Performance Analysis: ITS Data through September 30, 2009

Kerr, C E

关键词: COMPLIANCE;    ENFORCEMENT;    FUNCTIONALS;    IMPLEMENTATION;    LAWRENCE LIVERMORE NATIONAL LABORATORY;    MANAGEMENT;    PERFORMANCE;    RADIATION PROTECTION;    SAFETY;    SECURITY;    SWITCHES;   

DOI  :  10.2172/972120
RP-ID  :  LLNL-TR-421214
PID  :  OSTI ID: 972120
Others  :  TRN: US201006%%889

学科分类：社会科学、人文和艺术（综合）

美国|英语

来源: SciTech Connect

【 摘 要 】

Data from ITS was analyzed to understand the issues at LLNL and to identify issues that may require additional management attention and these that meet the threshold for reporting to the DOE Noncompliance Tracking System (NTS). In this report we discuss assessments and issues entered in ITS and compare the number and type presently entered in ITS to previous time periods. Issues reported in ITS were evaluated and discussed. The analysis identified two noncompliances that meet the threshold for reporting to the DOE NTS. All of the data in ITS is analyzed; however, the primary focus of this report is to meet requirements for performance analysis of specific functional areas. The DOE Office of Enforcement expects LLNL to 'implement comprehensive management and independent assessments that are effective in identifying deficiencies and broader problems in safety and security programs, as well as opportunities for continuous improvement within the organization' and to 'regularly perform assessments to evaluate implementation of the contractor's's processes for screening and internal reporting.' LLNL has a self-assessment program, described in the document applicable during this time period, ES&H Manual Document 4.1, that includes line, management and independent assessments. LLNL also has in place a process to identify and report deficiencies of nuclear, worker safety and health and security requirements. In addition, the DOE Office of Enforcement expects that 'issues management databases are used to identify adverse trends, dominant problem areas, and potential repetitive events or conditions' (page 15, DOE Enforcement Process Overview, June 2009). LLNL requires that all worker safety and health and nuclear safety noncompliances be tracked as 'deficiencies' in the LLNL Issues Tracking System (ITS). Data from the ITS are analyzed for worker safety and health (WSH) and nuclear safety noncompliances that may meet the threshold for reporting to the DOE Noncompliance Tracking System (NTS). This report meets the expectations defined by the DOE Office of Enforcement to evaluate implementation of internal processes for screening and reporting, review the assessments conducted by LLNL, analyze the noncompliances found in these assessments, and evaluate the data in the ITS database to identify adverse trends, dominant problem areas, and potential repetitive events or conditions. The report attempts to answer three questions: (1) Is LLNL evaluating its programs and state of compliance; (2) What is LLNL finding; and (3) Is LLNL appropriately managing what it finds? The results from analyzing the deficiencies are presented in accordance with the two primary NTS reporting thresholds for WSH and nuclear safety noncompliances: (1) those related to certain events or conditions and (2) those that are management issues. In addition, WSH noncompliances were also analyzed to determine if any fell under the 'other significant condition' threshold. This report identifies deficiencies that meet the criteria for reporting to the DOE NTS; topics and subtopics that should remain under observation because the number of entries meets the test criteria or because of management concern; and topics and subtopics that are determined to no longer require observation. Topics and subtopics that are identified for continued observation are placed on a 'watch list.' The purpose of the watch list is for the Performance Analysis and Reporting Section (PARS) of the Contactor Assurance Office to analyze these topics and subtopics in future performance analysis reports.