# Presentation: 076974

## Physics Department Management Review

*Ron Gill*
*Mike Zarcone*
*January 2, 2008*

## ESSH Self-Evaluation

-       The Physics Department has embraced the 5 core functions of Integrated Safety Management (ISM) in its conduct of work planning and control for operations and experiments. The Experimental Safety Review Form is organized into sections that are aligned with the 5 core functions – Define the scope of the Work, Identify the Hazards, Develop Controls for the Hazards, Work Within the Approved Safety Envelope, and Provide Feedback to improve or fine tune the processes.

## 7 GUIDING PRINCIPLES OF INTEGRATED SAFETY MANAGEMENT ...AND HOW THE PHYSICS DEPARTMENT IMPLEMENTS THEM

_**Line Management Responsibility for ESSH.**_
- Responsibilities are well documented (Physics Department Policies, SBMS, etc.)
- Weekly Management discussion of safety as first item
- Group Leader involvement in any incident/accident investigation
- Department Management and Group Leader participation in Tier I Inspections
- Department Line Management participation in Safety Observations
- Department Chair directs Group Leaders to appoint a Group Safety Coordinator, and Group Leaders allow that person to spend time on ESSH issues

_**Clear Roles and Responsibilities**_
- All employees have R2A2s
- Safety Responsibilities well defined by Department Policies
- JTAs reviewed annually or as jobs change
_**Competence Commensurate with Responsibilities**_
- Authorized Worker Lists
- Users receive hands-on training (where applicable)
- Workers are required to read and sign ESR or Work Permit

## 7 GUIDING PRINCIPLES OF INTEGRATED SAFETY MANAGEMENT ...AND HOW THE PHYSICS DEPARTMENT IMPLEMENTS THEM

_**Balanced Priorities: on the grand scale, are the hazards being appropriately addressed?**_
- The Department does address the hazards associated with work and recognizes its need to allocate resources to address safety, through its programs and operations.
- Job Risk Assessments are used to evaluate hazards or risks
_**Identification of ESH Standards and Requirements **_
- The Department follows the SBMS for all the standards and requirements it operates under.

_**Hazard Controls Tailored to Work Being Performed**_
- The Department has comprehensive SOPs and ESRs that list and describe all the hazards and provide controls for each. This is a dynamic system that changes with feedback or as experiments evolve.

## 7 GUIDING PRINCIPLES OF INTEGRATED SAFETY MANAGEMENT ...AND HOW THE PHYSICS DEPARTMENT IMPLEMENTS THEM

_**Operations Authorization **_
- For the User
- Comprehensive Check-in procedures and forms
- Site specific training by PIs (or his designee) is an individual training providing an excellent platform for interaction and evaluation of competence.
- Authorized User Lists (Electrical Workers, LO/TO, Laser Operators, ATF Linac Operators, Modulator Operators, Machine Shops, Material Handlers, MPMS, Rotating Anode)
- For the Experimental Laboratory
- ESR or Work Permit that is comprehensive
- For the ATF
- ATF Specific training
- SAD, ASE, COO, ATF Procedures

## Details of the Assessment

- Who?
- ESSH Committee and Line Management
- Input was solicited from Group Leaders and all members of the Department

- Reviewers
- The draft was distributed to the ESSH Committee, Group Leaders, Group Safety Coordinators, and Line Management

## Areas Assessed

- Communications
- Training
- Leadership
- Tier I Inspection Program
- 10CFR851 Violations
- Industrial Hygiene Monitoring
- ESSH Committee and Work Planning
- Security
- Cyber Security

- Accident and Incident Management
- Corrective Action Management
- Accelerator Test Facility (ATF) issues
- Memoranda of Understanding (MOUs)
- Group Safety Coordinator (GSC) Program
- Environmental Performance
- Summer Student Monitoring Program
- Safety Observations.

## Communications – Line Management

- Line Management Commitment
- Discussion and review of ESSH topics at each Department Administration Meeting (usually weekly), Department Group Leader Meetings, Department Group Meetings, and at Department “All Hands” Meetings. These meetings have been enhanced with an increased safety focus, with a goal of reaching every employee.  The meetings included safety issues as a principal component of discussion, always first.
- The Physics Department continues to disseminate the ESH&Q monthly newsletter to all personnel. In addition information on accidents, recalls of products, timely safety messages, and lessons learned were also distributed.
- Group Leaders’ Commitment
- To provide their personnel a safe working environment and encourage communication in their group meetings. Groups meet at different frequencies depending on the nature of their work. The following have been reported by Group Leaders for this self-evaluation.

- The _**Electronic Detector Group**_ has weekly meetings with safety as the first item on their agenda. They discuss the ESH&Q Monthly Newsletter, go over ORPS reports, and have discussions about their various ESRs. This group is taking the primary responsibility for developing safety policies for the Daya Bay project with Ralph Brown as chief engineer and Dana Beavis as the US Project Safety Officer.
- The _**PHENIX Group**_ has group meetings the first and third Thursdays of the month for scientific staff. The first topic on the agenda is safety. Additionally, the PHENIX technical support team has weekly meetings to discuss safety, work planning, and jobs for the upcoming week. This includes all technicians, engineers, scientific associates, and PHENIX physicists involved in operations.
- The _**Heavy Ion Research Group**_ held three group meetings with safety as a topic. There have also been work planning meetings where safety issues related to the decommissioning of parts of the BRAHMS Experiment.

## Communications – Group Leaders

- The _**Physics Applications Software Group**_ holds weekly meetings where safety is discussed as relevant to computer engineers and scientists.
- The _**RHIC Computing Facility Group**_ holds weekly group meetings that include safety and cyber security.
- The _**Accelerator Test Facility Group**_ has engineering meetings each Monday morning to discuss safety related to the ATF (any corrective actions related to ATF, interlock work, documentation, rack grounding, etc.), and Friday meetings where safety is also discussed.
- The _**STAR Group**_ holds weekly Thursday meetings during the shutdown periods to discuss the work that needs to be done, (Work planning including the safety issues involved) and has general discussions of safety.
- The _**LEGS Group**_ meets biweekly where safety is always a topic.
- The _**Advanced Accelerator Group**_ has roughly 2 group meetings per year where safety is discussed. Most of the group’s work is computer based.
- The _**OMEGA Group**_ does not have group meetings. The scientist in charge of the technicians who are involved in laboratory setups works individually or in small groups with the technicians where safety as applicable is discussed on roughly a monthly basis.
- The _**Medium Energy (RHIC Spin) Group**_ encompasses three working sub-groups: STAR, PHENIX, Polarimetry.  The STAR subgroup discusses safety regularly in its weekly work planning meetings.  The Polarimetry subgroup meets as needed, and safety is included in the work planning.  The PHENIX subgroup includes safety discussion and training in preparation for shift duties.

## TRAINING

- The Physics Department maintained a level of 97% of required training completed for employees and 91% for guests as of 9/30/07
- All employees and long term guests received and reviewed their JTAs.
- Cyber, physical, and personal identity security issues received much attention across the laboratory this year. Physics Department employees and guests participated in the lab-wide stand-downs last October and completed the required training.
- The ESH Officer performs monthly training database and ESR audits of all ATF staff and experimenters. He also gives the Department specific training in addition to the ATF Facility training.
- Another area of emphasis and training was for CPR. Although it is a requirement for our authorized electrical workers, roughly 20% of our 250 employees are now trained and are able to use our new AED (Automated External Defibrillator).
- The Manager of ESSH&T Programs is now a trained Facilitator for Fact Finding, Human Performance Improvement, and for several types of Causal Analysis. The ESSH Committee Chair is also a trained Facilitator.

## LEADERSHIP

- The Physics Department has representation on SBMS Subject Area Development Groups
- Howard Gordon - (U.S. Atlas Project) **conducted a safety stand-down at CERN in October 2006 after a near miss in the ATLAS Cavern.** This was attended by about 200 people from the four LHC experiments including safety managers from CERN, some DOE staff who were visiting CERN and some of whom attended by phone. Additionally, Howard arranged and accompanied Jim Tarpinian (ALD ESH&Q Directorate, BNL), and Bill Griffing (Fermilab) on a tour of ATLAS in December 2006 for the purpose of learning about the safety procedures and issues. Finally, Howard hosted a visit of Head of Safety from CERN - Maurizio Bona to discuss safety at BNL and CERN.
- Cyber security issues are now included in our weekly Management Meeting with two of our Cyber security representatives, Brett Viren and Tom Throwe attending and giving weekly updates. The Department demonstrates leadership as Tom Throwe was the former head and Martin Purschke is the current head of CSAC (Cyber Security Advisory Council). Michael Ernst is also a member of CSAC. Additionally, the Physics Department makes up approximately one-third of the Cyber Security Policy Working Group (Brett Viren, Jerome Lauret, Martin Purschke, and Tom Throwe) with one-third from ITD, and the remainder from other BNL Departments.
- Ron Gill has developed an ‘on-line’ ESR form that has wide support in other small science departments and will be available lab-wide this year. This form is very beneficial to the principal investigator as it guides them to including more appropriate text and informational links.

## Members of Physics Department who are involved in departmental and laboratory safety committees or SBMS Subject Areas:

- Marcus Babzien - **Laser Safety Committee**
- Dana Beavis, - **Chair, C-AD Radiation Safety Committee, C-AD Experimental Safety Committee, Laboratory ES&H Committee, Ad hoc Committee to review NSLSII shielding and interlocks, Daya Bay Safety Officer**
- Ron Gill, ESH Coordinator - **Laboratory ES&H Committee, Working with Chemicals Working Group, Small Science Working Group, Physics Department ESSH Committee**
- Brant Johnson - **ESSH Committee Chair -BNL Director's Safety Committee, PAAA Committee, PPE Working Group**
- Karl Kusche - **ESSH Officer at the ATF, Public Access AED SBMS Subject Area, Group Safety Coordinator**
- Tom Muller – **BNL Envoy, PPM Committee, Physics Department’s ESSH Committee**
- Mike Zarcone – **Event Categorizer (ORPS),** **Training & Qualifications Steering Committee, Laser Safety Committee, Operations Forum, Radiation Protection Working Group, PPE Working Group, Physics Department’s ESSH Committee.**

## TIER I Program

**TIER I Program**

- No situations involving 'imminent danger' were discovered. As can be seen from the chart, Housekeeping, Working Environment Plant (lighting), Electrical Safety Distribution (daisy chaining, blocked breaker panels),  and machine shop issues (guards and magnetic anti-startup devices) make up 2/3 of the issues. Corrective Actions were assigned and tracked to completion. Responses to the corrective actions were timely. Participation was good with Department Chair, Associate Chairs, ESSH Committee Chair and members, PIs, Group Leaders, and Group Safety Coordinator participation.

## Industrial Hygiene Monitoring

- The Physics Department has relatively few high hazard processes that require active IH monitoring. Our occasional small scale soldering operations were not believed to warrant much attention but this turns out not to be the case. In preparation for some lab cleanups we sampled various areas for heavy metals (lead, cadmium, chromium, and beryllium) and found that there is legacy contamination in many of our laboratories due mostly to use of lead, past machining of metals, and target and experimental preparations.
- Additionally, we had discussions with the Group Safety Coordinators and other groups about personal hygiene regarding eating and drinking in areas where soldering operations occur.

## ESSH Committee and Work Planning

- The Committee reviewed and approved all ESRs that were brought to it this year. Work Permits have been updated in the Department for Machine Shops, Winding Machines, and the routine work performed by staff at the ATF and the Rotating Anode.
- All Department Policies and procedures were reviewed. Some were combined, some deleted, and some reissued.
- Whole body exposures continue to be very low with a total cumulative exposure of 24 mRem for the entire year. This has been the case for the last 5 years where the annual exposures in mRem were 0, 56, 50, and 33 for the years 2006, 2005, 2004, and 2003 respectively. Doses at the ATF for the complex continue to remain below 100 mRem as seen on the area monitors.
- Summer students continue to receive additional monitoring as the ESH Coordinators and Building Manager drop in on students in labs and discuss safety issues as necessary.

## Security Issues

- To date, no new issues have been identified that need attention. Security issues and information are presented at All Hands meetings.
- The Physics Department is in compliance with all SECON security requirements. In particular, all laboratory and office doors are locked outside of working hours.* *Noncompliance reports (doors left open) have been given to the Department Chair and Group Leaders of the responsible individuals. There were 6 unsecured doors found in Physics Department buildings this fiscal year most due to lock problems that were repaired.

## Cyber Security

- Cyber security received a greater emphasis this year and the Physics Department has done it part to satisfy the concerns of the DOE. Department personnel participated in the dual stand downs for cyber security and personal identifiable information. Cyber security issues are now included in our weekly Management Meeting with two of our Cyber security representatives attending.
- All computers in the Department have had password protected screensavers activated, DOE login banners installed, all computers with Windows based operating systems have been added to the BNL Domain, and all UNIX systems have had the Ordo host-based scanner installed. The Department continues to respond to the monthly network-based scan results for vulnerabilities (<=3% of the approximately 1000 computers). Nessus network scanner findings are not always addressed promptly.  We have started a weekly "list of shame" sent out to the computer liaisons showing systems and their administrators that have open findings.
- Finally, the Physics Department is being progressive in the area of encryption of laptops as the DOE is pressuring to make all laptop disks use encryption. Physics is proactively testing forms of encryption in order to assure we can comply with out negatively impacting our work.

## Accident/Incident Management

- There were five incidents/accidents for the fiscal year 2007 as compared to four in 2006, three in 2005, four in 2004, ten in 2003, and three each in 2002 and 2001. There were two ORPS and no PAAA violations.
- They were:
- Employee using a screwdriver lacerated thumb (Recordable)
- Employee descending a ladder slipped on 3rd rung (DART – Recordable)
- Employee was descending ladder was lacerated on forearm (First Aid)
- Employee walking on grass fractured ankle (DART – Recordable – ORPS)
- Laser status indicators not functioning (ORPS)
- There were no definite trends noted for these incidents although consistent with BNL statistics for trips, falls, and office accidents. These incidents were discussed with the Department at All Hands meetings and with the GSCs.

## Accident/Incident Management

- The 2007 DART was 0.80 (per 200,000 hours worked) due to an employee fracturing her ankle and the other one where an employee descending a ladder slipped and injured his leg. The TRC rate is 1.2 per 200,000 hours worked (the two DART cases plus one other).

## Corrective Action Management

- This year we had the opportunity to review some of the corrective actions that were generated in 2003 in response to a PAAA violation (NTS-CH-BNL-2003-0001). Of the 20 corrective actions generated, all but one was found to be completed and effective. This review was conducted by the Office of Independent oversight working with the Physics Department. The one corrective action that had not been fully implemented related to the filling out of a checklist. The checklists are reviewed quarterly by the ESH Officer and the Manager of ESSH&T Programs. If any items were not complete and are related to safety, an incident report will be generated.

## Accelerator Test Facility Issues

- The ATF underwent a “Work Observation by Senior Management” during a shutdown period in June 2006. This involved a walkthrough by DOE and BNL personnel, reviews of procedures, postings, work spaces, and interviews with relevant personnel. The ATF did exceptionally well with one finding, and one recommendation for improvement. These were implemented in 2007 with changes to the Safety Analysis Document (reviewed by the Laboratory ES&H Committee) and the Conduct of Operations
- The dose to the area monitors was reviewed quarterly. The only concern was two areas that may reach 100 mR in a year requiring a higher level of posting. Documentation establishing one of these areas as a low occupancy area was completed. The other area is in an interlocked room, generally unoccupied when the beam is on, and presents no hazard to the public. As effort to map the radiological footprint in this area was conducted and found to be confined to a small area where there is no occupancy. It is noted that all TLDs of personnel at the ATF have no recorded dose.
- Shielding calculations were developed for a new x-band klystron, were reviewed by the Radiological Controls Group, and approved.
- The laser interlocks were replaced by the Interlock Controls Group from the Collider Accelerator Department this year. During the replacement it was found that the previous interlock controls did not include the laser status indicators and some of the drawings were not completely accurate. Although no one was ever injured, the potential for injury existed and this was reported as a management concern and documented as an ORPS.

## MOUs

- There were eight Memorandums of Understanding that were reviewed, updated, combined, dropped, or generated. These MOU establish the responsibilities for Work Planning and Control of Experiments and Tier I Inspections. They are:
- 	MOU with C-AD for Physics Personnel working in C-AD space 	(combined 3 into 1)
- 	MOUs (2) with ITD for our use of Building 515
- 	MOUs (2) with the CMPMS Department for their use of Building 	510 space
- A new MOU was established this year between the Central Fabrication Services Division and the Physics Department for their satellite shop in our building.

## GSC Program

- The GSCs were again involved as members of teams reviewing Job Risk Assessments. A 'Thank-You' luncheon and meeting was held in September. Amber Aponte, Ken Asselta, Ed Baker, Marcy Chaloupka, Joseph Cracco, Susan Duffin, Ron Gill, Harold Kirk, Karl Kusche, John Riordan, Sean Stoll, and our colleagues from the CMPMS Department - Robert Konik, Al Langhorn, Fran Loeb, Bill Schoenig, and Ed Stein.
- The discussions and interaction of this group remain productive each year. There is more feedback and discussion of items on the agenda and other issues are brought up by GSCs. This is in contrast to a few years ago when there was little or no response from the GSCs.
- One area of concern is the number of GSCs at the meetings. This past year we only had one. We need to schedule meetings where more frequently and when more GSCs are able to attend.

## Safety Observations

- Safety Observations are performed monthly by the ALD for NPP, E. Lessard (C-AD) and M. Zarcone. Other line managers from C-AD, PO, and IO attend as required.
- These observations have shown to be useful in creating a safety dialog between workers and upper management.
- Real time vulnerabilities have resulted in increased awareness  of the adequacy of policies and the degree of compliance.

## Safety Observations

- Procedures
- Researcher was eating lunch in one portion of the lab. Stated he keeps food separate from area where hazardous materials are.
- Researcher is organizationally from Medical Department. Expiration of training would not be flagged in PO
- Observers concerned that troubleshooting station was set up next to mechanical technician w/o a review of the work or consideration of the proximity to the technician. Technician was not concerned as he “trusted” the other workers. The supervisor of the technician was also unaware of the setup.
- There may be a conflict of interest in the Duty operator performing a sweep for himself, keeping his own people in the experimental hall.
- NRTL check of equipment
- Circuit breaker on wall is behind equipment – is it permissible or needs to be moved?
- Laser operator turned on laser without fulfilling entrance requirement to ‘log in’.
- Access to some electrical boxes does not have the required OSHA clearance.
- Tools & Equipment
- Found a built-in bench in front of circuit breaker box.
- Power strip daisy chained into another power strip.
- Drop cord from ceiling – is it temporary wiring or permanent?
- Found a built-in bench in front of circuit breaker box.
- Power strip for heating tapes is being controlled through a Variac – is it permitted?
- There may be fire hazard issues

## Completed Recommendations/Goals for FY 2007

- More emphasis on experimental work that includes field observations, ESR, and laser SOP signature audits.
- Work for a smooth transition for CMPMS Department eventual take over of all their safety and Tier I responsibilities from the Physics Department that leaves no gaps or lapses in ESSH or other programs.
- The Physics Department will improve its Corrective Action Management by reviewing more of its corrective actions 12-18 months after closure to evaluate their effectiveness.
- Prepare Department for 10CFR851 Rule.
- Prepare Department for ISM Audit.

## Recommendations/Goals for FY 2008

- Reduce the number of machines in the Physics Department’s machine shops
- Reduce the number of machines in the Central Fabrication Division’s satellite shop
- Re-arrange the machines in the CS satellite shop to move them away from the breakers and switches
- Provide magnetic anti-restart devices or signs for all our remaining machines
- Evaluate and approve at least 50% of the electronic equipment as a NRTL goal
- Sample and clean at least 2 labs for heavy metal contamination
- Convert most of the ESRs to the on-line form
- Increase the number of GSC meetings to 2 or 3 this year. Conduct a Meeting where the main topic is PPE – especially for machine shops with proper eyewear and for using gloves when using sharps
- Some computer systems are lacking responsible system administrators (SA). We are instituting a list of "official SAs" and assuring that every system is administered by someone on the list.
-  We will have all our laptops with property passes are encrypted and will work to get encryption on many of the others
- Longer term, ITD is pressuring to centralize the administration of all Unix systems.  We must either show that our systems already meet the goals of this centralizing project or we must install their centralization tools.
- Remove >50% of spray cans in labs with the focus on those that will not be used in the next year