APPENDIX 4

• Document Type: FOIA
• Collection: FOIA Collection
• Document Number (FOIA) /ESDN (CREST): 06801145
• Release Decision: RIFPUB
• Original Classification: U
• Document Page Count: 6
• Document Creation Date: March 8, 2023
• Document Release Date: May 28, 2019
• Case Number: F-2018-00022

Approved for Release: 2019/05/16 C06801145
CY 2016 ANNUAL OCCUPATIONAL SAFETY & HEALTH REPORT TO THE SECRETARY OF LABOR
APPENDIX 4
SAFETY & HEALTH MANAGEMENT SYSTEM (SHMS) SELF-EVALUATION
For each of the 30 attributes below, please rate your agency based on the current reporting period
experience. All attributes are applicable to federal agencies, regardless of mission or size.
Please use the descriptors of the safety and health attributes, provided in Attachment 1 to this
appendix, to aid your rating efforts for each attribute. Indicate your rating of each attribute by
checking the appropriate rating box. Please include a detailed narrative with examples to
support the rating you provided, including elements rated with an 'NA'.
The rating system is as follows:
Attribute Rating System
Rating
Definition
0
The attribute does not exist.
1
The attribute needs major improvements.
2
The attribute needs minor improvement.
3
The attribute is highly effective.
NA
The attribute is not applicable.
I. HAZARD ANTICIPATION & DETECTION
0 = Does Not 1 = Needs Major 2 = Needs Minor 3 = Is Highly NA = Not
Exist Improvement Improvement Effective Applicable
1. A comprehensive, baseline
hazard survey has been
conducted within the past
five (5) years.
Narrative The next survey is scheduled for 2017.
2. Effective safety and health
self-inspections are LII
performed regularly.
Narrative The Agency performs periodic OSH inspections.
3. Effective surveillance of
established hazard controls is
conducted.
0
Narrative ESOs assigned to various Agency components monitor the implementation of hazard
controls.
4. Change analysis is performed
whenever a change in
facilities, equipment, LII
materials, or processes
occurs.
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Narrative Keeping up with change is always a challenge and requires ongoing intervention and
outreach efforts.
5. Safety Data Sheets (aka
MSDSs) are used to reveal
potential hazards associated
with chemical products in the
workplace.
Narrative Safety Data Sheets are available for use and incorporated into training courses.
II. HAZARD PREVENTION & CONTROL
0 = Does Not 1 = Needs Major 2 = Needs Minor 3 = Is Highly NA = Not
Exist Improvement Improvement Effective Applicable
6. Feasible engineering controls
are in place.
Engineering controls are always the preferred mitigation for safety hazards unless it is
Narrative not feasible or resource limits require a combination of PPE and or administrative
controls.
7. Effective safety and health
rules, and work practices are
in place.
Narrative ESD ESOs strive to ensure that occupational safety and health regulations are adhered
to at Agency facilities.
8. Applicable OSHA-mandated
programs are effectively in
place.
>0 0
Narrative Keeping up with change is always a challenge and requires ongoing intervention and
outreach efforts.
9. An effective procedure for
tracking hazard correction is Li Li )-7-e
in place.
This will be addressed in a 2017 comprehensive IT initiative to improve process and
Narrative records management.
III. PLANNING & EVALUATION
10. Hazard incidence data are
effectively analyzed.
0 = Does Not 1 = Needs Major 2 = Needs Minor 3 = Is Highly NA = Not
Exist Improvement Improvement Effective Applicable
Li 0 Li Li 0
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An IT upgrade to improve the current incident review process is underway to include
Narrative web-based options.
11. An action plan designed to
accomplish the organizations LI ii
0
safety and health objectives
is in place.
ESOs are responsible for implementing the safety program specific to their respective
Narrative customer's needs and mission requirements.
12. A review of the overall
safety and health
management system is
conducted at least annually.
ESD managers are responsible for evaluating the performance of the ESOs under their
Narrative respective direction and supervision.
IV. ADMINISTRATION & SUPERVISION
LII
0 = Does Not 1 = Needs Major 2 = Needs Minor 3 = Is Highly NA = Not
Exist Improvement Improvement Effective Applicable
13. Safety and health program
tasks are each specifically
assigned to a person or [II LI
position for performance or
coordination.
Narrative :ESD officers are program managers for their respective areas of responsibility.
14. Individuals with assigned
safety and health
responsibilities have the
necessary knowledge, skills,
and timely information to
perform their duties.
'ESD has incorporated professional credentialing into the performance and promotion
Narrative benchmarks for all ESOs.
15. Individuals with assigned
safety and health
responsibilities have the
authority to perform their
duties.
Narrative ESOs have authority to perform their duties and the support of management as needed.
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16. Individuals with assigned
safety and health
responsibilities have the
resources to perform their
duties.
Narrative Resources are available to all ESOs at the corporate and program level.
17. Organizational policies
promote the performance of
safety and health
responsibilities.
Narrative Additional internal Agency Regulations reiterate the requirements in 29 CFR 1960.
V. SAFETY & HEALTH TRAINING
The Occupational Safety and Health Training Guidelines For Federal Agencies guidelines are
available at: http://www.osha.gov/dep/facosh/osha training_guidelines2014.pdf.
18. Employees receive
appropriate safety and health
training.
0 = Does Not 1 = Needs Major 2 = Needs Minor 3 = Is Highly NA = Not
Exist Improvement Improvement Effective Applicable
LI
Narrative Employees receive the appropriate OSH training by a competent instructor.
19. New employee orientation
includes applicable safety
and health information.
Narrative New employee orientation needs improvement. A new web-based training tool is
planned for 2017.
20. Supervisors receive training
that covers the supervisory
aspects of their safety and
health responsibilities.
. Supervisors receive training in classroom instruction and through a web-based training
Narrative tool.
VI. MANAGEMENT LEADERSHIP
LI
0 = Does Not 1 = Needs Major 2 = Needs Minor 3 = Is Highly NA = Not
Exist Improvement Improvement Effective Applicable
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21. Top management policy
establishes clear priority for Lii Li Li [Li
safety and health.
Narrative As indicated in CIA Agency Regulations.
22. Top management provides
competent safety and health
staff support to line
managers and supervisors.
Narrative The ESD has a robust budget and top management support.
23. Managers delegate the
authority necessary for
personnel to carry out their Li Li El El(
assigned safety and health
responsibilities effectively.
Managers are involved in safety compliance, but delegate authority to staff with
Narrative support from the component environmental safety officer.
24. Managers allocate the
resources needed to properly
support the organization's
SHMS.
[Li-
Li
Narrative Within the CIA, each components funds their respective ESH program.
25. Managers assure that
appropriate safety and health
training is provided.
Narrative
Managers rely on their component environmental safety officer for guidance and
requirements.
26. Top management is involved
in the planning and
evaluation of safety and
health performance.
Environmental safety officers work with their respective component management to
Narrative implement safety initiatives as well as obtain resources.
VII. EMPLOYEE PARTICIPATION
0 = Does Not 1 = Needs Major 2 = Needs Minor 3 = Is Highly NA = Not
Exist Improvement Improvement Effective Applicable
27. There is an effective process
to involve employees in LI Li I-
safety and health issues.
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Narrative
Environmental safety officers engage their management and program staff to comply
with requirements, complete training and participate in process improvement.
28. Employees are involved in
organizational decision-
making in regard to the Lii
allocation of safety and
health resources.
Narrative
Environmental safety officers engage their management and program staff to comply
with requirements, complete training and participate in process improvement.
29. Employees are involved in
organizational decision-
making in regard to safety
and health training.
Environmental safety officers engage their respective programs for safety compliance
Narrative and critical decision-making with regard to resource allocation.
30. Employees participate in the
evaluation of safety and Lii
health performance.
N . Environmental safety officers engage their management and program staff to comply
at we
with requirements, complete training and participate in process improvement.
0
Lii
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