**1040**

**Rev. 10/2007**

**ES&H Assurance Program**

**INTRODUCTION**

Fermilab's ES&H Assurance program has been developed to identify and
address program and performance deficiencies and opportunities for
improvement. It provides the means and requirements to report
deficiencies to responsible line management. It establishes a process to
effectively implement corrective and preventive actions, and to share
lessons learned across the Laboratory.

This chapter describes the system of assessments, event reporting,
worker feedback mechanisms, issues management, lessons learned, and
performance measures that are used to assure that the ES&H systems
established at Fermilab are operating effectively and efficiently. This
program covers environmental, health, safety, and emergency management
systems.

This chapter is intended to be a summary chapter. Detailed information
about the individual elements may be found described in other Fermilab
ES&H Management Chapters. These chapters will be referenced in the body
of this chapter.

**DEFINITIONS**

None.

**RESPONSIBILITIES**

**The Laboratory Director** is responsible for assuring that the ES&H
assurance program is in place and effectively monitoring ES&H systems.

**Division/Section Heads** are responsible for

-   Fully participating in all of the programs that make up the ES&H
    Assurance program.

-   Assuring that personnel assigned to ES&H assurance activities
    possess the experience, knowledge, skills, and abilities to perform
    effectively.

**Director, ES&H** is responsible for:

-   Fully participating in all of the programs that make up the ES&H
    Assurance program.

-   Assuring that personnel assigned to ES&H assurance activities
    possess the experience, knowledge, skills, and abilities, including
    assuring and program specific expertise and training to conduct
    oversight activities ([FESHM
    4010](http://www-esh.fnal.gov/FESHM/4000/4010.pdf)).

-   Forwarding to DOE FSO any identified deficiencies in DOE
    requirements for resolution.

# PROGRAM DESCRIPTION

**Assessments**

ES&H Assessments and other structured operational awareness activities
are all part of Fermilab's ES&H Assurance program Program. The ES&H
assessment program is described in [FESHM
1040](http://www-esh.fnal.gov/FESHM/1000/1040.pdf).1, "ES&H
Self-Assessment Program". Other assessment are described in other
chapters, such as:

-   [FESHM 6015](http://www-esh.fnal.gov/FESHM/6000/6015.pdf), "High
    Protected Risk Inspection Program"

-   [FESHM 8010](http://www-esh.fnal.gov/FESHM/8000/8010.pdf),
    "Environmental Protection Program".

Monitoring and evaluation of subcontractor performance is discussed in

-   [FESHM 7010](http://www-esh.fnal.gov/FESHM/7000/7010.pdf), "ES&H
    Program for Construction -- Fixed Price",

-   [FESHM 7011](http://www-esh.fnal.gov/FESHM/7000/7011.pdf), "ES&H
    Program for Construction -- Time & Materials",

-   [FESHM 7020](http://www-esh.fnal.gov/FESHM/7000/7020.pdf),
    "Subcontractor Safety -- Other Than Construction".

**Incident/Event Reporting and Investigation**

Fermilab's processes for incident/event reporting and investigation
consist of two elements: significant and reportable events, and incident
investigation. The process for identifying, reporting, and investigation
significant and reportable events is found in

-   [FESHM 3010](http://www-esh.fnal.gov/FESHM/3000/3010.pdf),
    "Significant and Reportable Occurrences"

-   [FESHM 3020](http://www-esh.fnal.gov/FESHM/3000/3020.pdf), "Incident
    Investigation"

-   [FESHM 8010](http://www-esh.fnal.gov/FESHM/8000/8010.pdf),
    "Environmental Protection Program"

**Worker Feedback Mechanisms**

There are a variety of worker feedback mechanisms in place at Fermilab.
The hazard analysis process in place requires input by workers,
including employees, experimenters, and subcontractors. These mechanisms
are described in:

-   [FESHM 2060](http://www-esh.fnal.gov/FESHM/2000/2060.pdf), "Work
    Planning and Hazard Analysis",

-   [FESHM 1080](http://www-esh.fnal.gov/FESHM/1000/1080.pdf), "ES&H
    Requirements for Experimenters",

-   [FESHM 7010](http://www-esh.fnal.gov/FESHM/7000/7010.pdf), "ES&H
    Program for Construction -- Fixed Price",

-   [FESHM 7011](http://www-esh.fnal.gov/FESHM/7000/7011.pdf), "ES&H
    Program for Construction -- Time & Materials",

-   [FESHM 7020](http://www-esh.fnal.gov/FESHM/7000/7020.pdf),
    "Subcontractor Safety -- Other Than Construction".

The Fermilab ES&H Manual , including the Fermilab Radiological Control
Manual, are the two documents that define Fermilab's ES&H programs and
management systems. As each chapter for the two manuals are developed or
revised, opportunity for worker feedback is incorporated into the review
process, as described in [FESHM
1050](http://www-esh.fnal.gov/FESHM/1000/1050.pdf), "ES&H Manual
Procedures".

Worker feedback is also made possible through the Laboratory Safety
Committee and its established technical subcommittees. This is described
in [FESHM 1030](http://www-esh.fnal.gov/FESHM/1000/1030.pdf), "ES&H
Organization and Responsibilities". Worker feedback mechanisms are
described in [FESHM 1060](http://www-esh.fnal.gov/FESHM/1000/1060.pdf),
"Fermilab ES&H Concerns Program". This chapter describes the process for
documenting safety concerns or suggestions that would not ordinarily be
raised verbally through the line management. If the author wishes to
remain anonymous, arrangements for accommodating that desire are
described as well. In addition, the DOE resources for reporting concerns
are described as well (Office of Inspector General Hotline -- phone,
fax, e-mail, and postal address).

**Issues Management**

ESHTRK, which is Fermilab's database for managing ES&H issues, including
causal analysis, identification of corrective actions and controls,
corrective action tracking and monitoring, closure of corrective
actions, verification of effectiveness, and trend analysis are described
in

-   [FESHM 1040](http://www-esh.fnal.gov/FESHM/1000/1040.html).1 "ES&H
    Self-Assessment Program",

-   FESHM 1040.2, "ESHTRK Procedures", and

-   FESHM 1040.3 "ESHTRK Procedures, Risk Assessment".

**Dissenting Opinions**

In any instance where there is a dissenting opinion by an assessment or
investigation team member, a minority report is to be created and
submitted up the line management chain, along with the final report. A
copy of both reports shall be submitted to ES&H as well. The
Division/Section Head and the ES&H Director will resolve any dispute
with the team members. If the author of the minority report believes the
issues to still be in dispute, he/she may refer the issue to the
Laboratory Director.

**Lessons Learned**

Fermilab's Lessons Learned program is described in [FESHM
3020](http://www-esh.fnal.gov/FESHM/3000/3020.pdf), "Incident
Investigation". Other references are:

[FESHM 3010](http://www-esh.fnal.gov/FESHM/3000/3010.pdf), "Significant
and Reportable Occurrences"

[FESHM 8010](http://www-esh.fnal.gov/FESHM/8000/8010.pdf),
"Environmental Protection Management"

**Performance Measures**

There are a variety of methods by which Fermilab measures its ES&H
performance. The primary method is the Fermilab Leading/Lagging
Indicator Program, discussed in [FESHM
1040](http://www-esh.fnal.gov/FESHM/1000/1040.html), "ES&H
Self-Assessment Program". This chapter also describes the annual ES&H
self-assignment provided to the Director, which analyzes program and
processes. Quarterly analysis of incidents is performed per [FESHM
3010](http://www-esh.fnal.gov/FESHM/3000/3010.pdf), "Significant and
Reportable Occurrences".