Implementing Management Systems-Based Assessments

A management system approach for evaluating environment, safety, health, and quality is in use at Sandia National Laboratories (SNL). Sandia is a multiprogram laboratory operated by Sandia Corporation, a Lockheed Martin Company, for the United States Department of Energy under contract DE-AC04-94AL85000. As a multi-program national laboratory, SNL has many diverse operations including research, engineering development and applications, production, and central services supporting all activities and operations. Basic research examples include fusion power generation, nuclear reactor experiments, and investigation of combustion processes. Engineering development examples are design, testing, and prototype developments of micro-mechanical systems for safe'~arding computer systems, air bags for automobiles, satellite systems, design of transportation systems for nuclear materials, and systems for use in medical applications such as diagnostics and surgery. Production operations include manufacture of instrumented detection devices, radioisotopes, and replacement parts for previously produced engineered systems. Support services include facilities engineering, construction, and site management, site security, packaging and transportation of hazardous materials wastes, ES&H functional programs to establish requirements and guidance to comply with federal, state, local, and contractual requirements and work safety. In this diverse environment, unlike more traditional single function business units, an integrated consistent management system is not typical. Instead, each type of diverse activity has its own management system designed and distributed around the operations, personnel, customers, and facilities (e.g., hazards involved, security, regulatory requirements, and locations). Laboratory managers are not likely to have experience in the more traditional hierarchical or command and control structures and thus do not share oversight expectations found in centralized management systems. The resulting corporate management system gives the appearance of an assembly of multiple, nearly independent operating units. The executive management system maintains these separate units, encouraging autonomy and creativity by establishing a minimum of requirements and procedures. In any organization, senior management has a responsibility to ensure that all operating units are meeting requirements. Part of this responsibility is fulfilled by conducting oversight or assurance activities, to determine the effectiveness of established systems in meeting requirements and performance expectations. Internal independent assessment is one of these assurance activities. Independent appraisals are combined with external audits and appraisals, self-assessments, peer reviews, project reviews, and other internal and external audits (e.g., financial, contractual) for a more complete assurance view. At SNL, internal independent appraisals are performed by the Audit Center, which reports directly to the Executive Vice President. ES&H independent appraisals are the responsibility of the ES&H and Quality Assessments Department, with a staff complement of eight. With our organization's charter to perform internal, independent appraisals, we set out to develop an approach and associated tools, which would be useful in the overall SNL environment and within our resource limitations