ES&H Manual



3700 Appendix T2

Safety Observation and Reporting Procedure



1.0            Purpose


This procedure defines the process step used to perform a Safety Observation (SO) and submit observation data into the program’s database.


Effective use of the SO Program requires training. This procedure is used by managers in conjunction with individual instruction. 


2.0            Scope


As referenced in the table below, designated laboratory supervisors and managers perform qualifying SOs at the following intervals.




Supervisors / Managers

1 Observation/Week

(1 Hr./Week, 1-2 Areas)

Associate Directors (AD)

2 Observation/Month

(2 Hr./Month, 1-2 Areas)


1 Observation/Month

(1 Hr./Month, 1-2 Areas)


This appendix is part of an overall program in coordination with ES&H Manual Chapter 3700 Safety Observation Program.


3.0            Responsibilities


3.1              Designated Supervisor / Manager

·         Receive and maintain SO Training (SAF120KD Safety Observation Procedure and SAF120 Safety Observation Program Check-out).

·         Plan and Perform SOs at appropriate intervals. 

·         Record and Edit SOs as required.

·         Review SO data and perform follow-up activities in accordance with training. 

·         Use SO data as part of the continuous improvement process.


3.2              Deputy Director – ESH&Q:

·         Provide SO Training when requested.


4.0            Process Steps


4.1              Plan a Safety Observation


Step 1.             Determine Type of Sessions


·         Solo or Joint - SOs carried out by a single manager or with a peer in his organization.

·         Tiered[1] - Involves two or, at most, three managers from various levels within an organizational unit.

·         Cross1 - involve two or, at most, three managers from different organizations.


Step 2.             Schedule


Schedule the following activities. Ensure adequate time so you focus solely on conducting the SO. Dedicated attention improves the quality of the observations and sends a message to all employees that this is an important activity. 


·         When, where and for how long the SO Session (typically 30 to 60 minute per session).

·         Coordinate with others as required.

·         Determine operations to be observed.


4.2              Perform the Safety Observation


Step 1.             Observe workers in the workplace 


·         Use the SO Form as a guide. Observe workers for a short period of time (no more than a few minutes). Formulate a question or comment.

·         Engage workers in non-threatening discussions.

4.3              Record the Safety Observation


Step 1.             From the Jefferson Lab Insight Page


Step 2.             Click on Safety Observations – under “Popular Applications.”


·         You will be directed to a list of your observations within “Safety Observations.”)


Step 3.             Click on Add New Observation Report


·         You will be directed to a page that identifies you as the person entering the report and allows you to edit the “Report Date.”


Step 4.             Report Date – is the date which the report data is being entered. 


·         The form defaults to the today’s date. 

·         If you need to change it, click on the calendar icon, then on the date desired.


Step 5.             What was discussed?


·         Basic details of the conversation and behaviors observed


Step 6.             Where were you?


·         Select the building or general area where the observation took place


Step 7.             All Safe?





The observation is complete.


You will be taken to a summary page where you can then log off.



You will be taken to a page to enter your SO data.


Step 8.             Report ID: 


·         The form auto-generates a unique Report ID Number.

o   Each observation, entered under this Safety Observation Report ID, will have this same number and be distinguished by an appended sequence number (e.g., 634-1 for the first observation, 634-2 for the second, etc.)

Step 9.             Observers:


·         Name:

o   The form defaults to the person entering the observations and his/her organization.

§  If the person entering the data did not participate in the observation activities, use the pull-down menu to select the name of the observer who did. 

§  You may add up to two additional names of observers who participated in the activity.


Step 10.         Organization: 


·         Typically use “Use Observer Default.”  (When the form is saved it will default to the named observer’s organization.)

o   If an observer performed the activities for an organization other than his own: use the pull-down menu to select the qualifying organization.  

o   If an observer is not represented in the list of qualifying organizations: choose “OTHER” under “Organization” and add the name and organization in the Notes section below.


Step 11.         Location: 


·         The form defaults to the Location specified in “Step 6 Where were you?”  If you want to the area, click on the down arrow or Browse button and select the location desired.


Step 12.         Observation Date/Time:


·         The form defaults to the current time and date.

·         Use the calendar icon to select the date which observation activities were actually performed.

·         Use the pull-down menu to select the closest appropriate time.


Step 13.         Duration (in minutes):


·         Enter the duration of the observation in minutes. (E.g. If two observers together conducted a single 20 minute observation, enter 20 minutes, not 40 minutes.)


Step 14.         # of people engaged in conversation: 


·         Enter the number of people with whom the observer(s) talked.  (The number does not include the observers.)

o   If any of the people with whom the observer(s) talked is a subcontractor, “click” the radio button: “Subcontractors? ¤ Yes.”  (The form defaults to “No”; no action is required if subcontractors were not involved)


Step 15.         Observation Description: 


Describe the safe and unsafe acts directly observed and/or indirectly recognized, based on the safety observation.


·         The form defaults to what was entered in “Step 5 What was discussed?”

·         Describe the safe and unsafe acts observed or otherwise identified during the observation. Focus on observed behavior rather than conditions.

·         Use generic terms to identify worker(s) observed. 


Step 16.         Category: 


Choose up to two of the following categories for observations of unsafe behavior.  Click on each category to see the possible sub-categories.





All Safe

Click in the “All Safe” box.

Go to “Step 20 Save the Safety Observation below.

Unsafe Acts were Observed

Select the unsafe acts category(s)1

·         Click the Category title.

·         Determine the Risk Code2 of the unsafe activity.

·         Designate the “# Observed Events3

1.      A single Safety Observation may result in multiple category entries.  (e.g. an observation could reveal a failure to use proper PPE for hands and the use of an inappropriate tool.  This would result in entries under two categories: Personal Protective EquipmentArms and Hands, and Tools and Equipment – Right for the job.)

2.      Risk Codes of 3 or 4 require a “suspend” or “stop” work intervention (See ES&H Manual Chapter 3330 Stop Work and Re-Start for Safety Program) which would terminate the Safety Observation.)

3.      “# Observed Events” refers to the number of unsafe acts observed.  (e.g. If two people are doing a job and neither has the required personal protective equipment (PPE), then the “# Observed Events” is two.) 



What will happen:


Each identified “Category” determined to be “Unsafe” will auto-generate a corresponding Corrective Action Tracking System (CATS) entry. 


1.         The CATS entry’s Significance Level will equal the Safety Observation’s Risk Code. 

2.         The CATS entry’s “Report Link” will auto-link to the corresponding Safety Observation. 

3.         The CATS entry will be closed immediately by ESH&Q staff if denoted within the Safety Observation’s "Recommended Follow-up” and “Follow-Up Response” entries. 


(See the Issues and Action Management Procedure for additional information about CATS entries.) 


Step 17.         Risk Code:


·         Select overall risk code for observation event. 


Step 18.         Recommended Follow-Up: 


·         Check the appropriate button.


Step 19.         Attachments


·         Attach any relevant documents as appropriate.


Step 20.         Save the Report




You have another observation

Click “Save, add another observation.”*


You are finished entering data

Click “Save, Back to Main”*

*Buttons are located at the top and bottom of the Report page.


4.4              Edit a Safety Observation Report


NOTE:  If, at any time, you wish to return to the main menu without saving your entry, use your browser’s back button to exit.


Step 1:             Access the Safety Observation Reports (see 1.0 Accessing the Safety Observation Reports above).


Step 2:             Find the Safety Observation you wish to edit within the list provided. 


·         If an observation can be edited “(Edit)” will appear next to it.  Click this option and you will be taken to a page on which the previously entered details of the observation are displayed.


o   Scroll through the page and make any changes necessary.


Step 3:             Save the Report




You have another observation

Click “Save, add another observation.”*


You are finished entering data

Click “Save, Back to Main”*

*Buttons are located at the top and bottom of the Report page.


4.5              Review a Safety Observation Report  Rounded Rectangle: Click
To access 
SO Webpage


Step 1:             Access the Safety Observation Reports


On the left column of the page, under “Menu Items,” click “Reports.”  You will be taken to the “Summary: Statistics based on Observations.” 


·         To select a date range: enter the desired range in the “Start date” and “End date” boxes and click “Submit.”


Step 2:             To view various observation formats: go to the bottom of the page and click on the desired report title:


·         Observations by Location

·         Observations by Organization (All Levels)

·         Observations by Observer

·         Unsafe Acts per Category

·         Observations with Subcontractors

·         STOP Chart: Engineering Safety Observations

·         Generic Reports


Step 3:             To return to the Safety Observation main menu click “Main – Safety Observations” on the left column of the page, under “Menu Items.”


4.6              Blank Safety Observation Form


Step 1:             From the Safety Observations webpage - Click Safety Observation Form - left column, under “Menu Items.”


Step 2:             Click the print icon  on the header ribbon.


Step 3:             Use the back arrow  to return to the Safety Observation main menu.


5.0            References


ISMS Program Description

ES&H Manual Chapter 3700 Safety Observation Program

ES&H Manual Chapter 3700 Appendix T1 Safety Observation – Function


6.0            Revision Summary


Revision 0.6 – 08/05/15 – Minor edits to reflect updates to Reporting Program.

Revision 0.5 – 11/24/14 – Periodic Review; no changes per B.May.

Revision 0.4 – 06/18/14 – Update to coordinate with current training requirements. Separated procedure steps (T2) from program function (T1).

Revision 0.3 – 08/24/11 – Updated to inform reporter that a CATS entry will be automatically generated if an unsafe observation is reported.

Revision 0.2 08/18/11 – Removed Section 4 and clarified language for observation data entry into a Safety Observation Report (renumbered Sections 3-9); Added section describing the generation of CATS entries associated with non-All Safe entries; Added instructions for “overall risk code” entry.

Revision 0.105/25/10 – Update to clarify process steps and reflect current laboratory operations; removed the requirement for “overall risk code” determination.











ESH&Q Division

Bob May





This document is controlled as an on line file.  It may be printed but the print copy is not a controlled document.  It is the user’s responsibility to ensure that the document is the same revision as the current on line file.  This copy was printed on 8/5/2015.

[1] Tiered and cross sessions may be used, but are not required parts of the current program.