Source: https://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=DIRECTIVES&p_id=1680
Timestamp: 2016-08-25 11:24:50
Document Index: 581350267

Matched Legal Cases: ['art 1960', 'art 1960', 'art 1960', 'art 1960', 'ART 1960', 'art 1960', 'art 1960', 'art 1960', 'art 1960', 'art 1960', 'art 101', 'ART 1960', 'art 1960', 'art 1960']

FAP 02-00-001 - FAP 2.1B - Evaluation of Federal Agency Occupational Safety and Health Programs
A. Purpose. This instruction transmits the Occupational Safety and Health
Program Evaluation Workbook for Agency field establishments, the Workplace
Survey Question, and the Guidelines for Establishment Evaluation Reports.
C. References. The following references are applicable for this
2. Executive Order (E.O.) 12196, Occupational Safety and Health
Programs for Federal Employees; Section 1-401(h).
3. Basic Program Elements for Federal Employee Occupational Safety
and Health Programs (29 CFR Part 1960.80).
D. Cancellation. OSHA Instruction FAP 2.1A, September 11, 1985, is
E. Action. OSHA National Office Director, Regional Administrators shall
ensure that the Workbook and Survey Questions (see Appendices A and B) and
the Guidelines for Establishment Evaluation Reports (see Appendix C) are
employed in conducting evaluations of Federal agencies' occupational safety
and health programs, as set forth in the Field Operations Manual (FOM),
Chapter XIII. Regional Administrators shall ensure that establishment
evaluations reports follow the sample format provided.
Reference: the Act; | E.O. 12196; 29 CFR | Part 1960 | PROGRAM ELEMENTS AND EVALUATION FACTORS
| 1.0 TOP MANAGEMENT SUPPORT: QUESTIONS AND ADDRESS HOW
| TOP MANAGEMENT DEMONSTRATES ITS SUPPORT FOR THE | PROGRAM. | | 1.1
Policy Statements | 1960.6(b)(1) | a. Have policy statements been
received from the | agency head or other top managers? (Attach | copies.) | | b. Has the facility manager issued any policy | statements? (Attach copies.) | 1960.6(b)(2) | *c. Are supervisors
aware of any policy statements? | From whom? | 1960.6(b)(2) | d. Are employees aware of any policy statements? | From whom? | |
1.2 Program Documentation | 1960.6(b) | a. Has the agency
transmitted written program 1960.12(b) | documentation to the
facility? | 1960.12(a) | b. Has the facility developed
additional program | documentation? If so, is it consistent with 29 |
CFR Part 1960? | 1960.12(a) | *c. Are employees aware of
availability of | standards, agency's program requirements, etc. | |
1.3 Personal Participation | 1960.6(b)(1) | Does the facility
manager participate in the | program? (Give examples: accompanies
inspectors, | issues memos, attends safety meetings, etc.) | | 1.4
Accountability | 1960.9 | *a. Are managers and supervisors
evaluated on their 1960.11 | occupational safety and
Reference: the Act; E.O. 12196; 29 CFR Part 1960 PROGRAM ELEMENTS AND EVALUATION FACTORS
| performance? Is it a critical element? | Has merit pay ever been denied for occupational | safety and health
reasons? | 1960.9 | *b. Do supervisors correct hazards and
enforce 1960.11 | safety and health standards, rules, and
| regulations in the workplace? For example, are | employees
wearing PPE? Are guards on machines | in place? (Give examples) |
1960.6(a) | 1.5 Resources | 1960.7(c) | a. Have
sufficient staff been provided to | administer the program? (Findings
should list | number of OSH staff by job titles.) | 1960.2(s); 6(a), | *b. Are safety and health staff qualified for their (c);.25(a) | responsibilities? | 1960.2(s);6(a), | c. Have other
resources been used? (NIOSH, (c);.25(a) | contractor, etc.)
| 1960.7(c) | *d. Have adequate financial resources been
provided | to abate hazardous conditions? Which | abatements
were delayed beyond 6 months? Are | any abatement dates outstanding? (Explain) | 1960.7(c) | *e. Is adequate and appropriate personal
protective | equipment provided at the facility? | | 2.0 PROGRAM
PLANNING: QUESTIONS ADDRESS THE EXTENT TO | WHICH GOALS AND OBJECTIVES
ARE BASED ON DATA | ANALYSIS. | | 2.3 Goals and Objectives | 1960.6(b)(4)
| a. Does the facility have clear, measurable, | goals and
objectives? |
| 1960.6(b)(4) | b. If so, are they related to problems
identified 1960.66(c) | through the management information
system? | 1960.11 | c. Are specific objectives a part of
supervisors's (optional) | or manager's performance
standards? | 1960.11 | d. Do headquarters objectives become
facility (optional) | objectives? Does headquarters
review/approve | facility objectives? | E.O. 1-201(j) | e.
Has the facility conducted any special 1960.66(b)(6)&(c) | activities based on injury/illness causal | factors? (Examples: fact
sheets, paycheck | stuffers, posters, inspections, training) Were | they based on direction from agency | headquarters? | | 2.1
Management Information System | 1960.66(a) | a. Does the
facility supply injury/illness 1960.66(c) | statistics to
agency headquarters? If so, does | headquarters provide analysis and
feedback? | 1960.66(a) | b. Are injury/illness reports compared
to OWCP optional | claims? | | 3.0 PROGRAM IMPLEMENTATION:
QUESTIONS ADDRESS HOW THE | PROGRAM CONFORMS TO 29 CFR PART 1960, AND HOW
IT | IS IMPLEMENTED THROUGHOUT THE AGENCY. | | 3.1 Employee Rights and
Involvement | Act, Section 19(a) | *a. Does the agency consult with
employee | representatives concerning the program? | (Examples.) | 1960.12(c) | *b. Is a poster with the DOL core
text displayed?
Reference: the Act; | E.O. 12196; 29 CFR | Part 1960 | PROGRAM ELEMENT/EVALUATION FACTORS
| 1960.12(c) | *c. Can employees easily review the Act,
Executive | Order 12196,29 CFR Part 1960, and the agency's | program? | E.O. 1-201(h) | d. Are there written procedures for
employees to 1960.28(c) | report hazards anonymously? | | *e. Are employees aware of the procedures? | 1960.28(d)(4) | *f.
Where employees have reported hazards, were | they notified of actions
taken within required | time frames? | E.O. 1-201(h) | *g.
Are reports handled within required timeframes? 1960.28(d)(3) | |
1960.28(d) | h. Is a log of employee reports maintained? |
1960.10(d) | *i. Are employees authorized official time to | participate in the OSH program? (Examples.) | 1960.12(e) | j.
Is employee awareness of occupational safety | and health promoted
through the agency's normal | information channels? (Newsletters,
etc.) | (Attach examples.) | Optional | k. Are
employees involved through the use of | incentive or other promotional
programs? | Optional | l. Do collective bargaining agreements
include | safety and health provisions? | Optional | *m.
Are disciplinary procedures in effect for | failure to follow
established safe operating | procedures? | E.O. 1-201(i) | *n. Do employee representatives accompany 1960.27(a) and (b) | inspectors during inspections? |
Reference: the Act; | E.O. 12196; 29 CFR | Part 1960 | PROGRAM ELEMENTS/ EVALUATION FACTORS
| | 3.2 Reprisal Policy and Procedures | E.O. 1-201 (f) | a. Has the agency issued a reprisal policy and 1960.46(a) | procedures? | E.O. 1-201 (f) | *b. Are employees aware that
they are protected 1960.46(a) | from reprisal for exercising
their occupational 1960.47 | safety and health rights? | |
c. Who investigates allegations of reprisal? | | d. What is the
highest authority to which a | reprisal allegation can be appealed? |
| e. Are committees, employee representatives, and | the
appropriate safety and health managers | notified of allegations of
reprisal? | 1960.46(a) | f. How many allegations of reprisal
have there 1960.47 | been at this facility? | | g.
What was the disposition of those cases? | | h. Have any
managers/supervisors been disciplined | for taking reprisal actions? |
OPTIONAL | 3.2 Occupational Safety and Health Committees IF NOT
CERTIFIED | | | a. Does the facility have a safety and health | committee? | | b. Who is on it? | | c. Does it meet regularly? | | d. Are minutes of meetings kept? (Attach minutes | from last two
meetings.) | | e. Does the committee address substantive safety | and health issues? (Examples.)
Reference: the Act; | E.O. 12196; 29 CFR | Part 1960 | PROGRAM ELEMENTS/EVALUATION FACTORS
CERTIFIED | | a. Does the facility have a safety and health | committee? | | b. Who is on it? | | c. Does it meet regularly? | | d. Are minutes of meetings kept? (Attach minutes | from last two
| | f. Are hazards eliminated as a result of
committee | activities? | IF CERTIFIED: | a. Do certified
committees have equal 1960.88 & 36(b) | representation of
management and employees? | 1960.37 & 36(b)(1) | b. Are members
appointed as required? | 1960.37(d) | c. Is the chairperson
elected by members? | 1960.37(e) | d. Is there a regular meeting
schedule? | 1960.37(f) | e. Is adequate advance notice given to
members? | 1960.37(g) | f. Are minutes kept and distributed to
members? | (Attach copies from last two meetings.) | 1960.39(9) | g. Do committees have access to all relevant | information
except that prohibited by law? | (Accident investigation reports,
injury/illness | data, inspection reports, evaluations.) | (Optional) | 3.4 Federal Safety and Health Councils | 1960.85(a),.88(b) | a. Does the agency or facility encourage | participation of management
and employees in | Federal Safety and Health Councils? | 1960.88(h) | b. Do management and employees share travel funds | equally? | | 3.5 Training (IN ALL CASES: GIVE TITLES, CONTENT, | LENGTH, NUMBER ATTENDING) | 1960.54 | a. What training has
been provided to top managers | on requirements of the agency program,
the Act, | Executive Order 12196, and 29 CFR Part
| 1960.55 | *b. What training has been provided to
supervisors | on: | | 1) The Act, Executive Order, and 29 CFR
Part | 1960? | | 2) OSHA standards? | | 3) Procedures
for reporting and investigating | allegations of reprisal? | | 4) Procedures for reporting, evaluation, and | abatement of
hazards? | | 5) Hazard recognition? | | 6) Other? (describe) |
1960.58 | *c What training has been provided to collateral | duty safety and health personnel on: | | 1) Hazard recognition?
| | 2) The use of OSHA standards? | | 3) Procedures for
reporting and investigating | allegations of reprisal? | | 4) The Act, Executive Order, and 29 CFR Part | 1960? | | 5)
Other? | 1960.58 | *d What training has been provided to
(certified) | committee members on: | | 1) Hazard recognition?
reporting and investigating | allegations of reprisals? |
Reference: the Act, | E.O. 12196; 29 CFR | Part 1960 | PROGRAM ELEMENTS/EVALUATION FACTORS
| | 4) The Act, Executive Order, an 29 CFR Part |
1960? | 1960.59 | *e. What training has been
provided to employees | on: | | 1) Hazards of their jobs? | | 2) The agency's OSH program including rights | and
responsibilities? | | 3) The proper use of personal protective | equipment? | | 4) Safe operating procedures? | | *f. Have
employee representatives received: | | 1) Introductory and specialized
OSH courses? | | 2) Training to assist in conducting | inspections? | 1960.56 | *g. Have inspectors/safety
specialists received 1960.57 | training on standards, use
of testing | procedures, hazard recognition and abatement, | data analysis, and preparation of reports? | Act, Sec 19(a)(3) | 3.6
Recordkeeping E.O. 1-201(j) | 1960.67 | a. Is a log of
injuries and illnesses maintained | at the facility? (Attach copy from
last two | years) | 1960.71(b) | b. Is a summary posted
for 30 days beginning | within 45 days of the close of the fiscal
year? | 1960.68 | c. Is a supplementary record of injuries
and | illnesses maintained? Completed in 6 working | days?
| | d. Are injury/illness reports compared to OWCP |
claims filed? | | e. Are OSHA-required codes completed on | compensation forms? | E.O. 1-201(g) | 3.7 Inspections | 1960.25(c) | a. Who conducts inspections of the facility and | how often?
| 1960.25(c) | b. Has the facility identified high risk areas? |
(List.) Are they inspected more frequently? | 1960.25(a) | c. Are inspectors qualified to recognize hazards | for the
workplaces involved? | 1960.29(b) | d. Are thorough
investigations made of all 1960.70 | occupational
fatalities or accidents requiring | hospitalization of five or more
employees? Is | DOL notified within 48 hours? | 1960.26(a) |
*e. Do inspectors review hazard reports, | injury/illness records,
previous inspection | reports? | 1960.26(b) | *f. Do
inspectors question employees or supervisors | privately? | 1960.25(a)
| *g. Are inspectors provided necessary equipment? | 1960.26(c) | *h. Do inspectors issue Notices of Unsafe or | Unhealthful
working Conditions? Are these | posted for appropriate times? |
1960.27(a) | *i. Do employee representatives accompany | inspectors? *Complete response needs information from workplace
| 1960.26(b)(6) | *j. Is a closing conference conducted with the | official in charge and employee | representatives? | | 3.8
Hazard Abatement | 1960.30(a) | a. Does the facility have
written abatement | procedures? | 1960.30(c) | b. Are
abatement dates set? Met within the | specified time frames? |
1960.30(d) | c. Does the facility follow required procedures | when abatement cannot be achieved in normal | time limits? |
1960.30(b) | d. What are your procedures for tracking | abatement? | E.O. 1-201(h) | e. Are imminent danger conditions
abated 1960.26(b)(5) | immediately? | | f. How does the
facility assure that private | contractors do not expose Federal
employees to | unsafe conditions? | 1960.34(a)(1) | g. Do
you request preoccupancy inspections from | GSA? If so, are the
results acceptable? | 1960.34(a)(5) | h. Are there written
procedures to make written | reports of unsafe/unhealthful conditions
to | other agencies, e.g. GSA, which are responsible | for
their correction? | 1960.34(a)(5) | i. Have there been any reports
of unsafe or | unhealthful conditions that were referred to | GSA. If so, were they investigated? | 1960.34(a)(8) | j. How does
the facility coordinate with GSA to | ensure that safety and health
| | still outstanding are resolved prior to | renegotiation of leases? | 41 CFR Part 101-20 | k. If the building is
owned by GSA, has someone | been designated as liaison with GSA? |
1960.34(b)(4) | l. Has personal protective equipment been obtained
| from GSA? | 1960.34(e)(3) | m. Have you encountered any
safety problems with | GSA cars? | | 3.9 Standards Compliance and
Adoption | the Act, 19(a) | a. Does the facility generally comply
with OSHA E.O. 1-201(d) | standards? (How do deficiencies
relate to the | safety and health program: lack of inspections, | training, funds, etc.) | 1960.16 | b. Are alternate or
supplementary standards in 1960.17 | use? | | c. Were
alternate standards approved by the | Secretary? | | 4.0 PROGRAM
EVALUATION: QUESTIONS ADDRESS HOW | THOROUGHLY THE AGENCY CONDUCTS ITS
OWN PROGRAM | EVALUATIONS. | 1960.79 | a. Has the
facility participated in an evaluation | (not an inspection) conducted
by agency | headquarters? | (optional) | b. Does the
facility receive feedback from agency | headquarters about its
During workplace surveys, safety specialists and industrial hygienists will
review working conditions to determine if the facility complies with OSHA
standards, and, if not, what the cause may be. (For example, lack of
training, failure to conduct inspections, lack of funds for correction, etc.)
Safety and health hazards should be pointed out to management and labor
representatives, mentioned in the closing conference, and included in the
Regional Office evaluation report, under item 5.0, Workplace Survey.
The attached questions have been supplied as a guide to safety specialists
and industrial hygienists for their interviews of supervisors, employee
Findings from workplace surveys and interviews will be used to complete
questions marked (*) in the PROGRAM EVALUATION WORKBOOK FOR FIELD
1.1(c) Have you seen any policy statements on occupational
safety and health? From whom?
1.4(a) Does your performance evaluation have an element for
occupational safety and health? In what way does it measure your safety and
health performance (i.e., reduction in injuries, training courses, etc.)
1.4(b) Do employees ever report unsafe or unhealthful conditions
to you? How do you get the condition corrected?
1.5(e) Who selects your employees' personal protective
equipment? Does it have to be approved by the safety office before it is
3.5(b) Have you received any safety and health training? When?
From whom? What was the subject?
1.1(d) Have you ever seen any policy statements on occupational
1.5(e) What type of personal protective equipment are you
issued? Do you feel you need any other type?
3.1(a) Does management consult with employee representatives
about the occupational safety and health program?
3.1(n) Do employee representatives accompany inspectors during
inspection? Do inspectors question employees privately?
3.5(f) Have you received any occupational safety and health
training? When? From whom? What was the subject, and how long was the
1.1(d) Have you ever seen any information about the occupational
1.2(e) safety and health at this facility? Where? What was it?
3.2(f) Do you know of anyone who has gotten into trouble for
making a safety or health complaint?
3.1(f) Have you ever reported a safety or health hazard? Who
did you report it to? Was it taken care of? How long did it take?
3.5(e) Have you received any training about your agency's
occupational safety and health program, or about the hazards of your job? When? Who gave it? What subjects were covered?
The establishment evaluation report should include a brief summary of not
more than five pages of the findings of the four major evaluation elements,
with an attachment consisting of answers to the questionnaire and hard copy
documentation, as appropriate, to support the findings and recommendations
given in the summary. The summary is intended to be a brief narrative on
major program deficiencies or program strengths. It should include:
- Include dates of opening and closing conferences. - Include opening and
closing conference attendees (names and titles). - Include identification of
- Include a brief description of the agency's mission, and the
establishment's involvement in the mission.
- Include employment numbers. - Include, if appropriate, the scope of
responsibility of the safety office with respect to number of facilities or
- Include major program strengths or deficiencies as documented in the
evaluation finding contained in the attachment.
evaluation findings contained in the attachment.
- List recommendations for improvement of all program deficiencies listed in
the evaluation summary.
Attach the detailed evaluation findings and copies of appropriate program
documentation obtained during the evaluation.
1.0 TOP MANAGEMENT SUPPORT: QUESTIONS ADDRESS HOW TOP MANAGEMENT
DEMONSTRATES ITS SUPPORT FOR THE PROGRAM.
a. Have policy statements been received from the agency head or
other top managers? (Attach copies)
b. Has the facility manager issued any policy statements? (Attach
a. Has the agency transmitted written program documentation to the
*c. Are employees aware of availability of standard, agency's
program requirements, etc.?
*a. Are managers and supervisors evaluated on their occupational
safety and health performance? Is it a critical element? Has merit pay ever
been denied for occupational safety and health reasons?
*b. Do supervisors correct hazards and enforce safety and health
standards, rules, and regulations in the workplace? For example, are
employees wearing PPE? Are guards on machines in place? (Give
a. Have sufficient staff been provided to administer the program?
(Findings should list number of OSH staff by job titles.)
*d. Have adequate financial resources been provided to abate
hazardous conditions? Which abatements were delayed beyond 6 months? Are
any abatement dates outstanding? Explain.
*e. Is adequate and appropriate personal protective equipment
provided at the facility?
1.0 PROGRAM PLANNING: QUESTIONS ADDRESS THE EXTENT TO WHICH GOALS AND
OBJECTIVES ARE BASED ON DATA ANALYSIS.
b. If so, are they related to problems identified through the
c. Are specific objectives a part of supervisor's or manager's
d. Do headquarters objectives become facility objectives? Does
headquarters review/approve facility objectives?
e. Has the facility conducted any special activities based on
injury/illness causal factors? (Examples: fact sheets, paycheck stuffers,
posters, inspections, training) Were they based on direction from agency
a. Does the facility supply injury/illness statistics to agency
headquarters? If so, does headquarters provide analysis and
3.0 PROGRAM IMPLEMENTATION: QUESTIONS ADDRESS HOW THE PROGRAM CONFORMS TO
29 CFR PART 1960, AND HOW IT IS IMPLEMENTED THROUGHOUT THE AGENCY.
*a. Does the agency consult with employee representatives
concerning the program? (Examples)
*c. Can employees easily review the Act, Executive Order 12196, 29
CFR Part 1960, and the agency's program?
d. Are there written procedures for employees to report hazards
*f. Where employees have reported hazards, were they notified of
actions taken within required time frames?
*i. Are employees authorized official time to participate in the
OSH program? (Examples)
j. Is employee awareness of occupational safety and health
promoted through the agency's normal information channels? (Newsletters,
etc.) (Attach examples)
k. Are employees involved through the use of incentive or other
promotional programs?
l. Do collective bargaining agreements include safety and health
*m. Are disciplinary procedures in effect for failure to follow
established safe operating procedures?
*n. Do employee representatives accompany inspectors during
*b. Are employees aware that they are protected from reprisal for
exercising their occupational safety and health rights.
d. What is the highest authority to which a reprisal allegation
e. Are committees, employee representatives, and the appropriate
safety and health managers notified of allegations of reprisal?
h. Have any managers/supervisors been disciplined for taking
reprisal actions?
e. Does the committee address substantive safety and health
issues? (Examples)
a. Do certified committees have equal representation of management
f. Are minutes kept and distributed to members? (Attach copies
from last two meetings.)
g. Do committees have access to all relevant information except
that prohibited by law? (Accident investigation reports, injury/illness
data, inspection reports, evaluations)
a. Does the agency or facility encourage participation of
management and employees in Federal Safety and Health Councils?
ATTENDING) a. What training has been provided to top managers on
requirements of the agency program, the Act, Executive Order 12196 and 29 CFR
Part 1960?
3) Procedures for reporting and investigating allegations of
reprisal? 4) Procedures for reporting, evaluation, and abatement of
*c. Has training been provided to collateral duty and safety and
health personnel on:
2) The agency's OSH program including rights and
*g. Have inspectors/safety specialists received training on
standards, use of testing procedures, hazard recognition and abatement data
analysis, and preparation of reports?
a. Is a log of injuries and illnesses maintained at the facility?
(Attach copy from last two years)
b. Is a summary posted for 30 days beginning within 45 days of the
close of the fiscal year?
c. Is a supplementary record of injuries and illnesses maintained?
Completed in 6 working days?
b. Has the facility identified high risk areas? (List) Are they
inspected more frequently?
c. Are inspectors qualified to recognize hazards for the workplaces
d. Are thorough investigations made of all fatalities or accident
requiring hospitalization of five or more employees? Is DOL notified within
*e. Do inspectors review hazard reports, injury/illness records,
previous inspection reports?
*h. Do inspectors issue Notices of Unsafe or Unhealthful Working
Conditions? Are these posted for appropriate times?
*j. Is a closing conference conducted with the official in charge
and employee representatives?
c. Does the facility follow required procedures when abatement
cannot be achieved in specified time limits?
f. How does the facility assure that private contractors do not
expose Federal employees to unsafe conditions?
g. Do you request preoccupancy inspections from GSA? If so, are the
results acceptable?
h. Are there written procedures to make written reports of
unsafe/unhealthful conditions to other agencies, e.g., GSA, which are
responsible for their correction.
i. Have there been any reports of unsafe or unhealthful conditions
that were referred to GSA? If so, were they investigated?
j. How does the facility coordinate with GSA to ensure that safety
and health problems still outstanding are resolved prior to renegotiation of
k. If the building is owned by GSA, has someone been designated as
liaison with GSA?
a. Does the facility generally comply with OSHA standards? (How do
deficiencies relate to the safety and health program: lack of inspections,
training, funds, etc.?)
4.0 PROGRAM EVALUATION: QUESTIONS ASSESS HOW THOROUGHLY THE AGENCY
CONDUCTS ITS OWN PROGRAM EVALUATIONS.
a. Has the facility participated in an evaluation (not an
inspection) conducted by agency headquarters?
b. Does the facility receive feedback from agency headquarters about