ESAMS Support for VPP Process - DOD VPP Center of Excellence

Transcription

ESAMS Support for VPP Process
Enterprise Safety Application
Management System (ESAMS)
Support for
Voluntary Protection Program (VPP) Process
(As identified by the DoD VPP CX)
INTRODUCTION
Enterprise Safety Application Management System (ESAMS) is a data
management system that meets ANSI/AIHA Z10-205 American National Standard Occupational Health and Safety Management Systems principles. The tools incorporated
in ESAMS support Operational Risk Management (ORM) requirements and assist a
command’s progress towards OSHA Voluntary Protection Program (VPP) recognition
by:
• Making safety management system documentation (instructions, policies
and procedures, goals and objectives, commitment statements and
standard operating procedures) readily available to all employees.
• Providing a clearly defined process to identify and track task specific
training, medical surveillance, and personal protective equipment
requirements tied to hazards.
• Providing a systematic process to track the identification and control of
hazards identified by mishap investigations, Industrial Hygiene Surveys,
employee reports of hazards, inspections, surveys, and annual program
reviews.
• Supporting all Federal, DoD, and DoN Instruction reporting and recording
requirements.
• Supporting users at all levels by providing access to reports containing
summarized and detailed information to help meet their responsibilities in
the Safety and Health Management System.
• Supporting communication of hazard information amongst commands and
installations.
This document has been developed as a guide using the Department of Defense
VPP Center of Excellence (DoD VPP CX) Onsite Evaluation Element (VPP GAP
ANALYSIS) format. Where ESAMS can support an element, we have provided
descriptions of how ESAMS can support it. Additional process specific information is
included to assist users in documenting the process in their instructions.
To facilitate navigation through this document, book marks have been included
and the table of contents was designed based on the element, sub element and questions
identified in the Gap Analysis form. The book marks and table of contents will link you
to the page where support information can be found for each analysis question. ESAMS
support information is identified in dark blue font.
As ESAMS users identify additional areas where the system can support the DoD
VPP CX Onsite Evaluation Element, this document will be updated.
Revised March 3, 2008
TABLE OF CONTENTS
I. MANAGEMENT LEADERSHIP AND EMPLOYEE INVOLVEMENT ................9
Written Safety and Health Management System....................................................................................... 9
A1. Are all the elements (such as Management Leadership and Employee Involvement, Worksite
Analysis, Hazard Prevention and Control, and Safety and Health Training) and sub-elements of a basic
safety and health management system part of a signed, written document? (For Federal Agencies,
include 29 CFR 1960.)............................................................................................................................... 9
A2. Have all VPP elements and sub-elements been in place at least 1 year? If not, please identify those
elements that have not been in place for at least 1 year. .......................................................................... 10
A3. Is the written safety and health management system at least minimally effective to address the
scope and complexity of the hazards at the site? (Smaller, less complex sites require a less complex
system.) [Minimum Requirement - must be met to be eligible for participation in VPP] ..................... 11
Management Commitment & Leadership................................................................................................ 12
B1. Does management overall demonstrate at least minimally effective, visible leadership with respect
to the safety and health program (considering FRN items F5.a.(5).(a-h)? [Minimum Requirement - must
be met to be eligible for participation in VPP] ........................................................................................ 12
B2. How has the site communicated established policies and results-oriented goals and objectives for
worker safety to employees?.................................................................................................................... 13
VPP Application Requirement................................................................................................................. 14
VPP Commitment ............................................................................................................................... 14
Union Statement ................................................................................................................................. 15
B2. How has the site communicated established policies and results-oriented goals and objectives for
worker safety to employees?.................................................................................................................... 16
B3. Do employees understand the goals and objectives for the safety and health program?................... 17
B4. Are the safety and health program goals and objectives meaningful and attainable? Provide
examples supporting the meaningfulness and attainability (or lack-there-of if answer is no) of the
goal(s). (Attainability can either be unrealistic/realistic goals or poor/good implementation to achieve
them.) (See: CSP Chapter 3.II.C.1.a.)...................................................................................................... 18
B5. How does the site measure its progress towards the safety and health program goals and objectives?
................................................................................................................................................................. 19
C1. How does the site integrate planning for safety and health with its overall management planning
process (for example, budget development, resource allocation, or training)?........................................ 20
C2. Is safety and health effectively integrated into the site's overall management planning process? ... 21
Authority and Line Accountability ........................................................................................................... 22
D1. Does top management accept ultimate responsibility for safety and health in the organization? (Top
management acknowledges ultimate responsibility even if some safety and health functions are
delegated to others.) [Minimum Requirement - must be met to be eligible for participation in VPP] .. 22
D2. How is the assignment of authority and responsibility documented and communicated (for example,
organization charts, and job descriptions)?.............................................................................................. 23
D3. Do the individual’s assigned responsibility for safety and health have the authority to ensure that
hazards are corrected or necessary changes to the safety and health management system are made?
[Minimum Requirement - must be met to be eligible for participation in VPP]...................................... 24
D2. How is the assignment of authority and responsibility documented and communicated (for example,
organization charts, job descriptions)? .................................................................................................... 25
D4. How are managers, supervisors and employees held accountable for meeting their responsibilities
for workplace safety and health? (Annual performance evaluations for managers and supervisors are
required.).................................................................................................................................................. 26
Accountability..................................................................................................................................... 26
Disciplinary Program .......................................................................................................................... 27
D5. Are adequate resources (equipment, budget, or experts) dedicated to ensuring workplace safety and
health? Provide examples. [Minimum Requirement - must be met to be eligible for participation in
VPP] ........................................................................................................................................................ 28
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D6. Is access to experts (for example, Certified Industrial Hygienists, Certified Safety Professionals,
Occupational Nurses, or Engineers), reasonably available to the site, based upon the nature, conditions,
complexity, and hazards of the site? If so, under what arrangements and how often are they used? (line
50 below also refers)................................................................................................................................ 29
Top Management Leadership.................................................................................................................... 30
Contract Workers....................................................................................................................................... 31
E1. Does the site use Contractors? Please explain................................................................................. 31
E2. Were there contractors onsite at the time of the evaluation?............................................................ 32
E3. When selecting onsite contractors, how does the site evaluate the contractor's safety and health
programs and performance (including rates)? (See: CSP Chapter 5.VI.A.6.) ......................................... 33
E4. Are contractors and subcontractors at the site required to maintain effective safety and health
programs and to comply with all applicable OSHA and company safety and health rules and
regulations?.............................................................................................................................................. 34
E10. Do contract provisions for contractors require the periodic review and analysis of injury and
illness data?.............................................................................................................................................. 35
E5. Does the site’s contractor program cover the prompt correction and control of hazards in the event
that the contractor fails to correct or control such hazards?..................................................................... 36
E6. How does the site document and communicate oversight, coordination, and enforcement of safety
and health expectations to contractors? ................................................................................................... 37
E7. Have the contract provisions specifying penalties for safety and health issues been enforced, when
appropriate? ............................................................................................................................................. 38
E8. How does the site monitor the quality of the safety and health protection of its contract employees?
................................................................................................................................................................. 39
E9. If the contractors' injury and illness rates are above the average for their industries, does the site
have procedures that ensure all employees are provided effective protection on the worksite?.............. 40
E11. Is the contract oversight minimally effective for the nature of the site? [Minimum Requirement must be met to be eligible for participation in VPP]................................................................................ 41
DoD VPP CX Process................................................................................................................................. 42
Employee Involvement............................................................................................................................... 43
F3. Do employees support the site’s participation in the VPP Process? [Minimum Requirement - must
be met to be eligible for VPP] ................................................................................................................. 43
F7. Are employees knowledgeable about the VPP program?................................................................. 44
F8. Are the employees knowledgeable about OSHA rights and responsibilities? .................................. 45
F4. Do employees feel free to participate in the safety and health management system without fear of
discrimination or reprisal? [Minimum Requirement - must be met to be eligible for participation in
VPP] ........................................................................................................................................................ 46
F6. Are employees knowledgeable about the site's safety and health management system?.................. 47
F9. Do employees have access to results of self-inspection, accident investigation, appropriate medical
records, and personal sampling data upon request? [Minimum Requirement - must be met to be eligible
for participation in VPP].......................................................................................................................... 48
F4. Do employees feel free to participate in the safety and health management system without fear of
discrimination or reprisal? [Minimum Requirement - must be met to be eligible for participation in
VPP] ........................................................................................................................................................ 49
F5. Please describe at least three ways in which employees are meaningfully involved in the problem
identification and resolution, or evaluation of the safety and health program (beyond hazard reporting).
(See: FRN Chapter 3 Paragraph F.5 (6) (a-h). ......................................................................................... 50
F6. Are employees knowledgeable about the site's safety and health management system?.................. 51
II. WORKSITE ANALYSIS .................................................................................52
Baseline Hazard Analysis........................................................................................................................... 52
A1. Has the site been at least minimally effective at identifying and documenting the common safety
and health hazards associated with the site (such as those found in OSHA regulations, building
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standards, etc., and for which existing controls are well known)? [Minimum Requirement - must be met
to be eligible for participation in VPP] .................................................................................................... 52
A2. What methods are used in the baseline hazard analysis to identify health hazards? (Please include
examples of instances when initial screening and full-shift sampling were used. See FRN page 45657,
F5.B.2.b). ................................................................................................................................................. 53
A6. Does the baseline hazard analysis adequately identify hazards (including health) that need further
analysis? .................................................................................................................................................. 54
A3. Does the site have a documented sampling strategy used to identify health hazards and assess
employees' exposure (including duration, route, and frequency of exposure), and the number of exposed
employees? .............................................................................................................................................. 55
A4. Do sampling, testing, and analysis follow nationally recognized procedures? ................................ 56
Baseline Hazard Analysis ........................................................................................................................ 56
A5. Does the site compare sampling results to the minimum exposure limits, or are more restrictive
exposure limits (PELs, TLVs etc.) used? Please explain........................................................................ 57
A7. Do industrial hygiene sampling data, such as initial screening or full shift sampling data, indicate
that records are being kept in logical order and include all sampling information (for example, sampling
time, date, employee, job title, concentrated measures, and calculations)? If not, please explain the
deficiencies and how they are being addressed. ...................................................................................... 58
Hazard Analysis of Significant Changes................................................................................................... 59
B1. When purchasing new materials or equipment, or implementing new processes, what types of
analysis are performed to determine their impact on safety and health? Is it adequate? ........................ 60
B2. When implementing/introducing non-routine tasks, materials or equipment, or modifying processes,
what types of analyses are performed to determine their impact on S&H? Is it adequate? .................... 62
Hazard Analysis of Routine Activities ...................................................................................................... 63
C1. Is there at least a minimally effective hazard analysis system in place for routine operations and
activities? [Minimum Requirement - must be met to be eligible for participation in VPP]..................... 63
C2. Does hazard identification and analysis address both safety and health hazards, if appropriate?.... 64
C3. What hazard analysis technique(s) are employed for routine operations and activities (e.g. job
hazard analysis, Haz -Ops, fault trees)? Are they adequate? ................................................................... 65
C4. Are the results of the hazard analysis of routine activities adequately documented?....................... 66
Hazard Analysis of Routine Jobs-Tasks-Processes ................................................................................. 66
Routine inspections..................................................................................................................................... 67
D1. Does the site have a minimally effective system for performing safety and health inspections (i.e.
minimally effective system identifies hazards associated with normal operations)? [Minimum
Requirement - must be met to be eligible for participation in VPP]........................................................ 67
D2. Are routine safety and health inspections conducted monthly, with the entire site covered at least
quarterly (for construction: entire site weekly)? ...................................................................................... 68
D3. How do inspections use information discovered in the baseline hazard analysis, accident/incident
analysis, job hazard analysis, employee concerns, sampling results etc.? ............................................... 69
D4. Are those personnel conducting inspections adequately trained in hazard identification? .............. 70
D5. Is the routine inspection system written, including documentation of results?................................ 71
D6. So the written routine inspection reports clearly indicate what needs to be corrected, by whom, and
by when?.................................................................................................................................................. 72
Hazard Reporting....................................................................................................................................... 73
E1. Does the site have a reliable system for employees to notify appropriate management personnel in
writing about safety and health concerns? ............................................................................................... 73
E2. Do the employees feel they have an effective system for reporting safety and health concerns?
Employee Reports of Hazards ................................................................................................................. 75
E3. Is there a minimally effective means for employees to report hazards and have them addressed?
Hazard Tracking ........................................................................................................................................ 77
F1. Does the hazard tracking system address hazards found by employees, hazard analysis of routine
activities, inspections, and accident or incident investigations? .............................................................. 77
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F2. Does the tracking system result in hazards being corrected and provide feedback to employees for
hazards they have reported?..................................................................................................................... 78
F3. Does the tracking system result in timely correction of hazards with interim protection established
when needed? Please describe. ............................................................................................................... 79
F4. Does a minimally effective tracking system exist that results in hazards being controlled?
Accident/Incident Investigation................................................................................................................. 81
G1. Is there a minimally effective system for conducting accident/incident investigations, including
near-misses? [Minimum Requirement - must be met to be eligible for participation in VPP] .............. 81
G2. Are those conducting the investigations trained in accident/incident investigation techniques? ..... 82
G3. Describe how investigations discover and document all the contributing factors that led to an
accident.................................................................................................................................................... 83
G4. Were any hazards discovered during the investigation previously addressed in any prior hazards
(e.g. baseline, self-inspections)? Please explain. ..................................................................................... 84
Safety and Health Program Evaluation.................................................................................................... 85
H1. Briefly describe the system in place for conducting an annual evaluation. ..................................... 85
H2. Does the annual evaluation cover the aspects of the safety and health program, including the
elements described in the Federal Register? ............................................................................................ 86
H4. Is the annual evaluation an effective tool for assessing the success of the site’s safety and health
system? Please explain ........................................................................................................................... 87
H5. What evidence demonstrates that the site responded adequately to the recommendations made in
the annual evaluation? ............................................................................................................................. 88
H3. Does the annual evaluation include written recommendations in a narrative format?..................... 89
H4. Is the annual evaluation an effective tool for assessing the success of the site’s safety and health
system? Please explain ........................................................................................................................... 90
H5. What evidence demonstrates that the site responded adequately to the recommendations made in
the annual evaluation? ............................................................................................................................. 91
Trend Analysis............................................................................................................................................ 92
I1. Does the site have a minimally effective means for identifying and assessing trends? [Minimum
Requirement - must be met to be eligible for participation in VPP]........................................................ 92
I2. Have there been injury and/or illness trends over the last three years? ............................................. 93
I3. If there have been injury and/or illness trends, what courses of action have been taken? Are they
adequate? ................................................................................................................................................. 94
I4. Does the site assess trends utilizing data from hazard reports or accident/incident investigations to
determine the potential for injuries and illnesses? ................................................................................... 95
Trend Analysis .................................................................................................................................... 95
Program Development ........................................................................................................................ 95
Trend Analysis .................................................................................................................................... 96
Accident/Injury ................................................................................................................................... 96
Logs (OSHA 300) ............................................................................................................................... 96
Trend Analysis .................................................................................................................................... 99
Employee Reports of Hazards............................................................................................................. 99
Trend Analysis .................................................................................................................................. 100
First Aid ............................................................................................................................................ 100
Trend Analysis .................................................................................................................................. 101
Accidents .......................................................................................................................................... 101
Trend Analysis .................................................................................................................................. 103
Hazards Identified During Inspections.............................................................................................. 103
Trend Analysis .................................................................................................................................. 105
Near-miss Reporting ......................................................................................................................... 105
III. HAZARD PREVENTION AND CONTROL ..................................................106
Hazard Prevention & Control ................................................................................................................. 106
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A1. Does the site select at least minimally effective controls to prevent exposing employees to hazards.
[Minimum Requirement - must be met to be eligible for participation in VPP].................................... 106
A2. When the site selects hazard controls, does it follow the preferred hierarchy (engineering controls,
administrative controls, work practice controls [e.g. lockout/tag out, bloodborne pathogens, and confined
space programs], and personal protective equipment) to eliminate or control hazards?........................ 107
A3. Describe any administrative controls used at the site to limit employee exposure to hazards (for
example, job rotation)............................................................................................................................ 108
A4. Do the work practice controls and administrative controls adequately address those hazards not
covered by engineering or administrative controls? .............................................................................. 109
A5. Are the work practice controls (e.g. lockout/tag out, bloodborne pathogens, and confined space
programs) recommended by hazard analyses implemented at the site. ................................................. 110
A6. Are follow-up studies (where appropriate) conducted to ensure that hazard controls were adequate?
............................................................................................................................................................... 111
A7. Are hazard controls documented and addressed in appropriate procedures, safety and health rules,
inspections, training, etc...?.................................................................................................................... 112
A8. Are there written worker safety procedures including a disciplinary system?............................... 113
A9. Has the disciplinary system been enforced equally for both management and employees, when
appropriate? ........................................................................................................................................... 114
A10. Does the site have minimally effective written procedures for emergencies? [Minimum
Requirement - must be met to be eligible for participation in VPP]...................................................... 115
A11. Are emergency drills held at least annually? ............................................................................... 116
A10. Does the site have minimally effective written procedures for emergencies? ............................. 117
A11. Are emergency drills held at least annually? ............................................................................... 118
A12. Does the site have a preventive /predictive maintenance system? ............................................... 119
A13. Did the hazards identification and analysis (including manufacturers' recommendations) identify
hazards that could result if equipment is not maintained properly?....................................................... 120
A14. Doe the preventive maintenance system adequately detect hazardous failures before they occur.
............................................................................................................................................................... 121
A15. How does the site select Personal Protective Equipment (PPE). ................................................. 122
A16. Do employees understand the limitations and uses of PPE.......................................................... 123
A17. Did the team observe employees using, storing, and maintaining PPE properly? ....................... 124
A18. Is the site covered by the Process Safety Management Standard (29 CFR 1910.119)? If N/A mark
complete................................................................................................................................................. 125
A19. Which chemicals that trigger the Process Safety Management (PSM) standard are present? ..... 126
A20. Please describe the PSM elements in place at the site (do not duplicate if included elsewhere in the
report, such as under contractors, preventive maintenance, emergency response, or hazard analysis). 127
Occupational Health Care Program ....................................................................................................... 128
B1. Describe the Occupational Health Care Program ( including availability of physician services, first
aid, and CPR/AED) and special programs such as audiograms or other medical test used................... 128
B2. How are licensed health care professionals used in the site's hazard identification and analysis, early
recognition and treatment of illness and injury, and the system for limiting the severity of harm that
might result from workplace illness or injury? Is this use appropriate? ............................................... 129
B3. Is the occupational health care program adequate for the size and location of the site, as well as the
nature of the hazards found.................................................................................................................... 130
B2. How are licensed health care professionals used in the site's hazard identification and analysis, early
recognition of treatment of illness and injury, and the system for limiting the severity of harm that might
result from workplace illness or injury? Is this use appropriate?.......................................................... 131
B3. Is the occupational health care program adequate for the size and location of the site, as well as the
nature of the hazards found.................................................................................................................... 132
Occupational Health Care Program & Recordkeeping ........................................................................ 133
IV. SAFETY AND HEALTH TRAINING............................................................135
Safety and Health Training / Training Needs Assessment.................................................................... 135
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A1. What are the safety and health training requirements for managers, supervisors, employees, and
contractors?............................................................................................................................................ 135
A3 How is the safety and health training needs for employees determined?......................................... 137
A5. What system is in place to ensure that all employees and contractors have received and understand
the appropriate training? ........................................................................................................................ 139
A8. Does management have a thorough understanding of the hazards of the site? Provide examples that
demonstrate their understanding............................................................................................................ 141
Safety and Health Training / Training Program Development............................................................ 143
contractors?............................................................................................................................................ 143
A2. Who delivers the training? ............................................................................................................. 145
A3. How are the safety and health training needs for employees determined? .................................... 146
A4. Does the site provide minimally effective training to educate employees regarding the known
hazards of the site and their controls? [Minimum Requirement - must be met to be eligible for
participation in VPP] ............................................................................................................................. 147
A6. Who is trained in hazard identification and analysis?.................................................................... 149
A7. Is training in hazard identification and analysis adequate for the conditions and hazards of the site?
............................................................................................................................................................... 150
Safety and Health Training / All Employees .......................................................................................... 152
contractors?............................................................................................................................................ 152
contractors?............................................................................................................................................ 155
............................................................................................................................................................... 160
contractors?............................................................................................................................................ 161
contractors?............................................................................................................................................ 164
contractors?............................................................................................................................................ 166
contractors?............................................................................................................................................ 169
contractors?............................................................................................................................................ 172
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............................................................................................................................................................... 176
contractors?............................................................................................................................................ 177
contractors?............................................................................................................................................ 179
Safety and Health Training / Managers and Supervisors..................................................................... 181
contractors?............................................................................................................................................ 181
contractors?............................................................................................................................................ 183
contractors?............................................................................................................................................ 185
Safety and Health Training / S&H Staff and Others with assigned S&H Responsibilities................ 187
contractors?............................................................................................................................................ 187
contractors?............................................................................................................................................ 189
............................................................................................................................................................... 192
contractors?............................................................................................................................................ 193
contractors?............................................................................................................................................ 195
contractors?............................................................................................................................................ 197
............................................................................................................................................................... 200
contractors?............................................................................................................................................ 201
contractors?............................................................................................................................................ 203
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............................................................................................................................................................... 206
contractors?............................................................................................................................................ 207
contractors?............................................................................................................................................ 209
contractors?............................................................................................................................................ 211
............................................................................................................................................................... 214
contractors?............................................................................................................................................ 215
Safety and Health Training / Contractors.............................................................................................. 217
contractors?............................................................................................................................................ 217
A3. How are the safety and health training needs for employees determined? .................................... 218
A4. Does the site provide minimally effective training to educate employees regarding the known
hazards of the site and their controls? [Minimum Requirement - must be met to be eligible for
participation in VPP] ............................................................................................................................. 219
............................................................................................................................................................... 222
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I. MANAGEMENT LEADERSHIP AND EMPLOYEE INVOLVEMENT
Written Safety and Health Management System
A1. Are all the elements (such as Management Leadership and Employee Involvement,
Worksite Analysis, Hazard Prevention and Control, and Safety and Health Training) and
sub-elements of a basic safety and health management system part of a signed, written
document? (For Federal Agencies, include 29 CFR 1960.)
Safety and Health Management System
Written S&H Program
Stage1 A basic, written safety and health (S&H) program that is at least minimally
effective to address the scope and complexity of the hazards at the site and incorporates
all the VPP elements (Management Leadership and Employee Involvement, Worksite
Analysis, Hazard Prevention and Control, and Safety and Health Training) and subelements of the program has been developed and signed.
Written SOH Program (Instruction(s), Policy Statement(s), and Procedures) used to
implement the safety and health management system (S&HMS) can be posted on
ESAMS for access by all employees. Information from these documents can also be
included in web-based indoctrination/orientation training to ensure all personnel are
familiar with the requirements of the documents.
Stage 2 Employees at the site are aware of the document that establishes the safety and
health management system (S&HMS) which includes their roles and responsibilities.
Required employee and supervisor training can include information contained in
instructions and policies to validate that they have been made aware of the provisions of
the documented (S&HMS).
Stage 3
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A2. Have all VPP elements and sub-elements been in place at least 1 year? If not, please
identify those elements that have not been in place for at least 1 year.
Written S&H Program
Written SOH Program (Instruction(s) and Policy Statement(s)) can be posted on ESAMS
for access by all employees.
Stage 1
instructions and policies to validate that they have been made aware of the provisions of
the documented S&HMS.
Stage 3 All VPP elements and sub-elements have successfully been in place for a
minimum of one year.
Reports can be generated to show historically captured data to verify VPP elements such
as management leadership, employee involvement, training, hazard analysis and control,
have been in place and are effective. These reports are described in more detail later in
this document.
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A3. Is the written safety and health management system at least minimally effective to
address the scope and complexity of the hazards at the site? (Smaller, less complex sites
require a less complex system.) [Minimum Requirement - must be met to be eligible for
participation in VPP]
Written S&H Program
Stage 1 A basic, written safety and health (S&H) program that is at least minimally
effective to address the scope and complexity of the hazards at the site and incorporates
all the VPP elements (Management Leadership and Employee Involvement, Worksite
Analysis, Hazard Prevention and Control, and Safety and Health Training) and subelements of the program has been developed and signed.
Written SOH Program (Instruction(s) and Policy Statement(s)) can be posted on ESAMS
for access by all employees. It can also be included in web-based
indoctrination/orientation training to validate a baseline amount of knowledge was
obtained.
instructions and policies to validate that a basic understanding was obtained and they
have been made aware of the provisions of the documents S&HMS.
Stage 3
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Management Commitment & Leadership
B1. Does management overall demonstrate at least minimally effective, visible
leadership with respect to the safety and health program (considering FRN items
F5.a.(5).(a-h)? [Minimum Requirement - must be met to be eligible for participation in
VPP]
Top Management Leadership
Setting Examples
Stage 1 B1. The written S&HMS requires top executives, managers, and supervisors to
set examples by practicing proactive visible leadership behaviors demonstrating their
commitment to the S&H program.
ESAMS provides a “Tool Chest” of functionality to allow managers at all levels
to participate and influence the safety program:
- Available reports:
o In Supervisor Tools: executives, managers, and supervisors can view
their own Supervisor OSH Training Report Card and that of their
subordinates.
o They can also check the status of the following items for their
personnel if applicable:
Respirator program requirements
Personal Protective Equipment requirements
Medical Surveillance requirements
o SOH Inspection and Hazard Abatement status reports can be run for
their area of responsibility. In addition, they can demonstrate
proactive leadership in this area by being identified as the POC for all
SOH Inspections conducted in their area so they can have full access
to follow-up on the status for each inspection and deficiency.
o Other reports available:
Command Safety Summary – Allows every individual to
review summary safety information for their command.
Needed Training and Deficiency Report
Training Needs Assessment
Training Compliance Report
Stage 2 B1. Top executives, managers, and supervisors are setting examples
demonstrating their commitment to safety and health by attending training; participating
in planning meetings; wearing personal protective equipment (PPE); encouraging
employees to report hazards, injuries, and illnesses; enforcing the “if it’s not safe, we’re
not doing it” principle, and performing other safety and health-related actions that are
required of employees.
Stage 3 A2. All VPP elements and sub-elements have successfully been in place for a
minimum of one year.
Reports can be generated to show historically captured data to verify VPP elements (such
as management involvement, employee involvement, training, and hazard analysis and
control) have been in place and are effective.
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B2. How has the site communicated established policies and results-oriented goals and
objectives for worker safety to employees?
Management Commitment to Safety and Health Protection
Safety & Health Mission Statement
Stage 1 B2. A S&H mission statement (i.e., defining where the site wants to be regarding
the safety and health process) has been drafted.
Written S&H Program (Instruction(s), Policy Statement(s), Mission Statement(s) with
current year goals and objectives) can be posted on ESAMS for access by all employees.
It can also be included in web-based indoctrination/orientation training.
Stage 2 B2. The sites' S&H mission statement has been promulgated and employees are
aware of the content and where the statement is posted (e.g. work area and/or command
S&H bulletin board).
Written SOH Program (Instruction(s), Policy Statement(s), Mission Statement(s) with
Information from all written program material can also be included in web-based
indoctrination/orientation training.
Stage 3 B2. All employees, including new hires, contract workers, and visitors, have
been made aware of the sites' S&H mission statement by way of new employee
orientation and the sites general communication plan.
ESAMS can be a Written SOH Program (Instruction(s), Policy Statement(s), Mission
Statement(s) with current year goals and objectives) and can be posted on ESAMS for
access by all employees (including contract workers).
Briefings provided to personnel not typically in ESAMS (visitors) can still be recorded in
ESAMS to document the process.
Information from all written program material can also be included in web-based
indoctrination/orientation training.
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VPP Application Requirement
VPP Commitment
Stage 1 A statement from top leadership defining the sites commitment to achieving
recognition in the OSHA VPP has been drafted.
The Commanding Officer’s Commitment letter can be posted for access by all users.
Stage 2 Top leadership has issued the site's VPP commitment statement, employees are
aware of the content, and knows where the statement is posted (e.g. work area and/or
command S&H bulletin board).
The Commanding Officer’s Commitment letter can be made a required reading web
course or it can be made into an OJT By Supervisor (training provided and recorded by
the supervisor). It can also be made available for supervisors to print and post in the
workplace.
Stage 3 The VPP commitment statement from top leadership has been communicated to
all employees, including new hires, and employees are aware of it's purpose, their roles
and responsibilities, and it has becomes a part of the site's communication plan.
Reports can be generated to show historically captured data to verify training has been
provided for the Commanding Officer’s Commitment Statement i.e., Training History
Report.
14
Union Statement
Stage 1 A statement from Union leadership defining the Union's support and commitment
to the site achieving recognition in OSHA VPP has been drafted.
The Union Leadership’s Commitment letter can be posted for access by all users.
Stage 2 Union leadership has issued a VPP commitment statement, employees are aware
of the content, and knows where the statement is posted (e.g. work area and/or command
S&H bulletin board).
The Union Leadership’s Commitment letter can be made a required reading web course
or it can be made into an OJT By Supervisor (training provided and recorded by the
supervisor). It can also be made available for supervisor to print and post in the
workplace.
Stage 3 Union leadership's VPP commitment statement has been communicated to all
employees, including new hires, and employees are aware of it's purpose, their roles and
responsibilities, and it has becomes a part of the site's communication plan.
Reports can be generated to show historically captured data to verify training has been
provided for the Union Leadership’s Commitment Statement i.e., Training History
Report.
15
B2. How has the site communicated established policies and results-oriented goals and
objectives for worker safety to employees?
Goals & Objectives
Stage 1
Stage 2B2 & 3. The S&H goals and objectives have been promulgated throughout the
installation.
The S&H goals and objectives can be posted for access by all users. The S&H Goals and
Objectives can be included into a brief to be provided by supervisors to employees. The
supervisor then documents completion in ESAMS. This will also provide another
example of supervisor involvement in the program.
Stage 3B2 & 3. The S&H goals and objectives have been communicated to all
employees and contractors and they understand their roles and responsibilities regarding
the achievement of these goals and objectives.
Reports can be generated to show historically captured data to verify the S&H goals and
objectives have been provided and explained to all employees and covered contractors.
16
B3. Do employees understand the goals and objectives for the safety and health program?
Goals & Objectives
Stage 1
Stage 2B2 & 3. The S&H goals and objectives have been promulgated throughout the
installation.
The S&H goals and objectives can be posted for access by all users. The S&H Goals and
Objectives can be included into a brief to be provided by supervisors to employees. The
supervisor then documents completion in ESAMS. This will also provide another
example of supervisor involvement in the program.
Stage 3B2 & 3. The S&H goals and objectives have been communicated to all
employees and contractors and they understand their roles and responsibilities regarding
the achievement of these goals and objectives.
Reports can be generated to show historically captured data to verify the S&H goals and
objectives have been provided and explained to all employees and covered contractors.
17
B4. Are the safety and health program goals and objectives meaningful and attainable?
Provide examples supporting the meaningfulness and attainability (or lack-there-of if
answer is no) of the goal(s). (Attainability can either be unrealistic/realistic goals or
poor/good implementation to achieve them.) (See: CSP Chapter 3.II.C.1.a.).
Goals & Objectives
Stage 1B4. Written annual S&H goals and objectives that are clear, attainable,
measurable, and relevant to bringing about a safe and healthy work environment have
been established.
ESAMS provides a Self Assessment application to document the process followed in the
assessment of the S&H program and the development of the associated goals and
objectives resulting in a Plan of Action and Milestones for tracking progress.
- Each Navy S&H program is evaluated. The evaluation includes documentation
of the program goal, methodology used to evaluate it, and analysis results.
- Process Improvement Goals are developed for each program, when required,
and associated action items. Each action items is assigned a due date and
responsible person(s).
- After the self-assessment is briefed and approved by the designated person, the
developed action items become the POA&M for the S&H program for the next
year.
- Action items are updated by the persons responsible and status reports can be
run at any time by management to determine status and demonstrate involvement
with the program.
Stage 2
Stage 3
18
B5. How does the site measure its progress towards the safety and health program goals
and objectives?
Goals & Objectives
Stage 1B5. A process to annually review and revise S&H goals and objectives and
communicate to all employees and contractors has been developed.
ESAMS provides a Self Assessment application to document the process followed in the
assessment of the S&H program and the development of the associated goals and
objectives resulting in a Plan of Action and Milestones for tracking progress.
Stage 2B5. Existing S&H goals and objectives are routinely analyzed to determine; if
new S&H goals and objectives need to be developed; if existing goals and objectives
should be continued with; or existing S&H goals and objectives should be modified to
improve the safety process as circumstances require.
The ESAMS Self Assessment application provides a list and e-mail reminders of
assigned action items to responsible individuals to support routine update and analysis of
each as part of the overall Plan of Action and Milestones.
Stage 3B5. Ensure new S&H goals and objectives are routinely considered in planning
for and implementing the site’s various activities and programs.
New S&H program goals and objectives can be added to the Plan of Action and
Milestones for tracking of progress throughout the year.
19
C1. How does the site integrate planning for safety and health with its overall
management planning process (for example, budget development, resource allocation, or
training)?
Planning
Stage 1 C1. The S&HMS allows for resources including designated S&H staff,
equipment, training, and safety awareness promotions, to be integrated in the planning
process to ensure adequate budget development.
The ESAMS Self Assessment application provides the ability to document individual
programmatic labor and non-labor resource requirements to support budget development.
Stage 2
Stage 3 C1. S&H is integrated in the budget planning process (e.g. new equipment,
training, or capital expenditures) to identify and effectively control potential safety and
health hazards.
The following reports are available in ESAMS to support the integration of S&H into the
budget planning process:
• Deficiency Report – provides cost estimates to correct identified hazards
• Self Assessment Program Cost Report – provides cost estimates for action items
identified during the S&HMS evaluation process
• E-Tracker Equipment Status – provides cost for the maintenance, testing,
inspection, and replacement of equipment.
• Mishap Correct Action Report - provides cost estimates to correct identified
hazards.
• Unsafe/Unhealthful Corrective Action Report - provides cost estimates to correct
identified hazards.
• Training Needs Assessment – provides information to assist the safety staff in
determining the number and locations of classes that must be taught to satisfy
safety training requirements for their serviced population. Also used to determine
required initial and proficiency training safety professionals may require.
20
C2. Is safety and health effectively integrated into the site's overall management
planning process?
Planning
Stage 1
Stage 2 C2. The site has an effective, documented process to ensure S&H is routinely
integrated in all the site's planning processes.
ESAMS provides a documented process to ensure historical data is used as part of all
planning processes. Historical data can include training, hazard, and mishap information.
The documented process should include the requirement to complete an analysis of all
pertinent data in ESAMS and a Job Hazard Analysis.
Stage 3
21
Authority and Line Accountability
D1. Does top management accept ultimate responsibility for safety and health in the
organization? (Top management acknowledges ultimate responsibility even if some
safety and health functions are delegated to others.) [Minimum Requirement - must be
met to be eligible for participation in VPP]
Authority and Responsibility
Stage 1 D1&2. Top management accepts ultimate responsibility for S&H and has clearly
documented and communicated (e.g. organization charts, job descriptions) the
assignment of line and staff S&H authority and responsibility for achieving S&H goals
and objectives to all employees and contractors.
ESAMS follows the organizational structure of a command from employee to supervisor
to management at all levels. Each duty/task in ESAMS includes a description and the
responsibilities of the task.
Stage 2
Stage 3 Employee S&H roles and responsibilities are routinely integrated in their daily
work practices.
This item requires observation. The ESAMS Inspection Process can be used to document
this item. Inspectors should document this item on inspection records.
22
D2. How is the assignment of authority and responsibility documented and
communicated (for example, organization charts, and job descriptions)?
Stage 1D1&2. Top management accepts ultimate responsibility for S&H and has clearly
documented and communicated (e.g. organization charts, job descriptions) the
assignment of line and staff S&H authority and responsibility for achieving S&H goals
and objectives to all employees and contractors.
ESAMS follows the organizational structure of a command from employee to supervisor
to management at all levels. Each duty/task in ESAMS includes a description and the
responsibilities of the task.
Stage 2
work practices.
23
D3. Do the individual’s assigned responsibility for safety and health have the authority
to ensure that hazards are corrected or necessary changes to the safety and health
management system are made? [Minimum Requirement - must be met to be eligible for
Stage 1
Stage 2 D3. Employees, assigned responsibility for S&H, understand their S&H roles
and responsibilities and have the authority and resources to correct hazards and make
changes to the S&HMS when appropriate.
Each duty/task in ESAMS includes a description and the responsibilities of the task.
S&H authority can be clearly defined in the ESAMS duty/task description.
ESAMS provides useful resources for every employee such as:
• Safety Office contact information
• Medical contact information
• Unsafe/Unhealthful reporting process
• Emergency reporting information
work practices.
24
D2. How is the assignment of authority and responsibility documented and
communicated (for example, organization charts, job descriptions)?
Lines of Communication
Stage 1 D2. Management has established clear lines of communication with all
employees and ensures they have reasonable access to top management regarding S&H
issues and provided S&H information in languages spoken and understood by all
workers.
The documented process for employees to use when communicating S&H issues can be
posted in ESAMS. ESAMS should be identified as a preferred method of communicating
S&H issues, after verbal communication with the supervisor, through use of:
• Personnel and Supervisor Surveys
• Providing a link on the ESAMS Main Page to send an e-mail to the safety office
• Unsafe/Unhealthful Reporting
Stage 2 D2. Employees have clear lines of communication and reasonable access to top
management regarding S&H issues.
this item. Inspectors should question employees when conducting an inspection and
document this on inspection records.
Stage 3 D2. Visible, proactive steps are taken to encourage open dialogue between
management and employees.
Many of the visible steps can be documented in ESAMS and then referenced when
conducting the annual S&HMS self assessment.
25
D4. How are managers, supervisors and employees held accountable for meeting their
responsibilities for workplace safety and health? (Annual performance evaluations for
managers and supervisors are required.)
Accountability
Stage 1 D4. Managers, supervisors, and non-supervisory employees are held accountable
for meeting their S&H responsibilities, through a documented performance standards and
appraisal system, to ensure the site's S&H goals and objectives are met.
ESAMS provides reports that can be used to determine employee, supervisor, and
management performance as it pertains to their safety requirements. Reports include:
• Supervisor Safety Training Report Card – shows how well the supervisor has met
their personal training requirements and ensured the employees have met theirs.
• Medical Surveillance – Shows that the employee and supervisor have met their
requirements as it pertains to attending physical exams when required.
• Hazard Abatement – Reports show that employees have been proactive in
resolving identified hazards they have been assigned.
• Mishap Reporting – Shows that employees report to their supervisor and
supervisors submit reports of mishaps in a timely manner.
Stage 2 D4. An accountability plan has been implemented that provides specific, timely
feedback on performance and corrective action plans when needed.
The above reports can be monitored at regular intervals and immediate feedback provided
to employees, supervisors, and managers.
Stage 3 D4. S&H performance criteria are incorporated in job descriptions and
performance evaluations plans of all employees. (Annual performance evaluations for
managers and supervisors are required).
Employee, supervisors, and managers responsibilities as they pertain to the S&H program
are fully supported by the structure of ESAMS.
• Employees are required to report hazards and mishaps to their supervisor. In
addition, employees are to complete training and applicable medical surveillance
physicals when required.
o ESAMS provides a mechanism to report hazards and reminds employees
of other requirements coming due.
• Supervisors have the same responsibilities for completing their own requirements
as do employees. In addition, supervisors are required to ensure employees meet
their requirements and report mishaps to safety when reported to them.
o ESAMS provides the mechanism to submit mishaps reports to safety and
the chain-of-command. In addition, ESAMS provides reminders of
requirements coming due for the supervisor’s employees.
26
D4. How are managers, supervisors and employees held accountable for meeting their
responsibilities for workplace safety and health? (Annual performance evaluations for
managers and supervisors are required.)
Disciplinary Program
Stage 1 D4. A disciplinary plan (policy, procedures, and consequences) for management
and employees is established.
The documented disciplinary plan can be posted on ESAMS to make it available to all
employees. Information from the plan can be included in training to ensure a baseline
understanding is met.
Stage 2 D4. A disciplinary plan providing equitable enforcement across all levels of
employees has been implemented. (e.g., management should not get better treatment than
non-supervisory employees).
The documented disciplinary plan can be posted on ESAMS to make it available to all
employees.
Information documented in ESAMS can be used as the baseline level of a person’s
performance of meeting and supporting safety program requirements.
Stage 3 D4. The site seeks to identify, understand, and resolve any underlying reasons
(e.g. production incentive) for employees not following procedures.
Through the ESAMS unsafe / unhealthful and investigation documentation process and
deficiency identification process, underlying reasons can be identified and corrective
actions determined. Resolution status can be tracked to completion.
27
D5. Are adequate resources (equipment, budget, or experts) dedicated to ensuring
workplace safety and health? Provide examples. [Minimum Requirement - must be met
to be eligible for participation in VPP]
Resources,
Certified Professional Resources
Stage 1 D5. The site allocates adequate resources for effective S&H (i.e., time, training,
and access to experts, equipment, budgets, personnel, and other certified and licensed
professionals).
The following reports are available in ESAMS to support the identification of resources
and work load count to meet S&HMS Goals, Objective and program requirements:
• Deficiency Report – provides cost estimates to correct identified hazards
• Self Assessment Program Cost Report – provides cost estimates for action items
identified during the S&HMS evaluation process
• E-Tracker Equipment Status – provides cost for the maintenance, test, inspection
and replacement of equipment.
• Mishap Correct Action Report - provides cost estimates to correct identified
hazards.
• Unsafe/Unhealthful Corrective Action Report - provides cost estimates to correct
identified hazards.
Training Needs Assessment – provides information to assist the safety staff in
determining the number and locations of classes that must be taught to satisfy safety
training requirements for their serviced population. Also used to determine required
initial and proficiency training safety professionals may require.
Stage 2 D5 & 6. Employees understand the use and availability of certified professionals
and the provisions for their use.
this item. Inspectors should document this item on inspection record.
Stage 3
28
D6. Is access to experts (for example, Certified Industrial Hygienists, Certified Safety
Professionals, Occupational Nurses, or Engineers), reasonably available to the site, based
upon the nature, conditions, complexity, and hazards of the site? If so, under what
arrangements and how often are they used? (line 50 below also refers)
Resources,
Certified Professional Resources
Stage 1
Stage 2 D5 & 6. Employees understand the use and availability of certified professionals
and the provisions for their use.
Stage 3 D6. Available documentation, training plans, surveys, baseline analysis,
organizational structure, and roles and responsibilities to ensure personnel with assigned
S&H roles and responsibilities have had access to and/or have utilized resources as
needed (i.e., Certified Industrial Hygienists, Certified Safety Professionals, Occupational
Nurses, Engineers, and other licensed professionals who are reasonably available to the
site, as needed).
All documentation to include surveys, baseline analysis, organization structure, and roles
and responsibilities can be made available to employees on ESAMS. Procedures to
contact other professional resources are or can be included in ESAMS to ensure access by
all personnel.
29
Rewards Program
Stage 1 A system of rewards, positive reinforcement, and recognition for S&H
performance is established.
Reports available in ESAMS provide the ability to make the system of rewards and
recognition more meaningful as it can be based on actual performance based on historical
data over a selected time frame. The reports that can be used to determine employee,
supervisor, and management performance as it pertains to their safety requirements are:
• Supervisor Safety Training Report Card – shows how well the supervisor has met
their personal training requirements and ensured the employees have met theirs.
• Medical Surveillance – Shows that the employee and supervisor have met their
requirements as it pertains to attending physical exams when required.
• Hazard Abatement – Reports show that employees have been proactive in
resolving identified hazards they have been assigned.
• Mishap Reporting – Shows that employees report to their supervisor and
supervisors submit reports of mishaps in a timely manner.
Stage 2 A recognition system for S&H performance has been implemented to encourage
reporting of accidents, injuries, illnesses, and near misses.
Rewards and recognition based on actual reporting metrics provided in ESAMS will
encourage more timely and complete reporting.
Stage 3 The recognition system is an effective tool in facilitating achievement of the sites'
S&H goals and objectives.
Any recognition system will be more meaningful and effective given the use of reports
based on actual performance metrics contained in ESAMS.
30
Contract Workers
E1. Does the site use Contractors? Please explain.
Contract Worker Coverage
Contractor Oversight and Management
Stage 1 E1, 2, 4 & 10. The site has developed, documented, and implemented the basic
elements of a contractor oversight and management system that provides equal S&H
protection provided the installations' employees; meets the requirements of OSHA
standards; and provides information on emergency procedures such as evacuations,
weather restrictions; requires periodic review of contractor programs, injury and illness
rates and submission of reports; etc....
The written procedures to provide the basic elements of a contractor oversight and
management system can be posted on ESAMS and made available for covered employees
and contractors.
Personal service contractors (contractors directly supervised by government employees)
should be included in the command’s ESAMS roster. This will ensure all training,
medical surveillance requirements and mishap/hazard information concerning the person
is tracked.
Major contractors (grounds maintenance, house keeping, and construction) should have
designated people entered into ESAMS to allow for communication of pertinent program
information to include: instructions, procedures, hazard identification/notification, and
controls.
Stage 2
Stage 3
31
Contract Workers
E2. Were there contractors onsite at the time of the evaluation?
and contractors.
is tracked.
Major contractors (grounds maintenance, house keeping, construction) should have
designated person’s entered into ESAMS to allow for communication of pertinent
program information to include: instructions, procedures, hazard identification, and
controls.
Stage 2
Stage 3
32
Contract Workers
E3. When selecting onsite contractors, how does the site evaluate the contractor's safety
and health programs and performance (including rates)? (See: CSP Chapter 5.VI.A.6.)
Stage 1
Stage 2 E3. Contractor injury and illness rates and past S&H performance is considered
in the contractor selection process (where federal agencies prohibited this practice,
alternate methods are developed).
A new ESAMS application is under development which will provide the mechanism to
track contractor injury rates to use in the selection process.
Stage 3 E3. The contractor oversight and management program contains provisions for
contractors to timely record and submit, to the designated representative, all injuries and
illnesses occurring during contract work.
A new ESAMS application is under development which will provide the mechanism for
contractors to submit injury and illness reports to the designated representative.
33
Contract Workers
E4. Are contractors and subcontractors at the site required to maintain effective safety
and health programs and to comply with all applicable OSHA and company safety and
health rules and regulations?
and contractors.
is tracked.
controls.
Stage 2
Stage 3
34
Contract Workers
E10. Do contract provisions for contractors require the periodic review and analysis of
injury and illness data?
and contractors.
is tracked.
controls.
Stage 2
Stage 3
35
Contract Workers
E5. Does the site’s contractor program cover the prompt correction and control of
hazards in the event that the contractor fails to correct or control such hazards?
Adherence to Rules
Stage 1
Stage 2 E5. The contractor oversight and management program has been reviewed to
ensure it provides provisions for prompt correction and/or control of hazards, however
detected, under the contractor's control.
Identification of ESAMS as a tool in use by the government representative should be
identified in the documented contractor oversight and management program. Designated
contractor personnel can be included in ESAMS to facilitate communication of identified
hazards and track control measures.
Stage 3 E5. Audits, random inspections, or reviewing reports, etc..., have been conducted
to verify contractors are identifying, controlling, and tracking hazards in their work areas.
Contractor oversight inspections and identified deficiencies can be tracked in ESAMS to
ensure controls are put into place and issues are resolved.
36
Contract Workers
E6. How does the site document and communicate oversight, coordination, and
enforcement of safety and health expectations to contractors?
Adherence to Rules
Stage 1 E6. The contractor oversight and management program includes provisions for
oversight (i.e., roles and responsibilities, authority, and accountability), coordination, and
enforcement of contractors’ compliance with the sites S&H program.
This program should be added to the list of programs reviewed as part of the S&HMS
annual evaluation so Process Improvements Goals and Corrective Actions can be
developed and tracked to ensure requirements are met.
Stage 2
Stage 3
37
Contract Workers
E7. Have the contract provisions specifying penalties for safety and health issues been
enforced, when appropriate?
Enforcement and Removal Policy
Stage 1
Stage 2 E7. Contract provisions specify disciplinary procedures for non-compliance of
S&H rules and regulations.
ESAMS reports can be used as baseline documentation to support the disciplinary
process.
Stage 3 E7. The disciplinary methods of the contractor oversight and management
program have been applied consistently and are reviewed periodically to determine if
additional oversight measures are required.
This program should be added to the list of programs reviewed as part of the S&HMS
annual evaluation so Process Improvements Goals and Corrective Actions can be
developed and tracked to ensure requirements are met.
38
Contract Workers
E8. How does the site monitor the quality of the safety and health protection of its
contract employees?
Enforcement and Removal Policy
Stage 1 E8. The site provides designated contractor oversight and management personnel
with training and authority to effectively monitor the quality of the safety and health
protection of its contract employees.
Contractor oversight and management personnel can be identified by assigning a
duty/task that documents and tracks completion of required training. The duty/task can
also detail the responsibilities and authority of the position.
Stage 2
Stage 3
39
Contract Workers
E9. If the contractors' injury and illness rates are above the average for their industries,
does the site have procedures that ensure all employees are provided effective protection
on the worksite?
Developing Working Relationships
Stage 1 E9. Sound working relationships have been established with all contractors,
specifically when contractor's injury and illness rates are above the average for their
industries, to encourage open communication, to report hazards and other behaviors that
will enhance the contractors S&H program and protect all employees.
Open communication can be established by the use of ESAMS for the contractor to report
identified hazards on the worksite or encountered anywhere on the installation by one of
their employees. Additionally, as hazardous situations caused by the contractor are
identified, they can be recorded and tracked in ESAMS. Contractor oversite inspections
can also be recorded and identified deficiencies tracked.
Stage 2 Site’s S&H personnel are encouraging and supporting contractors in developing
and operating their own S&HMS by attending safety and health meetings and
participating in other safety and health activities.
Participation by contractor personnel in meetings and other S&H activities can be
documented in ESAMS. Contractors can also be included in ESAMS to allow access to
the site’s documented instructions and policies.
Stage 3
40
Contract Workers
E11. Is the contract oversight minimally effective for the nature of the site? [Minimum
Requirement - must be met to be eligible for participation in VPP]
Developing Working Relationships
Stage 1
Stage 2 Sites S&H personnel are encouraging and supporting contractors in developing
and operating their own S&HMS by attending safety and health meetings and
participating in other safety and health activities.
Open communication can be established and contractors can be encouraged to develop
and maintain their own effective S&HMS by the use of ESAMS. Joint safety and health
activities such as meetings and action items can be documented and tracked.
Stage 3 E11. The contractor oversight and management program is providing a safe and
healthful work environment for contractor employees, host site personnel, and visitors
and is minimally effective for the nature of the site.
41
DoD VPP CX Process
DoD VPP CX Process
Employee S&H Perception Survey
S&H Practices Change Plan
Stage 1 F1 & 2. The site has participated in/completed an employee S&H Perception
Survey to include all categories of personnel, e.g., managers, supervisors, nonsupervisory employees, new hires and nested contract employees to establish a S&H
culture baseline.
The employee S&H Perception Survey can be made available 24/7 on-line in ESAMS for
all categories of personnel. Data from the surveys can be tabulated and made available to
designated personnel for analysis.
Stage 2 Establish a process, committee, panel, etc., incorporating all categories of
employees to review the results of the perception survey and develop a plan to address
areas of concern accordingly
Data from the surveys can be tabulated and made available to designated personnel for
analysis. Action items can be developed and tracked within ESAMS to include
assignment of responsibility.
Stage 3 Implement recommendations from the site’s perception survey results plan,
monitor for adjustments as required and conduct a follow-up S&H perception survey to
verify progress.
The employee S&H Perception Survey can be made available 24/7 on-line in ESAMS for
all categories of personnel. Data from the surveys can be tabulated and made available to
designated personnel for analysis.
42
Employee Involvement
F3. Do employees support the site’s participation in the VPP Process? [Minimum
Requirement - must be met to be eligible for VPP]
Rights, Roles and Responsibilities
Stage 1
Stage 2
Stage 3 F3. Overall, employees support the site's participation in VPP and understand
participation in VPP does not diminish any rights/responsibilities under the OSH Act.
In addition to management’s and union’s commitment letters being posted on ESAMS,
VPP Training and briefing material can be made available as web-training or hard copy
for use by the supervisor in providing the training to employees. An Employee
Commitment Letter can also be made available for completion by each employee and
recorded by the supervisor for reporting purposes.
43
F7. Are employees knowledgeable about the VPP program?
Stage 1
Stage 2 F7. All employees and contractors are knowledgeable about the VPP.
VPP training can be documented in ESAMS.
The DoD VPP CX brief is already a web based course in ESAMS and can be made a
requirement for personnel to complete.
Stage 3
44
F8. Are the employees knowledgeable about OSHA rights and responsibilities?
Stage 1 F8. Employees and contractors are aware of their rights under the Occupational
Safety and Health (OSH) Act.
Web-based Safety Orientation for employees and supervisors training includes coverage
of the Occupational Safety and Health (OSH) Act rights and responsibilities.
Stage 2
Stage 3
45
F4. Do employees feel free to participate in the safety and health management system
without fear of discrimination or reprisal? [Minimum Requirement - must be met to be
eligible for participation in VPP]
S&HMS Awareness
Stage 1
Stage 2 F4. Employees freely participate in the S&HMS without fear of discrimination
or reprisal.
Participation can also be assessed using existing reports in ESAMS.
Stage 3
46
F6. Are employees knowledgeable about the site's safety and health management
system?
S&HMS Awareness
Stage 1 F6. Employees are knowledgeable about the site's S&HMS.
ESAMS web based Indoctrination/Orientation training should provide the basic
familiarization information required by all employees.
Stage 2
Stage 3
47
F9. Do employees have access to results of self-inspection, accident investigation,
appropriate medical records, and personal sampling data upon request? [Minimum
Requirement - must be met to be eligible for participation in VPP]
S&HMS Awareness
Stage 1
Stage 2
Stage 3 F9. Employees have access to results of self-inspection, accident investigation,
appropriate medical records, and personal sampling data upon request.
ESAMS provides an effective mechanism for employees to access results of inspections,
mishap investigations, medical surveillance and sampling data on an individual or
location basis.
48
F4. Do employees feel free to participate in the safety and health management system
without fear of discrimination or reprisal? [Minimum Requirement - must be met to be
Meaningful Involvement
Stage 1
Stage 2
Stage 3 F4 & 6. A S&H culture that makes employees aware of the S&HMS encourages
employee participation and provides feedback on recommendations and suggestions has
been established.
ESAMS provides a process for the employee to submit documented suggestions/concerns
and allows safety professionals to provided and document feedback. Corrective actions
can be assigned to personnel and tracked to completion.
49
F5. Please describe at least three ways in which employees are meaningfully involved in
the problem identification and resolution, or evaluation of the safety and health program
(beyond hazard reporting). (See: FRN Chapter 3 Paragraph F.5 (6) (a-h).
Stage 1 F5. Employees are actively and meaningfully involved in the sites' S&H
program by participating in activities and decision making that impacts their S&H (at
least three ways).
Participation in activities such as briefs, training, meetings, and other group events can be
detailed in ESAMS per event and individual, to include decision making discussion and
resolution.
Stage 2 F5. S&H teams to achieve desired S&HMS outcomes have been established and
there is broad and active employee participation on the teams.
ESAMS can track team membership by duty/task. If special training must be included, it
can also be tracked to ensure that qualifications are met by team membership.
Stage 3
50
F6. Are employees knowledgeable about the site's safety and health management
system?
Stage 1
Stage 2
Stage 3 F4 & 6. A S&H culture that makes employees aware of the S&HMS encourages
employee participation and provides feedback on recommendations and suggestions has
been established.
ESAMS can be a useful instrument in creating a culture of awareness and participation
for the S&HMS. It provides a process for the employee to be informed of their
requirements and tools to meet those requirements. ESAMS also provides a tool to
submit documented suggestion/concerns and allows safety professionals to provided and
document feedback. Corrective actions can be assigned to personnel and tracked to
completion.
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II. WORKSITE ANALYSIS
Baseline Hazard Analysis
A1. Has the site been at least minimally effective at identifying and documenting the
common safety and health hazards associated with the site (such as those found in OSHA
regulations, building standards, etc., and for which existing controls are well known)?
[Minimum Requirement - must be met to be eligible for participation in VPP]
Stage 1 A1. A baseline S&H hazard analysis has been conducted to identify all hazards
on the site including a review of comprehensive surveys, self-inspection results, previous
accidents, injuries, and complaints of workplace hazards, etc….
ESAMS provides the following tools for hazard identification and analysis:
1. Inspections (SOH and Industrial Hygiene) are documented along with
associated deficiencies.
- Notifications are provided to inspectors, points of contact, and persons
responsible.
- Deficiencies are tracked through the following lifecycle:
• New – being written (developed) by the inspector. Inspection is open.
• Response Required – Inspection closed; notifications sent to persons
responsible; awaiting action by the person responsible. E-mails notification
sent every 30 days until status is updated.
• Abatement Initiated – corrective action(s) have been identified and initiated;
estimated completion date determined; interim controls are in place. E-mail
notifications sent every 30 days until status updated.
• Request Closure – corrective action(s) are complete; e-mail sent to inspector;
awaiting action (verification and status update) by inspector
• Closed – inspector has verified correction(s) are complete and adequate to
abate the identified hazard.
• Further Action Required – status update used by inspector to identify that
actions taken were not adequate to eliminate the hazard. Sends deficiency
back to response required status.
2. Job Hazard Analysis’ (JHAs) for specific jobs are documented in ESAMS.
- Each JHA is developed based on the specific steps of a job and is used to
identify the hazards, recommended controls and PPE for each step. Other
information contained in a JHA:
• Complete task description
• Affected work centers / departments
• PCN Code
• Job Hazard Category
• Related Industrial Hygiene Survey
• Risk Assessment Code (RAC) for this JHA
• Chemicals and Equipment involved used by the worker in performing this job\
• Review and approval documentation
Stage 2
Stage 3
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A2. What methods are used in the baseline hazard analysis to identify health hazards?
(Please include examples of instances when initial screening and full-shift sampling were
used. See FRN page 45657, F5.B.2.b).
Stage 1 A2. The baseline S&H hazard analysis identifies and documents common safety
hazards; how they are controlled; safety hazards that need further study; who conducted
the survey; and when it was completed.
Through use of the ESAMS JHA, Inspection and Deficiency, and Mishap reporting
applications, common safety hazards and controls are identified and documented.
These processes document who conducted the survey/analysis and when it was
conducted.
Controls for identified hazards are documented and tracked in the system for follow-up
action and review.
Stage 2
Stage 3
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A6. Does the baseline hazard analysis adequately identify hazards (including health) that
need further analysis?
Stage 1
Stage 2
Stage 3 A6. The baseline S&H hazard analysis is reviewed to ensure it adequately
identifies hazards (including health hazards) that need further analysis.
ESAMS provides tools to assist with the identification and tracking of all hazards to
ensure periodic review and updating. Summary reports can be run and reviewed for
completed JHA, mishap reporting and inspection records to determine if further analysis
is required.
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A3. Does the site have a documented sampling strategy used to identify health hazards
and assess employees' exposure (including duration, route, and frequency of exposure),
and the number of exposed employees?
Baseline Industrial Hygiene
Stage 1 A3 & 4. A baseline Industrial Hygiene (IH) study has been completed, including
chemical inventory, review of previously reported hazards, trends, and illnesses, to
identify and quantify employee exposures to typical health hazards such as noise,
chemical exposure, dust, etc....
Industrial Hygiene studies can be documented in ESAMS to include the requirement for a
scheduled workplace monitoring and the tracking of identified deficiencies. Deficiencies
can include:
• Employee notification
• Over-exposure information
• Inadequate PPE
Review of trends can be conducted for previously identified hazards, illnesses and
chemical inventories.
The written IH Survey Report can be attached to each inspection/survey record in
ESAMS.
Stage 2
Stage 3 The IH Program has been implemented and is effective.
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A4. Do sampling, testing, and analysis follow nationally recognized procedures?
Stage 1 A3 & 4. A baseline Industrial Hygiene (IH) study has been completed, including
chemical inventory, review of previously reported hazards, trends, and illnesses, to
identify and quantify employee exposures to typical health hazards such as noise,
chemical exposure, dust, etc....
Industrial Hygiene studies can be documented in ESAMS to include the requirement for a
scheduled workplace monitoring and the tracking of identified deficiencies. Deficiencies
can include:
• Employee notification
• Over-exposure information
• Inadequate PPE
Review of trends can be conducted for previously identified hazards, illnesses and
chemical inventories.
The written IH Survey Report can be attached to each inspection/survey record in
ESAMS.
Stage 2 A4 & 5. The IH Program includes sampling schedule and methods, applicable
standards for comparison (i.e. PELs, TLVs), required documentation, use of sampling
results, and how results will be communicated with employees.
Documented IH inspections/surveys, in ESAMS, include an area where all pertinent
information can be captured. Required notifications can be made, identified deficiencies
tracked and future scheduled reviews documented.
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A5. Does the site compare sampling results to the minimum exposure limits, or are more
restrictive exposure limits (PELs, TLVs etc.) used? Please explain.
Stage 1
Stage 2 A4 & 5. The IH Program includes sampling schedule and methods, applicable
standards for comparison (i.e. PELs, TLVs), required documentation, use of sampling
results, and how results will be communicated with employees.
Documented IH inspections/surveys, in ESAMS, include an area where all pertinent
information can be captured. Required notifications can be made and scheduled reviews
tracked.
The documented IH Program should indicate that ESAMS Inspection and Deficiency
tracking system is used to document IH inspections/surveys to meet requirements.
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A7. Do industrial hygiene sampling data, such as initial screening or full shift sampling
data, indicate that records are being kept in logical order and include all sampling
information (for example, sampling time, date, employee, job title, concentrated
measures, and calculations)? If not, please explain the deficiencies and how they are
being addressed.
Baseline Hazard Analysis Industrial Hygiene Tracking and Reporting
Stage 1 A7. A process to record, track, and report IH data has been developed which
includes all information (i.e., sampling time, date, employee, job title, concentrated
measures, and calculations) to assist the site in future IH sampling efforts.
ESAMS provides a systematic process to record, track and report IH inspections/surveys
data. All pertinent information can be captured and made available to personnel. Actual
IH Survey reports can also be attached to the record for future reference.
Stage 2 Worksite personnel are familiar with the IH sampling program and how the
results are used.
Training/briefing material can be made available to personnel and accomplishment
tracked in ESAMS to ensure information is provided to every employee.
Stage 3 IH records and reports are maintained as required.
Documented IH inspections/surveys include an area where all pertinent information can
be captured. Required notifications can be made and scheduled reviews tracked. Survey
reports and records are maintained indefinitely and available at anytime for
review/analysis.
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Hazard Analysis of Significant Changes
Hazard Analysis of Routine Jobs-Tasks-Processes
Pre-use Analysis
Stage 1
Stage 2
Stage 3
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B1. When purchasing new materials or equipment, or implementing new processes, what
types of analysis are performed to determine their impact on safety and health? Is it
adequate?
Baseline Hazard Analysis Industrial Hygiene Tracking and Reporting
Stage 1 B1. Pre-use analysis is used when the site is considering new equipment,
chemicals, or facilities.
ESAMS provides a Job Hazard Analysis (JHA) process which can be used to conduct and
track pre-use analysis. Once the JHA is complete, it goes through a review and approval
process to allow designated personnel additional analysis opportunity. Approved JHAs
are then added to training requirements for affected employees.
Stage 2 Pre use analysis is documented and integrated during the procurement/design
phase.
The JHA process is a documented process to include:
• Initial development captures the following data:
o Description
o Command / Other affected departments
o PCN Code
o Hazard Category
o IH Survey (if applicable)
o Other tools used
o Chemicals used
• Step identification to include the following:
o Step description
o Potential Injury/Damage
o Recommended controls
o PPE required to prevent injury/illness
• The JHA is then submitted to designated personnel for review to ensure
completeness and accuracy.
• Approval of the JHA is conducted by designated personnel upon completion of all
reviews.
• The JHA becomes a part of the training plan for all affected personnel.
Stage 3 The pre use-analysis system is reviewed at least annually and tasks resulting in
high injury and illnesses that have experienced significant incidents/near-misses, or are
considered high hazard tasks (i.e., catastrophic explosion, electrocution, etc.) are
identified, abated and/or controlled.
A duty/task can be assigned to designated personnel which will assign and track
the requirement to conduct a review of each JHA associated with their personnel.
Designated personnel can be assigned a task which includes the requirement to
conduct a review of the pre-use analysis system. Based on the assigned task, ESAMS
will send reminders to the personnel as reviews are coming due and completion of
reviews can be tracked.
Through the use of all available reports in ESAMS (mishap, inspection and
deficiency, medical surveillance, and unsafe/unhealthful) the reviewer has access to
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actual historical data when conducting a review of each JHA and the pre-use analysis
system.
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B2. When implementing/introducing non-routine tasks, materials or equipment, or
modifying processes, what types of analyses are performed to determine their impact on
S&H? Is it adequate?
Stage 1 B2. Procedures are established for analyzing potential hazards of significant
changes and all non-routine tasks, including those performed less than once a year.
ESAMS allows supervisors complete access to JHAs for tasks affecting their employees.
Supervisors can review the steps, tools, hazards and precautions identified on any JHA.
They can use the JHA to provide training for the task and document the training provided
upon completion. This is an especially useful tool for non-routine tasks.
Supervisors can update existing or create new JHAs to document changes in steps, tools,
or chemicals used in a process. When complete, the JHA will be reviewed and approved
by others to ensure accuracy and completeness.
Stage 2 B2. Hazards of significant changes procedures are implemented and employees
are trained prior to performing tasks.
Updated or new JHAs are reviewed and approved by designated personnel.
The supervisor uses the approved JHA to provide task specific training to include the
steps of the task, associated hazards, hazard controls and required PPE.
The supervisor then documents completion of the training for their personnel who
received the training.
Stage 3 The hazards of significant change procedure is reviewed at least annually and the
results are incorporated in the appropriate sections of the site S&HMS.
Designated personnel can be assigned a task which includes the requirement to
conduct a review of the pre-use analysis system. Based on the assigned task, ESAMS
will send reminders to the personnel as reviews are coming due and completion of
reviews can be tracked.
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Hazard Analysis of Routine Activities
C1. Is there at least a minimally effective hazard analysis system in place for routine
operations and activities? [Minimum Requirement - must be met to be eligible for
Stage 1 C1 & 2. An effective hazard analysis program has been developed that identifies
and documents S&H hazards of routine jobs, tasks, and procedures, ensuring nonsupervisory employees are involved in the process.
ESAMS provides a systematic approach to conduct, review, approve and review jobspecific JHAs. Employee involvement during development and training for each affected
employee can be documented.
The JHA process allows for any involved employee to participate in the creation and
review of the JHAs which affect them and their job.
Stage 2
Stage 3 JHA, JSA, ORM, etc..., are accessible to employees in their respective work
areas; all employees, including new hires, have been adequately trained on their purpose,
development, and use; and, all affected employees are incorporating them in their daily
tasks.
ESAMS web training contains a course which provides general JHA knowledge,
including: purpose, development and use.
The general JHA, ORM and job specific JHA training for each individual in the
organization can be recorded and tracked to ensure completion.
JHAs can be reviewed on-line by each employee, or can be printed off for hard copy
availability in the work center.
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C2. Does hazard identification and analysis address both safety and health hazards, if
appropriate?
Stage 1 C1 & 2. An effective hazard analysis program has been developed that identifies
and documents S&H hazards of routine jobs, tasks, and procedures, ensuring nonsupervisory employees are involved in the process.
The JHA process allows for any involved employee to participate in the creation and
review of the JHAs which affect them and their job.
Stage 2
tasks.
ESAMS web training contains a course which provides general JHA knowledge to
include: purpose, development and use.
The general JHA, ORM and job specific JHA training for each individual in the
organization can be recorded and tracked to ensure completion.
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C3. What hazard analysis technique(s) are employed for routine operations and activities
(e.g. job hazard analysis, Haz -Ops, fault trees)? Are they adequate?
Stage 1
ESAMS provides a systematic approach to conduct, review, approve and review job
specific JHAs. Employee involvement during development and training for each affected
employee can be documented.
Stage 2 C3 & 4. Hazard analyses is effectively used (JHA, JSA, ORM, etc...) on the
installation.
Conduct and develop required JHA(s) for each job and include annual reviews of
previously developed JHAs.
tasks.
Job-specific JHA training can be documented by the supervisor for each employee.
JHAs can be used as the basis for SOPs developed for each job.
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C4. Are the results of the hazard analysis of routine activities adequately documented?
Stage 1
Stage 2 C3 & 4. Hazard analyses is effectively used ( JHA, JSA, ORM, etc...) on the
installation.
Conduct and develop required JHA(s) for each job and include annual reviews of
previously developed JHAs. The JHA process implemented in ESAMS is based on ORM
Principles and can be used as the basis for SOP development.
tasks.
Job specific JHA training can be documented by the supervisor for each employee.
The JHA can be printed for use in the work center as the SOP for a job.
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Routine inspections
D1. Does the site have a minimally effective system for performing safety and health
inspections (i.e. minimally effective system identifies hazards associated with normal
operations)? [Minimum Requirement - must be met to be eligible for participation in
VPP]
Self Inspections
Stage 1 D1 & 5. A system for conducting, documenting and tracking results of routine
self-inspections of the workplace has been developed.
Inspections (SOH and Industrial Hygiene) are documented along with associated
deficiencies.
- Notifications are provided to inspectors, points of contact and persons
responsible.
Stage 2
Stage 3
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Routine inspections
D2. Are routine safety and health inspections conducted monthly, with the entire site
covered at least quarterly (for construction: entire site weekly)?
Self Inspections
Stage 1
Stage 2 D2, & 4-6. Routine self inspections are conducted monthly. The entire worksite
is covered quarterly and results of the inspections are documented. Actions to be taken
with assigned responsibility and closure dates for any open items are assigned.
1. Inspections (SOH / Traffic / RODS / Industrial Hygiene) are documented along
with associated deficiencies.
- Notifications are provided to inspectors, points of contact and persons
responsible.
Stage 3
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Routine inspections
D3. How do inspections use information discovered in the baseline hazard analysis,
accident/incident analysis, job hazard analysis, employee concerns, sampling results etc.?
Self Inspections
Stage 1
Stage 2
Stage 3 D3. Inspectors/inspection teams have been made aware of and understand results
of hazard and industrial hygiene surveys, previous inspections, accident and injury
statistics, trend analysis, sampling results, hazard analysis, employee
complaints/concerns, etc..., to ensure they are prepared to conduct thorough routine
inspections of their assigned area.
ESAMS provides report tools which provides the following information:
• Previous SOH, IH and Environmental inspection results
• Injury and illness trends
• Safety training requirements and compliance report
• Unsafe / Unhealthful reports and status
• Employee satisfaction survey data
A pre-inspection report for the inspected organization is available that provides:
• Duties/tasks assigned to personnel
• Mishap report data
• Training completion statistics
• Previous inspection information to include previously identified deficiencies
• Unsafe/Unhealthful report information
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Routine inspections
D4. Are those personnel conducting inspections adequately trained in hazard
identification?
Self Inspections
Stage 1
Inspection training can be developed and recorded in ESAMS for any person required to
conduct inspections (i.e. supervisors and Safety POCs). Required training for Safety
Professionals can be tracked based on duty/task assignment. Existing Safety Professional
duty/task includes all required training per OPNAVINST 5100.23 Series: Intro to IH,
Intro to NAVOSH, Intro to HAZMAT, Mishap Investigation and Reporting, Electrical
Safety Standards, General Industry Standards, Ergonomics, and Machine Guarding.
ESAMS provides an application (Inspection and Deficiency Abatement Tracking System
(IDATS)) to allow for the tracking of inspections and deficiencies.
Inspections
• Inspections are tracked by type of inspection, date of inspection, inspector,
command conducting the inspection, command inspected, department,
installation, and building,
• POCs are identified on each inspection, which allows full access to review the
inspection information and update identified deficiencies.
• Annual inspection schedules can be created to develop workload assignments for
an organization. The scheduled inspection contains all information to include the
inspected command’s POC.
• Pre-inspection e-mails are sent to inspectors and POC(s) 60 days prior to
scheduled inspection start date as a reminder of the upcoming inspection.
• Upon completion of the inspection, e-mails are sent to the inspector and POCs
providing notification of completion and summary information of deficiencies
identified (if any).
Deficiencies
• Deficiencies are associated with an inspection and each one contains the
following specific information: violation description, citation/standard violated,
hazard type (asbestos, lead, fire and life safety,etc.), abatement type (mission or
facility), risk assessment code (RAC), annual exposure tracked
• Person Responsible for Abatement (PRA) are identified for each deficiency which
assigns responsibility and allows access to update the status.
• Each time the status of a deficiency is updated, e-mail notifications are sent to the
inspector, inspection POC and deficiency PRA(s).
• When no action has been taken, e-mails are generated to the inspector, inspection
POC(s) and deficiency PRA(s) to remind them that their action is required.
Stage 3
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Routine inspections
D5. Is the routine inspection system written, including documentation of results?
Self Inspections
Stage 1 D1 & 5. A system for conducting, documenting and tracking results of routine
self-inspections of the workplace has been developed.
(IDATS) to allow for the tracking of inspections and deficiencies.
Inspections
command conducting the inspection, command inspected, department, installation
and building,
• POCs are identified on each inspection which allows full access to review the
Deficiencies
When no action has been taken, e-mails are generated to the inspector, inspection POC(s)
and deficiency PRA(s) to remind them that their action is required.
Stage 2
Stage 3
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Routine inspections
D6. So the written routine inspection reports clearly indicate what needs to be corrected,
by whom, and by when?
Self Inspections
Stage 1
(IDATS)) to allow for the tracking of inspections and deficiencies.
Inspections
command conducting the inspection, command inspected, department, installation
and building,
• POCs are identified on each inspection which allows full access to review the
Deficiencies
Stage 3
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Hazard Reporting
E1. Does the site have a reliable system for employees to notify appropriate management
personnel in writing about safety and health concerns?
Employee Reports of Hazards
Hazard Reporting
Stage 1 E1. An effective hazard-reporting system is in place, which may be anonymous,
that allows employees to use specific tools to notify management in writing (or via
alternate methods), without fear of reprisal, about possible hazardous conditions, timely
and adequate response, and ensure hazards are tracked through completion.
ESAMS includes a functionality which allows anyone with standard access to submit a
Report of Unsafe/Unhealthful Conditions. The functionality includes the following
process:
• Any person with access to ESAMS can submit a report
• The submission includes the following information:
o Date of the violation
o Installation/command
o Building or worksite
o Name of the supervisor at the site (if known)
o Submitter’s classification of the hazard
Non-serious non-life threatening
Potentially serious
Immediately threatens death or serious physical harm
A note is provided directing the person making the report to
contact the safety office for “imminent danger” reports.
Installation specific emergency contact number and procedures are
provided for the user.
o Brief description of the hazard
o Contact information
o The person submitting the report has 3 options when it comes to
identifying themselves:
Do not fill in contact information (anonymous submittal)
Fill in contact information but indicate that they do not want their
name released
Fill in contact information and indicate that their name may be
released
• Upon submission
o A case number is provided to the submitter to allow them to check the
status of their submission.
o An e-mail is sent to designated safety personnel notifying them that a
report has been submitted so they can start the investigation
• The OSH representative accesses the report and identifies the investigating OSH
officer and investigating health officer (if required).
The process includes:
• Periodic e-mail reminders to the investigator to ensure the required timeframe for
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•
•
•
•
response (interim and final).
Investigator can document investigation process.
Create corrective action to include person responsible and timeline.
Initiate interim and final response letter with all dates documented.
Person submitting report is provided interim and final response letters and appeal
rights and process if they are not satisfied with resolution.
Stage 2
Stage 3 E1 & 2. Hazard reporting system time frames for measuring the effectiveness of
the tracking system have been implemented.
The Unsafe/Unhealthful program provides e-mail reminders to the investigating officers
to assist in meeting all reply timeline requirements.
Reports are available to identify report status and investigation response timelines.
Corrective action status reports are available to assist administrators in tracking all
corrective actions to completion.
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Hazard Reporting
E2. Do the employees feel they have an effective system for reporting safety and health
concerns? Employee Reports of Hazards
Hazard Reporting
Stage 1
Stage 2
Stage 3 E1 & 2. Hazard reporting system time frames for measuring the effectiveness of
the tracking system have been implemented.
The Unsafe/Unhealthful program provides e-mail reminders to the investigating officers
to assist in meeting all reply timeline requirements.
Reports are available to identify report status and investigation response timelines.
Corrective action status reports are available to assist administrators in tracking all
corrective actions to completion.
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Hazard Reporting
E3. Is there a minimally effective means for employees to report hazards and have them
addressed? [Minimum Requirement - must be met to be eligible for participation in
VPP]
Hazard Reporting
Stage 1
Stage 2 E3. The hazard reporting system has specific provisions to address how
"imminent danger" situations will be addressed by management.
The person submitting reports through ESAMS has the opportunity to provide their
classification of the hazard
• Non-serious non-life threatening
• Potentially serious
• Immediately threatens death or serious physical harm
• A note is provided directing the person making the report to contact the safety
office for “imminent danger” reports. Installation specific emergency contact
number and procedures are provided for the user.
E-mail notifications sent to safety personnel include the classification provided by the
person making the report. If imminent danger is identified, safety personnel should:
• Take immediate action to investigate the situation by contacting the person
making the report and/or the supervisor of the area
• Conduct a visit to the site of the reported hazard
• Initiate appropriate action to prevent injury or illness.
Stage 3
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Hazard Tracking
F1. Does the hazard tracking system address hazards found by employees, hazard
analysis of routine activities, inspections, and accident or incident investigations?
Hazard Tracking
Stage 1 F1, 3 & 4. An effective hazard tracking system is developed and used to correct
the hazards identified through the following means: baseline safety and industrial
hygiene surveys, hazard analyses of routine jobs, self-inspections, near miss, employee
reports of hazards, trend analysis, and accident investigations.
ESAMS provides an effective hazard tracking system for hazards identified in each of the
following applications:
• Inspections and Deficiency Abatement Tracking System
• Mishap Reporting and Investigation
• Self Assessment
Identified hazard tracking provides the ability to:
• Document identified hazards by category
• Assign Risk Assessment Code
• Assign person(s) responsible for abatement (PRA)
• Allow PRA to update status
• Track interim controls
• Conduct and document follow-up inspections
• Run status reports
• Conduct trend analysis
Stage 2F1&2. The hazard tracking system has a process to provide feedback regarding
the status of hazards reported. Record hazards identified in this stage using the baseline
study, trend analysis, and accident investigations. The system must document priority,
assign responsibility for correction, establish timeframes for correction, and follow up to
ensure total abatement. The system also identifies any hazards employees are allowed to
correct on their own initiative.
• Self Assessment
• Trend Analysis of data from any application
Feedback of current status (estimated completion date, identification of interim
controls and final corrective action) for the above applications is provided by the person
assigned responsibility to correct the hazard.
Final feedback and approval is provided by the designated safety professional
upon verification that the action taken is appropriate to abate the hazard and prevent
injury/illness.
Stage 3
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Hazard Tracking
F2. Does the tracking system result in hazards being corrected and provide feedback to
employees for hazards they have reported?
Hazard Tracking
Stage 1
Stage 2F1&2. The hazard tracking system has a process to provide feedback regarding
the status of hazards reported. Record hazards identified in this stage using the baseline
study, trend analysis, and accident investigations. The system must document priority,
assign responsibility for correction, establish timeframes for correction, and follow up to
ensure total abatement. The system also identifies any hazards employees are allowed to
correct on their own initiative.
• Self Assessment
• Trend Analysis of data from any application
Feedback of current status (estimated completion date, identification of interim
controls and final corrective action) for the above applications is provided by the person
assigned responsibility to correct the hazard.
Final feedback and approval is provided by the designated safety professional
upon verification that the action taken is appropriate to abate the hazard and prevent
injury/illness.
To streamline the hazard tracking functionality, ESAMS uses the same process for
hazards identified in any application:
• Hazards are associated with an application (process that discovered the hazard)
and each one contains the following specific information: violation description,
citation/standard violated, hazard type (asbestos, lead, fire and life safety, etc.),
abatement type (mission or facility), risk assessment code (RAC), and annual
exposure.
• Person Responsible for Abatement (PRA) are identified for each hazard which
• Each time the status of a hazard is updated, e-mail notifications are sent to the
Stage 3
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Hazard Tracking
F3. Does the tracking system result in timely correction of hazards with interim
protection established when needed? Please describe.
Hazard Tracking
Metric reports are available in ESAMS to verify that the hazard tracking functionality is
used to correct hazards identified in any application.
Stage 2
Stage 3
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Hazard Tracking
F4. Does a minimally effective tracking system exist that results in hazards being
controlled? [Minimum Requirement - must be met to be eligible for participation in VPP]
Hazard Tracking
Metric reports are available in ESAMS to verify that the hazard tracking functionality is
used to correct hazards identified in any application.
Stage 2
Stage 3 F4. Employees are aware of the hazard tracking system/method used for hazard
correction through total abatement.
A description of the ESAMS processes, identified above, should be provided to all
employees and contractors. ESAMS metric and summary reports should be used and
discussed at all safety committees/council meetings to ensure decision making process
includes factual data.
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Accident/Incident Investigation
G1. Is there a minimally effective system for conducting accident/incident
investigations, including near-misses? [Minimum Requirement - must be met to be
Accident/Incident
Investigation
Stage 1 G1 & 3. A written process for accident, incident, and near miss investigations
that identifies root cause analysis, actions to prevent recurrence, and timeframes for
implementing recommended controls has been developed.
ESAMS provides a systematic process for the reporting and documenting of information
found during the investigation process. Report types include Injury/Illness, Property
Damage and Near Miss.
Process includes:
• Employees make report of event verbally to the supervisor.
• The supervisor enters the required information into ESAMS.
• Upon submission by the supervisor, safety and other identified personnel receive
e-mail notification of the event.
• Safety personnel open the event record and start investigation process.
• Investigators complete the record by entering required information which includes
causal analysis and identification of appropriate corrective actions and closing it.
• Corrective actions are created to document measures required to prevent
reoccurrence, issued to a person responsible, and tracked until completion.
• Upon closure of the event record, ESAMS conducts a validation process to ensure
required information is complete and checks for incorrect data entry.
• The data on the record is then available for all trending reports and, if so
indicated, is included on all OSHA 300 Log requirements.
Stage 2
Stage 3
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G2. Are those conducting the investigations trained in accident/incident investigation
techniques?
Accident/Incident
Investigation
Stage 1
Stage 2 G2. Training and/or guidance is provided to individuals who are responsible for
conducting accident and near miss investigations.
Supervisor web training provides the required guidance and instruction on mishap
investigation per instruction to enable them to conduct investigations for lower class
mishaps (Class C and below).
Safety has the requirement to review the supervisor submission for quality control and
ensure all required information is included in the report.
Stage 3
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G3. Describe how investigations discover and document all the contributing factors that
led to an accident.
Accident/Incident
Investigation
Stage 1G1 & 3. A written process for accident, incident, and near miss investigations
that identifies root cause analysis, actions to prevent recurrence, and timeframes for
implementing recommended controls has been developed.
Stage 2
Stage 3 G3. Accident/incident and near miss process has provisions to: document the
entire sequence of relevant events; identify the root cause and all contributing factors;
determine the S&HMS effectiveness; recommend actions to prevent reoccurrence;
prioritize, and; assign timeframes and responsibility for implementing recommended
controls.
Process includes:
• Employees make report of event verbally to the supervisor.
• The supervisor enters the required information into ESAMS.
• Upon submission by the supervisor, safety and other identified personnel receive
e-mail notification of the event.
• Safety personnel open the event record and start investigation process.
• Investigators complete the record by entering required information which includes
causal analysis and identification of appropriate corrective actions and closing it.
• Corrective actions are created to document measures required to prevent
reoccurrence, issued to a person responsible, and tracked until completion.
• Upon closure of the event record, ESAMS conducts a validation process to ensure
required information is complete and checks for incorrect data entry.
The data on the record is then available for all trending reports and, if so indicated, is
included on all OSHA 300 Log requirements.
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G4. Were any hazards discovered during the investigation previously addressed in any
prior hazards (e.g. baseline, self-inspections)? Please explain.
Accident/Incident
Investigation
Stage 1 G4. Results of incident investigations are reviewed and any previously addressed
hazards which contributed to the accident, incident, or near miss have been documented.
ESAMS provides reports for all applications where hazards are identified that can be
used to determine if the same hazard was identified previously. This allows thorough
follow-up for all corrective actions / hazard abatement actions and trending of identified
hazards.
Stage 2 The accident/incident investigation process has been reviewed to ensure causal
factors are tracked and corrective actions implemented as needed.
The corrective action functionality provides the mechanism for tracking all corrective
actions by assigning person(s) responsible and generating reminders when actions are
due. Person(s) responsible are tasked with providing updates on corrective action status
with designated safety personnel having responsibility for final approval to ensure
appropriate action has been taken to prevent reoccurrence.
Stage 3 G4. A process is in place that allows accident investigation results to be shared
with other sites to prevent similar types of occurrences.
Summary reports of releasable information can be developed and made available to other
sites by posting on ESAMS.
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Safety and Health Program Evaluation
H1. Briefly describe the system in place for conducting an annual evaluation.
Stage 1 H1&2. Written procedures are established enabling the site's employees,
managers, or trained outsiders to evaluate the entire site’s S&HMS annually addressing
the four key elements and all the sub-elements of VPP.
The Self Assessment application in ESAMS provides a systematic procedure to
conduct an annual evaluation of all aspects of the site’s S&HMS. It incorporates a
layered approach based on the OPNAVINST 5100.23 Series Process Review and
Measurement System (PR&MS). The application allows the administrator to select
which SOH, Traffic and or RODS programs pertain to their S&HMS. Designated
personnel then evaluate assigned program(s) by documenting the following items per
program:
• Overall goal/purpose of the program
• Evaluation criteria/ methodology
• Module analysis, current status, adequacy of resources and personnel
participation for each of the following PR&MS Modules
o Mishap Prevention
o Regulatory Compliance
o Supervision
o Training
o Customer Focused Support
• Not all modules have to be completed.
Upon completion of the above analysis, Process Improvement Goals to enhance
the S&HMS are developed. A developed goal can be associated with one or more
programs and one or more modules.
To accomplish the sited improvement goal, action items are created with the
following information:
• Action Item Description
• Due Date
• Responsible Person(s)
• Estimated Cost
Action items are then updated by the responsible person(s) to include current
status, completion date, and actual cost.
Stage 2 H1. Trained and experienced personnel conduct the S&HMS evaluations and
understand the purpose and use of the annual self-evaluation system.
Plan Of Action And Milestones (POA&M) Reports are available for
administrators to determine the current status of evaluation processes and identified
action items throughout the year.
The report can be used to brief safety committee/council members to ensure all
participants are aware of the current status of goals and action items.
Stage 3
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H2. Does the annual evaluation cover the aspects of the safety and health program,
including the elements described in the Federal Register?
Stage 1 H1&2. Written procedures are established enabling the site's employees,
managers, or trained outsiders to evaluate the entire site’s S&HMS annually addressing
the four key elements and all the sub-elements of VPP.
program:
o Mishap Prevention
o Supervision
o Training
program and one or more module.
• Due Date
• Estimated Cost
Stage 2
Stage 3
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H4. Is the annual evaluation an effective tool for assessing the success of the site’s safety
and health system? Please explain
Stage 1
Stage 2
Stage 3 H4 & 5. The S&HMS evaluation program contains provisions to document,
prioritized, track discrepancies/recommendations through closure, establish timelines for
completion, assign roles and responsibilities, and integrate recommendations from the
evaluation into the site's S&H goals and objectives.
program:
• Module analysis, current status, adequacy of resources, and personnel
o Mishap Prevention
o Supervision
o Training
programs and one or more modules.
To accomplish the cited improvement goal, action items are created with the
• Due Date
• Estimated Cost
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H5. What evidence demonstrates that the site responded adequately to the
recommendations made in the annual evaluation?
Stage 1
Stage 2
Stage 3 H4 & 5. The S&HMS evaluation program contains provisions to document,
prioritized, track discrepancies/recommendations through closure, establish timelines for
completion, assign roles and responsibilities, and integrate recommendations from the
evaluation into the site's S&H goals and objectives.
program:
o Mishap Prevention
o Supervision
o Training
• Due Date
• Estimated Cost
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H3. Does the annual evaluation include written recommendations in a narrative format?
Stage 1
program:
o Mishap Prevention
o Supervision
o Training
• Due Date
• Estimated Cost
Stage 2
Stage 3
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H4. Is the annual evaluation an effective tool for assessing the success of the site’s safety
and health system? Please explain
Stage 1
Stage 2 H4 & 5. Annual reports (including the baseline) identify the strengths and
weaknesses of the sites' S&HMS, specific recommendations, timelines, assignment of
responsibilities for action items and recommendations, and document actions taken to
satisfy the action items and recommendations.
program:
o Mishap Prevention
o Supervision
o Training
• Due Date
• Estimated Cost
Stage 3 H4. A follow-up S&HMS evaluation is conducted no more than 12 months after
the baseline and at least two S&HMS evaluations have been conducted prior to applying
for VPP.
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H5. What evidence demonstrates that the site responded adequately to the
recommendations made in the annual evaluation?
Stage 1
Stage 2 H4 & 5. Annual reports (including the baseline) identify the strengths and
weaknesses of the sites' S&HMS, specific recommendations, timelines, assignment of
responsibilities for action items and recommendations, and document actions taken to
satisfy the action items and recommendations.
program:
o Mishap Prevention
o Supervision
o Training
• Due Date
• Estimated Cost
Stage 3
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Trend Analysis
I1. Does the site have a minimally effective means for identifying and assessing trends?
Trend Analysis
Program Development
Stage 1 I1 & 4. A trend analysis program for the site has been developed including at a
minimum the following: injury and illness, employee report of hazards, first aid,
accidents, and hazards identified during inspections and near misses.
ESAMS provides reports for persons to access in each of theses areas to support the trend
analysis process. Reports for each area are described in specific areas below.
Stage 2 Trend analysis system contains provisions to identify employees responsible for
providing trend analysis data, to whom submitted, submission periodicity and due date
for submitting data.
Persons designated to conduct and provide trend analysis can be assigned by duty/task to
include responsibilities, submission process, periodicity/due dates, and must be given
appropriate reports only access to functional areas.
Stage 3
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Trend Analysis
I2. Have there been injury and/or illness trends over the last three years?
Trend Analysis
Program Development
Stage 1
include responsibilities, submission process, periodicity/due dates, and must be given
Stage 3 I2 & 3. Review the results of all trend analysis (at least annually) to identify
trends, establish a plan of action and determine the effectiveness of the S&HMS. Ensure
applicable results are used by designated personnel/committees to assist the site in
achieving, modifying, improving and/or creating new site specific S&H goals and
objectives.
Review results can be tracked to ensure reviews are conducted on required frequency by
designated personnel.
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Trend Analysis
I3. If there have been injury and/or illness trends, what courses of action have been
taken? Are they adequate?
Trend Analysis
Program Development
Stage 1
include responsibilities, submission process, periodicity/due dates and, must be given
Stage 3 I2 & 3. Review the results of all trend analysis (at least annually) to identify
trends, establish a plan of action and determine the effectiveness of the S&HMS. Ensure
applicable results are used by designated personnel/committees to assist the site in
achieving, modifying, improving and/or creating new site specific S&H goals and
objectives.
Review results can be tracked to ensure reviews are conducted on required frequency by
designated personnel.
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Trend Analysis
I4. Does the site assess trends utilizing data from hazard reports or accident/incident
investigations to determine the potential for injuries and illnesses?
Trend Analysis/Program Development
Stage 1 I1 & 4. A trend analysis program for the site has been developed including at a
minimum the following: injury and illness, employee report of hazards, first aid,
accidents, and hazards identified during inspections and near misses.
ESAMS supports the trend analysis program requirements by allowing personnel at the
appropriate level to enter/document data for injury and illness, employee report of
hazards, first aid, accidents, hazards identified during inspections, and near misses, with
quality control being conducted by safety professionals.
Reports for each of the functional areas are available to access collected data. Reports
are designed to support the trend analysis process by presenting the data in a useable
format.
Personnel identified as being responsible for providing trend analysis data must be
granted access rights to the reports area for assigned functional areas of ESAMS.
Stage 3
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Trend Analysis
Trend Analysis/Accident/Injury/Logs (OSHA 300)
Stage 1 I4. Data from existing accident/injury logs (OSHA 300 logs) are used to develop
injury and illness trend analysis.
ESAMS provides functionality to run many trend analysis and metric reports for mishap
data automatically. Existing reports and information provided are:
• Command Mishap Rate (IIR)
o Number of mishaps per employee category (civilian, military on-duty,
military off-duty) with access to each report submitted.
o Injury/Illness Rate (IIR) by quarter with annual summary
o Annual Lost Time Case Rate
o Annual Lost Day rate
o Annual First Aid Case Rate
o Top Five Trend for the following data elements:
Object Involved
Body Part
Injury Type
Accident Type
Location Description
Injury Activity Code (PCN)
Supervisor
Job Title
Department
Cause Code
Mishap Occurred During
• Injury/Illness Trend Analysis
o The following data elements can be trended over a selected five year
period:
Age of Injured Person
Ergonomic Injury Type
Mishap Type
Shift of Injured Person
•
Cause Code
Hour of Day
Motor Vehicle
PPE Involved
Cause of Injury
Injury Type
Need JHA
Day of the Week
Chemical Involved
Mishap Class
Object Involved
Occurred During
OSHA Code
Service Status
Mishap Reporting Metrics
o Total number of mishaps reported
o Mishaps reported (submitted within the following time frames):
Within 3 Days
4 – 15 days
16 – 30 days
After 30 days
o OSH review status (Review began within the following time frames):
Within 3 days
4 – 15 days
15 – 30 days
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After 30 days
Review not started
• Mishap Status Report
o Number of reports submitted by supervisors
o Number of reports validated as mishaps
o Total LTA days for validated mishaps
o Number of reports in the following status
Initiated – submitted, not yet open by safety
Open – Investigation in progress
Closed – Investigation complete
• Mishap Five Year Summary
o Number of mishaps by class (A, B, C, and D) in the following categories:
Military On-Duty
Military Off-Duty
Civilian On-Duty
Days Away, Restricted or Transferred (DART)
Traffic Related
Alcohol Related
Drug Related
Drug and Alcohol Related
Lost Time Work Days
• Traffic Mishap Listing
o A list of traffic related mishaps with the following information:
Injury Date
Accident Type
Pay Status
Drugs or Alcohol Involved
On base
Age
Employee Category
Job Title
• Traffic Mishaps & Related Training
Incident Date
Accident Type
On/Off Base
Traffic Training Most Recent Completion Date
Number of Traffic Safety Classes Completed Before the Incident
Number of Traffic Safety Classes Completed After the Incident
• Master Mishap Query
o Free form query where user sets criteria and result parameters.
o User can save query criteria and desired results for later use.
• Mishap process corrective action status and trending can also be run.
Stage 2 Injury and illness trend analysis data is submitted in accordance with the trend
analysis program
Responsible persons can conduct trend analysis for injury/illness report and OSHA Log
data using any of the above listed reports and submit to designated personnel for final
analysis. Each final analysis report can be posted on ESAMS for access by all
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employees.
Stage 3 Injury and illness trend analysis is reviewed and analyzed to determine if the sites
S&HMS is providing the high level of S&H protection to the sites employees as required
by management’s commitment to VPP.
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Trend Analysis
Trend Analysis
Stage 1 I4. Data obtained from employee notification of hazards, or any other system
currently in use is used to develop trend analysis for employee report of hazards.
ESAMS provides functionality to run metric reports for Unsafe/Unhealthful Reporting
(employee notification of hazards automatically. Existing reports and information
provided are:
• Employee Concern Status Report
o Case Number
o Status
o OSH Representative
o Installation
o Date of Event
o Date Submitted
o Date Opened
o Date Response Due
o Date Complete
o Hazard Description
• Employee Concern process corrective action status and trending can also be run.
Stage 2 Employee report of hazards trend analysis data is submitted in accordance with
the trend analysis program
Responsible persons can conduct trend analysis for Employee Concern data using any of
the above listed reports and submit to designated personnel for final analysis. Each final
analysis report can be posted on ESAMS for access by all employees.
Stage 3 Employee report of hazards trend analysis are reviewed and analyzed to
determine if the sites S&HMS is providing the high level of S&H protection to the sites
employees as required by management’s commitment to VPP.
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Trend Analysis
Trend Analysis/First Aid
Stage 1 I4. Data obtained from, first aid reports, supervisor reports, etc...or any other
system currently in use is being used to develop trend analysis for first aid.
data which includes the mishap class, first aid, automatically.
Stage 2 First aid trend analysis data is submitted in accordance with the trend analysis
program
employees.
Stage 3 First aid trend analyses is reviewed and analyzed to determine if the sites
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Trend Analysis
Trend Analysis/Accidents
Stage 1 I4. Data obtained from incident investigations, first report of injuries or any
other system currently in use is being used to develop trend analysis for accidents.
data automatically. Existing reports and information provided are:
• Command Mishap Rate (IIR)
o Number of mishaps per employee category (civilian, military on-duty,
military off-duty) with access to each report submitted.
o Injury/Illness Rate (IIR) by quarter with annual summary
o Annual Lost Time Case Rate
o Annual Lost Day rate
o Annual First Aid Case Rate
o Top Five Trend for the following data elements:
Object Involved
Location Description
Job Title
•
Body Part
Injury Activity Code (PCN)
Department
•
Accident Type
Mishap Occurred During
Injury/Illness Trend Analysis
o The following data elements can be trended over a selected five year
period:
Age of Injured Person
Ergonomic Injury Type
Mishap Type
Shift of Injured Person
•
Injury Type
Supervisor
Cause Code
Cause Code
Hour of Day
Motor Vehicle
PPE Involved
Cause of Injury
Injury Type
Need JHA
Day of the Week
Chemical Involved
Mishap Class
Object Involved
Occurred During
OSHA Code
Service Status
Mishap Reporting Metrics
o Total number of mishaps reported
o Mishaps reported (submitted within the following time frames):
Within 3 Days
4 – 15 days
16 – 30 days
After 30 days
o OSH review status (Review began within the following time frames):
Within 3 days
4 – 15 days
15 – 30 days
After 30 days
Review not started
Mishap Status Report
o Number of reports submitted by supervisors
o Number of reports validated as mishaps
o Total LTA days for validated mishaps
o Number of reports in the following status
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Initiated – submitted, not yet open by safety
Open – Investigation in progress
Closed – investigation complete
• Mishap Five Year Summary
o Number of mishaps by class (A, B, C, and D) in the following categories:
Military On-Duty
Military Off-Duty
Civilian On-Duty
Days Away, Restricted or Transferred (DART)
Traffic Related
Alcohol Related
Drug Related
Drug and Alcohol Related
Lost Time Work Days
• Traffic Mishap Listing
Injury Date
Accident Type
Pay Status
Drugs or Alcohol Involved
On base
Age
Employee Category
Job Title
• Traffic Mishaps & Related Training
Incident Date
Accident Type
On/Off Base
Traffic Training Most Recent Completion Date
Number of Traffic Safety Classes Completed Before the Incident
Number of Traffic Safety Classes Completed After the Incident
• Master Mishap Query
o Free form query where user sets criteria and result parameters.
o User can save query criteria and desired results for later use.
Mishap process corrective action status and trending can also be run.
Stage 2 Accident trend analysis data is submitted in accordance with the trend analysis
program
employees.
Stage 3 Accident trend analysis is reviewed and analyzed to determine if the sites
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Trend Analysis
Trend Analysis/Hazards Identified During Inspections
Stage 1 I4. Data from self-inspections, audits or any other system currently in use is
being used to develop trend analysis for hazards identified during inspections.
ESAMS provides functionality to run many trend analysis and metric reports for
inspection and deficiency abatement data automatically. Existing reports and information
provided are:
• Inspection reports include:
o Scheduled Inspection Report
Provides a list of inspections currently scheduled with the
• Inspection ID
• Scheduled Start Date
• Inspection Category (OSH, Fire, RODS, Traffic, etc.)
• Inspection Type (Annual, Semi-Annual, Quarterly, etc.)
• Command Being Inspected
• Department(s) Being Inspected
• Installation
• Building(s)
• Inspector
o Inspection List Report
Provides a list of inspections by inspection status with the
• Inspection ID
• Inspection Start Date
• Inspection Category (OSH, Fire, RODS, Traffic, etc.)
• Inspection Type (Annual, Semi-Annual, Quarterly, etc.)
• Command Being Inspected
• Department(s) Being Inspected
• Installation
• Building(s)
• Inspector
• Deficiency reports include:
o Master Quarterly Deficiency Report
Report is selectable to provide the following information pertinent
to deficiencies open greater than 30 days and those closed in the
past six months:
• Identification (inspection and deficiency IDs)
• Location (installation, building, room, etc)
• Dates (inspection date, issue date estimated completion
date, actual completion date, etc)
• Responsibility (command, department, person)
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• RAC (annual exposure, severity, probability)
• Violation Info(type, standard, description, comments)
• Controls (interim, permanent)
• Status and cost
o Deficiency Report
Same information in a different format
o Hazard Abatement CO’s Report
Same information in a different format
Stage 2 Hazards identified during inspections trend analysis data is submitted in
accordance with the trend analysis program
Responsible persons can conduct trend analysis for inspection and deficiency abatement
employees.
Stage 3 Hazards identified during inspections trend analysis is reviewed and analyzed to
determine if the sites S&HMS is providing the high level of S&H protection to the sites
employees as required by management’s commitment to VPP.
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Trend Analysis
Trend Analysis/Near-miss Reporting
Stage 1 I4. Data from near miss reports or any other system currently in use is being
used to develop trend analysis for near-miss.
ESAMS provides a process for supervisors to submit near-miss reports which provide
automatic notification to the safety organization and other interested personnel within the
organization. Supervisor report includes:
• Facility where event occurred
• Precise location where event occurred
• Narrative description of event
• Actions taken to prevent reoccurrence
• Event type
• Number of persons involved
• Was a vehicle involved
• Command involved in the event
Near miss incidents can be investigated to identify additional information to include:
• Location of event (Shore Activity, Motor Vehicle, Off-Duty, Ship, etc.)
• If drugs or alcohol was involved
• When event occurred (during primary duties, temporary duties, off-duty, etc)
• BLS Source of injury
• Caused by personnel/equipment (e.g. Attitude, Fatigue, Equipment Malfunction)
• Environmental Conditions (e.g. Weather, Ventilation, Lighting)
• Corrective Actions
• Lessons Learned to Prevent Re-occurrence.
Stage 2 Near-miss trend analysis data is submitted in accordance with the trend analysis
program.
Trend analysis program should identify the use of ESAMS data. Trends for near-miss
reports can be ran based on any of the above information.
Stage 3 Near-miss trend analysis is reviewed and analyzed to determine if the sites
Trends for near-miss reports can be ran based on any of the above information and
presented at Safety Committee or OSH Policy Council meetings.
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III. HAZARD PREVENTION AND CONTROL
Hazard Prevention & Control
A1. Does the site select at least minimally effective controls to prevent exposing
employees to hazards. [Minimum Requirement - must be met to be eligible for
Hazard Elimination and Control
Stage 1 A1. Hazard controls are selected based on the types of hazards employees are
exposed to, the severity of the hazards, and the risk the hazards pose to employees.
All application areas in ESAMS that include a hazard identification function follow a
systematic approach to assignment: severity, probability, exposure, and risk. It is based
on the Risk Assessment Code (RAC) Matrix model. The applications include:
• Inspections and Hazard Abatement
• Mishap Corrective Action
• Unsafe/Unhealthful Corrective Action
• Job Hazard Analysis
Hazard identification follows the standard hierarchy model of:
• Engineering Controls (i.e., modify the facility/equipment)
• Administrative Controls (i.e., limit time of exposure)
• Work Process (i.e., LO/TO, Confined Space Program)
• Personal Protective Equipment (i.e., safety glasses, gloves, sound band)
Stage 2
Stage 3 A1. Employees use and understand hazard controls developed for specific tasks.
ESAMS training modules include the information required to ensure that employees are
aware of the hazard control development process and the importance of the controls.
The use of identified controls must be observed and should be included during all
inspection processes. This should be documented on inspection records.
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A2. When the site selects hazard controls, does it follow the preferred hierarchy
(engineering controls, administrative controls, work practice controls [e.g. lockout/tag
out, bloodborne pathogens, and confined space programs], and personal protective
equipment) to eliminate or control hazards? Please provide examples, such as how
exposure to health hazards was controlled.
Stage 1
Stage 2 A2. An action plan, utilizing the hierarchy of controls (i.e., engineering,
administrative, work practices, and PPE), to control identified hazards has been
developed.
All application areas in ESAMS that include a hazard identification function follow a
systematic approach to assignment: severity, probability, exposure, and risk. It is based
on the Risk Assessment Code (RAC) Matrix model. The applications include:
• Inspections and Hazard Abatement
• Mishap Corrective Action
• Unsafe/Unhealthful Corrective Action
• Job Hazard Analysis
Hazard identification follows the standard hierarchy model of:
• Engineering Controls (i.e., modify the facility/equipment)
• Administrative Controls (i.e., limit time of exposure)
• Work Process (i.e., LO/TO, Confined Space Program)
• Personal Protective Equipment (i.e., safety glasses, gloves, sound band)
Stage 3
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A3. Describe any administrative controls used at the site to limit employee exposure to
hazards (for example, job rotation).
Stage 1
Stage 2 A3 & 4. The site utilizes administrative controls to reduce or limit employee
exposure to hazards (i.e., job rotations, work schedules) and their effectiveness.
Actual examples need to be provided. Duty/task descriptions can identify the job rotation
requirement and/or work schedule requirement. Work schedule and job rotation
information can be posted on ESAMS to provided formats for supervisors and managers.
Stage 3
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A4. Do the work practice controls and administrative controls adequately address those
hazards not covered by engineering or administrative controls?
Stage 1 A4. The site uses engineering controls to reduce employee exposure to hazards.
(i.e. guarding, ventilation…) and their effectiveness.
Engineering control implementation can be documented as part of all corrective action
and hazard abatement items. Follow-up inspections can document the control’s
effectiveness.
Stage 2 A3 & 4. The site utilizes administrative controls to reduce or limit employee
exposure to hazards (i.e., job rotations, work schedules) and their effectiveness.
Actual examples need to be provided. Duty/task descriptions can identify the job rotation
requirement and/or work schedule requirement. Work schedule and job rotation
information can be posted on ESAMS to provided formats for supervisors and managers.
Stage 3
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A5. Are the work practice controls (e.g. lockout/tag out, bloodborne pathogens, and
confined space programs) recommended by hazard analyses implemented at the site.
Stage 1
Stage 2
Stage 3 A5. The site utilizes work practice controls (Lock Out Tag Out, Confined Space,
Blood Borne Pathogen (BBP))
Each program work process control instruction/SOP can be posted on ESAMS and
inspected during the inspection process. Training for these processes can be recorded and
tracked in ESAMS. An application exists in ESAMS where hazard areas (noise, sight,
confined spaces, etc.) can be documented. Inspection/testing of these areas can also be
documented.
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A6. Are follow-up studies (where appropriate) conducted to ensure that hazard controls
were adequate?
Hazard Control Programs
Stage 1 Existing hazard control programs required by OSHA standards that pertain to the
site (e.g., PPE, Hazard Communication, Respiratory Protection, Lockout/Tagout,
Confined Space Entry, Process Safety Management (PSM), BBP, etc...) have been
reviewed to ensure compliance with all guidelines, including annual program review and
employee training.
All hazard control programs can be documented in ESAMS. Documentation includes:
• Instruction/SOP/process
• Training
• Area identification
Program review can be conducted as part of the S&HMS Annual Self Assessment and
corrective actions identified, recorded, and tracked to completion.
Stage 2 Proactive steps have been taken to establish hazard control programs by ensuring
all hazard control programs required by OSHA standards are in place, reviewed
periodically (minimal annually), comply with establish OSHA and site specific
guidelines, and appropriate training has been provide to operating personnel if required.
Program review can be conducted as part of the S&HMS Annual Self Assessment and
corrective actions identified, recorded, and tracked to completion. The review process
includes analysis of mishap, training, regulatory compliance, supervisor involvement, and
customer support data.
Stage 3 A6. Historical data (i.e., injury/illness data, first report of injury, near misses,
employee report of hazards etc…) has been reviewed to determine the effectiveness of
hazard controls and conduct follow up studies and training as applicable to address
previously unidentified hazards.
ESAMS functional area reports support the trending of all entered data to evaluate the
effectiveness of controls. This is typically conducted during the S&HMS Annual Self
Assessment.
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A7. Are hazard controls documented and addressed in appropriate procedures, safety and
health rules, inspections, training, etc...?
Stage 1 A7. Hazard controls are documented in procedures and S&H rules,
communicated in training, and checked during self inspections.
ESAMS provides reports to allow for the follow-up, review of training, and
documentation of hazard controls. The follow-up is part of the Inspection and Hazard
Abatement process. Hazard control training is identified as part of duties/tasks in
addition to medical surveillance and PPE requirements. The Job Hazard Analysis
process includes step specific hazard and control identification. Completed JHAs are
included as training requirements for identified duties/tasks and can be used as a SOP.
Stage 2
Stage 3
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A8. Are there written worker safety procedures including a disciplinary system?
Describe the disciplinary system.
Stage 1
Stage 2 A8. A disciplinary process that explains the types of actions that will be taken
for S&H offenses that occur has been developed and communicated to employees.
The documented process can be posted on ESAMS for access by all employees.
Process specifics can be included in required training for all employees to ensure that all
employees are made aware of actions that will be taken for S&H offenses. Reports are
available to verify accomplishment by all employees.
Stage 3
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A9. Has the disciplinary system been enforced equally for both management and
employees, when appropriate?
Stage 1
Stage 2
Stage 3 A9. The sites’ disciplinary process is applied equitably for both management and
employees.
Observation item that can be documented during S&HMS Annual Self Assessment.
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A10. Does the site have minimally effective written procedures for emergencies?
Emergency Preparedness and Response
Stage 1 A10. Establish and communicate written procedures for responding, during all
shifts, to all types of emergencies (fire, chemical spill, accident, terrorist threat, natural
disaster, etc...). The procedures should include emergency evacuation plans, emergency
telephone numbers, how employees are notified of emergency situations, and who (job
title) is responsible for handling each type of emergency. Ensure all contractors, visitors,
and vendors are made aware of emergency procedures (alarms, evacuation routes, muster
locations, etc...).
The installation’s Emergency Action Plan should be posted on ESAMS with identified
position requirements identified by the assignment of appropriate duty/task and included
in all introduction/orientation training courses.
Stage 2 An emergency response team including persons trained in first aid and CPR is
available for all shifts (or an alternative that is at least as effective).
Ensure emergency services are readily accessible to the site.
Emergency response personnel should be identified by assignment of appropriate
duty/task to ensure that required training/certification requirements are met.
Stage 3
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A11. Are emergency drills held at least annually?
Stage 1
Stage 2 An emergency response team including persons trained in first aid and CPR is
available for all shifts (or an alternative that is at least as effective).
Ensure emergency services are readily accessible to the site.
Stage 3 A11. All employees have had the opportunity to participate in a least one
evacuation drill per year.
Evacuation training and drill participation can be documented as a class in ESAMS.
Critique information can be documented on the class record and deficiencies entered into
the Inspection and Hazard Abatement system to track status of corrective action(s).
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A10. Does the site have minimally effective written procedures for emergencies?
Stage 1 10 & 11. At least one drill per year for each high risk process/task/activity as
stated in sites emergency program or applicable OSHA standards has been conducted.
Stage 2 A10. Designated emergency personnel or individuals with assigned additional
emergency roles and responsibilities are aware of their responsibilities and have received
requisite training to carry out their duties effectively (e.g., active duty personnel relieving
the fire chief as on scene commander must be qualified instead of just being senior in the
chain of command)
Stage 3 A10. The emergency planning process has been reviewed to determine if other
resources for training, assistance, drills, equipment and/or planning are available or can
be exercised in conjunction with local/off site emergency services.
This item should be evaluated during the S&HMS Annual Self Assessment to identify
additional resources required to track corrective actions.
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A11. Are emergency drills held at least annually?
Stage 1 10 & 11. At least one drill per year for each high risk process/task/activity as
stated in sites emergency program or applicable OSHA standards has been conducted.
Stage 2
Stage 3
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Preventive Maintenance
A12. Does the site have a preventive /predictive maintenance system? If not, please
explain
Preventive/
Predictive Maintenance
Stage 1 A12. Preventive/predictive maintenance is being accomplished for all equipment
and facilities at the site.
Need to interface with local NAVFAC command to access PM data from data system
they use.
ESAMS can be used to track maintenance performed on in-house equipment by use of
the E-Tracker application.
Stage 2
Stage 3
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A13. Did the hazards identification and analysis (including manufacturers'
recommendations) identify hazards that could result if equipment is not maintained
properly?
Preventive/
Stage 1
Stage 2
Stage 3 A13. A routinely-observed preventive maintenance system is established and
safety component failures are reviewed and corrected.
they use.
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A14. Doe the preventive maintenance system adequately detect hazardous failures
before they occur.
Preventive/
Stage 1
Stage 2 A14. All equipment requiring preventive maintenance is captured in the
preventive maintenance system, is regularly scheduled for preventive maintenance, and
all hazard controls such as machine guards, exhaust ventilation, warning alarms, safety
interlocks, emergency stop switches, etc are reviewed on a frequency specified by the
manufacturer for proper operation.
they use.
Stage 3
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A15. How does the site select Personal Protective Equipment (PPE).
Hazard Control
Programs
Stage 1 A15. A process is in place to ensure correct PPE is being selected for use.
The duty/task development process discussed in the Safety and Health Training is the
process to ensure that correct PPE is identified. The process includes the use of IH
Surveys, JHAs, mishap investigation reports, etc.
The use of correct PPE must be observed during periodic inspections and recorded by the
inspector on the inspection record.
Stage 2
Stage 3
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A16. Do employees understand the limitations and uses of PPE
Hazard Control
Programs
Stage 1
Stage 2 A16. Employees are adequately trained in the required use, limitations,
maintenance, storage, and how to don and doff PPE.
ESAMS provides various modules of PPE training from basic (web-based) to job/task
specific to allow the supervisor to conduct and record training. Training material is
provided to the supervisor for use in delivery of job/task specific PPE training.
Stage 3
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A17. Did the team observe employees using, storing, and maintaining PPE properly?
Hazard Control
Programs
Stage 1
Stage 2
Stage 3 A17. PPE training is adequate, conducted within established time frames as
required by OSHA regulations and comprehended by observing employees wearing PPE
properly and other methods as determined by the site.
ESAMS provides various modules of PPE training from basic (web-based) to job/task
specific to allow the supervisor to conduct and record training. Training material is
provided to the supervisor for use in delivery of job/task specific PPE training.
Observation of this item to verify compliance by employees can be documented by
inspectors on inspection reports.
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A18. Is the site covered by the Process Safety Management Standard (29 CFR
1910.119)? If N/A mark complete.
Hazard Control
Programs
Process Safety Management
Stage 1 A18-20. A Process Safety Management (PSM) program (where applicable) has
been developed ensuring all chemicals in qualifying quantities are listed.
Required manufacturing laboratories.
AULS can be documented in ESAMS for access by employees.
Stage 2 Employees are trained on the requirements of the PSM program and their
designated roles and responsibilities.
Training can be included in ESAMS web-based training for those personnel involved in
the manufacturing process.
Stage 3 PSM personnel are trained and knowledgeable on their roles and responsibilities,
including being aware of processes for addressing suitable substitutes for less hazardous
chemicals.
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A19. Which chemicals that trigger the Process Safety Management (PSM) standard are
present?
Hazard Control
Programs
AULS can be documented in ESAMS for access by employees.
chemicals.
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A20. Please describe the PSM elements in place at the site (do not duplicate if included
elsewhere in the report, such as under contractors, preventive maintenance, emergency
response, or hazard analysis).
Hazard Control
Programs
AULs can be documented in ESAMS for access by employees.
chemicals.
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Occupational Health Care Program
B1. Describe the Occupational Health Care Program ( including availability of physician
services, first aid, and CPR/AED) and special programs such as audiograms or other
medical test used.
Stage 1 B1 & 3. An adequate Occupational Health Care Program that; documents the
nature of the hazards found; ensures safety and industrial hygiene programs are
interacting with and integrated into the medical program, and; includes specific programs
and protocols for fit testing, pre-placement physicals, hearing conservation, Hazardous
Waste operations and Emergency Response, etc.... has been developed.
The Occupational Health Care Program instruction and documentation can be posted on
ESAMS to ensure availability to all employees.
The use of ESAMS provides tools in meeting this requirement in the following areas:
• The duty/task development process includes the use of IH Survey, inspection,
mishap reporting, and employee report of hazard data specific to a task.
• Duties/tasks identify required training, medical surveillance (periodic physical),
and PPE required for a specific task.
• Medical surveillance (physical) requirements can be documented and tracked in
ESAMS per medical stressor.
Respirator program requirements (training, physical and fit testing) can be documented
and tracked. Program specific reports allow supervisors and managers to monitor
completion by affected employees.
Stage 2 B1. The Occupational Health Care Program contains provisions addressing
availability of physician services, response time for medical services, first aid for all
employees, and/or training on and availability of CPR/AED.
Training can be included in ESAMS web-based training or entered separately to ensure
that employees are informed of the availability and purpose of certified professionals.
Procedures to access these professionals can be posted on ESAMS for access by all
personnel.
CPR training schedule can be posted on ESAMS and completions tracked to ensure that
periodic retraining requirements are met.
AED equipment can be tracked in ESAMS to include documentation of required
maintenance, inspection, and testing.
Reports are available to ensure that all personnel receive required training.
Stage 3
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B2. How are licensed health care professionals used in the site's hazard identification and
analysis, early recognition and treatment of illness and injury, and the system for limiting
the severity of harm that might result from workplace illness or injury? Is this use
appropriate?
Stage 1
Stage 2
Stage 3 B2. The Occupational Health Care Program contains provisions for integrating
licensed/certified healthcare professionals in the site's; hazard identification and analysis;
early recognition and treatment of illness and injury, and; system for limiting the severity
of harm that might result from workplace illness or injury.
All ESAMS reports and trending can be used to document the need for licensed/certified
healthcare professionals. In addition, summary treatment information can be documented
for use during program evaluations.
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B3. Is the occupational health care program adequate for the size and location of the site,
as well as the nature of the hazards found.
Stage 1 B1 & 3. An adequate Occupational Health Care Program that; documents the
nature of the hazards found; ensures safety and industrial hygiene programs are
interacting with and integrated into the medical program, and; includes specific programs
and protocols for fit testing, pre-placement physicals, hearing conservation, Hazardous
Waste operations and Emergency Response, etc.... has been developed.
The use of ESAMS provides tools in meeting this requirement in the following areas:
• The duty/task development process includes the use of IH Survey, inspection,
mishap reporting, and employee report of hazard data specific to a task.
• Duties/tasks identify required training, medical surveillance (periodic physical),
and PPE required for a specific task.
• Medical surveillance (physical) requirements can be documented and tracked in
ESAMS per medical stressor.
• Respirator program requirements (training, physical and fit testing) can be
documented and tracked. Program specific reports allow supervisors and
managers to monitor completion by affeced employees.
Stage 2
Stage 3
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B2. How are licensed health care professionals used in the site's hazard identification and
analysis, early recognition of treatment of illness and injury, and the system for limiting
the severity of harm that might result from workplace illness or injury? Is this use
appropriate?
Stage 1 B2 & 3. The Occupational Health Care Program contains provisions addressing
access, coordination of, and procedures to follow when employees are requesting/using
certified/licensed healthcare professionals not elsewhere available on the site.
Stage 2 B2 & 3. Employees are aware of the availability/access to Certified Professional
services at the site and the purpose of the expertise.
personnel.
Stage 3
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B3. Is the occupational health care program adequate for the size and location of the site,
as well as the nature of the hazards found.
Stage 1
Stage 2 B2 & 3. Employees are aware of the availability/access to Certified Professional
services at the site and the purpose of the expertise.
personnel.
Stage 3 B3. Access to certified S&H professionals, other licensed health care
professionals who can provide onsite or offsite services as needed, and any other
additional services has enhanced the S&HMS and created a safe work environment.
This item needs to be assessed during the S&HMS Annual Self Assessment using
available trending analysis data.
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Occupational Health Care Program & Recordkeeping
Recordkeeping
Stage 1 OSHA 300 logs are maintained in accordance with 29 CFR 1904 Federal
Recordkeeping Guidelines and at a minimum; all work related injuries and illnesses are
recorded on the log within 7 calendar days; the log is certified by a company executive as
described in 29 CFR 1904, and; the previous years log is posted for employee viewing by
February 1 and not removed earlier than April 30 of the year following the year covered
by the form.
The ESAMS Mishap Reporting and Investigation application implements a process that
fully meets the requirements of 29 CFR 1904 Federal Recordkeeping Guidelines. All
OSHA 300 Logs and requirements are fully integrated into ESAMS.
The mishap reporting process is as follows:
• Employees make immediate verbal report of injury, illness, or property damage to
their supervisors.
• Supervisor completes and submits required report form in ESAMS.
• Upon submission, ESAMS sends e-mail notification to designated personnel who
can then, depending on access level, either review the report or open the report for
processing (document investigation data).
• The ESAMS Mishap Report meets the requirements of the OSHA 301
requirements.
• When the report is closed (investigation results and required data have been
entered), the administrator determines if this report meets the OSHA 300 Log
requirements.
• ESAMS provides an OSHA 300 Log of all designated mishaps, selectable by year
and command that can be printed or saved in electronic format.
• The OSHA 300A Summary Report can also be generated by the administrator for
posting in accordance with 29 CFR 1904 requirements. This report can be
generated by year and command similar to the OSHA 300 Log.
Stage 2 Individual(s) responsible for maintaining OSHA 300 logs has/have been
adequately trained; is/are knowledgeable of the recordkeeping requirements and
selection of the appropriate North American Industry Classification System code; is/are
accurately maintaining; submitting annual reports and retaining the logs for five years
following the year to which it pertains, and; the logs are being reviewed to determine if
control programs are effective, or if additional control measures may need to be
implemented.
PowerPoint material for the 29 CFR 1904 Federal Recordkeeping Guidelines is
available in the Mishap Reporting application for use by designated personnel to provide
training. This information can be accessed anytime and is useful as reference material.
Links to the 29 CFR 1904, OSHA 300 forms, OPNAVINST 5100.23 Series, and
OPNAVINST 5102 are provided as additional reference resources for personnel
designated to process mishap reports and maintain injury/illness logs.
Stage 3 The site's Total Case Incident Rate and Days Away Restricted and Transfer Rate
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are below at least 1 of the 3 most recent years’ published rates (Total Recordable Cases
and Cases With Days Away From Work, Job Transfer, or Restriction Total Columns)
from the Bureau of Labor and Statistics Summary Table 1 at
http://www.bls.gov/iif/oshsum.htm#04Summary%20News%20Release for the applicable
years.
ESAMS automatically calculates all rates based on reports submitted. All rates are
calculated based on established formulas and can be run for civilian, military on-duty and
military off-duty. The rates can be easily compared across years for an organization and
published rates from Bureau of Labor Statistics Summary data.
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IV. SAFETY AND HEALTH TRAINING
Safety and Health Training / Training Needs Assessment
A1. What are the safety and health training requirements for managers, supervisors,
employees, and contractors?
In ESAMS, requirements for training are determined by the Duty/Task
that is assigned to the individual. The Duty/Task process in ESAMS begins with
the Safety Office working with HGW to develop a library of Duties/Tasks for a
particular Command (UIC) so that they can later be assigned to an individual by
the ESAMS Administrator or the ESAMS Supervisor. After determining the
safety and health training requirements for managers, supervisors, employees, and
contractors, the Safety Office will complete a template for a particular Duty/Task
and send that template to HGW. HGW will create that duty/task according to the
template and add it to the library for the particular Command (UIC). An
individual Duty/Task will be made for each of those groups (e.g., managers,
supervisors, employees, and contractors). Once the Duties/Tasks have been
added to the library by HGW, an ESAMS Administrator or ESAMS Supervisor
will assign the appropriate Duty/Task to the individual. Once assigned, the
system recognizes the training requirements for the individual and will send out
reminders to the individual about his or her particular requirements. The ESAMS
Administrator and/or ESAMS Supervisor can run reports concerning the
individual’s requirements. The Safety Office does periodic reviews of the
Duties/Tasks as instructions, regulations, processes, IH Surveys, etc., change.
These reviews prompt updates to the Duty/Task and are automatically reflected in
the individual’s requirements. ESAMS Administrators and/or ESAMS
Supervisors remove and/or add Duties/Tasks to the individual as their position
and/or job changes.
Individuals in ESAMS can determine their training needs through the email
notifications that are sent to them monthly or by looking at their individual
“Outstanding Training” report located in their Profile or under the My Links
section in ESAMS.
Supervisors can determine the training needs of their Direct Reports through the
email notifications that are sent to them monthly or by running the “Training
Plan” report under their Supervisor Tools section in ESAMS.
ESAMS Administrators can determine the training needs of individuals in their
organization through the use of several reports found in the Training section of
RMS. There is one particular report in this section that summarizes the training
needs of the ESAMS Administrator’s organization. This report is entitled
Training Needs Assessment.
Stage 1 A1 & 3. A site specific training needs assessment has been conducted for all
employees, including new and temporary employees, contractors, managers, supervisors
and non-supervisory.
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“Outstanding Training” report located in their Profile, or under the My Links
section in ESAMS.
“Training Needs Assessment.”
Stage 2
Stage 3
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A3 How is the safety and health training needs for employees determined?
In ESAMS, requirements for training are determined by the Duty/Task that is
assigned to the individual. The Duty/Task process in ESAMS begins with the
Safety Office working with HGW to develop a library of Duties/Tasks for a
particular Command (UIC) so that they can later be assigned to an individual by
the ESAMS Administrator or the ESAMS Supervisor. After determining the
safety and health training requirements for managers, supervisors, employees, and
contractors, the Safety Office will complete a template for a particular Duty/Task
and send that template to HGW. HGW will create that duty/task according to the
template and add it to the library for the particular Command (UIC). An
individual Duty/Task will be made for each of those groups (e.g., managers,
supervisors, employees, and contractors). Once the Duties/Tasks have been
added to the library by HGW, an ESAMS Administrator or ESAMS Supervisor
will assign the appropriate Duty/Task to the individual. Once assigned, the
system recognizes the training requirements for the individual and will send out
reminders to the individual about his or her particular requirements. The ESAMS
Administrator and/or ESAMS Supervisor can run reports concerning the
individual’s requirements. The Safety Office does periodic reviews of the
and/or job changes.
section in ESAMS.
Stage 1 A1 & 3. A site specific training needs assessment has been conducted for all
employees, including new and temporary employees, contractors, managers, supervisors
and non-supervisory.
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section in ESAMS.
“Training Needs Assessment.” The Safety Office does periodic reviews of the
and/or job changes.
Stage 2 A3 & 8. The results of the training needs assessment are incorporated in the sites
scheduling and planning processes and appropriately resourced.
Stage 3
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A5. What system is in place to ensure that all employees and contractors have received
and understand the appropriate training?
ESAMS records receipt of training by individuals in several ways:
• TRMS New/Edit Class – Administrators can record training in this section
of ESAMS by creating the class, enrolling students, and recording a status
(pass, fail, absent, etc.). Documentation for the class (e.g., sign-in sheets,
certificates, etc.) can be attached. Notes of explanation can be recorded
for each individual class. A change log records date, time, and individual
making the change for audit purposes.
• OJT by Supervisor – Supervisors can record when they have provided
training to their direct reports on certain courses. Notes of explanation can
be recorded for each individual OJT class. A change log records date,
time, and individual making the change for audit purposes.
• Web-Online Courses – Certain courses are available online in ESAMS.
There are two types of web-online courses in ESAMS, Read Only and
Test Out. When individuals take the Read Only web-online course, they
are prompted at the end of the course to click a button to indicate that they
have read the material. Once they click that button, acknowledgement of
the individual reading the material is automatically recorded in ESAMS.
To automatically record credit for taking a Test Out web-online course,
the individual has to pass a test. Passing scores for a particular web-online
course is determined by each region and/or claimant using ESAMS.
• Data Transfers – ESAMS does share data with other Navy databases that
record training.
ESAMS records understanding of training by individuals in several ways:
• TRMS New/Edit Class – Administrators can document individual test
scores for each class if tests are given. Documentation for each class (e.g.,
written tests, answer keys, skills exercises, etc.) can be attached. Notes
explaining individual comprehension can be recorded for each individual
class.
• OJT by Supervisor - Supervisors can document individual test scores for
each class if tests are given. Notes explaining individual comprehension
can be recorded for each individual class. Supervisors can record selfinspections which can identify problems with an individual’s
understanding of safety training.
• Web-Online Courses – The Test Out web-online courses record the scores
for individuals who have taken the course.
• IDATS – Safety Administrators can record problems found in an
individual’s understanding of training that they have received during
workplace inspections. The Safety Inspector can run a pre-inspection
report to identify the training requirements and completed training of
individuals in a particular command and/or department. Using this
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information, the Safety Inspector can then identify if individuals have a
lack of understanding of course material that they have received or if they
are doing jobs for which they have yet to receive training.
Training Needs Assessment – Needs assessment for understanding and receipt of
training can be determined by running reports in several areas of ESAMS:
• Training – several reports in this area can determine receipt of training by
individuals.
• Inspections (IDATS) – reports in this area can determine receipt of
training and lack of understanding of material.
• Mishaps (IIRTS) – reports in this area can determine receipt of training
and lack of understanding of material.
• Unsafe/Unhealthful – reports in this area can determine receipt of training
and lack of understanding of material.
Stage 1
Stage 2
Stage 3 A5. A process is in place to assess employee comprehension of training received
and training is conducted using media that is understandable and relevant to the site.
In addition to the methods mentioned in A5 to assess the employees comprehension of
training received, ESAMS incorporates documentation of reviews of the web-online
courses and OJT courses found in the application. This review process is made by
subject matter experts and is done annually. Safety managers have access to reports that
help them review the effectiveness of questions asked on ESAMS Test Out courses and
evaluation forms filled out by the individuals.
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A8. Does management have a thorough understanding of the hazards of the site? Provide
examples that demonstrate their understanding.
Safety and Health Training – Supervisory and Top Management training is
available online in ESAMS. This type of training provides management with the
general hazards that can be found at their site. Several documents (e.g.,
instructions, SOPs, JHAs, etc.) can be posted for each installation and is available
for all ESAMS users to read. These documents provide more specific information
concerning hazards at the respective sites. The Duty/Task report found in RMS
can indicate to management how many individuals work in low- to high-hazard
jobs.
Training Needs Assessment – Management has several reports to assist in the
assessment of hazards found at their site.
• Executive Safety Summary – This report summarizes the mishaps,
deficiencies, training, and employee surveys for their organization.
Mishaps are summarized by type and class. Deficiencies are summarized
by RAC.
• Duty/Task Report – This report found in RMS can indicate to
management how many individuals work in low- to high-hazard jobs.
• Master Quarterly Deficiency Report – This report informs management of
deficiencies that are still open after 30 days.
• Deficiency Report – This report allows management to query the system
for information on their deficiencies (e.g., RAC, standard violated, group
deficiency by hazard category, etc.).
• Hazard Abatement CO’s Report – This report allows management to
query the system on the abatements that may or may not be taken for their
deficiencies.
• Injury/Illness Trend Report – This report trends mishaps so that
management can evaluate for increase risks.
• Mishap Five Year Summary – This report trends mishaps so that
management can evaluate for increase risks.
• Mishap Five Year Traffic Summary – This report trends mishaps so that
management can evaluate for increased traffic risks.
• Traffic Mishap Listing – This report allows management to dissect the
types of Traffic Mishaps occurring at their installation.
• Traffic Mishap and Related Training – This report allows management to
determine if training is effective in preventing traffic mishaps.
• Employee Concern Status – This report helps management in evaluating
unsafe or unhealthful conditions being reported by their population.
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Stage 1
Stage 2 A3 & 8. The results of the training needs assessment are incorporated in the sites
scheduling and planning processes and appropriately resourced.
Stage 3
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Safety and Health Training / Training Program Development
Safety and Health Training – In ESAMS Safety and Health Training requirements
are determined by the duties/tasks that are assigned to the individual.
Training Program Development – In general, the Safety Professional uses
information from regulations, instructions, SOPs, JHAs, and IH Surveys to
develop a duty/task library. ESAMS Administrators and supervisors are trained
on the importance of the duty/task process and how to assign duties/tasks to the
individual. ESAMS also provides an online JHA development process that helps
the Safety Professional in understanding training requirements for a specific job.
The Training Needs Assessment report helps the Safety Professional in
determining how many classes are needed during any given time frame to fulfill
requirements associated with the assigned duties/tasks.
Stage 1 A1-4, 6 & 7. An effective written general S&H training program has been
developed that establishes who provides and receives training, when and how the training
will be provided, and how the effectiveness of the training will be determined.
Who provides training – The regional or claimant safety office determines which courses
can be provided online for the individual to take themselves. They also determine which
OJT courses can be taught and recorded by the supervisor. As to classroom training, an
ESAMS administrator can designate person(s) who are qualified to teach a particular
course on the individual’s TRMS record. Instructor’s completion of qualifying courses
can be recorded in TRMS New/Edit Class. Certificates can be attached as documents to
the Instructor’s TRMS record. External instructors that do not have a TRMS record can
be added to an external database and recorded as instructors on a particular class record.
Who receives training – The duty/task process identifies who needs training. Reports in
ESAMS can be run to identify who has taken training and who may be deficient in
required training.
When the training will be provided – ESAMS calculates the due date for requirements
using information provided on the course record. This date displays on the individual’s
profile, in the supervisor’s Training Plan Report, and can be queried by an ESAMS
Administrator in several reports in RMS. Safety Professionals can use the “Training
Needs Assessment Report” in RMS to determine if any classroom training needs to be
scheduled for a particular course.
How the training will be provided – ESAMS tells individuals on their Profile where they
can go to get training for each requirement and if the training can be done online,
provided by the supervisor, or fulfilled in a classroom setting. Administrators can
determine from the “Training Needs Assessment Report” if they need to schedule
classroom training or if the training can be obtained from the web or supervisor.
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Administrators can post scheduled classroom training online so individuals can see the
schedule and sign-up for a particular required class. Supervisors can also see the posted
class schedule and enroll their direct reports in training that they are required to take.
Auto-generated emails inform students that are enrolled in a class when and where the
class is going to be taught.
Effectiveness of Training – Several reports and documents help determine the
effectiveness of training provided, for example:
• Deficiency Report – This report can be run to see if any deficiencies are a
result of lack of training or understanding of training received.
• Traffic Mishap and Related Training – This report helps to determine if
training is effective in preventing traffic mishaps.
• Employee Concern Status – This report helps in evaluating unsafe or
unhealthful conditions being reported by their population and see if
training may be a factor.
• Other reports can be used together to determine training effectiveness,
e.g., the “Training History Report” to check how many people have
received Ergonomics Training and the “Injury/Illness Trend Report” to see
if ergonomics mishaps are increasing or declining.
Stage 2
Stage 3
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A2. Who delivers the training?
Safety and Health Training – In ESAMS, training can be provided online using
material reviewed and evaluated annually by subject matter experts. OJT training
is delivered by the supervisor or a designated instructor. Classroom training is
delivered by qualified instructors.
The “Training Needs Assessment” report helps the Safety Professional in
The written S&H Training Program should identify the process described in the
previous areas.
Stage 2 A2, 4 & 8. The S&H training program includes procedures to; identify who
provided training and frequency of training; describe knowledge/qualification/subject
matter expertise or certification criteria of trainers; track and document completion of
training and maintain training records as required, and; ensure all personnel are provided
opportunities to attend training to increase their knowledge and skills.
previous areas.
Stage 3
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A3. How are the safety and health training needs for employees determined?
Safety and Health Training – In ESAMS, Safety and Health Training needs are
determined by the duties/tasks that are assigned to the individual.
The effectiveness of training can be determined within ESAMS using the
following methods:
• During mishap investigation.
• Verified by observation during inspection process.
• Observed routinely by supervisor.
• Using test item analysis reports
Stage 2
Stage 3
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A4. Does the site provide minimally effective training to educate employees regarding
the known hazards of the site and their controls? [Minimum Requirement - must be met
Safety and Health Training – ESAMS uses the duty/task process to determine
training requirements in line with known hazards and their controls. The JHA
application can also be used to develop a job hazard analysis for a particular
hazardous job. Once the JHA has been developed it is used to train the
individuals who perform that task.
The “Training Needs Assessment Report” helps the Safety Professional in
previous areas.
Stage 3 A4 & 5. Training materials are up to date and clearly understood by participants.
Training materials in ESAMS (Web-online Training and OJT Training) are
reviewed annually by subject matter experts. Safety managers also have access to
reports that help them decide the clarity of questions used for each web-online
course, and also results from course evaluations filled out by individuals who
have taken the web-online material. The results from these reports can then be
passed along to the subject matter experts during the evaluation period of the
material.
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Safety and Health Training – The duty/task process and regular evaluation of
reports.
The “Training Needs Assessment Report” helps the Safety Professional in
Stage 1
Stage 2
Stage 3 A4 & 5. Training materials are up to date and clearly understood by participants.
Training materials in ESAMS (Web-online Training and OJT Training) are reviewed
annually by subject matter experts. Safety managers also have access to reports that help
them decide the clarity of questions used for each web-online course, and also results
from course evaluations filled out by individuals who have taken the web-online material.
The results from these reports can then be passed along to the subject matter experts
during the evaluation period of the material.
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A6. Who is trained in hazard identification and analysis?
Safety and Health Training
Training Program Development
previous areas.
following methods:
Stage 2
Stage 3
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A7. Is training in hazard identification and analysis adequate for the conditions and
hazards of the site?
previous areas.
following methods:
Stage 2
Stage 3
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Stage 1
previous areas.
following methods:
Stage 3
151
Safety and Health Training / All Employees
General Training – The requirements for General Training are incorporated into
the duty/task process. All groups using ESAMS have developed Core duties/tasks
that include the basic training requirements from OPNAVINST 5100.23 series,
Chapter 6.
All Employees – ESAMS Administrators and Supervisors are instructed that
everyone should have a core duty/task assigned to him or her. This ensures that
each individual in ESAMS will have the basic training requirements. ESAMS
Administrators can search and find all individuals that do not have a core
duty/task assigned so that they can correct the problem. The ESAMS
Implementation Report lets managers know what percentage of their population
do not have a core assigned.
Stage 1 A1. All employees receive training on Rights Under the OSH Act.
Training on Rights Under the OSH Act is incorporated into the web-online safety
orientation for non-supervisors and supervisors.
Stage 2 Verify all employees attended training, in accordance with policies and
procedures outlined in the sites training plan, on Rights Under the OSH Act.
Reports are available in the RMS Training area to assist the Administrator in
verifying that all employees have attended or taken training.
Stage 3
152
Chapter 6.
All Employees – ESAMS records receipt of training by individuals in several
ways:
• OJT by Supervisor – Supervisor can record when they have provided
Test Out. When individuals takes the Read Only web-online course, they
are prompted at the end of the course to click a button to indicate they
To automatically record credit for taking a Test Out web-online course the
individual has to pass a test. Passing scores for a particular web-online
record training.
class.
153
•
IDATS – Safety Administrators can record problems found in an
individual’s understanding of training he or she has received during
lack of understanding of course material they have received or if they are
doing jobs for which they have yet to receive training.
Stage 1
procedures outlined in the sites training plan, on Rights Under the OSH Act.
Reports are available in the RMS Training area to assist the Administrator in verifying
that all employees have attended or taken training.
Stage 3 A5. All employees understand the training received on Rights Under the OSH
Act.
The web-online safety orientation training in ESAMS is a Test Out training, which
requires a passing score to get credit for the course.
154
Chapter 6.
Stage 1 A1, 6 & 7. All employees receive training on How to Recognize Hazardous
Conditions.
Training on How to Recognize Hazardous Conditions is incorporated into the web-online
safety orientation for non-supervisors and supervisors.
procedures outlined in the sites training plan, on How to Recognize Hazardous
Conditions.
Stage 3
155
Chapter 6.
ways:
the individuals reading the material is automatically recorded in ESAMS.
record training.
class.
156
•
individual’s understanding of training they have received during
Stage 1
Conditions.
record training.
Stage 3 A5. All employees understand the training received on How to Recognize
Hazardous Conditions.
class.
157
•
•
Web-Online Courses – The Test Out web-online courses record the scores
158
General Training – Training on How to Recognize Hazardous Conditions is
incorporated into the web-online safety orientation for non-supervisors and
supervisors.
Conditions.
course are determined by each region and/or claimant using ESAMS.
record training.
Conditions.
Stage 3
159
General Training
All Employees
Conditions.
record training.
Conditions.
Stage 3
160
General Training
All Employees
Stage 1 A1. All employees receive training on Safe Work Procedures.
Training on Safe Work Practices (SOPs and/or JHAs) is done through the OJT
application in ESAMS. Supervisor can record when they have provided training to their
direct reports on these types of courses. Notes of explanation can be recorded for each
individual OJT class. A change log records date, time, and individual making the change
for audit purposes.
procedures outlined in the sites training plan, on Safe Work Procedures.
Stage 3
161
Chapter 6.
ways:
Test Out. When individual take the Read Only web-online course, they
record training.
class.
162
•
Stage 1
procedures outlined in the sites training plan, on Safe Work Procedures.
163
General Training
All Employees
Stage 1 A1. All employees receive training on VPP Fundamentals.
DOD VPP CX 101 is available online in ESAMS for employees to take.
procedures outlined in the sites training plan, on VPP Fundamentals.
The Training History Report is available for Administrators to determine if employees
are taking the online DOD VPP CX 101.
Stage 3
164
All Employees
General Training
All Employees
Stage 1
procedures outlined in the sites training plan, on VPP Fundamentals.
Stage 3 A5. All employees understand the training received on VPP Fundamentals.
165
the duty/task process.
ways:
course are determined by each region and/or claimant using ESAMS.
record training.
class.
166
Stage 1 A1. All employees receive training on Signs and Symptoms of Workplace
Related Illnesses.
ESAMS has web-online training and OJT training available to train employees on Signs
and Symptoms of Workplace Related Illnesses. (Bloodborne Pathogens, Asbestos
Awareness, etc.)
procedures outlined in the sites training plan, on Signs and Symptoms of Workplace
Related Illnesses.
Stage 3
167
General Training
All Employees
Stage 1
procedures outlined in the sites training plan, on Signs and Symptoms of Workplace
Related Illnesses.
Stage 3 A5. All employees understand the training received on Signs and Symptoms of
Workplace Related Illnesses.
class.
168
General Training
All Employees
Stage 1 A1. All employees receive training on Personal Protective Equipment, PPE
Limitations, Why PPE is Required, How PPE is Used, and How to Maintain PPE.
ESAMS has OJT training available to train employees on Personal Protective Equipment.
procedures outlined in the sites training plan, on Why PPE is Required, How PPE is
Used, and How to Maintain PPE.
Stage 3
169
ways:
course is determined by each region and/ or claimant using ESAMS.
record training.
scores for each class if tests are given. Documentation for each class (e.g.
class.
can be recorded for each individual class. Supervisors can record selfinspections which can identify problems with individuals understanding of
safety training.
for individuals that have taken the course.
170
information the Safety Inspector can then identify if individuals have a
Stage 1
procedures outlined in the sites training plan, on Why PPE is Required, How PPE is
Used, and How to Maintain PPE.
Stage 3 A5. All employees understand the training received on Personal Protective
Equipment, PPE Limitations, Why PPE is Required, How PPE is Used, and How to
Maintain PPE.
class.
171
General Training
All Employees
Stage 1 A1, 6 & 7. All employees receive training on Hazards in the Workplace.
Training on Hazards in the Workplace is incorporated into the web-online safety
procedures outlined in the sites training plan, on Hazards in the Workplace.
Stage 3
172
ways:
record training.
class.
173
Stage 1
Stage 3 A5. All employees understand the training received on Hazards in the
Workplace.
class.
174
General Training
All Employees
Stage 3
175
General Training
All Employees
Stage 3
176
Stage 1 A1. All employees receive training on Protective Measures (machine guarding,
alarms and controls, lock out/tag out, etc.).
ESAMS has OJT training available to train employees on Protective Measures.
procedures outlined in the sites training plan, on Protective Measures.
Stage 3
177
Stage 1
procedures outlined in the sites training plan, on Protective Measures.
Stage 3 A5. All employees understand the training received on Protective Measures.
class.
178
Stage 1 A1. Ensure all employees receive training on Roles and Responsibilities for
Emergency Preparedness, Procedures and Evacuations.
Training on Roles and Responsibilities for Emergency Preparedness, Procedures and
Evacuations is incorporated into the web-online safety orientation for non-supervisors
and supervisors.
procedures outlined in the sites training plan, on Roles and Responsibilities for
Stage 3
179
Safety and Health Training – In ESAMS Safety and Health Training requirements
are determined by the duties/tasks that are assigned to the individual.
Stage 1
procedures outlined in the sites training plan, on Roles and Responsibilities for
Stage 3 A5. All employees understand the training received on Roles and
Responsibilities for Emergency Preparedness, Procedures and Evacuations.
class.
180
Safety and Health Training / Managers and Supervisors
Training for Managers and Supervisors
Stage 1 A1. Managers and supervisors receive training on their Specific S&H Leadership
Responsibilities and How to Carry Them Out.
Training on Specific S&H Leadership Responsibilities and How to Carry Them Out is
incorporated into the web-online safety orientation for supervisors.
Stage 2 Verify managers and supervisors attended training, in accordance with policies
and procedures outlined in the sites training plan, on their Specific S&H Leadership
Stage 3
181
Stage 1
and procedures outlined in the sites training plan, on their Specific S&H Leadership
Stage 3 A5. Managers and supervisors understand the training received on their Specific
S&H Leadership Responsibilities and How to Carry Them Out.
class.
182
Stage 1 A1. Managers and supervisors receive training on Methods for Changing
Workplace S&H Attitudes and Practices and How to Develop a Plan to Address
Necessary Changes.
This training can be added to existing duties/tasks assigned to designated personnel so
this training can be recorded and tracked.
and procedures outlined in the sites training plan, on Methods for Changing Workplace
S&H Attitudes and Practices and How to Develop a Plan to Address Necessary Changes.
Stage 3
183
Stage 1
and procedures outlined in the sites training plan, on Methods for Changing Workplace
S&H Attitudes and Practices and How to Develop a Plan to Address Necessary Changes.
Stage 3 A5. Managers and supervisors understand the training received on Methods for
Changing Workplace S&H Attitudes and Practices and How to Develop a Plan to
Address Necessary Changes.
class.
184
Stage 1 A1. Managers and supervisors receive training on VPP Requirements.
and procedures outlined in the sites training plan, on VPP Requirements.
Stage 3
185
Stage 1
and procedures outlined in the sites training plan, on VPP Requirements.
Stage 3 A5. Managers and supervisors understand the training received on VPP
Requirements.
class.
186
Safety and Health Training / S&H Staff and Others with assigned S&H
Responsibilities
Training for S&H Staff
Stage 1 A1. S&H staff and others with assigned S&H responsibilities receive training on
How to Conduct an Assessment of Workplace S&H Practices.
ESAMS has a duty/task that can be assigned to personnel which includes all required
training for Safety Professionals per OPNAVINST 5100.23 Series associated with it.
Assigning this task will allow for the recording and tracking of these training
requirements.
Stage 2 Verify S&H staff and others with assigned S&H responsibilities attended
training, in accordance with policies and procedures outlined in the sites training plan, on
Stage 3
187
Responsibilities
Stage 1
Stage 3 A5. S&H staff and others with assigned S&H responsibilities have received and
understand training on How to Conduct an Assessment of Workplace S&H Practices.
class.
188
Responsibilities
Stage 1 A1, 6 & 7. S&H staff and others with assigned S&H responsibilities receive
training on How to Conduct a Baseline Industrial Hygiene Hazard Analyses.
requirements.
training, in accordance with policies and procedures outlined in the sites training plan,, on
How to Conduct a Baseline Industrial Hygiene Hazard Analyses.
Stage 3
189
Responsibilities
Stage 1
Stage 3 A5. S&H Staff and Others With Assigned S&H Responsibilities have received
and understand training on How to Conduct a Baseline Industrial Hygiene Hazard
Analyses.
class.
190
Responsibilities
requirements.
Stage 3
191
Responsibilities
requirements.
Stage 3
192
Responsibilities
Methods for Changing Workplace S&H Attitudes and Practices and How to Develop a
Plan to Address Necessary Changes.
Stage 3
193
Responsibilities
Stage 1
understand training on Methods for Changing Workplace S&H Attitudes and Practices
and How to Develop a Plan to Address Necessary Changes.
class.
194
Responsibilities
Accident/incident Investigations.
requirements.
Stage 3
195
Responsibilities
Stage 1
understand training on Accident/incident Investigations.
class.
196
Responsibilities
training on How to Conduct a Baseline Safety Hazard Analyses.
requirements.
How to Conduct a Baseline Safety Hazard Analyses.
Stage 3
197
Responsibilities
Stage 1
understand training on How to Conduct a Baseline Safety Hazard Analyses.
class.
198
Responsibilities
requirements.
Stage 3
199
Responsibilities
requirements.
Stage 3
200
Responsibilities
Trend Analysis.
requirements.
Trend Analysis.
Stage 3
201
Responsibilities
Stage 1
Trend Analysis.
understand training on Trend Analysis.
class.
202
Responsibilities
training on How to Conduct Hazard Analyses.
requirements
How to Conduct Hazard Analyses.
Stage 3
203
Responsibilities
Stage 1
understand training on How to Conduct Hazard Analyses.
class.
204
Responsibilities
requirements
Stage 3
205
Responsibilities
requirements.
Stage 3
206
Responsibilities
Routine Self Inspections.
requirements.
Stage 3
207
Responsibilities
Stage 1
understand training on Routine Self Inspections.
class.
208
Responsibilities
Preventative Maintenance Inspections.
Additional training requirements can be added to capture this item.
requirements.
Stage 3
209
Responsibilities
Stage 1
understand training on Preventative Maintenance Inspections.
class.
can be recorded for each individual class. Supervisors can record selfinspections which can identify problems with an individua’ls
individual’s understanding of training he or she haas received during
210
Responsibilities
training on Hazard Elimination and Control Methods (i.e., OHSA's hierarchy of controls).
requirements.
Hazard Elimination and Control Methods (i.e., OHSA's hierarchy of controls).
Stage 3
211
Responsibilities
Stage 1
understand training on Hazard Elimination and Control Methods (i.e., OHSA's hierarchy
of controls).
class.
212
Responsibilities
requirements.
Stage 3
213
Responsibilities
requirements.
Stage 3
214
Responsibilities
Developing Emergency Procedures.
requirements.
Stage 3
215
Responsibilities
Stage 1
understand training on Developing Emergency Procedures.
class.
216
Safety and Health Training / Contractors
Contractors
Stage 1 A1, 3, 4, 6-8. A process has been established to ensure contractors are informing
their managers, supervisors, and non-supervisory employees on; their Rights Under the
OSH Act; the sites participation in VPP; specific VPP requirements the contractor must
follow; how to recognize hazardous conditions and the signs and symptoms of workplace
related illnesses and injuries that may be encountered at the site; the site's PPE
requirements; the contractors specific responsibilities for each type of emergency; and,
emergency evacuation procedures to include assembly locations and employee
accountability procedures.
and contractors.
should be included in the command’s ESAMS roster and assigned appropriate
duties/tasks. This will ensure that all training, medical surveillance requirements, and
mishap/hazard information concerning the person is tracked.
Major contractors (grounds maintenance, housekeeping, and construction) should have
controls.
Stage 2
Stage 3
217
A3. How are the safety and health training needs for employees determined?
Contractors
Stage 1 A1, 3, 4, 6-8. A process to has been established to ensure contractors are
informing their managers, supervisors, and non-supervisory employees on; their Rights
Under the OSH Act; the sites participation in VPP; specific VPP requirements the
contractor must follow; how to recognize hazardous conditions and the signs and
symptoms of workplace related illnesses and injuries that may be encountered at the site;
the site's PPE requirements; the contractors specific responsibilities for each type of
emergency; and, emergency evacuation procedures to include assembly locations and
employee accountability procedures.
and contractors.
controls.
Stage 2
Stage 3
218
A4. Does the site provide minimally effective training to educate employees regarding
the known hazards of the site and their controls? [Minimum Requirement - must be met
Contractors
and contractors.
duties/tasks. This will ensure that all training, medical surveillance requirements and
controls.
Stage 2
Stage 3
219
Contractors
Stage 1
Stage 2 A5. The site's contractor oversight management personnel are aware of
contractor's process for informing their managers, supervisors, and non-supervisory
employees on required training.
and contractors.
duties/tasks. This will ensure all training, medical surveillance requirements and
controls.
Stage 3 A5. The contractor’s procedure for informing their managers, supervisors, and
non-supervisory employees on required training has been reviewed and is satisfactory.
and contractors.
duties/tasks. This will ensure all training, medical surveillance requirements and
controls.
220
Contractors
and contractors.
controls.
Stage 2
Stage 3
221
Contractors
and contractors.
controls.
Stage 2
Stage 3
222
Contractors
and contractors.
duties/tasks. This will ensure that all training, medical surveillance requirements and
controls.
Stage 2
Stage 3
223

ESAMS Support for VPP Process - DOD VPP Center of Excellence

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