Chapter 1
General Policy and Responsibilities

Approved by Douglas Fleming
Revised 06/10

Work Process N. Management Approval Process

The table below provides the level of management approval required for a new or revised ES&H program.

Note 1: Input from the Safety Advisory Committee (SAC) is required for Significance Level 3. SAC input is optional for Significance Levels 1 and 2.

Note 2: LBNL senior management may direct levels of involvement beyond those indicated in this table if warranted by the situation, e.g., LBNL Director may direct the involvement of an ES&H Coordinating Committee for a Significance Level 3 program change if deemed necessary.

WORK PROCESS O. GUIDANCE FOR DEVELOPMENT OF PROGRAM DOCUMENTATION

The SME develops a detailed draft program, necessary procedures and tools, and an implementation plan. The SME will:

1. Draft a PUB-3000 appendix;
2. Identify and develop tools (forms, etc.) needed;
3. Prepare or revise training;
4. Prepare the implementation approach. NOTE: The higher the Significance Level, the more detailed the implementation approach should be. At the highest Significance Level, a detailed project plan to fully lay out all steps necessary to implement the change or new program may be necessary. Some considerations:
1. How will this program be rolled out to the divisions?
2. How will this program be rolled out at safety meetings or other division meetings?
3. Will there be a stepwise implementation?
4. Will all divisions need to follow the same schedule, or can the new program be rolled out division by division?

WORK PROCESS P. TESTING

Testing the program is necessary for Subject Matter Experts (SMEs) to determine whether high Significance Level changes can and will be implemented as intended, and to provide another opportunity for user feedback before the program is implemented across the entire Laboratory. Before initiating a test of a new or revised program, the SME should develop a test plan (and/or obtain a waiver if an existing program is in place) to allow the test to proceed.

1. Find stakeholder volunteers for program implementation (alpha test).
1. Test program implementation with volunteers.
2. Get feedback/listen. Make appropriate adjustments.
3. Finish implementation of alpha test volunteers.
2. Find volunteers for beta test.
1.  Test program implementation with beta test volunteers.
2. Get feedback/listen. Make appropriate adjustments.
3. Finish implementation of beta test volunteers.

Guidance for Testing Program Implementation

Directly observe users as they attempt to follow directions or procedures, and use forms or tools provided.

Consider the following questions:

• Were instructions understood and followed as expected? Did the users ask for clarification? Could they follow the process in the preferred order?
• Were the users confused by any of the instructions, forms, or tools? What could be done to make the instructions, forms, or tools more clear?
• Did the users understand how to apply any guidance provided?
• Was the outcome of the process as expected?
• What worked? What did not work? Why or why not?

WORK PROCESS Q. RECORDS

Records Created

The following records are created:

• Memo for EH&S Division Director approval of Significance Level 2 and 3 changes
• Gap analysis
• Significance Level determination
• Communications plan
• Benchmarking study
• User input with resolutions or alternative approaches
• Cost-benefit analysis
• Selected approach
• Implementation plan
• Pilot study results
• Implementation Plan and PUB-3000 chapter revision/approvals

Retention of Records

• Records will be provided to the PUB-3000 Manager and are maintained as an element of the change to PUB-3000 or any document or system referenced by PUB-3000.

Records Care and Maintenance

• Records are retained by the Creative Services Office under contract to the EH&S Division.

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