University of transport technology 3m impact team collaboration to develop a comprehensive lab management and process improvement plan for university labs

1.1.2 Inspection and ReviewAnother essential piece of the foundation of lab management is the continuous review of labs, equipment, safety, procedures, and qualifications of the staff..

University of Transport 3M Impact Team Collaboration to Develop a Comprehensive Lab

Technology-Management and Process

Improvement Plan for University

Labs

Prepared by:

The 3M Impact UTT Team

Michael Cubillas Jennifer Hamilton

Hao Ju Chris Krohe

Table of Contents

Introduction 3

1 Overview of Lab Management Structure 3

1.1 The foundation of lab management 3

1.2 The pillars of Lab Management 4

2 Lab Best Practices 5

2.1 Information and Documentation 6

2.2 Organization 7

2.3 EHS 7

2.4 Facility 9

2.5 Equipment 9

3 Opportunities for Civil Engineering Department Labs 11

3.1 Environmental Technology 11

3.2 Construction Testing 21

3.3 Construction Surveying 24

On October 2, 2017 the University of Transport Technology and 3M Impact team members began the collaborative effort to strengthen and enhance the Lab Management structure for the laboratories at UTT The following report is a

narrative to accompany the presentation provided by 3M Team to UTT faculty on October 11, 2017

1 Overview of Lab Management Structure

Lab Management at 3M has been evolving, growing, and adapting as the company has grown and changed since it began 115 years ago From the

beginning, the 3M laboratories that create new products, develop solutions to solve problems, and generate data have continually become safer, stronger, and more robust The overall approach to Lab Management at 3M is continuously reviewed, updated and improved

The methods that 3M uses for its Lab Management system are not unique to 3M In fact, the 3M Lab Management system shares many common features with other leading organizations such as the World Health Organization (WHO),

Occupational Health and Safety Administration (OSHA), and ISO The US has many standards that are set by scientific communities just as in Vietnam The shared responsibility for quality lab management belongs to all of us – from faculty at UTT

to the organizations responsible for setting local and international standards like ASTM and the Standards, Metrology and Quality of Viet Nam (STAMEQ) There is no one best way to ensure lab quality standards but all lab quality systems share a fewsimilar features – which we refer to as the “foundation” and “pillars” of lab

The success of the lab management structure at 3M is the responsibility of allemployees from the most senior leaders to the newest employees The leaders provide the necessary support The ability for 3M to create new products, develop research platforms and strengthen its growth is due to the quality of the

laboratories Like 3M, UTT has immense potential to influence research and

development and create solutions to problems Laboratories are the heart of

innovation in any research institution

1.1.2 Inspection and Review

Another essential piece of the foundation of lab management is the

continuous review of labs, equipment, safety, procedures, and qualifications of the staff Whenever a problem is identified steps are taken to resolve the issue Each lab manager has a key role in evaluating how well the lab is functioning, identifying what is working well and what needs to be improved The process of committing to

a regular schedule of inspection and reviewing the findings is essential to a system

The three keys to a solid foundation for lab quality management are

Leadership Commitment, Inspection and Review, and Continuous Improvement

1.2 The pillars of Lab Management

There are many elements to Lab Management but not all the elements are necessary depending on the type of laboratories to be managed For example, laboratories for medical diagnosis require additional safety consideration that may not be relevant for other labs The following five elements – or pillars – are essential

to any Lab Quality Management system

1.2.1 Information Management

The first pillar is Information Management and it describes the process by which information is shared among employees, evaluated, and stored It includes everyday items like meeting minutes to the standard operating procedures used to ensure consistency and reliability of methods, practices, and outcomes It can also refer to data that is generated by research and testing and how data is handled, analyzed, and stored Information management can be paper or electronic format Quality management of documents and information allows for easy access to

approved materials so that all users follow the same procedures

1.2.2 Organization

The second pillar is the human resources of the organization It establishes a visual representation of the operational structure and identifies the responsible departments and individuals The organization is comprised of qualified leaders, managers, and staff who have unique and shared responsibilities For example, all members of the organization share responsibility for quality and safety The

organization operates and collaborates across departments and functions which is expressed through the organization chart as well as documents and procedures

The many talented faculty can play a significant role in the continued growth and development of UTT’s quality management system The rate of growth at UTT demonstrates that lab quality standards are essential for continued success The labquality management system used by 3M is not the only available system 3M is a company built on innovation on solid scientific foundation This is a characteristic that is embodied by all levels of 3M’s leadership A company founded on science is dependent upon the strength of its labs UTT is on a rapid path of accelerated

growth The next graduating class will continue to represent the University long after it has left the campus The key to the entire organization and at the heart of the lab quality system is the commitment of the leaders to lab safety and quality

1.2.3 EHS (Environment, Health, and Safety)

The environment, health, and safety is the center pillar in the lab quality system Establishing a safety officer or team to regularly review practices, collect findings, and recommend safety procedures, is a critical piece of maintaining high quality labs The role of safety officer is one that may be shared across all

laboratories by rotating the owner of the role on a monthly or quarterly basis The environment of the labs includes the recommended safety equipment and room considerations for temperature and humidity (depending on the equipment) The environment also refers to keeping the room conditions appropriate for the

chemicals that are used in a lab Environmental considerations also include the impact of the laboratory on the outside environment, so using filters and ensuring recommended air exchanges is important for both the interior and exterior of the lab

The health of the employees is essential to the quality of the laboratories Using proper personal protective equipment or PPE is required in the laboratories at 3M The most common PPE are gloves, safety glasses, and safety shoes Keeping every lab user safe and protected is the responsibility of all employees who work in

or support the labs A culture of “safety first” is fundamental to successful lab

1.2.4 Facility

The facility refers to the physical structure that houses each lab The

condition of the facility can enhance or detract from the lab quality Inspections for adequate load and weight considerations, condition of the labs, and regular

maintenance are an integral piece of lab management The purpose of the facility

may be singular or it may have many functions such as containing working

laboratories, offices and classrooms

1.2.5 Equipment

The heart of any laboratory is the equipment that is used to measure,

evaluate, test, and validate a variety of materials, methods, and procedures

Laboratory equipment is an important asset that requires careful management fromthe acquisition and installation through usage and maintenance to decommissioningand disposal Careful procedures to support routine maintenance and calibration needs of laboratory equipment adds to the reliability of the data and findings

measured by the equipment

2 Lab Best Practices

The 3M Impact team recommends the University of Transport Technology to adapt and implement best practices in lab management, as the first step, to

achieve the university visionary goal of being nationally recognized in 2020 and meeting international university standards by 2030

In definition, the best practices are sets of procedures, techniques and/or methodologies that, through experience and research, has proven to reliably lead to

a desired result that is superior to that achieved with other means The best

practices proposed and outlined below per each of the LMS pillars would help the university to streamline and optimize the use of labs and equipment, and should be considered to implement

2.1 Information and Documentation

2.1.1 Quality Manual

It is recommended to create a lab Quality Manual to share and align the University of Transport Technology’s mission, vision, objectives, scope and policy across its faculties and departments The Quality Manual is the level of the LMS documentations and guidance of all other documents It contains the policy on management supports as well as commitments from everyone involved in the LMS The Quality Manual further defines each of the LMS pillars, detailing the

requirements to attain optimal lab management and equipment use A Quality Manual template created by World Health Organization is available for reference

2.1.2 Training Programs and Records

Training is a critical LMS component, and it is recommended to continue

to strengthen university-wide training programs as well as lab-specific trainings, and maintain training records

2.1.3 Equipment Maintenance Process

It is recommended to establish a formal review and response timeline for lab equipment repair and maintenance requests For example, all requests are expected to receive a decision within 90 days of submission This procedure will standardize the process and ensure equipment needs are considered timely

2.1.3 Whiteboard Communication

Lab whiteboards are encouraged to use for clear communications within and between labs on schedule, safety, equipment status, etc

2.1.4 Meetings

The Construction Testing Department uses weekly meetings of all

12 labs to promote awareness and frequent communications of issues among lab personnel The weekly meetings are suggested

to be used by other departments and labs

2.2 Organization

LMS personnel roles and responsibilities; it is recommended to establish one focusing on lab structures

staff, and students share common safety mindset and standards

2.3 EHS

2.3.1 Personal Protective Equipment (PPE)

Appropriate PPE should be used for lab tests and associated activities The tear away lanyard is recommended to protect when the name ID gets in between moving objects Closed-toe shoes and safety classes are encouraged to use all the time Lab coats and distinct types of gloves should be available for different

scenarios

2.3.2 Lab First-aid Kit

It is a best practice to have one accessible first aid kit for each of the lab,the first-aid kit should be regularly inspected

2.3.3 Awareness of Electrical Hazards

The following practices are recommended for various electrical hazards observed:

2.3.4 Maintain Clean and Orderly Working Environment

The 5S model shown below is a useful tool to maintain lab hygiene

In addition, it is important to clear the floor of any obstruction that would cause someone to trip and fall This also applies to things that are

protruding under the table, cabinets, and the like In case the obstructioncannot be removed, a warning sign needs to be provided for others to beaware

All lab should have fire extinguishers available and routinely inspected with records attached Clear assess to hose reel is required Routine Inspection and Clear Access to and Hose Reel Appropriate types of fire extinguishers are to be accessible for each lab

A secondary container is required which transferring and using chemicals to contain accidental spills

It is recommended to maximize the use of visual signs to promote safety behaviors These visual signs could indicate specific lab hazards include heat,

hearing, mechanical, laser, radioactive, etc These signs should be placed to enforcepolicies such as “No Smoking” and “No Food or Drink in Lab”

2.4 Facility

Recommended best practices on facility management are:

person working in the laboratory

to retrieve

space for equipment that are in use as well as those that are in storage

2.5 Equipment

2.5.1 Equipment Life Cycle Management

It is the best practice of using life cycle management methodology for all lab equipment The methodology is illustrated in the graph below The equipment life management guides and manages equipment use from acquisition, installation, calibration, operation, maintenance, and disposal

o These things should be considered: equipment needs/characteristics, facility requirements and space requirements, equipment cost, ease of use, language, warranty (software keychain), and safety

o These things should be requested from the vendor: equipment and wiring diagrams, software information, parts list, operator manual, installation by manufacturer, and trial period

o Assign equipment owner (primary and backup)

o Confirm vendor’s responsibility (in writing)

o When possible, have vendor install and set up with training for all operators

o At installation, verify package contents

o Copy Software, if part of system

o Create standard operating procedures and work instructions

o DO NOT attempt to use prior to proper installation

o Update inventory record with equipment information

o Calibration: perform initial calibration after installation using calibrators

or standards; follow manufacturer’s instructions; determine frequency

o Routine clean; adjust, replace equipment parts.

o Establish overall maintenance plan

o Develop written policies and procedures

o Perform all maintenance tasks at vendor’s recommended frequency

o Maintain records

o Record problem, date problem occurred, and probable reason for breakdown or failure

o Take corrective actions and date return to use

o Change in maintenance

2.5.2 Establish Equipment Inventory List

It is recommended for each lab to leverage the construction testing lab model

to create an inventory list of equipment The inventory list should contain:

2.5.3 Equipment Logbook

It is recommended to setup a dedicated log kook or sections of log books for each equipment for efficient tracing Separating logbooks for each equipment ratherthan combining into one saves time at locating history of the specific equipment

It is also recommended to include training and maintenance records with the equipment logbook, which could help to ensure that only those that are

knowledgeable and trained to use the lab equipment

3 Opportunities for Civil Engineering Department Labs

3.1 Environmental Technology

The Department of Environmental Technology lab was newly built in 2016 This lab provides the University of Transport Technology tools and capabilities to evaluate construction project environmental impacts Understanding construction project environmental impacts has become a requirement by the Ministry of

Transport of Vietnam, and the Environmental Technology lab plays a vital role in meeting such requirement for the University The lab also provides trainings to university students

There are approximately fifty equipment owned by the lab, which can

perform various chemical tests and composition analysis of gas and liquid samples The lab has a supervisor who owns and maintains all the fifty equipment and

provides trainings for equipment users The lab possesses several advanced

equipment such as gas chromatography and liquid chromatography; however, they have not been fully utilized for university research and training due to lacking general equipment operation knowledge

The 3M Impact team toured the Environmental Technology lab and reviewed its management process and equipment use with the Deputy Head of Department

of Environmental Technology and the lab supervisor Through observation and discussion, the 3M Impact team recommend considering taking the following

improvement actions in the areas of lab information, people/organization, EHS, facility, and equipment management

3.1.1 Environmental Technology Lab Information Management

In general, it is recommended for the lab to establish a Standard Operation Procedure (SOP) for equipment trainings, inspections, and maintenance Specific recommendations are:

also recommended to accompany individual operating instructions with the corresponding instruments, which would provide standard procedures for instrument users to follow at the entire time of equipment use and avoid unnecessary equipment damage due to procedural errors The binder of all instructions, however, should never leave the lab and be under the lab

supervisor control

characteristics One example could be a group of common equipment (e.g., weighing scale) and a group of specialty equipment (e.g., gas

chromatography) The lab would create specific processing procedures for each equipment group Such activity would help to improve equipment efficient use In addition, it would be helpful to establish an accelerated equipment maintenance request approval process for lab urgent needs with the Faculty of Civil Engineering and the university

maintenance checklist to standardize the equipment maintenance process The checklist would help the lab supervisor to conduct maintenance activities

in a timely and complete fashion, which is key to maintain high performance lab equipment An example of the checklist is shown below and the template will be provided for reference

 It is recommended to establish detailed preventive maintenance procedures for the lab specialty equipment such as gas chromatography, the

maintenance procedure of which is complex and contains many steps The procedures should be created per equipment manufacturer’s instructions An example is shown below and the template will be provided to the lab for reference It is important to report when maintenance fails to meet

requirements, label equipment out of service immediately, and address the fails with corrective actions It is a best practice to always document all activities and share with all lab personnel

 It is recommended to keep maintenance records with the corresponding equipment logbooks for ease of traceability and clear view of equipment history

corresponding equipment logbooks and ensure that only trained users can use the equipment through verification with the list of approved users

3.1.2 Environmental Technology Lab People/Organization Management

It is the recommended to establish an Environmental Technology lab policy tominimize working alone to perform chemical experiments and related equipment activities If it is unavoidable, it is required to inform others beforehand

Currently, the lab personnel lack sufficient knowledge of operating several instruments It is a waste of resources for the university that those instruments cannot yet provide full training and research value Therefore, it is important for theFaculty of Civil Engineering and the University to provide support and opportunities

to properly train the Environmental Technology lab personnel The following step approach is suggested:

priority and start with high-priority, important equipment The training needs can be accessed via an equipment knowledge matrix table, an example of which is shown below A template will be provided to the lab for reference

Such equipment knowledge table is useful to visually identify gaps (red color

in horizontal rows) and each lab personnel skill level of all lab equipment

and address these training gaps These opportunities could include consultinglocal universities that have the subject matter of expertise, learning from equipment vendors or manufacturers, and participating training programs It

is a pleasure to know that the lab supervisor has taken an initiative of taking classes to improve her knowledge on water biology Continuing support of such activities by the university is encourage and is essential to maximize labequipment use and lab faculty and staff engagement

3.1.3 Environmental Technology Lab EHS Management

The lab EHS needs to be strengthened, especially at proper and safely

handling chemicals Workplace Safety and Health Guidelines (2014) by Workplace Safety and Health Council are useful resources for the lab to refer to and follow The

WSH_Guidelines_on_Laboratories_Handling_Chemicals.pdf

Specific recommendations for EHS improvements are:

The chemical tracking list should track a chemical from purchase to usage to disposal A good and accurate inventory tracking helps to eliminate purchase excessive materials and reduce lab costs

used and stored in the lab:

o Chemical Owner and User

accuracy through conducting inventory inspections per the inventory list

 Make Safety Data Sheet (SDS) available for all chemicals used and stored Sellers should provide SDS for each chemical sold to the lab The SDS can be freely downloaded online An online source is

http://www.sigmaaldrich.com/safety-center.html

summarizes SDS sections and information contain at each section Please review SDS prior to using any chemicals and frequently consult this

document for substance information, precautional measures, emergency responses, disposal considerations, etc

Reference: Workplace Safety and Health Guidelines (2014) Section 2.4

right chemicals per Workplace Safety and Health Guidelines to eliminate risksdue to container degradation Glass containers are excellent choices when available; however, glass containers are relatively expensive and easily breakable Plastic containers are used in the Environmental Technology labs Plastic containers are durable and can be chemical-resistance When

selecting plastic containers, it is recommended to verify their compatibility with the chemicals The following table could be a good reference