15 FAM 960
Safety, occupational health, and environmental management (shem) program requirements
(CT:OBO-137; 06-09-2023)
(Office of Origin: OBO)
15 fam 961 implementation
(CT:OBO-133; 04-27-2023)
Each post abroad must implement a comprehensive safety and occupational health and environmental loss control program to protect personnel and capital assets, and to meet environmental requirements. In accordance with the 15 FAM 930, the deputy principal officer, the post occupational safety and health officer (POSHO) and supervisors must ensure that the requirements described below are met.
15 fam 962 workplace hazard identification, DOCUMENTATION AND REPORTING
(CT:OBO-133; 04-27-2023)
a. All low-risk workplaces must be inspected at least once a year and all high-risk work areas must be inspected at least twice a year. Low-risk workplaces include office space and similar areas. High-risk work areas include maintenance shops (e.g., carpentry, welding and automotive), printing operations, pouch handling areas, warehouses, and medical laboratories. A routine SHEM assessment of post's operations meets the requirement for the annual inspections of low-risk workplaces as well as one of the two required annual inspections for high-risk workplaces. A SHEM Management Assessment Results Tracking System (SMARTS) self-assessment conducted annually by the POSHO also meets this requirement.
b. Supervisors are responsible for continual monitoring of workplaces for hazard identification and mitigation.
c. High-risk activities also require routine monitoring of operations to ensure the safety of the personnel involved. These activities are frequently conducted at varied locations on or off compound and may be conducted by employees or contractors. A high-risk activity involves the potential for serious injury, illness or fatality, or significant exposure to a physical, chemical, or biological hazard. This includes activities involving, but not limited to, construction, electrical work, work at heights above six feet, confined spaces, trenching or excavating, chemical use, materials storage and handling and maintenance work.
d. Inspections of workplaces must be conducted by personnel with the training and competence to recognize and evaluate hazards and to make recommendations for corrective actions. Inspections of low-risk workplaces may be conducted by the appropriately qualified POSHO or POSHO assistant. Inspections of high-risk workplaces and high-risk activities must be conducted by the POSHO, SHEM staff, or a POSHO assistant working under the direct supervision of the POSHO. POSHOs must contact SHEM for guidance and technical support for inspections of high-risk workplaces and activities.
e. POSHOs and POSHO assistants must have completed the SHEM-sponsored POSHO or POSHO assistant courses to be considered qualified to conduct inspections. SHEM will provide post with the support needed to assess high-risk workplaces and activities.
f. SHEM staff includes qualified safety and occupational health professionals meeting the Office of Personnel Management (OPM) qualifications as a Safety and Occupational Health Manager or Specialist (GS-018), Industrial Hygienist (GS-690), or Safety Engineer (GS-803). SHEM staff can consult with and provide training for POSHOs or supervise or conduct all safety assessments of high-risk workplaces or activities, occupational health, and industrial hygiene studies. Fire protection engineers (GS-804) and fire protection specialists (GS-081) are qualified to inspect workplaces having fire-risk potential. In areas where more specialized expertise is required, a person possessing such expertise may be requested to accompany the safety and health professional on such inspections.
g. Inspections of all workplaces and activities must be documented in writing and will include a comprehensive hazard assessment, a risk analysis, as well as the corrective measures needed to reduce the risk and compliance timeframes. The Self-Assessment in the SHEM Management Results Tracking System (SMARTS) will serve as documentation when completed by the POSHO.
h. POSHOs, POSHO assistants and SHEM staff will document all inspection findings of low and high-risk workplaces and activities, except those corrected during the time of the inspection, in an assessment report that is officially conveyed to the manager responsible for the inspected work area(s). A copy of the report must be forwarded to members of the post Safety, Health, and Environmental Management (SHEM) committee. The POSHO must maintain a copy (electronic or written) for a period of five years from date of inspection.
i. If an inspection concludes that there is a reasonable expectation of serious physical harm or illness, post must take immediate action to eliminate the hazard. The inspector must inform the official in charge of the workplace and the POSHO, orally and then in writing, of the potential danger and the actions required to correct the problem.
j. When an imminent danger is identified as described in paragraph (i) of this section, the inspector must complete and immediately display Form DS-1936, Notice of Alleged Hazards, in the affected work area until the hazard is permanently abated. It must be written in English, as well as the host-country language if non-English speaking employees work in the affected area. The narrative should describe in detail the nature and degree of seriousness of the hazard, remedial measures to be taken until the hazard is abated, and a reasonable time for abatement or correction.
k. POSHOs, and SHEM staff are authorized to enter unannounced and without delay for the purpose of inspecting any building, installation, facility, construction site, or area where employees of the Department of State or other agencies are conducting work. Safety inspectors are authorized to question, privately, any employee, supervisor, or official in charge of the establishment concerning safety and occupational health conditions and concerns.
l. In addition to inspections conducted by personnel in paragraph (a) of this section, construction engineers licensed in the civil, mechanical, and electrical disciplines must inspect construction-site activities involving contracts managed by the Bureau of Overseas Buildings Operations. Supervisors on construction activities are responsible for regular hazard inspections of their workplaces on a daily or weekly basis, depending on the nature of the work.
m. Inspection personnel on OBO-managed construction projects will provide written reports of findings and recommendations to the OBO project director for action. Inspection personnel are not authorized to direct OBO contractors to take action that may result in changes in contract requirements or increased costs to OBO. In cases where immediate danger exists, inspection personnel must immediately inform the OBO project director in charge, orally and then in writing, of the potential danger and the actions required to correct the problem. The project director will take appropriate action to ensure that work is stopped until the imminent hazard can be abated.
n. The safety and occupational health personnel conducting inspections must give officials in charge of the facility and employee representatives an opportunity to accompany them during the physical inspection of the workplace. The inspector must obtain the appropriate security clearances to inspect areas or workplaces where classified operations or information requires such security clearances.
o. To ensure the security of mission property and personnel, post must store as securely as possible when not in use all materials that can be used as weapons of opportunity including, but not limited to, flammable liquids (refer to 12 FAH-5 H-470), hand and power tools, rebar, rigid conduit, loose scaffolding, and other loose construction materials or equipment.
15 fam 963 reporting rights
(CT:OBO-133; 04-27-2023)
a. Department of State employees (including locally employed staff), employee representatives, and contractors may request the POSHO to investigate and assess a condition/environment/operation that they believe constitutes a hazard to safety or health. The individual may request the inspection orally, but it must be followed with a written request. Upon receipt of such a request, the POSHO will direct an investigation and respond to the requester within 24 hours for reports of imminent danger conditions; within 3 working days for potentially serious conditions; and within 14 working days for other than serious conditions.
b. If, after reporting a hazardous condition, the employee is not satisfied with the final action, the employee can request a higher-level review by contacting OBO/OPS/SHEM. Upon receipt of a request, OBO/OPS/SHEM will initiate an investigation of the alleged condition. If the condition constitutes a violation of Department of State standards, the post will be so advised and will be responsible for initiating appropriate corrective action. SHEM will advise the employee, in writing, of the actions taken to resolve the issue.
15 fam 964 mishap investigation and reporting abroad
15 FAM 964.1 General
(CT:OBO-133; 04-27-2023)
a. This section lists procedures for investigating, analyzing, and reporting mishaps that occur abroad. A “mishap” is any unplanned event resulting in one or more of the following:
(1) Death;
(2) Injury;
(3) Illness;
(4) Motor vehicle collision (defined as unintended contact with another vehicle, object, animal, or person);
(5) Material loss or property damage; or
(6) Environmental contamination (including improper pesticide application and leaking storage tanks).
b. Mishaps that occur on Department of State-owned or -leased premises, or during the conduct of U.S. Government business, must be immediately investigated and reported within the timeframe specified in 15 FAM 964.4. Every post should implement a mishap reporting procedure to ensure the post occupational safety and health officer (POSHO) is immediately informed of all reportable mishaps. Reportable motor vehicle mishaps include any collision as defined above while operating a U.S. Government-owned, -rented, or -leased vehicle, or a privately-owned vehicle being used for official business. There are special reporting requirements for Class A and Class B mishaps, as well as any environmental contamination mishap.
c. For all work-related injuries, illnesses, and deaths, 3 FAM 3630 and 3 FAH-1 H-3630 detail the procedures for reporting to the Department of Labor's Office of Workers' Compensation Programs (OWCP). The human resource office at post should notify the POSHO when a workers' compensation claim is received or submitted electronically in ECOMP so the POSHO can ensure that a reportable mishap is submitted in the MRS.
d. All mishaps must be investigated for the purpose of documenting what occurred, identifying the root cause(s) and developing corrective actions to prevent future mishaps.
e. If it is determined that there is potential criminal activity or administrative misconduct, the Office of Special Investigations (DS/DO/OSI) investigation will take precedence. Any content from the OSI investigation that is pertinent to safety and health matters may be shared with OBO/OPS/SHEM, as appropriate after case closure, so that applicable corrective actions can be tracked and completed in the Mishap Reporting System (MRS).
15 FAM 964.2 Classification of Mishaps Abroad
(CT:OBO-133; 04-27-2023)
The classification of mishaps is based on the magnitude of personnel financial and/or operational loss. The classification determines the level of investigation required and the timelines for reporting. For supplemental guidance, see OBO/OPS/SHEM's Mishap Investigation and Reporting Intranet site. Mishaps are classified into one of the following four categories as soon as a reasonable estimate of total cost(s) is made, based on the following criteria:
(1) Class A mishap:
(a) The total cost of property/real estate/environmental damage is $100,000 or greater; or
(b) Operations are curtailed or shut down for more than 8 hours; or
(c) An injury or illness that results in a fatality or permanent total disability; or
(d) An injury or illness that involves three or more individuals with lost workdays; or
(e) The Safety, Health, and Environmental Management (SHEM) Office Director determines that the mishap should be investigated as a Class A mishap;
(2) Class B mishap:
(a) The total cost of property/real estate/environmental damage is $50,000-$99,999; or
(b) An injury or illness that requires inpatient hospitalization of at least one overnight for treatment; or
(c) The SHEM Office Director determines that the mishap should be investigated as a Class B mishap;
(3) Class C mishap:
(a) The total cost of property/real estate/environmental damage is $1,000-$49,999; or
(b) An illness or injury that results in medical treatment beyond first aid, loss of consciousness, lost time from work, restricted duty, or temporary transfer to a different job; or
(c) Releases of hazardous materials (other than at the Class A or Class B level) that result in contamination of the inside or outside environment; or
(d) The SHEM Director determines that the mishap should be downgraded and reported as a Class D mishap; and
(4) Class D mishap:
(a) The total cost of property/real estate/environmental damage is less than $1,000; or
(b) An illness or injury that results in first aid treatment, but no lost time from work, restricted duty, or temporary transfer to a different job.
15 FAM 964.3 Notification Requirements
(CT:OBO-133; 04-27-2023)
a. Post must notify SHEM of all Class A and Class B mishaps, or any environmental contamination incident within 12 hours of occurrence.
b. Initial notification is preferred by submitting the currently known information in MRS as a draft report. If after hours or infeasible to use MRS, notification can alternatively be made by phone by contacting the Operations Center at 202-647-1512.
c. Class C and D mishaps must be investigated by the POSHO and reported to SHEM via MRS within 30 days of occurrence.
d. Agencies without access to OpenNet must submit the following forms to the POSHO for entry into MRS:
(1) Form DS-1663, Report of Mishap, for each person injured or killed; and/or
(2) Form DS-1664, Overseas Motor Vehicle Mishap Report, for each U.S. Government driver involved in the mishap. Injury information for motor vehicle mishaps should be included on Form DS-1663 (use a separate form for each injured person). NOTE: Form DS-1664 is required for reporting non-vehicular property damage from a motor vehicle mishap. Form DS-1663 is required for reporting property damage or environmental contamination from other types of mishaps.
15 FAM 964.4 Mishap Investigation and Analysis Boards Abroad
(CT:OBO-133; 04-27-2023)
a. A mishap investigation and analysis board (MIAB) must be appointed as soon as practical for Class A and Class B mishaps. The MIAB will be chaired by the deputy principal officer and, at a minimum, include the POSHO. NOTE: If there is no deputy principal officer at a consulate, the principal officer may designate themselves or any diplomatic or consular officer with appropriate authority to act as administrator. The MIAB should include other individuals having specialized expertise needed to effectively investigate and analyze the mishap, such as the regional security officer (RSO) or medical officer. Board members should have appropriate experience and technical backgrounds, with no conflicts of interest with the Board’s primary task to identify the root cause of the mishap. Environmental mishap investigations must be coordinated with SHEM. For supplemental guidance, see OBO/OPS/SHEM's Mishap Investigation and Reporting Intranet site:
(1) The SHEM office director appoints Class A MIABs. The director may delegate this responsibility to post and may also send a SHEM representative to participate. The designated post safety and occupational health administrator appoints Class B mishap investigation and analysis boards; and
(2) Class A and B fire-related mishaps involving injury or illness may be investigated by SHEM and must include a member on the board from OBO/OPS/FIRE.
b. Guidance on MIAB appointment must be sent to post via official cable after initial notification to SHEM of a Class A or B mishap. SHEM will provide an MIAB Guide and be available to assist during the investigation and the development of the final report.
c. MIABs must submit a detailed report to the SHEM Office Director within 30 days after the board has been tasked via official cable to convene.
d. MIAB reports must be signed by all board members and include all relevant sections listed in the MIAB Guide provided by SHEM.
e. SHEM will review MIAB reports to ensure corrective actions identified by the MIAB sufficiently address the root cause(s) of the mishap. Recommendations usually relate to organizational and operational changes needed to minimize the occurrence of similar mishaps, and will be tracked by the POSHO to completion in MRS.
f. Class A MIAB reports will be distributed only on a need-to-know basis to preserve the independence and integrity of the investigation process.
15 FAM 965 TRAINING
(CT:OBO-133; 04-27-2023)
a. The deputy principal officer at each post is the designated post safety and occupational health administrator and is responsible for ensuring that employees receive the appropriate safety and occupational health training including safety and health orientation training for all employees within 30 days of their arrival at post. A template for this training can be found on SHEM's SharePoint Training page.
b. The designated post safety and occupational health administrator appoints a POSHO (15 FAM 931) and must ensure that the POSHO completes the FSI course PA586, SHEM Post Occupational Safety and Health Officers Training, within one year of being designated, and every five years thereafter to remain qualified as the POSHO.
c. The POSHO training shall ensure POSHOs are trained in appropriate standards and in the use of equipment and procedures that will enable them to conduct competent safety and health inspections as required by 15 FAM 960. The training must include how to conduct and document workplace hazard assessments, risk analysis, as well as corrective measures needed to reduce the risk and corresponding compliance time frames.
d. SHEM will periodically recommend additional training for POSHOs to ensure competence is maintained.
e. The POSHO shall ensure that management officials, including DCMs, DPOs, management counselors/officers, general services officers and others are trained on their safety and occupational health responsibilities within 30 days of their arrival at post. The training must include the requirements of 29 CFR 1960, 15 FAM 900, and post specific safety and occupational health elements. The training must also include information on post’s mishap trends found in the Injury/Illness and Motor Vehicle Listing and Analysis Reports (in MRS), the status of the most recent SHEM assessment or post Self-Audit (in SMARTs), the status of POSHO certifications for residences (POSHO Certification Application) as well as other post-specific issues. A template for this training is available on the SHEM SharePoint Training page.
f. The POSHO and the designated post safety and health program administrator shall ensure that the POSHO assistant completes SHEM’s POSHO assistant training and other SHEM recommended training.
g. The POSHO shall ensure that supervisors are provided occupational safety and health training that include supervisory responsibilities for providing and maintaining safe working conditions for employees and the administration of a proper safety and occupational health program. Supervisors will also receive training in recognizing and abating hazards specific to their workplaces. Useful training for this purpose can be found on the SHEM SharePoint Training page.
h. The POSHO shall ensure that a safety and occupational health orientation is provided for all new employees, and that specialized safety and occupational health training related to their job is also provided, within 30 days of their employment, or arrival at post. Refresher training must be conducted at least annually, or as required by workplace regulations. A list of designated training for various jobs may be found on the SHEM SharePoint Training page, along with sources for this training.
i. The Motor Vehicle Accountability Officer (MVAO) must ensure that all government vehicle operators receive initial safe driver training, as well as refresher training every two years or within 90 days of a preventable mishap, whichever comes first, in accordance with 14 FAM 433. The MVAO will ensure that safe driving instructors are certified by Smith System®. Operators of armored vehicles (AV) must complete both the SHEM-certified safe driver training and DS-approved armored vehicle awareness training provided by the Smith System instructor. See SHEM's Motor Vehicle Driver Training SharePoint page for additional details.
j. POSHOs must conduct fire safety training and support the Emergency Preparedness Coordinator (EPC) in coordinating fire drills, in accordance with 15 FAM 831, paragraph h.
k. POSHOs must maintain training records documenting names of people trained, job titles, positions, and types of training provided, including specific subjects and dates of training on Form DS-1935.
15 fam 966 Record keeping
(CT:OBO-137; 06-09-2023)
The POSHO is responsible for maintaining safety and occupational health records listed below for the periods indicated in bold script:
(1) Inspection findings and reports related to safety hazards, health hazards, fire hazards, environmental hazards, asbestos conditions, indoor air quality, etc.: 5 years;
(2) Employee exposure records including environmental (workplace) monitoring or measuring of a toxic or otherwise hazardous substance or harmful physical agent and material safety data sheets (MSDSs) for any chemical or product measured or monitored (also applies to asbestos monitoring results): duration of employment plus 30 years;
(3) Employee occupational medical records related to or required by the hazardous nature of the individual’s job will be maintained by the post health unit and the Bureau of Medical Services (MED): duration of employment plus 30 years;
(4) Mishap Investigation Analysis Board reports; reports of Mishaps (Form DS-1663); Overseas Motor Vehicle Mishap Reports (Form DS-1664): 5 years; (If mishaps are submitted electronically, it is not necessary to keep a paper copy);
(5) Hazard condition notifications and employee requests to investigate hazardous conditions: 5 years;
(6) Annual hazardous materials inventory: 30 years;
(7) Safety data sheets (SDSs): as long as product is used;
(8) Training records: 3 years;
(9) Safety and health planning analyses: duration of project plus 3 years;
(10) All policies, procedures, cables, and other safety and health information promulgated by OBO’s Office of Safety, Health, and Environmental Management (OBO/OPS/SHEM), including the SHEM Resource Guide: indefinitely;
(11) All policies, procedures, and other safety and health directives promulgated by post: indefinitely;
(12) All drinking water testing results: indefinitely; and
(13) All underground storage tank assessment, remediation, and closure reports: indefinitely.
15 fam 967 Systems safety and health planning analysis
(CT:OBO-133; 04-27-2023)
a. Frequently, there are potential safety and occupational health and/or environmental problems associated with new initiatives or projects conducted by the post (new building construction; building renovation; new or changes to operational procedures; change in materials used in an operation, such as a new chemical or piece of equipment; new use of existing materials, etc.).
b. Emphasis on safety, occupational health, and environmental analysis early in the planning stages of any project reduces the possibility that new or additional hazards to personnel and/or property will be introduced. Early identification of such potential hazards makes it possible to eliminate or control them with nominal costs. Once uncontrolled hazards have been introduced, costs for retrofit and abatement are incurred and are generally much greater than those for eliminating or controlling the hazard in the planning or development stage.
c. The POSHO must participate in all post planning activities for new projects and initiatives, whether they are sponsored internally or externally. The POSHO should analyze projects to determine the potential for safety and occupational health risks. If necessary, the POSHO will provide the responsible manager with specific written documentation of the potential hazards involved and actions required to eliminate or to control those hazards. If no hazards are discovered, the POSHO should still provide assessment documentation to the manager. A copy of safety and health planning analyses should be maintained by the POSHO for 3 years after the project is completed.
d. The POSHO will monitor implementation of all new projects having SHEM risks to ensure that planned hazard control requirements are in place and working effectively. This includes the construction and/or renovation of occupied facilities done by OBO, contractors, or post in-house staff.
e. Assistance to post is available from OBO’s Office of Safety, Health, and Environmental Management. See OBO/OPS/SHEM's Intranet site for further assistance.
15 FAM 968 POST’s SAFETY, OCCUPATIONAL HEALTH, AND ENVIRONMENTAL MANAGEMENT PROGRAM ADMINISTRATION
(CT:OBO-133; 04-27-2023)
a. Post must develop and publish specific procedures, requirements, and responsibilities for implementing requirements of 15 FAM 900. The chief of mission or the designated post safety and occupational health administrator must reissue this document whenever there is an administrator or POSHO change.
b. The chief of mission must meet the Department's requirement and attest in the annual Statement of Assurance that the mission had an effective safety, health, and environmental management program; that the post conducts routine workplace safety and health assessments and abated identified hazards, and documented residential and nonresidential certifications electronically in the POSHO Certification Application database; that the motor vehicle safety management program met Department requirements; and that post reported and investigated all reportable mishaps and took corrective actions. The designated post safety and occupational health administrator and the POSHO must ensure the items have been completed for the chief of mission to answer positively. Otherwise, the response must identify deficiencies and what corrective actions will be taken.
c. The administrator must also distribute appropriate SHEM information, procedures, requirements, etc., that may, from time to time, be issued by OBO’s Office of Safety, Health, and Environmental Management (OBO/OPS/SHEM). This includes posting of the Secretary's Safety and Health Policy Statement in a common work area for all employees at the post.
d. The POSHO must complete an annual written assessment of post’s safety, health, and environmental management (SHEM) program and submit it to the designated post safety and occupational health administrator and to OBO/OPS/SHEM by December 31st each year:
(1) Reports are prepared by accessing either the most recent SHEM assessment or the POSHO self-assessment in SMARTS or other assessments conducted by the POSHO or POSHO Assistant that contain program evaluation criteria. The POSHO will include in the written assessment, uncorrected Priority 1 or 2 recommendations from SMARTS or other critical findings from other post assessments and the action plan and timeline to correct deficiencies;
(2) The assessment must include an examination of post’s Injury/Illness and Motor Vehicle Listing/Analysis report available in the Mishap Reporting System (MRS) to identify leading causes of mishaps as well as corrective action plans to eliminate hazards and reduce losses; and
(3) SHEM will use this information to plan effective strategies to assist post in meeting the Department goal of reducing risk involved in overseas operations.
15 fam 969 UNASSIGNED