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DOE/EH-0433
U.S. DEPARTMENT OF ENERGY
VOLUNTARY PROTECTION PROGRAM
Part I: Program Elements
|
October 1994
U.S. Department of Energy
Office of Worker Health & Safety
Office of Occupational Safety & Health Policy
Washington, DC 20585
CONTENTS OF PART I
I. PROGRAM OVERVIEW . . . . . . . . . . . . . . . . . . . . . . . . . . 1
A. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . 1
B. Purpose of the Formal Recognition Programs . . . . . . . . . . . 1
C. DOE-VPP Ground Rules . . . . . . . . . . . . . . . . . . . . . . 2
D. Program Description. . . . . . . . . . . . . . . . . . . . . . . 3
E. Common Features . . . . . . . . . . . . . . . . . . . . . . . . 4
1. Applicant Eligibility. . . . . . . . . . . . . . . . . . . . 4
2. Assurances . . . . . . . . . . . . . . . . . . . . . . . . . 4
3. Unionized Sites. . . . . . . . . . . . . . . . . . . . . . . 6
4. OSH Noncompliance Corrections. . . . . . . . . . . . . . . . 6
II. THE STAR PROGRAM . . . . . . . . . . . . . . . . . . . . . . . . . . 7
A. Purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
B. Term of Participation. . . . . . . . . . . . . . . . . . . . . . 7
C. Experience . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
D. Injury Rates . . . . . . . . . . . . . . . . . . . . . . . . . . 7
E. Qualifications for the Star Program . . . . . . . . . . . . . . 7
1. Management Leadership. . . . . . . . . . . . . . . . . . . . 7
2. Employee Involvement . . . . . . . . . . . . . . . . . . . . 10
3. Worksite Analysis. . . . . . . . . . . . . . . . . . . . . . 11
4. Hazard Prevention and Control. . . . . . . . . . . . . . . . 13
5. Health and Safety Training . . . . . . . . . . . . . . . . . 14
III. THE MERIT PROGRAM. . . . . . . . . . . . . . . . . . . . . . . . 15
A. Purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
B. Term of Participation. . . . . . . . . . . . . . . . . . . . . . 15
C. Qualifications for the Merit Program . . . . . . . . . . . . . . 15
1. Health and Safety Program Requirements . . . . . . . . . . . 15
2. Injury Rates . . . . . . . . . . . . . . . . . . . . . . . . 15
3. Goals. . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
IV. THE DEMONSTRATION PROGRAM. . . . . . . . . . . . . . . . . . . . . . 17
A. Purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
B. Term of Participation. . . . . . . . . . . . . . . . . . . . . . 17
C. Qualifications for the Demonstration Program . . . . . . . . . . 17
D. Movement from Demonstration to Star. . . . . . . . . . . . . . . 17
1. No Special Requirements Needed . . . . . . . . . . . . . . . 17
2. Special Requirements Needed. . . . . . . . . . . . . . . . . 18
V. THE APPLICATION PROCESS. . . . . . . . . . . . . . . . . . . . . . . 19
A. Application Requirements for DOE-VPP . . . . . . . . . . . . . . 19
1. Application Instructions . . . . . . . . . . . . . . . . . . 19
2. Application Content. . . . . . . . . . . . . . . . . . . . . 19
3. Application Submission . . . . . . . . . . . . . . . . . . . 19
4. Application Withdrawal . . . . . . . . . . . . . . . . . . . 19
B. Qualification Verification . . . . . . . . . . . . . . . . . . . 19
1. Initial Review . . . . . . . . . . . . . . . . . . . . . . . 19
2. Onsite Reviews . . . . . . . . . . . . . . . . . . . . . . . 19
3. Application Approval . . . . . . . . . . . . . . . . . . . . 21
4. Application Denial . . . . . . . . . . . . . . . . . . . . . 22
VI. POST-APPROVAL ACTIVITIES . . . . . . . . . . . . . . . . . . . . . . 23
A. Post-Approval Assistance . . . . . . . . . . . . . . . . . . . . 23
1. Primary DOE-VPP Point of Contact . . . . . . . . . . . . . . 23
2. Problem Solving. . . . . . . . . . . . . . . . . . . . . . . 23
3. Significant Organizational Changes or Changes of Contractor. 23
B. Re-evaluation Process. . . . . . . . . . . . . . . . . . . . . . 23
1. The Star Program . . . . . . . . . . . . . . . . . . . . . . 23
2.The Merit Program. . . . . . . . . . . . . . . . . . . . . . . . . . . 24
3. The Demonstration Program. . . . . . . . . . . . . . . . . . 25
C. Termination or Post-Approval Withdrawal. . . . . . . . . . . . . 26
1. Reasons for Termination. . . . . . . . . . . . . . . . . . . 26
2. Cause for DOE Termination. . . . . . . . . . . . . . . . . . 26
3. Notification . . . . . . . . . . . . . . . . . . . . . . . . 27
4. Post-Approval Withdrawal . . . . . . . . . . . . . . . . . . 27
D. Reinstatement. . . . . . . . . . . . . . . . . . . . . . . . . . 27
DEPARTMENT OF ENERGY
VOLUNTARY PROTECTION PROGRAM
Part I: Program Elements
I. PROGRAM OVERVIEW
A. Introduction
The Department of Energy (DOE) recognizes that true excellence can
be encouraged and guided but not standardized. Therefore, to
promote excellence in occupational safety and health protection, DOE
initiated the DOE Voluntary Protection Program (DOE-VPP). This program
closely parallels the Voluntary Protection Programs of the Occupational
Safety and Health Administration (OSHA). The VPP, adopted by OSHA on
July 2, 1982, has demonstrated that cooperative action among
government, industry, and labor can achieve excellence in worker health
and safety.
DOE-VPP identifies areas where DOE contractors and subcontractors can
go beyond compliance with DOE Orders and OSHA standards. The program
encourages the creative stretch for excellence through systematic
approaches and cooperative efforts involving managers, employees, and
the Department at DOE sites.
DOE-VPP is designed to apply to all contractors in the DOE complex and
encompasses production facilities, research and development operations,
and various subcontractors and support organizations. Requirements for
participation are based on comprehensive management systems, with
employees actively involved in assessing, preventing, and controlling
the potential health and safety hazards at the site.
In keeping with the OSHA VPP philosophy, participation in DOE-VPP
is strictly voluntary. Additionally, any participant may withdraw
from the program at any time.
This document describes the general structure and requirements for
DOE-VPP. DOE contractors and subcontractors that wish to apply
for DOE-VPP must submit a formal application that describes how
they meet these requirements.
B. Purpose of the Formal Recognition Programs
DOE has long recognized that compliance with OSHA standards and DOE
Orders cannot by itself accomplish all the goals desirable in a
comprehensive health and safety program. No matter how carefully
conceived and properly developed, DOE Orders and regulatory standards
will never address all unsafe activities and conditions. At the same
time, contractors and their employees at all levels possess valuable
firsthand knowledge of the processes, materials, and hazards involved
in their own operations. This knowledge, combined with the ability to
quickly evaluate and address unique hazards, can improve facility
health and safety in ways which are simply not available through DOE or
other oversight agencies.
The purpose of DOE-VPP is to recognize and promote excellence in
contractor occupational health and safety programs. These programs,
composed of management systems for preventing and controlling
occupational hazards, not only ensure that DOE Orders are met, but go
beyond requirements to provide the best feasible health and safety
protection at that site.
The management systems also provide strong incentives for
participants. Since initiating its Voluntary Protection Programs in
1982, OSHA has had more than 100 industry participants. These
companies have enjoyed many benefits from their participation,
including
1. Fewer employee injuries
2. Decreased worker compensation payments
3. Decreased litigation costs relating to worker injury
4. Fewer OSHA noncompliance findings
5. Improved employee morale
6. Improved communication between management and employees
7. Increased employee and management involvement in health
and safety related matters
8. Increased productivity and profits
9. Positive public relations
DOE-VPP participants enter into a new relationship of trust with DOE,
in which health and safety problems can be approached cooperatively, as
long as DOE is convinced that the contractor or subcontractor is acting
in good faith.
By approving an applicant for participation in DOE-VPP, DOE recognizes
that the applicant is providing, at a minimum, the basic elements of
ongoing, systematic protection of employees at the site. The symbols
of this recognition, provided by DOE, are certificates of approval and
the right to use flags showing the program in which the site is
participating. The participant may also choose to use program logos on
letterhead or on award items for employee contests. More importantly,
DOE will provide participating contractors with the opportunity to work
with the agency in the resolution of health and safety problems. Each
approved site will have a designated DOE staff person to handle
information and assistance requests from DOE contractors.
C. DOE-VPP Ground Rules
While the three programs under DOE-VPP are voluntary, compliance with
DOE Orders and applicable Federal, State, and local laws remains
mandatory. When contractors achieve DOE approval for participation in
DOE-VPP, the following ground rules apply:
1. All valid employee complaints that occur at DOE-VPP
approved sites are still subject to normal DOE oversight
proceedings.
2. Any chemical leaks/spills or other incidents at DOE-VPP
approved sites which are normally reportable under DOE
Orders and policies (e.g., emergencies, unusual
occurrences, and off-normal events) will be handled in
accordance with specified DOE procedures.
3. All fatalities and catastrophes at DOE-VPP approved sites
will be handled in accordance with specified DOE procedures.
All levels of reporting (e.g., reporting of emergencies, unusual
occurrences, and off-normal events) still apply to DOE-VPP
participants; and DOE continues to be responsible for investigating
these reports, as well as valid, formal employee health and safety
complaints or concerns, significant chemicals spills/leaks, and
fatalities/catastrophes.
D. Program Description
DOE-VPP consists of three programs, with names and functions similar to
those in OSHA's VPP. These programs are Star, Merit, and
Demonstration.
The Star Program is the core of DOE-VPP. This program is aimed at
truly outstanding protectors of employee safety and health. A
participant in the Star Program must be a model for other members of
its industry and other DOE contractors and subcontractors. Because
this is a living, continuous improvement program, participants cannot
allow their efforts to stagnate. Approvals are not limited to set time
periods, but they are subject to triennial re-evaluation by DOE to
ensure that Star status is still warranted.
The Merit Program is a stepping-stone for contractors and
subcontractors that have good safety and health programs but need time
and DOE guidance to achieve Star status. At the time of Merit
approval, DOE and the applicant contractor agree upon a set of goals
and a term of participation (not to exceed five years) during which the
contractor is expected to complete the goals. DOE teams will evaluate
the contractor's progress annually. Once the applicant achieves the
Merit goals to DOE's satisfaction, Star Program approval can be
granted.
The Demonstration Program is expected to be used rarely. This program
allows DOE to recognize existing achievements in unusual situations
about which more information is needed before approval requirements
for the Star Program can be determined. For example, suppose a vendor
that supplies bus services to a large DOE site wishes to demonstrate
that its protection of employees is at Star level. DOE might not have
complete knowledge of the types of programs in transportation which
would qualify as truly outstanding. In such a case, DOE could allow a
bus vendor with an excellent record to demonstrate what constitutes
excellence in its industry. Over a set period of time, the vendor
could show DOE what additional or different requirements, if any, would
be necessary to admit future bus company applicants to the Star
Program. Approval for the Demonstration Program is for an agreed-upon
period of time, not to exceed five years, and is subject to annual
DOE-VPP re-evaluation during that period. Whenever DOE is comfortable
with its knowledge of the unusual situation, it can approve the site
directly to Star or change the published Star requirements to include
the special requirements applicable to the unusual situation that has
been demonstrated. Subsequently, other applicants in the same type of
situation or special industry would apply directly for Merit or Star
Program approval.
E. Common Features
A number of features are common to all three programs under DOE-VPP.
1. Applicant Eligibility. The DOE-VPP is for those contractors or
subcontractors that are not eligible for OSHA's VPP because of the
DOE exemption from OSHA jurisdiction. The management of any DOE
contractor or subcontractor can apply for participation in a
DOE-VPP for that employer's operations at one DOE site. All the
employees and work spaces under the applicant's control at the
given site must be included in the program. However,
participation by one contractor does not obligate other
contractors at the same site.
Subcontractors that wish to participate in DOE-VPP may do so
whether or not the DOE prime contractor participates, providing
the subcontractor can demonstrate to DOE that it is able to
protect its employees without the assistance of the prime
contractor. In addition, all prime contractors and subcontractors
applying to DOE-VPP must be able to demonstrate that each of their
subcontractors can ensure at least adequate employee protection.
2. Assurances. Applications for participation in DOE-VPP must be
accompanied by certain assurances describing what the applicant
will do if the application is approved. The applicant must ensure
the following:
a. All requirements for DOE-VPP participation will be met
and maintained.
b. The DOE-VPP will be explained to all employees, including
newly hired employees when they reach the site. Such
explanation will specifically include employee rights
under the program.
c. All hazards discovered through any assessments,
investigations, reports, or maintenance will be corrected
in a timely manner. Interim protection shall be provided
in the meantime.
d. In preventing or controlling hazards, removal of the
hazard shall be the preferred method where feasible,
followed by engineering controls as the second choice,
administrative controls/safe work practices as the third
choice, and personal protective equipment as the final
choice.
e. If employees are given health and safety duties as part of
the applicant's health and safety program, the applicant
will ensure that those employees are protected from
discriminatory actions, including unofficial harassment,
resulting from the exercise of their duties.
f. Employees shall have access to the results of self-audits,
appraisals, assessments, and accident investigations
upon request.
g. The information listed below will be available for DOE
review during the approval process and for the period of
time between re-evaluation visits and the final DOE
decision. (NOTE: Records will be examined in accordance
with all contract stipulations and with all laws relating
to personal privacy.)
(1) Written health and safety program
(2) Copies of the log of injuries and illnesses and the
OSHA 101 or the DOE 5484.X
(3) Injury and illness records for subcontractor employees
in areas controlled by the participant contractor
(4) Monitoring and sampling records, if applicable
(5) Medical records (which will be held confidential)
(6) Training records
(7) Agreement between management and the collective
bargaining agent(s) concerning the functions of the
safety committee and its organization, where applicable
(8) Minutes of each committee meeting, where applicable
(9) Committee inspection records, where applicable
(10) Management inspection and accident investigation records
(11) Records of notifications of unsafe or unhealthful
conditions received from employees and action taken,
taking into account appropriate privacy interests
(12) Annual internal health and safety program evaluation
reports
h. Applicants for the Merit and Demonstration Programs must
provide assurance that any data necessary to evaluate
achievement of individual goals not listed above will
also be made available to DOE.
i. Each year, by February 15, the participating site will
provide the Headquarters DOE-VPP coordinator with the
site's injury incidence and lost workday case rates,
hours worked, and estimated average employment for the
past full calendar year. The site must also provide a
copy of the last annual program evaluation completed.
3. Unionized Sites. When a site applying for DOE-VPP
participation has employees organized by one or more
collective bargaining units, the authorized agent(s) must
either sign the application or submit a signed statement
indicating support of participation in the program. Without
such concurrence, DOE will not approve program participation.
4. OSH Noncompliance Corrections. No contractor application
shall be approved for DOE-VPP participation unless all hazards
designated as "OSH noncompliance" have been corrected and
cleared through DOE, or the DOE-VPP Onsite Review Team
determines that
a. Appropriate priority assessment was conducted;
b. Appropriate action and interim protective measures have
been taken;
c. Where budget considerations have delayed the desired action,
all steps feasible within the available resources have been
taken to reduce or prevent employee exposure to the hazard.
II. THE STAR PROGRAM
A. Purpose
The Star Program is based on the characteristics of the most
comprehensive health and safety programs used in a broad range of
industries. It seeks to recognize outstanding injury- and
illness-prevention programs that have been successful in reducing
workplace hazards and to encourage other programs to emulate their
success.
B. Term of Participation
The term of participation in an approved Star Program is unlimited,
contingent upon continued favorable triennial re-evaluation.
C. Experience
All elements of the health and safety program described in Section II.E
must be in place and must have been implemented at a level consistent
with Star at least 12 months before Star approval.
D. Injury Rates
The applicant's average for both lost workday injury case rates and
injury incidence rates for the most recent three-year period must be at
or below the most recent specific industry national average (at the SIC
code three- or four- digit level) published by the Bureau of Labor
Statistics (BLS). Where a contractor operation is new to a DOE site
(and not a new company taking over an existing operation), DOE may, at
its discretion, make its rate determination on the basis of the time of
operations at the site, providing that at least 12 months of
operational data are available.
SIC (standard industrial classification) codes are submitted with
verification by the applicant and are subject to acceptance by DOE.
The SIC code should be selected on the basis of the predominant
contractor activity at the site. Where there are any questions, DOE
will make the determination on the basis of the relative amounts of
time spent on the contractor's or subcontractor's various activities at
the site.
E. Qualifications for the Star Program
The basic elements and sub-elements of DOE-VPP are outlined below.
1. Management Leadership. Each applicant must demonstrate
top-level management commitment to occupational health and
safety in general and to the specific requirements of DOE-VPP.
Management systems for comprehensive planning must address
health and safety.
a. Commitment to Health and Safety Protection. As with any
other management system, authority and responsibility for
employee health and safety must be integrated with the
management system of the organization and must involve
employees. This commitment includes the following:
(1) Policy. There should be a clearly stated policy on
safe and healthful working conditions that is
communicated to employees at all levels, so they
understand the priority of safety and health protection
in relation to other organizational values.
(2) Goal and Objectives. There should be an established
and communicated goal and related objectives for the
safety and health program so that the desired results
and the planned measures for achieving those results
are clearly understood.
(3) Planning. Planning for safety and health must be part
of the overall long-term management planning.
b. Written Safety and Health Program. All critical
elements of the safety and health program, including
management leadership, employee involvement, worksite
analysis, hazard prevention and control, and safety and
health training, must be a part of the written program.
(1) Adequacy. All aspects of the safety and health
program must be appropriate to the size of the
worksite, the complexity of the hazards, and the nature
of the industry.
(2) Responsibility. Responsibility for all aspects of
the safety and health program must be assigned and
communicated so that all managers, supervisors, and
line employees know what is expected of them.
(3) Authority and Resources. Responsible personnel
must have adequate authority and resources to perform
the desired tasks. Commitment of necessary resources
for workplace health and safety must be documented and
must address staffing, space, equipment, training, and
promotions. Budget and capital expenditures for health
and safety improvements must also be included.
(4) Line Accountability. Managers, supervisors, and
employees must be held accountable for meeting their
assigned responsibilities, as demonstrated through
evaluation of employees at all levels. A functional
and operational system for rewarding good performance
and correcting deficient performance must be in place.
(5) Visible Management Involvement. Top management
involvement in health and safety related activities
must be apparent to all employees. This involvement
should include establishing clear lines of
communication with employees; setting an example of
safe and healthful behavior; ensuring that all
employees (including subcontract employees and vendors)
and visitors in the contractor's controlled spaces have
a safe and healthful workplace; and being accessible to
employees for health and safety concerns.
(6) Site Orientation and General Accountability. There
must be documented programs for orienting and holding
accountable all persons operating in
contractor-controlled spaces, including subcontractor
employees, vendors, consultants, students, and visiting
scientists.
(7) Subcontractor Employee Coverage.
(a) Applicants must be able to demonstrate that they
have considered the health and safety programs
and performance of all subcontractors during
the evaluation and selection process, especially
for operations such as construction.
(b) Records of the hours worked and the injuries and
illnesses incurred by subcontractor employees
while working in the applicant/participant
contractor's controlled spaces must be kept.
Rates calculated for such work are expected to be
at or below the most appropriate industry average,
as reported by the most recent BLS publication.
(c) Contracts must (1) specify authority for the
oversight, coordination, and enforcement of safety
and health programs by the applicant and provide
documentary evidence of the applicant's exercise
of this authority; (2) provide for the applicant's
prompt correction and control of hazards, however
detected, in the event that contractors or
individuals fail to correct or control such
hazards; and (3) specify penalties, including
dismissal from the worksite, for willful or repeated
noncompliance by contractors, subcontractors, or
individuals.
(d) The applicant/participant must be able to
demonstrate that the above contract provisions have
been carried out.
(8) Safety and Health Program Evaluation. The
applicant/participant must have a system for evaluating
the success of the safety and health program in meeting
the goal and objectives, so that those responsible can
determine and implement any needed changes.
(a) The system must provide for an annual, written,
narrative report, including recommendations for
improvements and documented timely follow-up.
(b) The evaluation must assess the effectiveness of each
element and sub-element described in Section II.E of
this document
(c) The evaluation may be conducted by competent
corporate or site personnel or by a third party from
the private sector.
2. Employee Involvement. Employees at all levels must be involved
in the structure and operation of the health and safety program
and in decisions that affect employee health and safety.
a. Employee participation is in addition to each employee's
individual right to notify appropriate managers of hazardous
conditions and practices.
b. Construction applicants. Because of the seriousness of
the hazards, the changing worksite conditions, the expanding
and contracting work force, and the high turnover rate,
construction sites must use the labor-management safety
committee approach to involve employees in the identification
and correction of hazardous activities and conditions.
The contractor must be able to demonstrate that the site has
a joint labor-management committee for health and safety
which has the following characteristics:
(1) The labor-management committee must have a minimum of
one year's experience providing health and safety
advice and making periodic site assessments.
(2) At least half of the committee members must be
(a) Bona fide employee representatives who work at the
site and, if the site is unionized, are selected,
elected, or approved by a duly authorized collective
bargaining organization; or
(b) Hourly craft workers who are rotated through
membership frequently enough that all such personnel
receive experience on the committee over a reasonable
period of time, and have terms long enough to develop
sufficient expertise to be of assistance.
(3) The joint labor-management committee must meet monthly,
keep minutes of the meetings, and have a quorum
consisting of at least half the members of the committee
and including representatives of both craft workers and
management.
(4) Hazard assessments by members of the health and safety
committee must cover the entire worksite as appropriate,
but no less frequently than once per month.
(5) In addition, the joint committee must be allowed to
(a) Observe or assist in the investigation and
documentation of major accidents;
(b) Have access to all relevant health and safety
information;
(c) Have adequate training to recognize hazards, with
continued training provided as needed.
c. Nonconstruction Applicants. In nonconstruction activities,
the employee participation requirement may be met in a
variety of ways, as long as employees are able to participate
actively and meaningfully in the identification and
resolution of health and safety problems. The following are
some examples of acceptable means of providing for employee
impact on decision making:
(1) Safety committees
(2) Safety observers
(3) Ad hoc health and safety problem-solving groups
(4) Health and safety training of other employees
(5) Analysis of job hazards
(6) Committees that plan and conduct health and safety
awareness programs.
3. Worksite Analysis. Management of health and safety programs
must begin with a thorough understanding of all potentially
hazardous situations and the ability to recognize and correct
hazards as they arise, utilizing the activities and systems
described below.
a. All planned, new, or newly acquired facilities, equipment,
materials, and processes should be analyzed before they are
used, to determine potential hazards and to plan for
prevention or control.
(1) Pre-job planning and preparation should be conducted for
different phases of activities, such as experiments.
(2) Such planning may take the form of a preliminary hazard
analysis (PHA) or a safety analysis report (SAR) for
complex facilities undertaking hazardous operations.
(3) For construction, a comprehensive safety and health
project design evaluation is required.
b. Comprehensive health and safety surveys should be conducted
by trained and qualified safety and health professionals at
intervals appropriate for the nature of workplace operations,
to identify existing hazards and potentially significant
risks and to ensure employer awareness and control of those
risks.
(1) This requirement starts with a baseline survey of health
and safety hazards accomplished through initial
comprehensive industrial hygiene and safety surveying.
(2) Nationally recognized procedures for all sampling,
testing, and analysis must be used, and written records
of results maintained.
c. There should be a system for conducting routine, general
hazard assessments that follow written procedures or guidance
and result in written reports of findings and tracking of
hazard correction.
(1) For continuous activities, these hazard assessments must
be conducted at least monthly and cover the whole
worksite at least quarterly.
(2) During construction, management hazard assessments shall
cover the entire worksite at least weekly.
(3) Also in construction, hazard assessments by members of
the health and safety committee that cover the entire
worksite as appropriate, but no less frequently than
once per month, are required.
d. Routine examination and analysis of hazards associated with
individual jobs, processes, operations, or phases of
construction must be conducted, and the results must be
included in training and hazard control programs. This
includes job safety analysis and process hazard review. For
construction projects, the emphasis should be on the special
health and safety hazards of each craft and possible
overlapping activity hazards for each phase of construction.
e. A reliable system must be in place to allow employees,
without fear of reprisal, to notify appropriate management
personnel in writing about conditions that appear hazardous
and to receive timely and appropriate responses. The system
may additionally include oral notification by employees, but
in all instances must include written tracking of responses
and hazard corrections.
f. The applicant must have an accident/incident investigation
system that includes written procedures or guidance;
requires written reports of findings, hazard correction
tracking, and identification of causes; and provides for
preventive or corrective actions. The system shall also
include provisions for a narrative report, suitable for
dissemination to all employees, which contains root causes,
analysis, and lessons learned.
g. Trend analyses must be conducted for all data accumulated
under the health and safety program (including injury and
illness experience, inspection, and employee reports of
hazards) to help identify systemic problems that may not be
noticed when only isolated incidents are considered.
4. Hazard Prevention and Control. Hazards and potential hazards
identified in the worksite analysis must be prevented or
minimized by the implementation of effective controls and
measures. Effective controls and measures shall include the
following:
a. Certified Industrial Hygienists, Certified Safety
Professionals, Safety Engineers, Fire Protection Engineers,
Certified Occupational Physicians, and Certified Occupational
Health Nurses must be available as needed, based on the
potential risks at the site.
b. Means for eliminating or controlling hazards are to be
implemented in the following order:
(1) Process and/or material substitution
(2) Engineering controls
(3) Administrative controls
(4) Personal protective equipment
c. Where administrative controls (including work rules and
operating procedures) are adopted, they must be appropriate
to the hazards of the site, fully implemented (i.e., used
by employees), and revised and updated annually.
d. There must be procedures for positive reinforcement,
reorientation, and, when necessary, consistent, fair
disciplinary action for all managers, supervisors, and
employees who break or disregard safety rules, safe work
practices, materials handling procedures, or emergency plans.
These procedures must be written, communicated to employees,
and used.
e. There must be ongoing monitoring and preventive/predictive
maintenance to prevent workplace equipment from becoming
hazardous.
f. A system must be in place for initiating and tracking
hazard correction in a timely manner.
g. Emergency response procedures must be written and
communicated to all employees. These procedures must list
requirements for personal protective equipment, first aid,
medical care, and emergency egress. They should also
include emergency telephone numbers, exit routes, and
provisions for training drills, including at least annual
evacuation drills.
h. There must be a medical program that includes timely access
to occupational physicians and provides the services
required by any applicable Federal and/or State regulations.
Occupational professionals, such as occupational physicians
and nurses, shall assist in hazard analysis activities
(such as job hazard analyses and comprehensive surveys),
in early recognition and treatment of illness and injury,
and in limiting the severity of harm. Personnel trained in
CPR and first aid should be available to all persons working
in applicant-controlled spaces during all shifts.
5. Health and Safety Training. Managers, supervisors, and
employees must know and understand the policies, rules, and
procedures established to prevent exposure to hazards. Training
for health and safety must ensure that responsibilities are
understood, as outlined below.
a. Managers must understand their safety and health
responsibilities, as described under Section II.E.1,
"Management Leadership," and know how to carry out those
responsibilities effectively.
b. Likewise, supervisors must understand their responsibilities
and know how to carry them out effectively. These
responsibilities include (1) understanding the hazards
associated with a job and the potential effects on employees;
(2) understanding how to ensure, through teaching and
enforcement, that employees follow the rules, procedures,
and work practices for avoiding or controlling exposure to
the hazards; and (3) knowing how to make sure that everyone
understands what to do in emergencies.
c. Employees, through training and enforcement, must become
aware of hazards and the safe work procedures to follow to
protect themselves. Employee responsibilities include using
personal protective equipment where required and knowing why
it is required, what its limitations are, how to maintain
it, and what to do in emergency situations.
III. THE MERIT PROGRAM
A. Purpose
The Merit Program is aimed at DOE contractors that do not yet meet
the qualifications for the Star Program but wish to work toward Star
Program status. If DOE determines that the employer has demonstrated the
commitment and the potential to meet Star requirements, the Merit Program
is used to set goals that, once achieved, will qualify the site for
participation in the Star Program.
B. Term of Participation
Merit Programs are established for specific time periods, not to
exceed five years, as agreed upon in advance of approval. The term depends
on how much time the applicant is likely to need to accomplish the goals
required for Star. Unless an extension is granted, participation is
canceled at the end of the term.
C. Qualifications for the Merit Program
1. Health and Safety Program Requirements. An eligible applicant
to the Merit Program must have a written health and safety
program that covers the essential elements described in Section
II.E for the Star program.
a. The basic elements (management leadership, employee
involvement, worksite analysis, hazard prevention and
control, and health and safety training) should all be
operational or, at a minimum, in place and ready for
implementation by the date of approval. For construction
projects, the joint labor-management committee must have a
minimum of three months' experience in providing health and
safety hazard assessments before approval.
b. The elements are not expected to be at the Star level of
completeness. Participation in Merit is an opportunity for
the contractors to work with DOE to improve the quality of
their health and safety programs and reduce their injury
rates, if necessary, in order to meet the requirements for
Star.
2. Injury Rates
a. For construction projects under the Merit Program,
applicants must meet the requirements outlined below.
(1) Applicant contractors or subcontractors with DOE site
construction operations and less than 12 months of
experience must be able to demonstrate that the
applicant company's three-year average injury rates for
total recordable injuries and lost workday cases are at
or below the most recently published BLS national
average for the industry (at the three- or four- digit
SIC level). The rates must be for construction
operations and may include the company's entire work
force or only the work force for an appropriate
geographical area that includes the site for which the
application is being made. If either of the average
rates is above the most recently published BLS average
for the specific industry, the applicant must
demonstrate that the methods planned for reducing the
rates can do so in a reasonable period of time.
(2) If the applicant's operations have existed for 12
months or more, the average rate shall be calculated
for the life of the project up to a maximum of three
complete calendar years. If either of the average
rates is above the average for the specific industry
(at the three- or four-digit level), as most recently
published by BLS, the applicant must demonstrate that
the methods planned for reducing the rates can do so in
a reasonable period of time.
b. For nonconstruction operations, if either the three-year
average rate for all recordable injuries, or the
three-year average rate for injury lost workday cases,
is above the national average for the specific industry
(at the three- or four-digit SIC level as most recently
published by BLS), the applicant must indicate goals to
reduce either or both of those rates and demonstrate
that the methods planned to reduce them are feasible.
For new operations, the rates used are the average
rates over the life of the project, with a minimum of
12 months of data.
3. Goals. Along with appropriate rate reduction goals, any system
required for Star participation that is not in place or is not
yet of Star quality at the time of approval must be set as a
goal.
IV. THE DEMONSTRATION PROGRAM
A. Purpose
The Demonstration Program allows DOE to permit DOE-VPP
participation by contractors, subcontractors, or vendors with excellent
safety and health programs while DOE learns more about their unusual
situations or industries. The Demonstration Program is not expected to be
used with any frequency; it is a tool providing DOE with flexibility in
special circumstances.
B. Term of Participation
Demonstration Programs are approved for specific time periods not
to exceed five years. At any time, if DOE believes that the Demonstration
Program is not providing useful information or the participant is not
continuing to provide the excellent employee safety and health protection
that was apparent at the time of approval, participation in the program may
be terminated.
C. Qualifications for the Demonstration Program
1. The applicant must have in place a comprehensive occupational
safety and health program that includes the basic elements
described in Section II.E . It may, however, demonstrate that
one or more of the sub-elements is unnecessary or should be
different for its special situation.
2. The applicant's averages for lost workday injury case rates and
injury incidence rates for the most recent three-year period
must both be at or below the most recent specific industry (at
the three- or four-digit SIC level) national average published
by BLS. Where a contractor operation is new to a DOE site (and
not a new company taking over an existing operation), DOE may,
at its discretion, make its rate determination on the basis of
the time of operations at the site, providing that at least 12
months of operational data are available.
SIC (standard industrial classification) codes are submitted with
verification by the applicant and are subject to acceptance by DOE. The
SIC code should be selected on the basis of the predominant contractor
activity at the site. Where there are any questions, DOE will make the
determination on the basis of the relative amounts of time spent on the
contractor's or subcontractor's various activities at the site.
D. Movement from Demonstration to Star
When it feels comfortable with its knowledge about the special
situation or industry being demonstrated, DOE will decide whether or not
special requirements must be added to the Star Program for participants
from this industry or situation.
1. No Special Requirements Needed. If no special requirements are
needed and DOE is convinced that current Star requirements are
appropriate for this type of industry, then DOE may determine,
without further application or re-evaluation, whether the
demonstration site meets those Star requirements. If so, it
may be directly approved to the Star Program.
2. Special Requirements Needed. If DOE decides that special
requirements are needed for this type of industry or situation,
then DOE must first make the necessary changes and update the
DOE-VPP documents. Once the documents have been updated, DOE
may determine, without further application or re-evaluation,
whether the demonstration site meets the newly revised Star
requirements. If so, the demonstration site may be approved
directly to the Star Program.
V. THE APPLICATION PROCESS
A. Application Requirements for DOE-VPP
1. Application Instructions. Application guidelines explaining
the type of information to be submitted for DOE review will be
kept current and made available to all interested parties.
These guidelines are found in DOE-VPP Part III: Application
Guidelines.
2. Application Content
a. Applicants will be required to provide all relevant
information, as described in the current version of the
application guidelines.
b. Amendments will be requested when the submitted information
is insufficient to determine eligibility for onsite review.
DOE shall allow sufficient time for the applicant to submit
the additional materials.
c. If materials needed to document the health and safety
program involve classified information, they shall not be
included in the application.
3. Application Submission. Applications may be submitted to a
Headquarters DOE-VPP coordinator through the Deputy Assistant
Secretary for Safety and Quality Assurance after review and
concurrence by the appropriate DOE Area, Operations, and
Program Offices.
4. Application Withdrawal. Any applicant may withdraw a submitted
application at any time. When the applicant notifies DOE of
its withdrawal, the original application will be returned to
the applicant.
DOE may keep a copy of the application for one year before discarding
it, in case the applicant raises questions concerning its handling. Once
an application has been withdrawn, a new formal application must be
submitted if the contractor wishes to reapply.
B. Qualification Verification
1. Initial Review. An initial review of the application is
necessary to determine whether all required information has
been submitted. If needed, the applicant will be given the
opportunity to amend the application as described in Section
V.A.2.b. If the information indicates that the applicant's
program qualifies for the DOE-VPP, an onsite review will be
scheduled.
2. Onsite Reviews. The onsite review, conducted by a DOE-led and
- appointed team, is a management review of the site health and
safety program. It is conducted to
(1) Verify the information supplied in the application
demonstrating qualification for DOE-VPP;
(2) Identify the strengths and weaknesses of the site
health and safety program;
(3) Determine the adequacy of the health and safety program
to address the potential hazards of the site;
(4) Obtain information to assist the Assistant Secretary of
Environment, Safety, and Health (EH-1) in making the
approval decision.
a. The Onsite Review Team. The review will be arranged at the
mutual convenience of the team leader and the applicant
site. The team will consist of a team leader and health
and safety professionals, as required by the size and
complexity of the site.
b. Duration of the Review. The time required for the onsite
review will depend on the size of the site, the number of
employees, and the complexity of the program.
c. Content of the Review. All onsite reviews will include
verification that the health and safety program described
in the application has been implemented, and a general
assessment of health and safety conditions to determine
whether the program is adequate for the hazards of the
site.
(1) Review of Program Documentation. Onsite document
review will include the following records (or samples
of them, selected by the Onsite Review Team), if they
exist and are relevant to the application or the health
and safety program:
(a) Written health and safety program, including any
health and safety manuals;
(b) Management statement of commitment to health and
safety;
(c) The OSHA 200 log for contractor or subcontractor
operations and any subcontractor operations under
the applicant's control;
(d) Procedures for employee notification to management
of health and safety problems, and documentation of
response actions;
(e) Safety rules, emergency procedures, and examples of
safe work procedures;
(f) The system for enforcing health and safety rules;
(g) Self-inspection procedures, reports, and correction
tracking;
(h) Accident/incident investigations;
(i) Health and safety committee minutes;
(j) Employee orientation and safety training programs
and attendance records;
(k) Industrial hygiene monitoring records;
(l) Documentation concerning routine hazard analysis,
such as Job Hazard Analyses, Job Safety Analyses,
and Process Hazard Analyses;
(m) Preventive maintenance program;
(n) Line accountability documentation, such as
performance appraisals (held confidential);
(o) Subcontractor health and safety programs, if any;
(p) Annual health and safety program evaluations and
audits performed by site, corporate, or third party
personnel, and documented follow-up;
(q) Other records that provide documentation of
qualifications for these programs.
(2) Interviews. The review will include interviews with
individuals such as members of joint safety committees,
management personnel, and randomly selected
nonsupervisory personnel.
(3) Site Tour. The review will include a site tour to
survey conditions and view the program in operation.
3. Application Approval
a. Deferred Approval. If necessary, at the conclusion of the
onsite review, the applicant will be allowed a reasonable
amount of time (up to 90 days) to take action to meet the
qualifications before the approval decision is made by
EH-1. Where necessary, a second onsite visit will be made
to verify the actions taken.
b. Application Withdrawal. If the applicant cannot meet the
requirements for participation in DOE-VPP or for any reason
does not wish to continue the approval process, a
reasonable amount of time shall be allowed for withdrawal,
as provided for in Section V.A.4.
c. Application Approval. If the Onsite Review Team decides
that the applicant has met the qualification requirements
of DOE-VPP, a copy of the team's draft report and
recommendation will be forwarded to the applicant for
factual accuracy review. A Headquarters DOE-VPP
coordinator will forward the team's report and
recommendations, through the Deputy Assistant Secretary for
Safety and Quality Assurance, to EH-1 for final approval.
Approval will be effective with the concurrence of EH-1.
4. Application Denial
a. If the application has been reviewed and the applicant has
been asked for additional or substitute materials but has
not submitted them in the allotted time, the applicant will
be given 30 days to withdraw. If a withdrawal is not
received, a letter from Headquarters denying approval will
be sent to the applicant. The denial will be in effect as
of the date of the letter.
b. If EH-1 decides, on the basis of the Onsite Review Team
recommendation, that the applicant should not be approved
for participation in the program, EH-1 shall inform the
applicant of the denial by letter. The denial shall be in
effect as of the date of the letter.
c. The applicant may appeal the denial decision to the
Secretary of Energy.
VI. POST-APPROVAL ACTIVITIES
A. Post-Approval Assistance
1. Primary DOE-VPP Point of Contact. The Primary DOE-VPP Point of
Contact (either the Area Office Point of Contact or the
Operations Office Point of Contact) will be available in all
cases to assist the DOE-VPP participant on request, ensuring a
smooth interface with DOE and providing expertise as required.
2. Problem Solving. If a problem comes to the attention of the
Primary DOE-VPP Point of Contact, through evaluation efforts,
review of injury rates, records of complaints, hazard
assessments, accident/incident investigations, reported
incidents, or information received from the DOE- VPP
participant, the Primary DOE-VPP Point of Contact will assist
the participant in resolving the problem.
3. Significant Organizational Changes or Changes of Contractor.
Whenever significant changes are made in the managing
contractor or in the organizational structure at a participant
site, the Primary DOE-VPP Point of Contact shall make an onsite
assistance visit to determine the impact of the changes. At
its discretion, Headquarters may also conduct an onsite
evaluation of the situation. Replacement of the contractor may
automatically terminate DOE-VPP participation at that site,
since participation is granted to a contractor rather than to a
facility.
B. Re-evaluation Process
1. The Star Program
a. Purpose. Re-evaluation of participants in the Star Program
is intended to
(1) Determine continued qualification for the Star Program;
(2) Re-evaluate and document results of program
participation versus program criteria;
(3) Identify problems that could adversely affect continued
Star Program qualification and determine whether those
problems require additional evaluations.
b. Frequency. Star Programs shall be re-evaluated every three
years (except when serious problems indicate the need for
an earlier evaluation). Injury incidence and lost workday
injury case rates shall be reviewed annually, including a
recalculation of the latest three-year averages.
c. Measures of Effectiveness. The following factors will be
considered in the re-evaluation of Star Program
participants:
(1) Continued compliance with the program requirements;
(2) Satisfaction of the participants (including management,
employees, and collective bargaining units);
(3) The nature and validity of any complaints received by DOE;
(4) The nature and resolution of problems that may have
come to DOE's attention since approval or since the
last evaluation;
(5) The effectiveness of employee participation programs.
d. Description
(1) DOE's re-evaluation of Star Program participants will
consist mainly of an onsite visit of a duration and
scope similar to the pre-approval onsite review
described in Section V.B.2.
(2) Injury rates for all subcontractors operating under a
DOE- VPP participant's control during the re-evaluation
period shall be reviewed and compared to the national
average for the SIC describing the most prevalent
activity.
2. The Merit Program
a. Purpose. Re-evaluation of participants in the Merit
Program is intended to
(1) Determine continued qualification for the Merit Program
or approval for the Star Program;
(2) Determine whether adequate progress has been made
toward the agreed-upon goals;
(3) Identify any problems in the health and safety program
or its implementation which need resolution in order to
continue qualification or meet agreed-upon goals;
(4) Document program improvements and/or improved results;
(5) Provide advice and suggestions for possible improvements.
b. Frequency. All Merit Programs will be re-evaluated
annually for the duration of the period of approval, unless
the participant requests an earlier evaluation to determine
whether Star qualifications have been met.
c. Measures of Effectiveness. The following factors will be
considered in the re-evaluation of Merit Program
participants:
(1) Continued adequacy of the health and safety program to
address the potential hazards of the workplace;
(2) Comparison of accident/injury rates to the specific
industry averages;
(3) Satisfaction of the participants;
(4) The nature and validity of any complaints received by DOE;
(5) The nature of the resolution of problems that have come
to DOE's attention;
(6) The effectiveness of the employee participation program;
(7) Progress made toward goals specified in the
pre-approval or the previous evaluation report.
d. Description. DOE's re-evaluation of Merit Program
participants will consist primarily of onsite visits of a
duration and content similar to that described in Section
VI.B.1.d.
3. The Demonstration Program
a. Purpose. Re-evaluation of participants in the
Demonstration Program is intended to
(1) Determine continued qualification for the Demonstration
Program and Identify problems that could adversely
affect continued qualification;
(2) Evaluate the special elements being demonstrated and
attempt to determine whether there are additional
aspects of the participant's program that are major
causes of success but are not currently part of the
Star Program requirements;
(3) Determine whether DOE has enough information to warrant
changing the Star requirements for this special
situation or industry.
b. Frequency. Demonstration Programs shall be re-evaluated
every year. Injury incidence and lost workday injury case
rates shall be reviewed annually, including a recalculation
of the latest three- year averages.
c. Measures of Effectiveness. The following factors will be
considered in the re-evaluation of Demonstration Program
participants:
(1) Continued adequacy of the health and safety program to
protect employees from potential hazards of the
worksite;
(2) Satisfaction of the participants;
(3) Ability to demonstrate factors of interest that are the
basis for the approval:
(4) The nature and validity of any complaints that have
come to DOE's attention;
(5) Effectiveness of the employee participation program.
d. Description. DOE's re-evaluation of Demonstration Program
participants will consist primarily of onsite visits
similar to that described in Section VI.B.1.d.
C. Termination or Post-Approval Withdrawal
1. Reasons for Termination
a. Completion of covered construction work at a site will
terminate construction approval.
b. Any management change that eradicates or significantly
weakens the health and safety program may result in DOE
termination of the approval.
c. The participating site management may terminate
participation for any reason.
d. Representative(s) from any duly authorized collective
bargaining unit whose concurrence was required for a
contractor to participate in DOE-VPP may request at any
time that DOE terminate that contractor's participation.
e. DOE may terminate a contractor's participation for cause.
2. Cause for DOE Termination
a. Star Program. DOE will terminate a contractor's
participation when
(1) A significant failure to maintain the health and safety
program in accordance with the program requirements is
identified; or
(2) A major slippage in program quality requiring a
one-year conditional approval is not rectified
sufficiently to bring the site back to Star quality.
b. Merit Program. DOE will terminate a contractor's
participation when
(1) A significant failure to maintain the health and safety
program in accordance with the program requirements is
identified; or
(2) No significant progress is made toward the goals; or
(3) The term of approval expires.
c. Demonstration Program. DOE will terminate a contractor's
participation when
(1) DOE determines that continuation will endanger
employees at the site(s); and/or
(2) DOE is convinced that continued participation is
unlikely to result in inclusion in the Star Program; or
(3) The period of approval expires.
3. Notification. DOE will provide the participant and other
relevant parties 30 days' notice of intent to terminate
participation, unless
a. Other terms for termination were agreed upon before approval;
b. A set period for approval is expiring, or construction has
been completed; or
c. DOE determines that there is imminent danger to employees
due to hazards the participant refuses to correct, and
immediate corrective action is required.
4. Post-Approval Withdrawal. Upon receipt of notice of intent to
terminate, or for any other reason, a participant (except under
the conditions described in Section VI.C.3.c) may withdraw from
DOE-VPP by submitting written notification to the Primary
DOE-VPP Point of Contact.
D. Reinstatement
1. Reinstatement requires reapplication.
2. Reapplication from contractors or subcontractors terminated for
cause shall not be considered for a period of five years
following termination.
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