G
Compliance Forms



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G Compliance Forms 0

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0 APPENDIX G SAMPLE INSPECTION CHECKLIST insPEction chEcklist Department, Group, or Laboratory: _________________________________________ Inspector:______________________________________________________________ Date: _________________________________________________________________ Building and room: ______________________________________________________ Laboratory supervisor: ___________________________________________________ lABoRAtoRY EnViRonMEnt Work areas illuminated Y N NA Storage of combustible materials minimized Y N NA Aisles and passageways clear and unobstructed Y N NA Trash removed promptly Y N NA No evidence of food or drink in active laboratory areas Y N NA Wet surfaces covered with nonslip materials Y N NA Exits illuminated and unobstructed Y N NA COMMENTS: Other elements that the checklist can include EMERGEncY EQUiPMEnt AnD PlAnninG Fire extinguishers mounted and unobstructed Y N NA Fire extinguishers fully charged with tamper indicators in place Y N NA Fire extinguisher inspection up to date Y N NA Eyewash unit and safety shower within 10 seconds of hazard Y N NA Eyewash unit and safety shower inspection up to date Y N NA Fire alarm pull stations unobstructed Y N NA Spill control materials available and adequate for potential spills Y N NA COMMENTS: [ 89 ]

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0 APPENDIX G SAMPLE INSPECTION CHECKLIST PERSONAL PROTECTIVE EQUIPMENT Personnel wearing appropriate eye and face protection Y N NA Personnel wearing appropriate gloves Y N NA Shoes appropriate to the hazard Y N NA Clothing appropriate to the hazards posed in the laboratory Y N NA COMMENTS: SIGNS, L ABELS, PLANS, AND POSTINGS Emergency action plan available Y N NA Material-safety data sheets accessible Y N NA Chemical-hygiene plan available Y N NA Contact sheet posted and up to date Y N NA Telephones labeled with emergency number Y N NA Building evacuation routes posted Y N NA Ice-making machines labeled “Not for human consumption” Y N NA Chemical refrigerators labeled “No food” Y N NA Food refrigerators labeled “Food only—no chemicals” Y N NA Lasers properly labeled Y N NA High-voltage equipment properly labeled Y N NA Emergency equipment labeled with highly visible signs Y N NA COMMENTS: ELECTRICAL HAZARDS Flexible cords in good condition Y N NA Cords not on surfaces where flammable liquids may pool Y N NA Cover plates in place for outlets and switches Y N NA Circuit-breaker panels unobstructed Y N NA Multiplug adapters have overload protection Y N NA No extension cords in use Y N NA Ground-fault circuit interrupters (GFCI) used for wet areas Y N NA Guards or covers in place for electrophoresis devices Y N NA COMMENTS: [ 90 ]

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0 APPENDIX G SAMPLE INSPECTION CHECKLIST STORAGE Heavy items on lower shelves Y N NA Storage at least 18 in. below sprinkler heads Y N NA Storage at least 24 in. below ceiling Y N NA Means available to reach items stored above shoulder level Y N NA Shelving adequate for loads imposed Y N NA Chemicals stored by compatibility and hazard class Y N NA Chemical containers clearly labeled with contents Y N NA Corrosive chemical stored below eye level Y N NA Materials with shelf-lives dated on receipt Y N NA Secondary containment used near sinks and drains Y N NA Waste containers sealed except during transfers Y N NA Waste containers labeled with contents, “Hazardous Waste” Y N NA Storage limited to less than 1 quart of acutely hazardous waste Y N NA Storage limited to less than 55 gallons hazardous waste Y N NA COMMENTS: COMPRESSED GASES AND CRYOGENICS Toxic, flammable, corrosive gases used in chemical-fume hood Y N NA Stored upright, secured from tipping Y N NA Regulator compatible with gas cylinder Y N NA Cylinder carts used for transport Y N NA Valve caps in place when not in use Y N NA Empty or unused cylinders returned to supplier Y N NA Gases and cryogenic liquids dispensed with good ventilation Y N NA Cryogenic dewars vented or have pressure-relief devices Y N NA Glass dewars shielded Y N NA COMMENTS: PRESSURE AND VACUUM SYSTEMS Vacuum glassware in good condition Y N NA Vacuum pressure-relief devices in place and inspected Y N NA Glass vessels shielded or enclosed Y N NA Temperature and pressure measuring devices in place where needed Y N NA COMMENTS: [ 91 ]

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0 APPENDIX G SAMPLE INSPECTION CHECKLIST CHEMICAL HOODS AND VENTILATION Each chemical fume hood tested within last year Y N NA Sash closed when not in active use Y N NA Chemical-fume hood vents (baffles) unobstructed Y N NA Chemical-fume hood used with sash in appropriate position Y N NA Chemical storage limited in actively used hood Y N NA Chemicals and equipment at least 6 in. from the sash Y N NA COMMENTS: SECURITY Doors to lab operate, close and lock properly Y N NA Windows operate, close, and lock properly Y N NA Alarm systems operating properly Y N NA Keys and access cards kept in secure area out of sight Y N NA COMMENTS: TRAINING AND AWARENESS Workers have attended all appropriate training Y N NA Training has been documented Y N NA Laboratory personnel know… What to do in event of an emergency, such as fire or injury Y N NA How to clean up chemical spills Y N NA Location and contents of the chemical hygiene plan Y N NA Chemical hygiene officer or safety manager Y N NA What MSDSs are and where to find them and other safety info Y N NA What type of personal protective equipment to use and when to use it Y N NA What to do with chemical waste Y N NA What are the most hazardous materials they use and what precautions to take Y N NA Where and how to use safety showers and eyewash units Y N NA To question unfamiliar visitors in the lab Y N NA How and when to report injuries, illnesses, or incidents Y N NA COMMENTS: [ 92 ]

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110 APPENDIX G INCIDENT REPORT FORM IncIdent RepoRt Personal Data Employee/Student Name Case No. Employee/Student Phone No. Employee/Student Dept. Investigation Date Employee Supervisor Investigator Name events Details employee/student statement (Description of event—before, during, and after) _____________________________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ Work Related? Yes No Body Part Injured Event Date/Time / Event Location (lab, corridor, stairs, outside, etc.) Reported Inquiry Date/Time / Specific Location (building, floor, room, column) Injury Severity Observation/Near Miss First Aid Work Restrictions Lost Time Restrictions Allergen Exposure Bitten By Car/Truck/Motorized Vehicle Caught In/Between Contact with Chemical Contact with Hot Surface accident type Environmental Exposure Ergonomic Needle Stick Pushing/Pulling Slip/Trip/Fall Struck Against Struck By Twist/Turn Other Device type Device Brand Contaminated Sharp Involved Needle Stick [ 93 ]

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 APPENDIX G INCIDENT REPORT FORM Allergic Agent _________________________________________________________________________ Chemicals or Biohazards Involved__________________________________________________________ Equipment Involved / ID Number__________________________________________________________ DescriBe PossiBle causes Equipment ____________________________________________________________________________ Tools / PPE____________________________________________________________________________ Environment __________________________________________________________________________ Procedure______________________________________________________________________________ Personnel______________________________________________________________________________ Other ________________________________________________________________________________ causal Factors ______________________________________________________________________________________________ _____________________________________________________________________________________________ _________________________________________________________________________________________________ __________________________________________________________________________________________________ __________________________________________________________________________________________________ _____________________________________________________________________________________________ _____________________________________________________________________________________________ recoMMeNDatioNs corrective actions/Preventative actions Person responsible Due Date [ 94 ]

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112 APPENDIX G ExamplE Classroom lEsson For laboratory managErs Instructors’ guide In this Instructors’ Guide, there are 10 lessons [one example is provided here] to be used in training laboratory staff, students, and volunteers. Each lesson contains the following elements: • An introduction that summarizes the content of the lesson and provides ideas for teaching the content to training participants; • Objectives, or concepts that all participants should master after studying each lesson; • One or more segments that describe a problematic situation in a laboratory; • Questions for participants to answer and discuss as a group; and • Commentary on each question for Instructors to use in guiding participants in their discussions. The text and questions of each lesson should be handed out to partici- pants if possible. The introduction and commentary for each lesson are for use by the instructor only and should not be distributed to participants. The introduction and commentary are available to help the instructor guide the discussion, ask the appropriate questions, and make the experience useful for all participants. Lessons provide an effective method of teaching. Discussing lessons is a way to involve participants in familiar and relevant issues. The purpose of the lessons is to ask participants to consider the choices they face as they attempt to promote a culture of safety and security in the laboratory. Five of the lessons are directed toward laboratory managers or others who supervise laboratories. The remaining four lessons are directed toward people who work in the laboratories, including students and employees. Discussion begins with participants thinking about what might be going on in the minds of the fictional individuals featured in the cases. Every lesson includes reflective questions that aim to encourage participants to consider the following concerns: Could this happen in our laboratory? Does this happen here? What strategies could we develop to deal with this issue in our workplace? Below are tips on how to successfully use lessons. The below guidance is taken from Kenneth D. Pimple’s article “Using Case Studies in Teaching Research Ethics.”1 Pimple says that you must: 1 Adapted from Pimple, Kenneth D., “Using Case Studies in Teaching Research Ethics” (2007). Resources. Paper 293. http://www.ethicslibrary.org/resources/293.

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3 APPENDIX G • repare in advance to lead the lesson discussion. Decide what goals to p accomplish, how to discuss the situations presented, and how much time to spend on each lesson. • et ground rules at the beginning of the session. Remind participants to s be open, honest, and respectful. • ffer participants broad strategies and tactics before discussing lessons. o Some of these tactics include: ÿ hinking about immediate, near-future, and long-term steps to t take; ÿ hinking about what might be going on in the minds of the fictional t people featured in the lesson; ÿ onsidering strategies to deal with the problem in the laboratory; c and ÿ aking a personal role in the problem—What would I do in this t situation? For each lesson discussion, follow these suggested procedures: • efore starting each lesson discussion, distribute copies of the lesson B to participants to make it easier for them to participate. • sk one of the participants to read the lesson aloud. This allows A participants to be engaged at an early stage. • ive participants about five minutes to think about the lesson G individually, write down any thoughts they may have, and answer the questions before discussing them aloud. • fter participants have been given time to work independently, A have them share short responses to the lesson. Then allow partici- pants to discuss answers to the questions. • s instructor, listen to the discussion without actively participating, A unless the discussion becomes disorderly or off-point. The goal of instructors is to build trust and encourage honest reflec- tion. Encourage participants to work independently or as a group to devise concrete strategies for dealing with the issues presented in the lessons. Strategies should include immediate steps and future steps. At the end of each lesson, participants should recognize some of the barriers that prevent laboratory personnel from behaving in a safe or secure manner and should be able to list steps for overcoming those barriers. Only by addressing barriers can laboratory personnel promote a culture of safety and security. In addition, participants should leave the training session feeling empowered to think creatively in response to safety issues. Finally, it is important for all participants to leave the session understanding that everyone is responsible for the safety and security of the laboratory, not just certain individuals.

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 APPENDIX G Lesson 1: Ensuring the use of Safety Measures in the Laboratory For Instructor Overview: This lesson describes the challenges a new laboratory manager faces in ensuring that staff uses appropriate personal protective equipment. Objectives: • Recognize the importance of personal protective equipment (PPE) • dentify barriers to the safe and consistent use of PPE in laboratories I • enerate action steps that laboratory managers can use to encour- G age the use of PPE among laboratory workers and visitors • dentify methods for convincing supervisors and other institutional I leaders of the importance of PPE and its regular use • ecognize that there are many ways to encourage the adoption of R safe practices in a laboratory Reasons for not wearing the goggles in this lesson could include • cost and/or unavailability of goggles; • a lack of habit; • lack of initial understanding of the importance of wearing protec- a tive equipment or of the hazards posed by the work; • a sense of invincibility; • a lack of confidence or respect in the new laboratory manager; • a cultural acceptance of risk and destiny; • eeling of resistance since the new laboratory manager is an outsider; f • orkers wanting to rebel against the changes to traditional practices; w • ossible anticipation of physical discomfort from wearing the goggles; p • laboratory manager’s supervisor’s attitude; and • eeling of unattractiveness or detracting from their physical appearance. f There may also be many reasons why the women in the lab are even less likely to use the goggles than the men. Perhaps the female workers believe their tasks are less risky than the ones performed by the men. It is also pos- sible that the women may feel that their health is less important than that of the men in their laboratories and if so, perhaps they are choosing not to diminish the supply of available goggles for their male colleagues.

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 APPENDIX G Segment 1 A recent graduate of a well-respected institution is hired as a labora- tory manager for a small chemical company. Soon after starting work, the manager notices that many laboratory personnel do not have safety goggles. To fix the problem, the manager orders pairs for everyone and invites the staff to pick them up from central inventory. A few weeks later, the manager notices that many pairs of goggles are still in storage. On a walk through the labs to see what is going on, the manager notices that many of the goggles are prominently displayed on laboratory shelves but still in boxes. The manager also notices that many of the female employees have not even picked up their goggles from central inventory. 1. Why would the laboratory personnel be reluctant to wear the safety goggles? I nstructor: Encourage participants to share why there is a disregard for safety and consider what could be influencing the workers’ ac- tions. Please refer to the preious page for examples of why person- nel may not be wearing goggles. 2. What should the lab manager do? I nstructor: Lead a discussion to find the best course of action. Participants’ suggestions could include: • old a training session for all laboratory personnel that fo- h cuses on the importance of PPE and its regular use; • ost signs in the laboratory to remind personnel of the im- p portance of PPE, especially goggles, and its correct use; • egularly remind personnel to use goggles, and check on their r proper use; • distribute uncollected goggles to personnel; and • raise and thank people for properly wearing PPE. p Segment 2 As an attempt to rectify the situation, the laboratory manager hands out the remaining goggles to those who had neglected to pick them up and reminds the staff of the importance of using safety goggles while working in the lab. The manager is reassured by the fact that everyone agreed with him. Nevertheless, when walking through the labs a few days later, the manager notes again that many personnel still are not wearing their goggles. 3. What should the lab manager do now? List the strategies the manager could use in the table below. Note the advantages and disadvantages of each option.

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 APPENDIX G I nstructor: Encourage participants to think about immediate, near- term, and long-term strategies. An example is proided in the first row of the table. Strategies to Barriers address barrier Advantages Disadvantages goggles are remind demonstrates does not uncomfortable personnel of the a consistent address the to wear need for goggles culture of safety specific problem to preent eye in the lab of discomfort injuries 4. What kind of help would the manager need? From whom? I nstructor: Help participants recognize that it is much harder to make change alone. Some solutions could include seeking help from peers, superisors, or professional societies. 5. Would the situation be different if the laboratory manager were an older, established researcher? I nstructor: Encourage participants to share what they would do if the laboratory manager were an established, older researcher. Ask questions to help participants understand the difficulties faced by younger managers, such as: Do workers listen to older, more expe- rienced managers more than someone who is younger and recently graduated? 6. If the laboratory manager were a woman, would the situation be different? How? I nstructor: Hae participants discuss the impacts of haing a fe- male laboratory manager in their own laboratory. Encourage par- ticipants to recognize any special challenges that a female manager might hae that a male manager might not face. Lead participants to brainstorm ways that a female manager might oercome these challenges. Segment 3 After many weeks of work, the manager succeeds in getting the staff to wear their goggles consistently. One day, as part of a review of the in- stitution, the manager’s supervisor takes a tour of the laboratories. When offered goggles before entering the laboratory, the supervisor waves them off saying, “Oh, I will only be in there for a few minutes. I’m sure I’ll be fine.”

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 APPENDIX G 1. What impact could the supervisor’s behavior have on the labora- tory staff? I nstructor: Help participants recognize that the superisor acts as a role model. Not wearing goggles may undo the work put in by the laboratory manager. 2. What should the laboratory manager do now? I nstructor: Ask participants to discuss the position the laboratory manager is in. Lead the discussion with questions such as: What is going through the manager’s head? Should the manager publicly challenge the superisor, or is it best for the manager to talk to the superisor in priate? ae participants write down all of the options aailable to the H laboratory manager and discuss them to find the best answer. Suggestions could include discussing the situation in priate with the superisor, trying to gently encourage the superisor to wear the goggles, pointing out that the entire laboratory staff wears goggles regularly, or remind the superisor that it is really im- portant to set an example for others who look up to him or her. Remind participants that the manager’s goal is to hae the super- isor support the manager and the culture of safety throughout their institution. 3. How is this case relevant to your laboratory? I nstructor: Ask participants to draw from their own experiences. Ask questions such as: Hae you eer been in a situation similar to this? What did you do? 4. Are safety goggles required in your laboratory at all times? Why or why not? I nstructor: This is a reflectie question for participants. Encourage participants to think about reasons why they don’t wear goggles. Ask: Are there times when it is not necessary to wear goggles? Then discuss how to address this issue. 5. Does the staff in your laboratory comply with other similarly im- portant safety measures? Why or why not? I nstructor: This question should be used for self-reflection. Ask participants to write down answers for themseles only, as a way to reflect on their performance as managers. 6. What strategies should laboratories put in place to better promote a culture of safety? I nstructor: Write down participants’ suggestions on a board or large piece of paper. Ideas could include training, signage, bet- ter leadership compliance, or inestment in PPE and other safety equipment.

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 APPENDIX G 7. To better promote a culture of safety, what support will laboratory managers need? From whom? I nstructor: Ask participants to think about what resources they will need to successfully implement the strategies suggested in number  aboe. Encourage participants to seek help from superisors, peers, other institutions, and professional societies. 8. What is the best way to secure that support for a culture of safety? I nstructor: The answer to this question will be dependent on each indiidual institution. Some countries may not hae ample re- sources to implement all safety strategies. For Participants Segment 1 A recent graduate of a well-respected institution is hired as a labora- tory manager for a small chemical company. Soon after starting work, the manager notices that many laboratory personnel do not have safety goggles. To fix the problem, the manager orders pairs for everyone and invites the staff to pick them up from central inventory. A few weeks later, the manager notices that many pairs of goggles are still in storage. On a walk through the labs to see what is going on, the manager notices that many of the goggles are prominently displayed on laboratory shelves but still in boxes. The manager also notices that many of the female employees have not even picked up their goggles from central inventory. 1. Why would the laboratory personnel be reluctant to wear the safety goggles? 2. What should the lab manager do? Segment 2 As an attempt to rectify the situation, the laboratory manager hands out the remaining goggles to those who had neglected to pick them up and reminds the staff of the importance of using safety goggles while working in the lab. The manager is reassured by the fact that everyone agreed with him. Nevertheless, when walking through the labs a few days later, the manager notes again that many personnel still are not wearing their goggles.

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 APPENDIX G 1. What should the lab manager do now? In the table below, list the strategies the manager could use. Note the advantages and disad- vantages of each option. Strategies to Barriers address barrier Advantages Disadvantages 2. What kind of help would the manager need? From whom? 3. Would the situation be different if the laboratory manager were an older, established researcher? 4. If the laboratory manager were a woman, would the situation be different? How? Segment 3 After many weeks of work, the manager succeeds in getting the staff to wear their goggles consistently. One day, as part of a review of the in- stitution, the manager’s supervisor takes a tour of the laboratories. When offered goggles before entering the laboratory, the supervisor waves them off saying, “Oh, I will only be in there for a few minutes. I’m sure I’ll be fine.” 1. What impact could the supervisor’s behavior have on the labora- tory staff? 2. What should the laboratory manager do now? 3. How is this case relevant to your laboratory? 4. Are safety goggles required in your laboratory at all times? Why or why not? 5. Does the staff at your laboratory comply with other similar impor- tant safety measures? Why or why not?

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0 APPENDIX G 6. What strategies should laboratories put in place to better promote a culture of safety? 7. To better promote a culture of safety, what support will laboratory managers need? From whom? 8. What is the best way to secure that support for a culture of safety?