445.1 - Occupational Safety and Health Policy and Responsibilities

By Survey Manual

U.S. GEOLOGICAL SURVEY DIRECTIVE

SURVEY MANUAL CHAPTER – ADMINISTRATION SERIES

Issuance Number: 445.1

Subject: Occupational Safety and Health Policy and Responsibilities

Issuance Date: 9/6/2023

Expiration Date: 8/31/2028

Responsible Office: Office of Administration; Office of Management Services; Occupational Safety and Health Management Branch

Instruction: This Survey Manual (SM) chapter supersedes SM 445.1, dated December 19, 2021. Revisions authorize the implementation of an internal Bureau Occupational Safety and Health Operating Procedure (OSH-OP) as an authoritative source of guidance for U.S. Geological Survey (USGS) occupational safety and health activities. The OSH-OP replaces previous procedural guidance in SM 445-2-H, Occupational Safety and Health Program Requirements Handbook.

Approving Official: /s/ Jim Anderton

Associate Director for Administration

1. Purpose. This SM chapter establishes the USGS Occupational Safety and Health (OSH) Program and defines program policies, requirements, and responsibilities. Refer to the OSH-OP for more specific information.

2. Scope. The USGS OSH Program applies to all USGS activities and operations as well as its employees, student service contractors, concessionaires, and volunteers.

3. Authority.

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

B. Occupational Safety and Health Act of 1970, as amended.

C. Occupational Safety and Health Administration (OSHA) Regulation.

(1) 29 Code of Federal Regulations (CFR) Part 1960, Basic Program Elements for Federal Employee Occupational Safety and Health Programs and Related Matters.

(2) 29 CFR Part 1910, Occupational Safety and Health Standards.

(3) 29 CFR Part 1915, Occupational Safety and Health Standards for Shipyard Employment.

(4) 29 CFR Part 1926, Safety and Health Regulations for Construction.

D. 43 U.S. Code Section 1457, regarding public safety.

E. Departmental Manual (DM), Part 485, Safety and Occupational Health Program.

F. Acquisition Operating Procedure, Accident Reporting for Contractors and Recipients.

4. Policy. USGS must:

A. Provide and maintain a workplace that is free from recognized occupational safety and health hazards; protect personnel and visitors from injuries and illnesses; and protect property from accidental damage.

B. Include occupational safety and health as an integral part of every operation.

C. Hold managers and supervisors accountable and provide them with recognition for successful implementation and management of the program within the scope of their authority and responsibility.

D. Require that no personnel be subjected to restraint, interference, coercion, discrimination, reprisal for filing a report of an alleged unsafe/unhealthy working condition, or otherwise participating in the program.

E. Provide personnel with the supervision, knowledge, and skills necessary to safely perform their assigned tasks.

F. Require personnel and supervisors to identify and correct unsafe/unhealthy conditions and to know and follow safety and health related work rules and practices.

(1) The Table of Offenses and Penalties in Appendix B of 370 DM 752 Discipline and Adverse Actions provides guidance to disciplinary information.

Employees, supervisors, or managers that fail to comply with safety requirements, could be subject to the penalties listed below. Nature of Offense—Failure to comply with safety regulations, instructions, or prescribed safe practices; failure to use proper safety equipment; failure to report accident or injury.

(a) Penalty for First Offense - Written reprimand to 14-day suspension.

(b) Penalty for Second Offense – 14-to-30-day suspension.

G. Use occupational safety and health committees, as appropriate, to enhance the USGS OSH Program.

H. Comply with applicable program requirements and adopted national consensus standards.

I. Promote off-the-job safety and health of personnel through on-the-job safety and health activities.

J. Incorporate and enforce appropriate occupational safety and health performance clause(s) in contracts with concessionaires and contractors, and appropriate occupational safety and health performance terms and conditions in financial assistance agreements.

5. Program Components and Elements.

A. Leadership and Management. Management commitment and employee involvement is complementary. Management commitment provides the motivational force and the resources for organizing and controlling activities within an organization. In an effective program, management regards worker safety and health as a fundamental value of the organization and applies its commitment to safety and health protection with as much vigor as to other organizational purposes. Employee involvement provides the means for workers to develop and/or express their own commitment to safety and health protection for themselves and for their fellow workers. Assessed elements include:

(1) Commitment, Involvement, and Communication. Visible, committed management leadership that provides a motivating force for an effective occupational safety and health program and demonstrates that occupational safety and health are an organizational value. The adequacy of program information flow within the organization is assessed.

(2) Responsibility and Accountability. Structure, responsibility, authority, and accountability and how they contribute to effective program implementation.

(3) Financial Resources. Occupational safety and health input to the budget formulation and the adequacy of resources to implement and administer the program.

(4) Personnel Resources. Size and technical skill of staff.

(5) Policy. Adequacy of policy, protocols, and procedures.

(6) Program Promotion and Recognition. Establishment and communication of occupational safety and health awareness and recognition programs.

B. Employee Participation. Employees and employee representatives are involved in the development and implementation of program activities as demonstrated by (1) employee participation on occupational safety and health committees at all levels of the organization, (2) communication with organizational management, (3) involvement in hazard identification and abatement, and (4) access to occupational safety and health information to ensure a safe work environment for their protection.

(1) Safety Committees. Employees and employee representatives are involved in the occupational safety and health committees at all levels of the organization.

(2) Program Involvement and Unsafe/Unhealthy Condition Reports. Employees are advised of their occupational safety and health rights and are encouraged to report unsafe conditions without reprisal. All employees should have access to Unsafe/Unhealthful Condition Reporting. Effective means are established to inform all employees of occupational safety and health information and promote occupational safety and health program awareness (for example; safety week, newsletters, websites).

C. Hazard Recognition and Prevention. This analysis involves a variety of worksite examinations to identify not only existing hazards but also conditions and operations in which there are actual or potential hazards. Unawareness of a hazard that stems from failure to examine the worksite is a sure sign that occupational safety and health policies and/or practices are ineffective. Effective management actively analyzes the work and worksite to anticipate actual or potential hazards. Actions should be taken to prevent harm in categories as follows:

(1) Inspection, Identification, and Prioritization of Deficiencies – An effective, proactive occupational safety and health program will seek to identify new or previously missed hazards and failures in hazard control. Findings will be analyzed, and feasible abatement methods identified. An effective process to report and correct unsafe or unhealthy working conditions is established.

(2) Hazard Control and Abatement – An effective tracking system is in place that documents interim and final abatement actions and promotes the use of engineering, work practice, and administrative controls and personal protective equipment, as applicable, to prevent and/or control workforce exposure(s) to such hazards.

(3) Process/Operational Hazard Analysis, and Management of Change – Job, task, and process analysis/risk assessments are conducted and updated as new processes, jobs, and tasks are begun; recommended controls that minimize or eliminate worker exposure to the hazard(s) are implemented.

(4) Procurement, Design Reviews, and Contractor Safety. Provide guidance relating to reporting accidents involving contractors or recipients. Student service contractors should be treated as a USGS employees for purposes of safety and accident reporting. Internal guidance is available in the Acquisition Operating Procedures on Accident Reporting for Contractors and Recipients.

D. Evaluation and Analysis. This component is triggered by a determination that a hazard or potential hazard exists. Where feasible, hazards are prevented by effective design of the job site or job. Where it is not feasible to eliminate hazards, exposure is minimized to reduce or prevent unsafe or unhealthy conditions. Elimination or control is accomplished in a timely manner, once a hazard or potential hazard is recognized, as follows:

(1) Program Evaluations and Assessments – Adequacy of scheduling frequency, and documentation for program reviews and program evaluations.

(2) Accident Analysis and Prevention – Conducting accident analyses and the identification and implementation of prevention measure(s).

(3) Data Analysis, Performance Metrics, and Management Review/Follow-up – Establishment of Bureau goals and performance measurements. Communication to management and employees about program effectiveness.

(4) Accident Reporting and Investigation – Adequacy in reporting and investigating accidents.

E. Training and Awareness. Occupational safety and health training address the safety and health responsibilities of all personnel concerned with a worksite, whether salaried or hourly. Worksite training is often most effective when incorporated into other training about performance requirements and job practices. Detail depends on the size and complexity of the worksite, and the nature of the hazards and potential hazards at the site.

(1) Mandatory Occupational Safety and Health Training – Identification of education and training needs and processes to satisfy those needs.

(2) Training for Occupational Safety and Health Professionals/Collateral Duty Safety and Health Program Coordinators/Committee Members.

F. Program Implementation and Operation. In addition to the main criteria described in paragraphs a through e above, the following are elements that apply to specific program requirements and/or organizational activities and, based on applicability, may include:

(1) Industrial Hygiene and Occupational Medicine – Respiratory protection, hearing protection, medical monitoring, hazard communication, laboratory safety, formaldehyde operations, Lyme disease, bloodborne pathogens, personal protective equipment, ergonomics.

(2) Aviation.

(3) Diving.

(4) Firearms.

(5) Large Vessels.

(6) Ionizing Radiation.

(7) Watercraft.

(8) Other applicable Safety Programs – Occupant Emergency Plan, Fire Prevention, Emergency Preparedness, Electrical Safety, Lockout/Tagout, Confined Spaces, Blasting, Wildlife Netting, Cableway Safety, Electrofishing, Motor Vehicles, Powered Industrial Trucks, Off Highway Vehicles, etc.

6. Executive Responsibilities. USGS OSH Program responsibility is shared by all levels of supervision.

A. Director, Deputy Director for Operations, Deputy Director for Administration and Policy, and the Chief Scientist. These offices will:

(1) Ensure the establishment and implementation of a comprehensive OSH Program, delegating sufficient authority to the Associate and Regional Directors and Office Chiefs to effectively manage and administer the OSH Program;

(2) Require compliance with statutory, regulatory, and OSH Program criteria, holding Associate and Regional Directors, and Office Chiefs accountable for effectively fulfilling OSH Program responsibilities within the region, mission area, or office;

(3) Require the Associate Director for Administration (Bureau Designated Safety and Health Official or DASHO) to submit an annual OSHA report summarizing the OSH Program to the DOI; and

(4) Recognize employees for outstanding occupational safety and health performance.

B. Associate and Regional Directors and Office Chiefs. These offices will:

(1) Demonstrate personal commitment to the occupational safety and health of employees, student service contractors, concessionaires, volunteers, and visitors;

(2) Provide adequate staff and funding resources to ensure effective implementation and administration of the OSH Program (Reference 29 CFR 1960.7). Associate Directors generally appoint a collateral duty designee or point of contact for OSH matters. Regional Directors appoint full-time regional occupational safety and health professionals meeting OPM qualifications for Safety and Occupational Health Management Series (0018), Safety Technician Series (0019), Industrial Hygiene Series (0690), and Safety Engineering Series (0803). Designated safety personnel must have sufficient authority to effectively represent the interests of and provide support to the mission area, regional science, and office/field organizations;

(3) Ensure assigned occupational safety and health staff are provided professional development to meet annual training requirements and ensure knowledge about the inspection process and recognition of occupational safety and health hazards;

(4) Require compliance with statutory, regulatory, and OSH Program criteria, holding line management, supervisors, and employees accountable for effectively fulfilling OSH Program responsibilities and investigating unsafe conditions and allegations of reprisal within their respective organizations;

(5) Ensure the conduct of annual OSH Program local office self-inspections and external compliance inspections of regional and mission area offices by September 30 of each fiscal year, with proposed and actual actions for correcting hazards and deficiencies is documented within the Inspection and Abatement System (IAS) and tracked until completed;

(6) Ensure that external compliance inspections of regional science centers are conducted based on high-risk activities, high accident rates, occupational hazards, past OSH Program history, personnel turnover, and time-lapse since the last formal review;

(7) Ensure that an organizational annual action plan is developed by the end of August of each fiscal year and documented within IAS to facilitate continuous improvement from year to year. Action plans should be communicated to organizational supervision and employees;

(8) 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;

(9) Require that accidents are reported and investigated per the OSH-OP.

(10) Provide copies of the OSHA Executive Order (EO) 12196, 29 CFR 1960, and OSH Program documentation to managers and supervisors and require that the occupational safety and health poster is posted in all offices and facilities;

(11) Recognize employees for outstanding occupational safety and health performance; and

(12) Appoint and ensure appropriate training and funding of at least one Regional Cableway Specialist to review design plans, provide cableway assistance, and inspect cableways for organizations having cableway structures and (or) operations (Water Resources Associate Director Only).

C. Associate Director for Administration. The Associate Director for Administration will:

(1) Serve as the Bureau DASHO, exercising delegated authority from the Director in the overall management of the USGS OSH Program;

(2) Direct OSH Program activities, through the Chief, Office of Management Services (OMS), and ensure that adequate staff and funding resources are provided to develop and administer the OSH Program;

(3) Direct OSH Program activities, through the Chief, Office of Management Services (OMS), and ensure that adequate staff and funding resources are provided to develop and administer the OSH Program;

(4) Require that accidents are reported and investigated in accordance with the USGS OSH-OP;

(5) Require documented OSH Program evaluations for each Associate and Regional Director’s OSH Program at least once every 3 years. DOI’s IAS is used for documentation, including a requirement for follow-up every 90 days until abatement is completed;

(6) Delegate authority to the Chief, OMS for OSH Program management and administration oversight;

(7) Serve in the following representative capacities:

(a) Serve as the USGS representative on DOI DASHO Council.

(b) Delegate responsibility to serve as the USGS representative on the DOI Office of Aviation Services Executive Aviation Committee, to the Chief, OMS.

(d) Advise the Director and Executive Leadership Team (ELT) on the status of the USGS OSH Program.

(e) Promote and Chair the OSH Council as a forum to exchanging OSH Program information and coordinating occupational safety and health activities.

(8) Appoint serious accident investigation teams or trained investigators for the investigation of serious accidents;

(9) Assign a representative to serve as the liaison with the Office of Aviation Services for all National Transportation Safety Board reportable mishaps;

(10) Ensure USGS participation on Interior Aircraft Mishap Review Boards;

(11) Assign Occupational Medicine Program authority to the Chief, OMS for program management and administration;

(12) Assign responsibility for the development of policy and management of employee medical records to the Deputy Associate Director for Human Capital;

(13) Ensure that an OSH awards program is established within the USGS;

(14) Direct program activities and ensures that adequate staff and funding resources are provided to develop and administer the USGS OSH program;

(15) Submit an annual OSHA report summarizing the OSH Program to DOI;

(16) Supplement the OSH Program with special initiatives, directives, standards, and criteria to meet the occupational safety and health needs of the USGS;

(17) Ensure establishment of career development programs for full-time and collateral duty safety and health personnel; and

(18) Provide support and funding resources necessary to equip safety and health personnel with training needed to fulfill their responsibilities and meet professional development requirements.

D. Chief, Office of Management Services. The Chief, OMS, will:

(1) Assist the Bureau DASHO in representing USGS OSH Programs interests and provides management and direction of the USGS OSH Program through direct supervision of the Chief of the Occupational Safety and Health Management Branch (OSHMB);

(2) Assign OSH program responsibilities to the Chief, OSHMB with sufficient authority and resources to effectively support and represent the interests of the Bureau in the oversight, management, and administration of the USGS OSH Program. Responsibilities include internal control, program management, and operational management of national capabilities and specialized OSH programs;

(3) Ensure that the Chief, OSHMB has direct access to the DASHO for any OSH program issue;

(4) Serve as the alternate DASHO designee on the DOI DASHO Council and primary representative on the DOI Office of Aviation Services Executive Aviation Committee;

(5) Assign annual action plan, performance metric, unsafe condition, and allegations of reprisal oversight responsibilities to the Chief, OSHMB for program management and administration;

(6) Ensure the conduct of required documentation and inspections.

(7) Ensure the establishment of an evaluation and inspection process for assessing the effectiveness of mission area, regional of office OSH programs, and the control of OSH hazards, inclusive of follow up for all policy self-assessment findings and that actions in IAS until the abatement is completed;

(8) Provide support services and coordinates with Associate and Regional Directors to address gaps and deficiencies identified through program evaluations and policy self-assessments;

(9) Provide primary funding resources necessary to equip the safety and health personnel with the training needed (up to the 24 hours per year as required by DOI) to fulfill their responsibilities and to meet individual mandatory career development requirements; and

(10) Ensure IDPs, corresponding to the career development curricula are developed and maintained for safety and health personnel.

E. Deputy Associate Director for Human Capital. The Deputy Associate Director for Human Capital will:

(1) Provide oversight and administration of the Office of Workman’s Compensation Program and maintenance of employee medical records;

(2) Advise employees, supervisors, and managers on the Administrative Grievance Procedure or applicable negotiated grievance procedures;

(3) Provide administration of the USGS awards program, soliciting nominations through announcements of awards, establishment of criteria, and timelines for submittal of OSH award nominations; and

(4) Coordinate nominations for DOI-level recognition through the OSH Program Manager for review and concurrence and forwards nominations through the Director, the Assistant Secretary for Water and Science, and the Executive Secretariat to the Department Honor Awards Coordinator for DOI-level recognition.

F. Employee Representatives, as applicable. Employee representatives, such as Unions, will:

(1) Participate in formal annual inspections of establishments and in the identification of unsafe or unhealthful conditions; and

(2) Review proposed occupational safety and health work rules and regulations.

G. Contracting responsibilities. As applicable—

(1) Contracting Officers. Contracting Officers (COs) will ensure that award documents include clauses to address hazardous materials, site conditions, and (or) hazardous work that contractor personnel may encounter while working at USGS facilities or field sites as well as any OSHA and Federal Acquisition Regulation compliance requirements. Contracts for onsite performance not involving contractor personnel exposure to hazardous materials or working conditions should identify and address routine office-related hazards, as applicable.

(a) Maintain official communication and notification with the contractor concerning any safety or injury incidence involving contractor personnel.

(b) Issue a work-stop order for imminent danger situations, as applicable.

(c) Inform the Bureau, Regional, or local safety office representatives of instances where the contractor has been notified to take immediate action to correct serious or imminent dangers.

(2) Contracting Officer’s Representative. A Contracting Officer’s Representative (COR) will have the following responsibilities:

(a) When acquisition planning, and where appropriate, program officials must consider historical contractor accident rates in developing award selection criteria. The requirement for low incident rates should be included in the statement of work and evaluation criteria provided to the Contracting Officer. Proposals from vendors with a total recordable incident rate above 1 or above the Federal average may be disqualified from an award.

(b) Coordination of safety and health briefings with the CO when new procedures or changes are put in place involving compliance with safety and health requirements and will keep the CO apprised of any safety or health-related issues that have a direct impact on the oversight and (or) performance of contracted work.

(c) Consultation of USGS, regional or local safety staff to obtain assistance in addressing safety and health issues in drafting and finalizing statements of work to be provided to the CO.

(d) Coordination of safety/health briefings, with the advance approval of the CO, when a new contract is awarded involving compliance with USGS unique safety and health requirements.

(e) Report to the CO and Bureau or regional safety staff, where contractor safety violations are noted, to initiate OSHA enforcement and follow up to correct serious or imminent danger. Ensure the contractor is following the procurement specifications detailed in Specifications and Performance Based Statements of Work.

(f) CORs should treat student service contractors only as if they were federal employees for the purposes of this chapter, in accordance with Public Law 113-76, which states that, “The United States Geological Survey may enter into contracts or cooperative agreements directly with individuals or indirectly with institutions or nonprofit organizations, without regard to 41 U.S.C. 6101, for the temporary or intermittent services of students or recent graduates, who shall be considered employees for the purpose of chapters 57 and 81 of title 5, United States Code, relating to compensation for travel and work injuries, and chapter 171 of title 28, United States Code, relating to tort claims, but shall not be considered to be Federal employees for any other purposes.”

H. Bureau Occupational Safety and Health OSH Council, Specialized Safety Program Committees, and Work Groups.

(1) The OSH Council. Reference SM 308.64 for membership and full responsibilities. Members will have the following responsibilities:

(a) Serve as an advisory body to the ELT and Bureau DASHO on USGS OSH Program matters.

(b) Review award nominations provided by the DOI or USGS Honor Awards Coordinator and recommends award recipients to the DOI or USGS Honor Awards Coordinator and the DOI OSH Council.

(c) Ensure mission area organizations are represented through membership on the OSH Council. Mission Area management representatives on the OSH Council will communicate program implementation needs identified through facility-based committees (for example, National Center Safety Committee and organization requests).

(d) In lieu of regional safety committees, Regional Safety Managers will conduct monthly meetings or conference calls with Collateral Duty Safety Program Coordinators and use this forum to address program gaps and develop initiatives for continuous improvement. Regional safety and management representatives on the OSH Council will represent and communicate local or regional implementation needs identified in monthly meetings to the Regional ELT, OMS Operations, Chief, OSHMB, or OSH Council, as appropriate.

(e) Field-level committees are required for organizations with 20 or more employees and serve as advisory bodies to local managers on local occupational safety and health program matters.

(2) Specialized Safety Committees. See SM 308.66 for the membership and full responsibilities of the Specialized Safety Committees.

(a) Serve as advisory bodies to the OSH Council, ELT, Bureau DASHO, and the Chief, OSHMB on corresponding OSH Program matters, including for corresponding training, establishment of authorizations (where applicable), and corresponding policy/program/protocols.

(b) Make recommendations to the Bureau DASHO and Bureau OSH Council related to aviation, dive, firearms, large vessels, and watercraft program activities.

(3) Work Groups.

(a) Provide focal points for coordinating USGS OSH Program activities and for exchanging program information between mission area, regional, and field-level managers and safety personnel.

(b) Encourage employees to comply with pertinent occupational safety and health requirements and practice safe procedures during off-duty hours.

(d) Work groups may be established by the OSH Council, Specialized Program Committees, and field organizations, to address specific OSH Program, operational, or location issues.