded are periodically reviewed with the proposing division during the year, and may be resubmitted for funding during the next “Unified Call” process.
All new work activities or changes to existing work (which introduce new hazards or increase the hazard level) need to be reviewed to analyze hazards, identify safety standards/requirements, and establish appropriate controls. Chapter 6 of PUB-3000, ES&H Documentation and Approvals, details the Lab process regarding identification of hazards and determination of requirements. The current set of standards identified in Appendix G is used as a basis to determine the appropriate requirements. EH&S Division Liaisons are available to assist in identifying hazards, determining the applicable standards, and developing appropriate cost-effective controls that will meet LBNL ES&H policies. EH&S Division Liaisons need to be consulted if the scope of hazards exceeds the safety envelope established in the recognized standards.
Administrative and engineering controls to prevent and mitigate hazards should be appropriately tailored to the work being performed and the risk of harm and the extent or degree of harm that could occur.
The tailoring process should include:
EH&S professionals are available to assist in identifying the appropriate level of hazard control.
Examples of performing work within safety controls include:
Subcontractors, including service providers, provide a variety of on-site services to LBNL, including construction activities; building and ground maintenance; food services; training and consultation; and installation, testing, calibration, repair, and maintenance of instruments. Federal regulation 10 CFR 851 requires a written Worker Safety and Health Program (WSHP) to protect workers who are employed at a DOE facility. It also requires the Laboratory to flow down its requirements to subcontractors. Procurement guidelines delineate WSHP requirements for subcontractors, including construction and general service subcontractors. (For specific information about the Laboratory’s construction safety program for subcontractors, refer to Chapter 10 of the PUB-3000, and Procurement’s Guide for On-Site Subcontractor Safety Plans.)
The seven guideline principles are achieved through implementing the five core integrated safety management system functions, which must become part of every aspect of work at Berkeley Lab.
Missions are translated to work, expectations are set, tasks are identified and prioritized, and resources are allocated. A comprehensive hazard analysis was part of the 1996 Integrated Hazard Assessment (IHA) for each division or department. Each of the work activities identified was evaluated with respect to hazard and categorized with either a low, medium, or high level of concern. The determination was based on both the underlying risk and on the likelihood of occurrence in the light of controls present.
Hazards and risks associated with the work to be performed are identified, analyzed, and categorized as to impact on employees, public, and the environment.
All LBNL buildings must be inspected annually for fire safety; other inspections may include electrical, industrial, and general environmental safety. The LBNL Fire Department is responsible for conducting fire safety inspections. Other inspections are met through the LBNL Self-Assessment Program or other assessments.
EH&S teams make inspections for safety deficiencies. A division representative, and/or the Building Manager, accompanies EH&S on their inspections. The division representative identifies, reviews, and ranks safety deficiencies.
Fire Safety Inspection Reports are sent to building managers and Division Safety Coordinators to track corrective actions to completion. Each division completes an annual self-assessment report, which is sent to the Division Director, EH&S Division. Corrective actions are tracked by each division.
Controls are established based on identified applicable standards and requirements to reduce the risks to acceptable levels. Acceptable levels are determined by responsible line management or work leads, but are always in conformance with all applicable laws and WSS.
Activities are conducted in accordance with controls, procedures, requirements, and authorizations.
Information is gathered from employee suggestions, assessments, lessons learned, operational awareness, and worker/customer/regulator and stakeholder feedback, as appropriate, to improve the work activity.
Supervisors and work leads should regularly review work practices and operations in light of any new hazard information available or due to changes in actual work practices. Occurrence reporting, self assessment, peer reviews, and lessons learned can be used as ways of improving the cost-effectiveness and reliability of hazard controls (engineering and administrative). Based on findings from occurrence reporting and other assessments, improvements should be made to work planning, and in rare instances, be used as a basis for changing line management responsibility, roles and responsibilities, worker competence, or other appropriate parts of the work cycle.
Safety walkarounds are performed regularly as an integral management function. The purpose of a safety walkaround is to observe work, inspect the workplace, and talk with workers and support staff about the safe performance of work. The focus should not be merely on deficiencies but also on building teamwork, mutual understanding, and respect between managers and those performing work. Areas for improvement identified during the walkaround must be documented in CATS if a noncompliance is identified or if tracking and follow-up are needed. Each division will publish a program for implementing safety walkarounds as a component of their Division ISM Plan. The Division walkaround program will, at a minimum, delineate who is required to perform walkarounds, the frequency (a minimum frequency of quarterly for all work activities and workplaces is suggested), and the required reporting mechanism. Those Managers, Supervisors or Work Leads who will be performing walkarounds (as designated by the Division ISM plan) are required to complete EH&S Division sponsored training by January 2008 to prepare them to be effective in this role.
The EH&S Division will support the management walkaround program by providing programmatic guidance, initial and refresher training, a standard method that can be used to document the observations from safety walkarounds (checklist and/or database), and oversight/mentoring as needed and/or requested.
To ensure continued effectiveness, periodic reviews of LBNL procedures and operations are conducted by each division, the EH&S Division, and the Safety Review Committee (SRC). Each division will conduct an annual self-assessment utilizing guidelines provided by the Office of Institutional Assurance, and will also add to this minimum by including divisional areas of interest in self-assessments. The EH&S Division shall assess the effectiveness of divisions’ programs and processes on a triannual basis (more frequently if deemed necessary or if required by regulation). The SRC shall conduct Management of ES&H Assessments or MESH Reviews also on a triennial basis. Special assessments and peer reviews may also be conducted as needed under the coordination of the EH&S Director.
All Berkeley Lab employees, contractors, and participating guests are responsible for stopping work activities considered to be an imminent danger. Stopping unsafe work applies to all activities conducted at the Laboratory and to all off-site facilities operated by Laboratory personnel.[*]
An “imminent danger” is defined as any condition or practice that could reasonably be expected to cause death or serious injury, or environmental harm.
Whenever an employee, contractor, or participating guest encounters conditions or practices that appear to constitute an imminent danger, such individuals have the authority and responsibility to:
EH&S staff will ensure that the supervisor or work lead is notified and will assist the supervisor in preparing a report to the EH&S Division Director, describing the unsafe activity and identifying corrective actions and responsibilities.
Work that has been stopped by a stop work request shall not be resumed until the safety issue is resolved to the satisfaction of the individual who stopped the work.
Employees or former employees may file an ES&H concern with their immediate supervisor, higher level managers, Director of the EH&S Division, or the local DOE office. Concerns may be submitted by calling the Berkeley Lab Employee Hotline (800) 403-4744. This toll free number is available 24 hours every day and is operated by a third-party vendor for confidentiality and anonymity if so desired by the caller. Persons reporting improper activities are fully protected by the law and Lab policy against retaliation. Under 10 CFR 708, employees also may file their concerns (not limited to ES&H) with the DOE Chicago Office Employee Concerns Program Manager at (630) 252-2299. The LBNL HR Web site also has information regarding whistleblower policy, and provides a number of 24-hour hotlines of potential use to Lab employees.
Workers are responsible for bringing safety and health concerns promptly to the attention of the appropriate manager, supervisor, or work lead for resolution. Line management is then responsible for investigating the concern and implementing corrective action. If a satisfactory response is not received, the senior manager for the organization should be contacted, followed by the Director of the Environment, Health, and Safety Division.
Occasionally circumstances may arise where application of this policy and/or other chapters in this manual prevent work from being conducted without compromising safety. If it is necessary to perform this work, each circumstance will be brought to the attention of the EH&S Division in the form of a request for variance, identified below. Each request will be reviewed on a case-by-case basis.
Principal Investigators and/or other LBNL employees who have the concurrence from his/her cognizant division director may request in writing a variance from LBNL safety policy. Requests for variances go to the EH&S Division Director and must include:
For more information on variances, see Section 1.3.2, Clear Roles and Responsibilities for ES&H. If operations are suspended, the work stoppage must be investigated and reported in accordance with the relevant procedure specified in the Chapter 5, Section 5.1, of PUB-3000, Accident Investigation & Reporting, Occurrence Reporting Program, or Chapter 10 of PUB-3000, Construction Safety. Operations can resume when authorization has been granted by the EH&S Division Director or designee.
(NOTE: Some functions/definitions overlap, depending on the specific situation.)
Casual Visitor – An individual visiting the Laboratory
for one week or less and who is not engaged in Laboratory research or using
Laboratory facilities. Included in this category are those who are giving or
attending seminars, those who are visiting the Laboratory for limited scientific
discussions or as nonparticipants solely to observe research in progress, radiotherapy
patients, job seekers, tour groups, Employee family/friends, retired Employees
with occasional reason to visit the site, and the press.
DOE – Department of Energy.
Employee – An individual who is hired by the Laboratory
to provide services on a regular basis in exchange for compensation.
ES&H – Environment, Safety, and Health; interchangeable
with Safety.
ESHD – the Environment, Safety, and Health Division.
Faculty Scientist – Faculty Scientists hold dual appointments
at LBNL and an academic institution (usually UC Berkeley). When they perform
Work at or for LBNL, they are Staff members. Work includes being a HEERA
Supervisor, Matrix Supervisor, or Work Lead for one or more Workers.
Guest – There are two general categories for Guests
of the Laboratory:
HEERA – The Higher Education Employer-Employee Relations
Act, which outlines certain rules that LBNL must follow.
Host – Provides oversight to Users at User facilities.
A Host has ultimate responsibility for safety at an assigned scientific station,
and assures that all Users receive proper training and oversight. A
Host may be a Matrix Supervisor, HEERA Supervisor, or a Work Lead.
ISM – Integrated Safety Management.
JHQ – Job Hazards Questionnaire.
Key Personnel – This is a Contract 31 term that includes
the Senior Management Group plus the Laboratory Counsel, Director of EH&S,
Director of Facilities, and the Director of Institutional Assurance.
Lab, Laboratory, Berkeley Lab, LBNL – Lawrence Berkeley
National Laboratory.
Line Manager, Line Management – Managers are individuals
responsible for formulating and administering policies and programs of the
Laboratory; collectively, they are the Line Management. Typically, this includes
some level of responsibility for staffing, performance review, Work direction
and evaluation, and/or finance. The formal “chain of command” management
structure at LBNL starts at the top with the Laboratory Director, and ends
with Supervisors or Matrix Supervisors. Examples include but are not limited
to program heads, group leaders, department heads, division deputies, superintendents,
administrators, supervisors, etc.
Matrix Supervisor – A Matrix Supervisor is responsible
for providing day-to-day technical direction and oversight, including responsibilities
for proper execution of ES&H activities of Employees and Guests within
their purview. A Matrix Supervisor is required to be HEERA-designated
and can be in a division separate from the Employee’s home division.
The Matrix Supervisor can act as the Host and point of contact on behalf
of the division for Guests and visitors of the Laboratory. A Matrix
Supervisor partners with the HEERA Supervisor on matters of staffing, performance
review, Work direction, and/or evaluation.
Mentor – A Mentor is a Work Lead for a Student. Mentors
need not be Line Managers, HEERA-designated Supervisors, or LBNL Employees.
OJT – On-the-Job Training.
Principal Investigator (PI) – Most U.S. Federal and
State agencies that support scientific and technical research use the interchangeable
titles “Principal Investigator” or “project director” for
the scientist or researcher responsible for the technical leadership and
administrative accountability of a project. A PI is ultimately responsible
for the administration, direction, and management of the project and for
its results. Often, funding for the project is also the PI’s responsibility. The
designation is specific to a single contract, and terminates with the closing
of that project. The designation is thus of a different character than
for such ongoing leadership positions as division director, department head,
and group leader. A PI is always part of Line Management, and from a Safety
Line Management perspective, the PI is no different from any other Staff. A
PI’s role may include being a HEERA Supervisor or Matrix Supervisor.
RPM – Regulations and Procedures Manual.
Safety - Safety is used generically to cover all aspects
of environment, health, and safety, including regulatory requirements; interchangeable
with ES&H.
Safety Line Management – The unbroken linear safety
management chain from the Laboratory Director to each Worker. Above the lowest
organizational unit in each division, the chain is defined by the succession
of direct reports that establish job assignments, appraise performance, and
determine salaries. Below this level, the chain can include Workers at any
level, and may include non-management Work Leads who guide the day-to-day
activities of one or more Workers.
Senior Management – Senior Management includes the
Senior Management Group plus the division directors, Chief Human Resources
Officer, Chief Procurement Officer, Laboratory Counsel, Internal Audit Manager,
Laboratory Security Manager, and Public Affairs Manager. This group is also
known as “upper management.”
Senior Management Group (SMG) - The Senior Management Group
includes the Laboratory Director, deputy director(s), associate laboratory
directors, and the Chief Financial Officer.
Staff - Anyone with an LBNL badge.
Student/Student Intern – Students or Student Interns
often work at the Laboratory in different positions. Students can be Employees
or Guests. Students are part of the Safety Line Management, no matter what
their positions. Types of students employed at the Laboratory are:
Subcontractor – Individual worker or company hired
by LBNL to perform a specific task as part of an overall project.
Supervisor (HEERA) – Supervisory Employees are defined
by the Higher Education Employer-Employee Relations Act (HEERA) as "any
individual, regardless of the job description or title, having authority
in the interest of the employer to hire, transfer, suspend, lay off, recall,
promote, discharge, assign, reward or discipline other employees, or responsibility
to direct them, or to adjust their grievances, or to effectively recommend
such action, if, in connection with the foregoing, the exercise of such authority
is not of a merely routine or clerical nature, but requires the use of independent
judgment. . . . Employees whose duties are substantially similar
to those of their subordinates shall not be considered to be supervisory
employees."
User - A subset of Employees or Guests who come to LBNL
as Users at one or more of its various user facilities. They may be LBNL
Employees from other divisions than the user facility, or under a completely
different management structure (other UC, DOE, or private/public enterprises).
Users bring their own scientific work and are responsible for its execution.
While here, they are responsible for understanding and implementing LBNL
safety requirements. They work under the auspices of an LBNL Host who has
varying degrees of Safety Line Management accountability.
Work – Defined broadly to include all LBNL activities
undertaken by Staff, independent of sponsor, program, or location of activities.
Work Lead - A Work Lead is anyone who directs, trains, and/or
oversees the Work and activities of one or more Workers. Work Leads provide
instruction on working safely and the precautions necessary to use equipment
and facilities safely and effectively. Work Leads need not be Line Managers,
HEERA-designated Supervisors, or LBNL Employees.
Worker - Defined broadly to include anyone who performs Work
at or for LBNL.
Applicable standards are listed in Appendix G of the contract between DOE and the University of California. Copies of these standards are available from EH&S.
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Table of Contents || Chapter 2>>
[*]Except locations and personnel under the jurisdiction of the Memorandum of Understanding Between UCB and LBL Concerning Environment, Health and Safety Policies and Procedures, Appendix VI, Policy on Authority for Stopping Unsafe Work at the University of California at Berkeley.