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U.S. Department of Energy POLICY
Washington, D.C. DOE P 450.4
10-15-96

SUBJECT: SAFETY MANAGEMENT SYSTEM POLICY

PURPOSE AND SCOPE

Safety Management Systems provide a formal, organized process whereby people plan, perform,
assess, and improve the safe conduct of work. The Safety Management System is
institutionalized through Department of Energy (DOE) directives and contracts to establish the
Department-wide safety management objective, guiding principles, and functions.

The system encompasses all levels of activities and documentation related to safety management
throughout the DOE complex. The objective of this policy is achieved by other means for Naval
Reactors (Naval Nuclear Propulsion Program).

Throughout this policy statement, the term safety is used synonymously with environment, safety
and health (ES&H) to encompass protection of the public, the workers, and the environment.

POLICY

The Department is committed to conducting work efficiently and in a manner that ensures
protection of workers, the public and the environment. It is Department policy that safety
management systems described herein shall be used to systematically integrate safety into
management and work practices at all levels so that missions are accomplished while protecting
the public, the worker, and the environment. Direct involvement of workers during the
development and implementation of safety management systems is essential for their success.

The DOE safety management system establishes a hierarchy of components (see figure 1) to
facilitate the orderly development and implementation of safety management throughout the DOE
complex. The safety management system consists of six components: 1) the objective, 2) guiding
principles, 3) core functions, 4) mechanisms, 5) responsibilities, and 6) implementation. The
objective, guiding principles, and core functions of safety management identified below shall be
used consistently in implementing safety management throughout the DOE complex. The
mechanisms, responsibilities, and implementation components are established for all work and will
vary based on the nature and hazard of the work being performed.COMPONENT 1 Objective of Integrated Safety Management

The Department and Contractors must systematically integrate safety into management and work
practices at all levels so that missions are accomplished while protecting the public, the worker,
and the environment. This is to be accomplished through effective integration of safety
management into all facets of work planning and execution. In other words, the overall
management of safety functions and activities becomes an integral part of mission
accomplishment.

COMPONENT 2 Guiding Principles for Integrated Safety Management

The guiding principles are the fundamental policies that guide Department and contractor
actions, from development of safety directives to performance of work.

Line Management Responsibility for Safety. Line management is directly responsible for the
protection of the public, the workers, and the environment. As a complement to line management,
the Department's Office of Environment, Safety and Health provides safety policy, enforcement,
and independent oversight functions.

Clear Roles and Responsibilities. Clear and unambiguous lines of authority and responsibility
for ensuring safety shall be established and maintained at all organizational levels within the
Department and its contractors.

Competence Commensurate with Responsibilities. Personnel shall possess the experience,
knowledge, skills, and abilities that are necessary to discharge their responsibilities.

Balanced Priorities. Resources shall be effectively allocated to address safety, programmatic,
and operational considerations. Protecting the public, the workers, and the environment shall be
a priority whenever activities are planned and performed.

Identification of Safety Standards and Requirements. Before work is performed, the associated
hazards shall be evaluated and an agreed-upon set of safety standards and requirements shall be
established which, if properly implemented, will provide adequate assurance that the public, the
workers, and the environment are protected from adverse consequences.

Hazard Controls Tailored to Work Being Performed. Administrative and engineering controls to
prevent and mitigate hazards shall be tailored to the work being performed and associated
hazards.

Operations Authorization. The conditions and requirements to be satisfied for operations to be
initiated and conducted shall be clearly established and agreed-upon.

COMPONENT 3 - Core Functions for Integrated Safety Management

These five core safety management functions provide the necessary structure for any work activity
that could potentially affect the public, the workers, and the environment. The functions are
applied as a continuous cycle with the degree of rigor appropriate to address the type of work
activity and the hazards involved.

Define the Scope of Work. Missions are translated into work, expectations are set, tasks are
identified and prioritized, and resources are allocated.

Analyze the Hazards. Hazards associated with the work are identified, analyzed and categorized.

Develop and Implement Hazard Controls. Applicable standards and requirements are identified
and agreed-upon, controls to prevent/mitigate hazards are identified, the safety envelope is
established, and controls are implemented.

Perform Work within Controls. Readiness is confirmed and work is performed safely.

Provide Feedback and Continuous Improvement. Feedback information on the adequacy of
controls is gathered , opportunities for improving the definition and planning of work are
identified and implemented, line and independent oversight is conducted, and, if necessary,
regulatory enforcement actions occur.

COMPONENT 4 Integrated Safety Management - Mechanisms

Safety Mechanisms define how the core safety management functions are performed. The
mechanisms may vary from facility to facility and from activity to activity based on the hazards
and the work being performed and may include:

Departmental expectations expressed through directives (policy, rules, orders, notices, standards,
and guidance) and contract clauses.

Directives on identifying and analyzing hazards and performing safety analyses.

Directives which establish processes to be used in setting safety standards.

Contractor policies, procedures and documents (e.g., Health and Safety Plans, Safety Analysis
Reports, Chemical Hygiene Plans, Process Hazard Analyses) established to implement safety
management and fulfill commitments made to the Department.

COMPONENT 5 Responsibilities for Integrated Safety Management

Responsibilities must be clearly defined in documents appropriate to the activity. DOE
responsibilities are defined in Department directives. Contractor responsibilities are detailed in
contracts, regulations and contractor-specific procedures. For each management mechanism
employed to satisfy a safety management principle or function, the associated approval authority
needs to be established. The review and approval levels may vary commensurate with the type of
work and the hazards involved.

COMPONENT 6 Implementation of Integrated Safety Management

Implementation involves specific instances of work definition and planning, hazards
identifications and analysis, definition and implementation of hazard controls, performance of
work, developing and implementing operating procedures, and monitoring and assessing
performance for improvement.

HAZEL R. O'LEARY
Secretary of Energy