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U.S. Geological Survey Manual

SM 445-2-H CHAPTER 5

Program Evaluations and Policy Self Assessments

Instruction: This chapter is revised to address organizational changes and the requirements of Department of the Interior (DOI) Manual Part 485, Chapter 5 (485 DM 5) Program Evaluations.

1.  Purpose/Scope.  This chapter specifies minimum requirements for conducting evaluations of Occupational Safety and Health (OSH) Programs.  The U.S. Geological Survey (USGS) is required by Title 29 of the Code of Federal Regulations (CFR) Part 1960.78 to develop and implement a process for evaluating the effectiveness of the OSH Program.  

2.  Authorities/References.

A.  Public Law 91–596, Occupational Safety and Health Act of 1970 as amended, Section 19.

B.  Executive Order 12196, Occupational Safety and Health Programs for Federal Employees.

C.  29 CFR Part 1960, Subpart J, Evaluation of Federal Occupational Safety and Health Programs (29 CFR 1960.78, 1960.79, and 1960.80).

D.  American National Standards Institute/American Industrial Hygiene Association Z10–2012, Occupational Health and Safety Management Systems.

E.  485 DM 5, Program Evaluations.

F.  485 DM 6, Inspections and Abatement.

G.  Department of the Interior Handbook to Guide Completion of the Safety and Occupational Health Program Evaluation Tool, March 2010.

H.  U.S. Geological Survey Occupational Safety and Health Guide for Program Evaluations and Policy Self Assessments, December 2009.

3.  Program Evaluation Requirements.

A.  The Occupational Safety and Health Management Branch (OSHMB) shall conduct evaluations of each mission area, office and regional OSH program at least once every 3 years.  Field Office Evaluations shall be scheduled and conducted in conjunction with annual compliance inspections.  (Reference 485 DM 6 and SM 445-2-H.6.)

B.  OSH Program evaluations include site visits to observe field operations and activities, interviews, and opening and closing conferences with senior staff participating.  During the closing conference, evaluation findings and recommendations shall be presented.

C.  All OSH Program evaluations address Federal standards, DOI and Survey Manuals, and OSH Program requirements.

D.  OSH Program evaluations follow the format and criteria specified in the USGS Occupational Safety and Health Guide for Program Evaluations, to include a review of the following OSH Program Evaluation Components:

(1)  Leadership and Management.

(2)  Employee Participation.

(3)  Hazard Recognition and Prevention.

(4)  Evaluation and Analysis.

(5)  Training and Awareness.

(6)  Program Implementation and Operation.

E.  OSH Program Evaluation reports shall be transmitted by the Designated Agency Safety and Health Official (DASHO) to the respective Associate or Regional Director.  Reports shall address best practices, OSH Program deficiencies and findings, recommendations for corrective actions, and suggestions for OSH Program enhancements.  Mission area, office, or regional evaluation reports shall be uploaded to the Inspection and Abatement System (IAS).

F.  The evaluated organization shall prepare corrective actions to address deficiencies and findings in IAS within 60 calendar days.  OSH Program deficiencies shall be tracked quarterly at a minimum with final abatement actions documented within IAS.

G.  Follow-up visits and status reports shall be used, to verify that deficiencies are resolved.  

H.  The Director, Associate and Regional Directors, Office of Management Services (OMS) Chief, and their respective full-time OSH staff conduct an annual self-assessment of individual policy responsibilities and document conformance in IAS.  Corrective actions are tracked quarterly with final abatement actions documented within IAS.

4.  Responsibilities.

A.  Director, DASHO, and Associate and Regional Directors.

(1)  Provide staff and funding support to ensure that program requirements are implemented, program evaluations are completed and findings are abated. 

(2)  Provide staff assistance and timely information during formal program evaluations.

(3)  Complete an annual policy self-assessment of safety and health responsibilities within the IAS.

(4)  Ensure that follow up occurs every 90 days for program evaluation and policy self-assessment findings and those actions are documented in the IAS until abatement is completed.

(5)  Associate and Regional Directors shall disseminate program evaluation reports to employees within the evaluated organization and discuss the results of the evaluations and recommendations for corrective actions with organizational managers and occupational safety and health staff.  Proposed and actual actions for correcting hazards and deficiencies shall be documented within the IAS and tracked until completed. 

B.  Chief, Office of Management Services.

(1)  Ensures the establishment of an evaluation process for assessing the effectiveness of mission area, office, or region OSH programs and the control of OSH hazards.

(2)  Completes an annual policy self-assessment of safety and health responsibilities within the IAS. 

(3)  Ensures that follow up occurs every 90 days for all policy self-assessment findings and that actions are documented in the IAS until the abatement is completed.

(4)  Provides support services and coordinates with Associate and Regional Directors to address gaps and deficiencies identified through program evaluations and policy self-assessments.   

C.  Occupational Safety and Health Program Manager.

(1)  Establishes an evaluation process for assessing the effectiveness of mission area, office, or region OSH programs and the control of OSH hazards and provides management oversight and quality control of program evaluation processes.

(2)  Develops standardized program evaluation and policy assessment tools to meet program evaluation and policy assessment requirements.

(3)  Provides guidance and assistance to the mission area and regional OSH staff in interpreting and implementing OSH Program requirements.

(4)  Coordinates the implementation of evaluations inclusive of in-and-out briefings to organizational managers.  Ensures that OSH Program evaluations are scheduled within the IAS.
(5)  Reports quarterly to the OSH Council on the status of program evaluation abatement actions.
 
(6)  Ensures that annual policy self-assessments are completed and that findings are documented in the IAS.  Follows up every 90 days for OSHMB policy self-assessment findings and documents abatement actions in the IAS until abatement is completed.

(7)  Coordinates program evaluation reports and submits through the Chief, OMS, to the DASHO.

(8)  Reviews program evaluations, policy self-assessments, and abatement plans to incorporate pertinent information into the annual DOI OSH report.

(9)  Provides OSH compliance guidance and assistance in implementing OSH Program requirements to mission area, office, or regional managers and supervisors.

D.  Regional Safety Managers.

(1)  Coordinate with OSHMB staff to establish and document an evaluation schedule for assessing the program within their respective region.

(2)  Participate in OSHMB-conducted OSH Program evaluations.  Follow up every 90 days on abatement actions resulting from program evaluations until all findings are abated in the IAS.

(3)  Conduct annual policy self-assessment to assess regional safety and health responsibilities and document the findings in the IAS.  Follow up every 90 days on all policy self-assessment findings until the abatement is completed.

E.  Collateral Duty Safety Program Coordinators.

(1)  Coordinate respective cost center program evaluations including interviews with local staff   and collaborates with OSH staff.

(2)  Coordinates the documentation of abatement actions within the IAS, following up every 90 days until all findings are abated in the IAS.  Provide quarterly status reports of open and closed findings to the Science Center Director, senior management officials, and local safety committee.

(3)  Provide guidance and assistance to field managers and supervisors regarding compliance with program evaluation requirements.



/s/ Jose R. Aragon                                                                              September 11, 2015
_________________________________                                          ______________       
Jose R. Aragon                                                                                    Date
Associate Director for Administration


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