Attachment 5 -Navy Safety and Occupational Health Manual.pdf

OPNAV M-5100.23

5 Jun 2020

NAVY SAFETY AND

OCCUPATIONAL

HEALTH MANUAL

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TABLE OF CONTENTS

SECTION A. SAFETY MANAGEMENT SYSTEM

Chapter 1. INTRODUCTION A0101. Purpose……………………………………………………………………..... A1-2 A0102. Scope and Applicability……………………………………………………… A1-2 A0103. Definition of Terms………………………………………………………….. A1-4 A0104. Background…………………………………………………………………... A1-4 A0105. Discussion……………………………………………………………………. A1-5 A0106. Introduction to the Navy SMS Framework………………………………….. A1-6 A0107. Responsibilities………………………………………………………………. A1-7

Chapter 2. POLICY AND ORGANIZATIONAL COMMITMENT A0201. Introduction………………………………………………………………….. A2-1 A0202. Methodology………………………………………………………………… A2-1 A0203. Organizational Commitment and Accountability…………………………… A2-3 A0204. Appointment of SMS Personnel……………………………………………… A2-4

Chapter 3. RISK MANAGEMENT A0301. Introduction………………………………………………………………….. A3-1 A0302. Methodology………………………………………………………………… A3-1 A0303. Error Tolerance……………………………………………………………… A3-1 A0304. Principles…………………………………………………………………..... A3-2 A0305. Requirements………………………………………………………………… A3-3

Chapter 4. ASSURANCE A0401. Introduction………………………………………………………………….. A4-1 A0402. Methodology………………………………………………………………… A4-1 A0403. Requirements……………………………………………………..................... A4-1 A0404. Continuous Improvement………………………………………………….… A4-2 A0405. Management Review……………………………………………………….... A4-2

Chapter 5. PROMOTION A0501. Introduction………………………………………………………………….. A5-1 A0502. Leadership Commitment……………………………………………………... A5-1 A0503. Training……………………………………………………………………… A5-1 A0504. Communication and Awareness……………………………………………… A5-1 A0505. Organizational Safety Culture………………………………………………... A5-1 A0506. Personnel Participation……………………………………………………...... A5-2 A0507. Employee Recognition……………………………………………………….. A5-2

SECTION B. SAFETY PROGRAMS

Chapter 1. ORGANIZATION AND COORDINATION……………………………….. B1-1 ii

B0101. Discussion…..………………………………………………………………... B1-1 B0102. Scope………………………………………………………………………..... B1-1 B0103. Related Chapters……………………………………………………………... B1-2 B0104. Standards……………………………………………………………………... B1-2 B0105. Alternate Standard/Deviation/Waiver Process……………………………….. B1-4 B0106. Process for Requesting Interpretations……………………………………….. B1-5

Chapter 2. RESPONSIBILITIES B0201. Discussion ……………………………………………………………………. B2-1 B0202. Assistant Secretary of the Navy………………………………………………. B2-1 B0203. Deputy Assistant Secretary of the Navy (Safety) (DASNS)…………………. B2-2 B0204. Chief of Naval Operations……………………………………………………. B2-2 B0205. Headquarters Commands……………………………………………………... B2-3 B0206. Specified Support Areas………………………………………………………. B2-5 B0207. Responsibilities……………………………………………………………….. B2-7

APPENDIX B2-A – Description and Assignment of Specified Program Responsibilities. B2-12

Chapter 3. ORGANIZATION AND STAFFING B0301. Purpose……………………………………………………………………….. B3-1 B0302. Background…………………………………………………………………… B3-1 B0303. Headquarters Commands Organization Functional Responsibilities, and Staffing Criteria of Safety Organizations………………………………… B3-2 B0304. Commands, Units and Activities and Consolidated Safety Organizations…… B3-2 B0305. Execution of Safety…………………………………………………………… B3-4 B0306. BOS Service Risk Assessment………………………………………………... B3-8 B0307. Organization and Staffing of the Safety Function…………………………….. B3-8 B0308. Organization and Staffing of the Occupational Health Function……………… B3-10

APPENDIX B3-A – Job Hazard Categories……………………………………………… B3-17 APPENDIX B3-B - Distribution of Occupational Health Physicians by Rank/Grade Level……………………………………………….….. B3-20

Chapter 4. COUNCILS AND COMMITTEES B0401. Discussion…………………………………………………………………….. B4-1 B0402. Navy Executive Safety Board (NESB) ………………………………………. B4-1 B0403. Safety Quality Council………………………………………………………... B4-2 B0404. Councils and Committees…………………………………………………….. B4-3 B0405. Field Federal Safety and Health Councils……………………………………. B4-5

Chapter 5. HAZARD IDENTIFICATION B0501. Discussion…………………………………………………………………….. B5-1 B0502. Hazard Identification Personnel………………………………………………. B5-1 iii

B0503. Hazard Identification Process…………………………………………………. B5-1 B0504. Key Concepts………………………………………………………………….. B5-4

Chapter 6. TRAINING B0601. Discussion……………………………………………………………………... B6-1 B0602. Requirements………………………………………………………………….. B6-1 B0603. Navy Safety and Occupational Health Training Program Working Group…… B6-1 B0604. SOH Training Methodology…………………………………………………... B6-2 B0605. Needs Assessment…………………………………………………………….. B6-5 B0606. Equivalency…………………………………………………………………… B6-5 B0607. Initial Primary Duty/Safety Professional Training……………………………. B6-6 B0608. Collateral Duty Safety Personnel……………………………………………... B6-6 B0609. Embedded Safety and Occupational Health Training………………………… B6-7 B0610. Safety Indoctrination Briefing………………………………………………… B6-7 B0611. Specific Safety and Occupational Health Training…………………………… B6-8 B0612. Reserve Component Safety and Occupational Health Training……………… B6-10 B0613. Recordkeeping………………………………………………………………... B6-10 B0614. Responsibilities……………………………………………………………….. B6-10

Chapter 7. HAZARDOUS MATERIAL CONTROL AND MANAGEMENT

(HMC&M)

B0701. Discussion…………………………………………………………………….. B7-1 B0702. HMC&M Program Requirements…………………………………………….. B7-2 B0703. Afloat HMC&M………………………………………………………………. B7-7 B0704. Chemical Hygiene Plans………………………………………………………. B7-7 B0705. Process Safety Management…………………………………………………... B7-7 B0706. Nanoscale Materials…………………………………………………………… B7-8 B0707. Responsibilities………………………………………………………………... B7-8

APPENDIX B7-A – Hazardous Material Information Resources System (HMIRS) ……. B7-12

Chapter 8. OCCUPATIONAL HEALTH B0801. Discussion…………………………………………………………………….. B8-1 B0802. Industrial Hygiene……………………………………………………………. B8-2 B0803. Retention and Access to Sampling Records (Disposition) …………………... B8-7 B0804. Occupational Exposure Registry and Data Bank…………………………….. B8-7 B0805. OEM Program………………………………………………………………… B8-8 B0806. Consultative Assistance Teams………………………………………………. B8-9 B0807. Medical Records……………………………………………………………… B8-10 B0808. Occupational Safety Personnel……………………………………………….. B8-10 B0809. Responsibilities……………………………………………………………….. B8-11

Chapter 9. SAFETY ASSURANCE iv

B0901. Discussion……………………………………………………………………. B9-1 B0902. Evaluations (Inspections and Assessments…………………………………... B9-1 B0903. Acquisition Program Assessment and Reviews……………………………… B9-3 B0904. Workplace Inspections……………………………………………………….. B9-3 B0905. Self-Assessments and Improvement Plans…………………………………… B9-5 B0906. Monitoring……………………………………………………………………. B9-6

Chapter 10. EMPLOYEE REPORTS OF UNSAFE AND UNHEALTHFUL

WORKING CONDITIONS

B1001. Discussion…………………………………………………………………….. B10-1 B1002. General Policy………………………………………………………………… B10-1 B1003. Hazard Reporting……………………………………………………………... B10-1 B1004. Appeals……………………………………………………………………….. B10-3 B1005. Reports to the Occupational Safety and Health Administration (OSHA) …… B10-3 B1006. Responsibilities……………………………………………………………….. B10-4

Chapter 11. INSPECTIONS AND INVESTIGATIONS OF WORKPLACES BY

FEDERAL AND STATE SAFETY AND OCCUPATIONAL HEALTH

OFFICIALS

B1101. Background and Discussion………………………………………………….. B11-1 B1102. Exceptions for SOH Inspections……………………………………………... B11-1 B1103. Type or Scope of SOH Inspections…………………………………………... B11-2 B1104. Notification Requirements…………………………………………………… B11-3 B1105. Overall Security Requirements for Access…………………………………… B11-4 B1106. Escort and Inspection………………………………………………………… B11-5 B1107. Photographs and Sampling…………………………………………………… B11-6 B1108. Records Release……………………………………………………………… B11-6 B1109. Notification of Citations and Notices………………………………………… B11-8 B1110. Procedures for Federal Agencies to Appeal Inspection “Notices of Unsafe or Unhealthful Work Conditions” …………………………………………… B11-8 B1111. Tracking OSHA Citations……………………………………………………. B11-9

APPENDIX B11-A – Inspection of Department of the Navy Workplace by Federal and State Representatives………………………………………… B11-10

Chapter 12. MISHAP PREVENTION, HAZARD CONTROL AND HAZARD

ABATEMENT PROGRAM

B1201. Discussion…………………………………………………………………….. B12-1 B1202. Application of Hazard Control Principles……………………………………. B12-2 B1203. Hazard Abatement Processing and Tracking…………………………………. B12-3 B1204. Interim Controls………………………………………………………………. B12-5 B1205. Hazard Abatement Project Development……………………………………... B12-5 B1206. Mishap Prevention & HA Program…………………………………………… B12-6 v

B1207. Prioritization of Hazard Abatement Projects…………………………………. B12-9 B1208. Responsibilities……………………………………………………………….. B12-9

Chapter 13. FALL PROTECTION PROGRAM B1301. Discussion…………………………………………………………………….. B13-1 B1302. Background…………………………………………………………………... B13-1 B1303. Policy………………………………………………………………………… B13-1 B1304. Basic Program Requirements…………………………………………………. B13-2 B1305. Command, Unit, or Activity Policy………………………………………….. B13-3 B1306. Workplace Surveys and Assessment of Fall Hazards………………………... B13-3 B1307. Fall-Hazard Prevention and Control Measures………………………………. B13-4 B1308. Fall Arrest Equipment Selection Criteria…………………………………….. B13-5 B1309. Training………………………………………………………………………. B13-6 B1310. Anchorages for Fall Arrest Equipment………………………………………. B13-6 B1311. Rescue Procedures……………………………………………………………. B13-7 B1312. Inspection, Storage, Care, and Maintenance of Fall Protection Equipment….. B13-7 B1313. Falls from Heights Mishap Reporting………………………………………… B13-7 B1314. Audits and Evaluations……………………………………………………….. B13-8 B1315. Responsibilities………………………………………………………………... B13-8

APPENDIX B13-A – Fall Protection Program Compliance……………………………….. B13-10 APPENDIX B13-B – Step by Step How to Establish a Fall Protection Program…………… B13-17 APPENDIX B13-C – Personal Fall Arrest Equipment Criteria…………………………….. B13-18 APPENDIX B13-D – Fall Protection Training Requirements and Methods……………….. B13-23

Chapter 14. MISHAP REVIEW AND ANALYSIS B1401. Discussion…………………………………………………………………….. B14-1 B1402. Leadership Review…………………………………………………………… B14-1 B1403. Mishap Analyses……………………………………………………………… B14-1 B1404. Occupational Injury or Illness Treatment…………………………………….. B14-1 B1405. Responsibilities……………………………………………………………….. B14-2

Chapter 15. RESPIRATORY PROTECTION B1501. Discussion…………………………………………………………………….. B15-1 B1502. Applicability………………………………………………………………….. B15-1 B1503. General Requirements………………………………………………………… B15-2 B1504. Types of Respirators………………………………………………………….. B15-5 B1505. Respirator Cartridges and Gas Mask Canisters……………………………….. B15-5 B1506. Compressed Breathing Air Requirements…………………………………….. B15-6 B1507. Respirator Selection Considerations………………………………………….. B15-7 B1508. Medical Evaluations…………………………………………………………... B15-10 B1509. Respirator Fit Testing…………………………………………………………. B15-11 B1510. Inspection and Cleaning of Respirators……………………………………… B15-11 vi

B1511. Respiratory Protection Training……………………………………………... B15-11 B1512. RPPM Training………………………………………………………………. B15-12 B1513. Responsibilities………………………………………………………………. B15-14

Chapter 16. RESERVED FOR FUTURE USE

Chapter 17. ABESTOS CONTROL B1701. Discussion……………………………………………………………………. B17-2 B1702. Program Definitions and Health Effects……………………………………… B17-2 B1703. Occupational Exposure Limit (OEL) ………………………………………… B17-3 B1704. Control of Asbestos in the Workplace Environment…………………………. B17-3 B1705. Asbestos Clearance Level Criteria…………………………………………… B17-9 B1706. Disposal Procedures………………………………………………………….. B17-10 B1707. Asbestos Management Program Ashore……………………………………… B17-10 B1708. Training……………………………………………………………………….. B17-11 B1709. Industrial Hygiene…………………………………………………………….. B17-11 B1710. Asbestos Medical Surveillance Program (AMSP) …………………………… B17-11 B1711. Work Performed by Private Contractors……………………………………… B17-14 B1712. Environmental Protection……………………………………………………... B17-14 B1713. Responsibilities……………………………………………………………….. B17-15

APPENDIX B17-A – Determining Applicability of State and Local Requirement……… B17-17 APPENDIX B17-B – Asbestos Training and Certification Requirements Listed by Types of Operation……………………………………………….. B17-18 APPENDIX B17-C – Asbestos Management Program Ashore………………………….. B17-26 APPENDIX B17-D – Guidance on Notification Requirements………………………….. B17-28

Chapter 18. HEARING CONSERVATION B1801. Discussion…………………………………………………………………….. B18-1 B1802. Hearing Conservation Program………………………………………………. B18-2 B1803. Noise Hazard Assessment…………………………………………………….. B18-2 B1804. Labeling of Hazardous Noise Areas and Equipment…………………………. B18-3 B1805. Noise Abatement and Engineering Controls………………………………….. B18-3 B1806. Training and Education……………………………………………………….. B18-4 B1807. Medical Qualification Standards and Audiometric Testing…………………... B18-5 B1808. Hearing Protection Devices (HPDs) …………………………………………. B18-6 B1809 . Hearing Injury Reporting and Investigation.…………………………………. B18-8 B1810. Recordkeeping………………………………………………………………... B18-9 B1811. Program Performance Evaluation…………………………………………….. B18-9 B1812. Responsibilities……………………………………………………………….. B18-9

APPENDIX B18-A – Hearing Protective Devices (HPDs) ……………………………… B18-15 APPENDIX B18-B - Hearing Protection Devices and Stay Types……………………… B18-17 vii

Chapter 19. SIGHT CONSERVATION B1901. Discussion……………………………………………………………………. B19-1 B1902. Emergency Eyewash Facilities………………………………………………. B19-1 B1903. Occupational Eye Care Services and Equipment……………………………. B19-2 B1904. Protective Eyewear…………………………………………………………… B19-3 B1905. Responsibilities………………………………………………………………. B19-3

Chapter 20. PERSONAL PROTECTIVE EQUIPMENT B2001. Discussion……………………………………………………………………. B20-1 B2002. Basic Program Requirements………………………………………………… B20-2 B2003. Equipment Specifications and Requirements………………………………… B20-3 B2004. Eye and Face Protection……………………………………………………… B20-3 B2005. Hearing Protection……………………………………………………………. B20-4 B2006. Respiratory Protection………………………………………………………... B20-4 B2007. Head Protection………………………………………………………………. B20-4 B2008. Foot Protection……………………………………………………………….. B20-4 B2009. Hand and Arm Protection…………………………………………………….. B20-6 B2010. Electrical Protective Devices…………………………………………………. B20-6 B2011. Special Safety Clothing……………………………………………………….. B20-6 B2012. Personal Fall Protection Equipment………………………………………….. B20-7 B2013. Training……………………………………………………………………….. B20-7 B2014. Responsibilities……………………………………………………………….. B20-8

APPENDIX B20-A – Eye and Face Protector Selection Chart…………………………… B20-10

Chapter 21. LEAD B2101. Discussion…………………………………………………………………….. B21-1 B2102. Program Definitions and Health Effects……………………………………… B21-2 B2103. Methods to Control Potential Airborne Lead Hazards……………………….. B21-3 B2104. Dust Accumulation Requirements……………………………………………. B21-7 B2105. Environmental Protection Procedures………………………………………… B21-8 B2106. Exposure Monitoring…………………………………………………………. B21-8 B2107. Medical Surveillance…………………………………………………………. B21-8 B2108. Work Performed by Private Contractors……………………………………… B21-12 B2109. Responsibilities……………………………………………………………….. B21-13

Chapter 22. NON-IONIZING RADIATION B2201. Discussion…………………………………………………………………….. B22-1 B2202. Policy…………………………………………………………………………. B22-1 B2203. Applicability………………………………………………………………….. B22-2 B2204. Other Optical Sources………………………………………………………… B22-2 B2205. Radiofrequency (RF) Electromagnetic Fields (EMF)………………………… B22-2 viii

B2206. Radiofrequency Ashore and Afloat ………………………………………….. B22-2 B2207. RF Maximum Permissible Exposures (MPEs) ………………………………. B22-2 B2208. RF Measurement and Evaluation ………………………..…………………… B22-3 B2209. Safety Certification …………………………………………………………... B22-4 B2210. Warning Signs, Labels, and Devices ………………………………………… B22-5 B2211. Research, Development, and Acquisition ………………………….………… B22-5 B2212. RF Safety Training ………………………………………………………… … B22-5 B2213. Hazard Controls ……………………………………………………….……… B22-6 B2214. Low Frequency and Static Electric and Magnetic Fields ……..……………… B22-6 B2215. Responsibilities ………………………………………………………..……… B22-7

APPENDIX B22-A – Radiofrequency Radiation Technical Assistance ………………… B22-10

Chapter 23. ERGONOMICS PROGRAM B2301. Discussion ………………………………………………….………………… B23-1 B2302. Management Commitment …………………………………………………… B23-2 B2303. Employee Involvement ……………………………………………….……… B23-3 B2304. Safety and Occupational Health Self-assessment ……………………….…… B23-3 B2305. Job Task Analysis ……………………………………………………….…… B23-4 B2306. Command, Unit, or Activity Assistance ……………………………………… B23-5 B2307. Hazard Prevention and Control …………………………………….………… B23-5 B2308. Training ………………………………….…………………………………… B23-7 B2309. Medical Program ……………………………………………………..……… B23-8 B2310. Responsibilities …………………………………………………..…………… B23-9

APPENDIX B23-A – Computer Workstation Guidance ………………………………… B23-12 APPENDIX B23-B – Ergonomics Resources …………………………………………… B23-15 APPENDIX B23-C – Ergonomic Consideration for Shift Workers ……………………... B23-17 APPENDIX B23-D – Hand Tool Selection Checklist …………………………………… B23-19 APPENDIX B23-E – Ergonomics Training Requirements and Methods ……………….. B23-22 APPENDIX B23-F – Physical Risk Factor Ergonomics Checklist ……………………… B23-24

Chapter 24. CONTROL OF HAZAROUS ENEGY (LOCKOUT/TAGOUT) B2401. Discussion ………………………………………….………………………… B24-1 B2402. General Policy ……………………………………………………………...… B24-2 B2403. Responsibilities ………………………………………………….…………… B24-3

Chapter 25. POLYCHORINATED BIPHENYLS (PCB) B2501. Discussion………………………………………………………..…………… B25-1 B2502. Program Definitions and Health Effects ……………………………………… B25-1 B2503. Control of PCB Exposure in the Workplace Environment …………………… B25-2 B2504. Medical Surveillance Program ……………………………………………….. B25-4 B2505. Responsibilities……………………………………………….……………… B25-4 ix

Chapter 26. CHEMICAL-BIOLOGICAL-RADIOLOGICAL-NUCLEAR-

EXPLOSIVE (CBRNE) INCIDENT EMERGENCY PREPAREDNESS

AND RESPONSE

B2601. Discussion…………………………………………….……………………… B26-2 B2602. Program Requirements ……………………………………………………… B26-2 B2603. Personal Protective Equipment ……………………………………………… B26-2 B2604. Category 5 Emergency Responder Training ………………………………… B26-8 B2605. Heat and Cold Stress ………………………………………………………… B26-9 B2606. Confined Space Entry ……………………………………………………….. B26-11 B2607. CBRN Respiratory Protection Program……………………………………… B26-11 B2608 Training ……………………………………………………………………… B26-14 B2609. Risk Communication ………………………………………………………… B26-15 B2610. Responsibilities …………………………………………………….………… B26-15

Chapter 27. CONFINED SPACE ENTRY (CSE) PROGRAM (NON-MARITIME) B2701. Discussion…………………………………………………………………… B27-1 B2702. Applicability………………………………………………………….……… B27-1 B2703. Program Management ………………………………………………………. B27-2 B2704. Entry Options ………………………………………………………………. B27-3 B2705. Identification of Confined Spaces …………………………………………… B27-4 B2706. Reclassification Procedures…………………………..……………………… B27-4 B2707. Permit-Required Program Elements……………………………….………… B27-4 B2708. Permit System …………………………………………………..…………… B27-5 B2709. Rescue Procedures…………………………………………………………… B27-5 B2710. Procedures for Entry into IDLH Atmospheres………………….…………… B27-6 B2711. Hot Work……………………………………………………………..……… B27-6 B2712. Employee Training…………………………………………………………… B27-6 B2713. Contractor Management Provisions…………………………..……………… B27-7 B2714. Program Evaluation……………………………………………………..…… B27-7 B2715. Responsibilities…………………………………………………….………… B27-8

APPENDIX B27-A – Standards Incorporated by Reference …………………………… B27-10 APPENDIX B27-B – Entry Permit/Certification Minimum Requirement……………… B27-11 APPENDIX B27-C – Designation of Employees ………………………………..……… B27-13

Chapter 28. BLOODBORNE PATHOGENS B2801. Discussion …………………………………………………………………… B28-1 B2802. Applicability………………………….……………………………………… B28-1 B2803. Program Requirements……………………………………………….……… B28-1 B2804. Responsibilities……………………………….……………………………… B28-2

Chapter 29. OCCUPATIONAL REPRODUCTIVE HAZARDS x

B2901. Discussion …………………………………………………………………… B29-1 B2902. Policy………………………………………………………………………… B29-1 B2903. Control of Reproductive Hazards in the Workplace………………………… B29-2 B2904. Responsibilities……………………………………………………………… B29-5

Chapter 30. INDOOR ENVIRONMENTAL QUALITY B3001. Discussion …………………………………………………………………… B30-1 B3002. IEQ Investigations…………………………………………………………… B30-3 B3003. Environmental Tobacco Smoke……………………………………………… B30-3 B3004. Building Design and Maintenance…………………………………………… B30-4 B3005. Responsibilities……………………………………………………………… B30-5

Chapter 31. WEIGHT HANDLING SAFETY B3101. Discussion ………………………………………………………….………… B31-1 B3102. Program Requirements……………………………………………..………… B31-1 B3103. Responsibilities……………………………….……………………………… B31-2

Chapter 32. RESERVED FOR FUTURE USE

Chapter 33. MATERIAL HANDLING WITH POWERED INDUSTRIAL TRUCKS B3301. Discussion……………………………………….…………………………… B33-1 B3302. Program Requirements…………………………………….………………… B33-1 B3303. Responsibilities………………………………………………………… …… B33-1

Chapter 34. AERIAL WORK PLATFORM (AWP) SAFETY B3401. Discussion …………………………………………………………………… B34-1 B3402. Program Requirements……………………………………….……………… B34-2 B3403. Prior to Operations………………………....………………………………… B34-2 B3404. Operations on Floating Platforms and near Water…………………………… B34-2 B3405. Contract Operations……………………………………………..…………… B34-3 B3406. Rented or Leased Equipment………………………………………………… B34-3 B3407. Scaffolding…………………………………………………………………… B34-3 B3408. Responsibilities…………………………………………………….………… B34-3

Chapter 35. ELECTRICAL SAFETY B3501. Discussion …………………………………………………………………… B35-1 B3502. Program Definitions and Hazards …………………………………………… B35-1 B3503. Electrical Safety Program General Requirements…………………………… B35-2 B3504. General Electric Safety……………………….……………………………… B35-3 B3505. General Electrical Work Principles………………………………..………… B35-6 B3506. Electrical Safe Work Conditions………………………………..…………… B35-6 B3507. Energized Work……………………………………………………………… B35-7 B3508. Training……………………………………………………………………… B35-8 xi

B3509. Personal Protective Equipment……………………………………………… B35-9 B3510. Responsibilities……………………………………………………………… B35-10

Chapter 36. TRAFFIC SAFETY PROGRAM B3601. Discussion…………………………………………………………………… B36-1 B3602. Background…………………………………..……………………………… B36-1 B3603. Scope………………………………………………………………………… B36-1 B3604. General Traffic Safety Requirements…………………………...…………… B36-2 B3605. Training Requirements……………………………………………………… B36-10 B3606. Host Traffic Safety Services………………………………………………… B36-15 B3607. Traffic Safety Councils and Committees…………………………….……… B36-16 B3608. Motorcycle Mentorship Program……………………………….…………… B36-17 B3609. Responsibilities……………………………………………………………… B36-17

Chapter 37. RECREATION AND OFF-DUTY SAFETY PROGRAM B3701. Discussion …………………………………………………………………… B37-1 B3702. Background………………………………………………………………….. B37-1 B3703. Scope……………………………………………………………….………… B37-1 B3704. Core Program Requirements………………………………………………… B37-2 B3705. Responsibilities……………………………………………………………… B37-5

Chapter 38. SYSTEM SAFETY B3801. Discussion and Background………………………………………………… B38-3 B3802. Highlights of System Safety Program……………………………….……… B38-3 B3803. System Safety Working Groups (SSWG)/Facility System Safety Working Groups (FSSWG) …………………………………………………………… B38-5 B3804. System Safety Advisory Board (SSAB) ………………………….………… B38-5

GLOSSARY……………………………………………………..……………………… G-1

WEBSITES……………………………………………………..………………………. C-1

FORMS AND INFORMATION MANAGEMENT CONTROL……….……………… D-1

A1-1

SECTION A. SAFETY MANAGEMENT SYSTEM

CHAPTER 1

INTRODUCTION

Ref: (a) DoDI 6055.01, DoD Safety and Occupational Health (SOH) Program, 14 October

(b) SECNAVINST 5100.10K

(c) OPNAVINST 5100.23H, Navy Safety and Occupational Health Program

(d) OPNAVINST 5100.19F, Navy Safety and Occupational Health Program Manual for Forces Afloat

(e) Public Law 95-454, Title VII, Civil Service Reform Act, 5 U.S.C., Sections 7101- 7135 (1978 Supp.), 13 Oct 78

(f) DoDI 1400.25, Volume 430, DoD Civilian Personnel Management System:

Performance Management, 5 August 2014

(g) OPNAVINST 3500.39D, Operational Risk Management

(h) OPNAVINST 5102.1D, Navy and Marine Corps Mishap and Safety Investigation, Reporting, and Record Keeping

(i) OPNAVINST 3750.6S, Naval Aviation Safety Management System

(j) OPNAVINST 3500.44, Navy Culture Workshops

(k) OPNAVINST 1500.75D, Policy and Governance for Conducting High-Risk Training

(l) OPNAVINST 3500.37C, Navy Lessons Learned Program

(m) OPNAVINST 1650.28B, CNO Aviation, Afloat, Shore, Expeditionary-Related Safety Leadership Awards Program

(n) SECNAVINST 5100.16C, Department of the Navy Gas Free Engineer Certification and Recertification

(o) N09F-NTSP-S-40-8603E/A, Navy Safety and Occupational Health Navy Training System Plan (SOH NTSP) (June 2017)

(p) Navy and Marine Corps Public Health Center, Industrial Hygiene Field Operations Manual, 31 August 2018

(q) Navy and Marine Corps Public Health Center Technical Manual NMCPHC-TM 6220.12, Medical Surveillance and Reporting

(r) International Maritime Organization, International Safety Management (ISM) Code,

(s) Naval Sea Systems Command Technical Manual 0924-062-0010, Submarine Safety (SUBSAFE) Program, Submarine Safety (SUBSAFE) Certification Manual

(NOTAL)

(t) COMUSFLTFORCOMINST 4790.3, Joint Fleet Maintenance Manual (NOTAL)

(u) Naval Sea Systems Command Technical Publication S0400-AD-URM-010/TUM, Tag-out User’s Manual (NOTAL)

(v) COMUSFLTFORCOM/COMPACFLTINST 3000.15A, Optimized Fleet Response Plan (NOTAL)

(w) COMUSFLTFORCOM/COMPACFLTINST 3000.16, Fleet Inspections, A1-2

Certifications, Assessments and Visits Program and Processes (NOTAL)

(x) NAVAIR Instruction 5100.11A, Research and Engineering Technical Review of Risk Process and Procedures for Processing Grounding Bulletins (NOTAL)

A0101. Purpose. This instruction establishes the Navy Safety Management System (SMS), a comprehensive framework that will ensure operational readiness through continuous improvement and risk-based decision making processes and procedures. Key to this framework is the use of predictive, standardized, system-oriented, and process-driven approaches.

a. The goal of the Navy SMS is to align and enable naval operational forces and shore establishments to identify and implement elements from the Navy SMS that will facilitate a transition from reactively managing safety to proactively managing safety and risk, and ultimately, to become predictive. The Navy expects commands, units, and activities to develop comprehensive and systematic means to manage both safety and risk in order to prevent losses due to mishaps while preserving required operational capabilities (i.e., operational readiness) in all projected operational environments. This will enable a Navy that is fully prepared and lethal, today and at all times, with optimal readiness and predictable availability. Rather than an end itself, operational safety contributes directly to readiness. It requires approaches that complement and go beyond traditional compliance-based rules and inspections. To move beyond legacy data categories and stove-piped data systems, it also requires using relevant operational, training, and human performance data in new ways that indicate commands, units, and activities at risk of having operational mishaps, before those mishaps occur. The Navy SMS is not prescriptive about the design of a particular command, unit, or activity’s SMS, nor does it provide specific performance objectives. The design of a particular command, unit, or activity’s SMS, and specific performance objectives for their SMS, will be stated by headquarters commands and that individual command, unit, or activity.

b. The primary administrative goal of the Navy SMS is to be a scalable, transparent high-level framework for all Navy safety and risk-related policies, programs, and functions that includes, but is not limited to the following: risk management, acquisition safety, environmental health, emergency response, explosives safety, fire and emergency services, industrial hygiene, occupational health, occupational safety, radiation safety, operational safety, human systems integration, system safety, recreational and off-duty safety, and public safety. A secondary administrative goal is to avoid creating unnecessary or redundant administrative burdens.

A0102. Scope and Applicability

a. Navy Civilian and Military Personnel and Operations Worldwide

(1) The provisions of this instruction apply to all Navy civilian and military personnel and operations worldwide except where responsibility rests with the Commandant of the Marine Corps and for those afloat personnel falling under the requirements of reference (d).

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(2) The provisions of this instruction apply to all Navy civilian and military personnel onboard United States Naval Ships (USNS) of the Military Sealift Command (MSC) manned by Federal civil service mariners and military personnel. Due to the manning complexities for MSC ships, there may be some administrative procedures that will need to be tailored in the MSC Safety Management System (SMS) for MSC ship applications. MSC SMS complies with International Maritime Organization (IMO) International Safety Management (ISM) code requirements.

b. Military-Unique Equipment, Systems, Operations, or Workplaces. Per reference (a), the Navy must apply U.S. Department of Labor (DOL) Occupational Safety and Health Administration (OSHA) and other non-Department of Defense regulatory safety and health standards to military-unique equipment, systems, operations, or workplaces, in whole or in part, as practicable. When military design, specifications, or deployment requirements render compliance with existing occupational safety and health standards infeasible or inappropriate, or when no standard exists for such military application, Navy commands, units, and activities must publish and apply risk management procedures. The results of the risk management decision must be communicated to all affected personnel. The Navy must develop, publish, and follow special military occupational safety and health standards, rules, or regulations which protect personnel from hazardous exposures due to military-unique equipment, systems, operations, or workplaces.

c. Navy Contractors

(1) The provisions of this instruction do not apply to Navy contractors, except for the following:

(a) Situations in which the United States, by admiralty law or other law, is responsible for contractor employee injury compensation; and

(b) Situations where the Navy exercises statutory authority for occupational safety and health and, as a result, the Occupational Safety and Health Act does not directly apply.

(2) Where the occupational safety and health of the contractor's employees are affected, the contractor is responsible directly to the DOL's OSHA or appropriate state office where OSHA has approved a state plan.

d. Collective Bargaining Agreements. Regional commanders and commanding officers must apply this instruction consistently with the provisions of reference (e), other provisions of law providing for collective bargaining agreements and procedures, and any agreements entered into under such provisions. They must determine matters of official leave for employee representatives involved in activities under this instruction by the procedures of reference (e) or applicable collective bargaining agreements.

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e. Naval Nuclear Propulsion Plant Activities. These activities are part of the overall Navy SMS. Under the statutory authority of the Atomic Energy Act of 1954, section 309(a) of the Department of Energy Organization Act, and E.O. 12344 of 1 February 1982, (statutorily prescribed by Public Laws 98-525 and 106-65), the Office of the Chief of Naval Operations Director of Naval Nuclear Propulsion Program (CNO (N00N)) is responsible for the safety of reactors and associated naval nuclear propulsion plants, and the control of radiation and radioactivity associated with naval nuclear propulsion plant activities, including prescribing and enforcing standards and regulations for these areas as they affect the environment and the safety and health of workers, operations, and the general public.

f. Explosives Safety. This is part of the overall Navy SMS. By the authority of section 172 of title 10, United States Code (U.S.C.), explosives safety is exempt from the occupational safety and health requirements of this instruction. However, this instruction does apply to occupational safety and health and risk management issues in explosives and ordnance areas (e.g., the evaluation of exposure to hazardous materials, noise, machine guarding, etc.).

A0103. Definition of Terms

a. See the Glossary at the end of the instruction for the definition of special terms used throughout the instruction.

b. This instruction uses the words "will," "must," "should," "may," and "can” throughout.

“Will” and “must” are directive in nature and require mandatory compliance. “Should” is a strong recommendation, but compliance is not required. “May” or “can,” when used, are optional in nature, and compliance is not required.

A0104. Background. An SMS is a system of processes that proactively manages day-to-day safety and risk management in an organization across all operations and business lines. It is not a single written policy or database.

a. The Navy has had an eclectic collection of safety and risk-related systems and processes for many decades that have various semblances of an SMS; however, these eclectic systems and processes were not integrated into an overall management system, such as an SMS. References at the beginning of this Section are a partial list of select policy, guidance, and technical documents that are relevant to the Navy SMS. The references listed were selected to provide a glimpse into how the Navy SMS includes many other safety and risk-related policies, programs, and functions besides just occupational safety, occupational health, and industrial hygiene. What has been missing from the Navy in the past are an enterprise-level policy and lower echelon policies that integrate these eclectic safety and risk-related systems and processes into a single, effective management system. Reference (b) discusses the construct of a Navy SMS and specifies the minimum fundamental elements of a Navy SMS.

(1) One of the best Navy community-level examples of an SMS that already incorporates

A1-5 a majority of the Navy SMS framework is the Bureau of Medicine and Surgery’s (BUMED) use of The Joint Commission standards and survey process for the accreditation and certification of a military treatment facility (MTF). These standards include the elements of a health care-centric SMS and also incorporate the Plan-Do-Check-Act iterative continuous improvement cycle.

What has resulted, is a proven, flexible approach to proactively and continually address MTF workplace safety and health issues. These standards also minimize risk and foster a “culture of safety” in the MTF health care setting, with potential benefits for both worker and patient safety.

Use of this process by BUMED has been around for decades. The Medical Inspector General (MEDIG) for the BUMED conducts command inspections of MTFs at the same time that The Joint Commission conducts its accreditation and certification surveys. The MEDIG inspects MTFs for the SMS requirement gaps not covered in The Joint Commission survey process (e.g., worksite hazard analyses, recreational and off-duty safety, traffic safety, employee involvement, and contractor employee involvement) along with other non-SMS requirements.

(2) More recently, in early 2018, the commanders of both U.S. Fleet Forces Command and U.S. Pacific Fleet published a first-ever Fleet SMS Program. The Fleet SMS had a major influence in the construct of the Navy SMS framework.

(3) Finally, a Navy community-level example of a policy for safety and risk-based systems or processes that support predominantly the operational safety functional area of an SMS is the Submarine Safety (SUBSAFE) Program (reference (u)).

b. The Navy has different and distinct operational and business cultures, each shaped by unique organizational structures, needs, and priorities. Over time, these individual communities tailored safety policies, manning, and procedures to meet their individual needs. This approach led to wide disparities and stove pipes in the means and methods used to gauge and manage safety and risk. Additionally, the lack of common methodology between the various communities invariably becomes a barrier to sharing information, best practices, and successful initiatives.

A0105. Discussion

a. World class organizations like the U.S. Navy effectively manage safety and risk while ensuring program compliance across all lines of operation and business in order to accomplish the mission while preserving operational capabilities in all projected operational environments for the future. The Navy SMS provides the framework to manage safety and risk at all levels through operations and business lines alike. The Navy SMS also reinforces the Navy’s commitment to the health and welfare of its people and to the principle of continuous improvement.

b. Full implementation of the Navy SMS will ensure a comprehensive and robust program that continuously improves, fosters a strong risk management culture, moves beyond simple procedural compliance, and accomplishes the mission efficiently and effectively. While other

A1-6 recognized SMSs closely align with the Navy SMS for occupational safety and health programs, these other SMSs do not include other safety and risk management functional areas required by the Navy such as risk management in military operations, acquisition safety, environmental health, emergency response, explosives safety, fire and emergency services, radiation safety, operational safety, human factors engineering, human systems integration, system safety, recreational and off-duty safety, and public safety. Examples of other recognized SMSs that are solely occupational safety and health-focused include the following: International Organization for Standardization (ISO) standard ISO 45001: 2018, “Occupational Health and Safety Management Systems;” and American National Standards Institute (ANSI) and American Society of Safety Professionals (ASSP) standard ANSI/ASSP Z10-2012 (R2017), “Occupational Health and Safety Management Systems.”

c. Commands, units, and activities may customize their own SMS, but these SMSs must adhere to the minimum framework requirements of this instruction. The Navy SMS framework outlined in this instruction strikes a balance between flexibility of implementation and the standardization of essential safety management system processes. This instruction was written so that the Navy SMS is applicable to Navy commands, units, and activities no matter what their size or mission. This Navy SMS instruction is written as a requirements document. Therefore, it is only prescriptive as to what the organization must do, not how it will be accomplished. The Navy SMS is scalable and allows organizations to integrate safety and risk management practices into their unique operations and business lines. Smaller organizations may adopt much of the policy from higher echelons, have other base operating support organizations cover some requirements, or conduct assurance in conjunction with other existing inspections or assessments, provided that the support is documented. Regardless of how the minimum Navy SMS framework requirements are met, evidence of the existence of an SMS must be evident within commands, units, and activities at every echelon.

d. Voluntary Protection Program (VPP). The VPP is not an SMS, but a U.S. Department of Labor (DOL) Occupational Safety and Health Administration (OSHA) program that gives official third-party recognition of the outstanding efforts of employers and employees who have achieved an exemplary occupational safety and health SMS. The VPP sets performance-based criteria for a managed safety and health system, invites sites to apply, and then assesses applicants against these criteria.

e. Department of Defense Safety Management Center of Excellence (DoD SMCX). The DoD SMCX is a central resource for commanders, safety professionals, and employees to obtain proven risk management solutions and technologies in support of a DoD activity’s pursuit of VPP recognition and an SMS.

A0106. Introduction to the Navy SMS Framework. The Navy SMS framework consists of an iterative continuous improvement cycle, four pillars, and one or more minimum fundamental elements that underpin those pillars. A particular iterative continuous improvement cycle is not specified; therefore, commands, units, and activities may use whichever cycle meets their needs.

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Acceptable examples of iterative continuous improvement cycles in use by varying organizations in the Navy are Plan-Do-Check-Act (PDCA) and Plan-Brief-Execute-Debrief (PBED). The four Navy SMS pillars (table A1) are as follows: Policy and organizational commitment, risk management, assurance, and promotion. The Navy SMS uses the four pillars to categorize the many fundamental elements for several reasons: simplicity, brevity, and to facilitate better understanding of the overall SMS concept throughout the Navy enterprise. The Navy SMS framework and the minimum fundamental elements will be further discussed in chapter A2.

Pillar Description

Policy and Organizational Commitment

Policy provides the requirements for a fully-functional SMS and establishes, through documentation, the organization’s expectations, objectives, employee participation, risk tolerance, and SMS business rules for its personnel. It will also define, document, and communicate the safety and risk-related roles, responsibilities, and authorities throughout the organization.

Risk Management

A formal system of hazard identification, risk assessment, risk acceptance, control implementation, and risk monitoring to control risk to acceptable levels. Risk management applies to all missions and environments across the Navy Enterprise, both on- and off-duty.

Assurance

Safety assurance ensures proactive compliance with standards, policies, directives, and procedures through audits, assist visits, human factors surveys and workshops, command and employee reporting, data analysis, and guides continuous improvement efforts and positive safety cultures. It also includes periodic evaluation to measure whether organizations conform to standards and are making progress toward established goals. Safety assurance evaluates the continued effectiveness of implemented risk controls and reporting strategies, and supports the identification of new hazards.

Promotion

Actions by organizations to promote safety as a core value with practices that support a sound safety culture. This includes training, awards, employee recognition, sharing best practices and lessons learned, clear communications, and other actions to create a proactive safety climate and informed safety culture within all levels of the chain of command.

Table A1. The Four Pillar Framework of a Navy SMS

A0107. Responsibilities

a. Office of the Chief of Naval Operations, Special Assistant for Safety Matters (CNO N09F)

(1) Serves as the principal advisor to the Chief of Naval Operations and Deputy Assistant Secretary of the Navy for Safety on policy and administration of the Navy SMS Program, including policy guidance and accountability.

(2) Develop and publish SMS directives and guidelines for implementation throughout the Navy using feedback on best practices and echelon 2 and other headquarter command needs.

(3) Advocate for the inclusion of Navy SMS requirements in all training courses, personnel qualification standards, job qualification requirements, events, and evolutions across the Navy.

b. Commander, Naval Safety Center

(1) Oversee implementation of this instruction.

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(2) Serve as the point of contact for echelon 2 commands and other headquarter commands to interpret policy, address needs and concerns, and provide subject matter expertise for technical SMS-related matters.

(3) Identify and address potential risks to readiness by collecting and analyzing Navy-wide mishap; near miss; hazard, exercise; operational; and inspection, certification, and assist visit related data.

(4) Ensure that non-aviation Navy SMS training courses are developed and hosted by the Naval Safety and Environmental Training Center.

(5) Ensure that aviation safety training courses which are relevant to the Navy SMS are developed and hosted by the Naval School of Aviation Safety.

c. Commanders of echelon 2 and other headquarter commands

(1) Oversee implementation of this instruction within their respective command, unit, and activity structures.

(2) Designate an SMS lead and assign, as needed, other personnel to execute and fully implement SMS throughout the headquarters and subordinate commands, units, and activities.

The minimum duties and responsibilities include:

(a) Serve as the point of contact for subordinate commands, units, and activities to interpret policy, address needs and concerns, and provide subject matter expertise for technical SMS-related matters.

(b) Attend applicable training sufficient enough to understand and implement their

SMS.

(3) Develop and publish SMS directives and guidelines for implementation throughout their command, unit, or activity and lower echelons using their feedback on best practices and organizational needs.

(4) Identify and address potential risks to readiness and operations by collecting and analyzing organizational-wide mishap, near miss, hazard, exercise, operational, and related data.

(5) Direct subordinate training agencies and training executors to include Navy SMS requirements in their training courses, personnel qualification standards, job qualification requirements, events, and evolutions.

(6) Incorporate SMS requirements into all oversight inspections, certifications, and assist visits (e.g., inspector general inspections, Board of Inspection and Survey inspections, command

A1-9 inspections, and safety and occupational health management evaluations, etc.) of headquarters and their respective subordinate commands, units, and activities.

(7) Ensure that at least one union and one management representative, if applicable, is provided an opportunity to participate in all oversight inspections, certifications, and assist visits.

(8) Develop and implement an oversight process to evaluate safety management system program effectiveness at subordinate commands, units, and activities. Evaluations should be included as part of a command inspection or readiness assessment, whenever possible, and leverage existing events. The evaluations must be conducted at a minimum of every three years and include reviews of operational safety, occupational safety and health, recreational and off-duty safety programs, and how well risk management principles are applied within a continuous improvement cycle (e.g., PDCA, PBED, etc.).

Note:

It is not the intent of this instruction to direct Navy commands, units, and activities to assign SMS responsibilities to only safety and occupational health professionals (e.g., GS-0018 or GS-0690 Classification Series, Navy Industrial Hygiene Officers, etc.). An SMS includes many safety and risk management-related processes and systems outside of the scope of the typical position description for safety and occupational health professionals. Commands, units, and activities may find it necessary to assign responsibility for different functional areas of their SMS (e.g., operational safety) to one or more different advisors with subject matter expertise in those respective SMS functional areas.

d. Commanders, commanding officers, masters (i.e., Military Sealift Command vessels), and officers in charge

(1) Oversee implementation of this instruction within their respective command, unit, and activity structures.

(2) Designate an SMS lead and assign, as needed, other personnel to execute and fully implement SMS throughout command, unit, or activity. The minimum duties and responsibilities include:

(a) Serve as the point of contact for your command to interpret policy, address needs and concerns, and provide subject matter expertise for technical SMS-related matters.

(b) Attend training as directed by the echelon 2 SMS lead.

(3) Develop and publish SMS directives and guidelines for implementation throughout their command, as needed, using their feedback on best practices and organizational needs.

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(4) Identify and address potential risks to readiness by collecting and analyzing organizational-wide mishap, near miss, hazard, exercise, operational, and related data.

(5) Direct training officers to include Navy SMS requirements in their training courses, job qualification requirements, plans, briefs, events, evolutions, and debriefs.

It is not the intent of this instruction to direct Navy commands, units, and activities to assign SMS responsibilities to only safety and occupational health professionals (e.g., GS-0018 or GS-0690 Classification Series, Navy Industrial Hygiene Officers, etc.). An SMS includes many safety and risk management-related processes and systems outside of the scope of the typical position description for safety and occupational health professionals. Commands, units, and activities may find it necessary to assign responsibility for different functional areas of their SMS (e.g., operational safety) to one or more different advisors with subject matter expertise in those respective SMS functional areas.

e. Navy Civilian and Military Personnel

(1) Comply with all of the SMS requirements published by their chain of command.

(2) Monitor and report to their supervisor (or designee) any unsafe conditions for prompt correction.

(3) Correct any hazard that they have the ability to correct and report that event to the applicable supervisor (or designee).

(4) Provide feedback to their applicable supervisor (or designee) regarding the need for additional controls or mitigations to ensure safety, health, and risk standards are met.

(5) Set the example as a leader in safety and risk management to others in the course of their professional duties.

(6) Avoid exposure to any recognized uncontrolled hazard, and…