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February 2, 2011

MEMORANDUM FOR: REGIONAL ADMINISTRATORS, DIRECTORATES AND FREE STANDING OFFICES

FROM:

David Michaels, PhD, MPH

SUBJECT:

VPP Policy Memorandum #4: Further Improvements to the Voluntary Protection Programs (VPP)

This memorandum, which supplements the August 3, 2009 memorandum, "Improving the Administration of the Voluntary Protection Programs (VPP)," and subsequent VPP policy memorandums, clarifies actions for OSHA Regions to implement in the Occupational Safety and Health Administration's (OSHA) continuing efforts to improve its administration of the VPP. The following instructions clarify policy and procedures for the annual data submission required of all VPP participants and OSHA's review of the submissions. Unless otherwise noted, these instructions are effective immediately.

OSHA Instruction CSP 03-01-003 VPP Policies and Procedures Manual Appendix C provides a format which describes the required data VPP participants are expected to submit to OSHA on an annual basis. It was discovered, through inconsistent data submissions, that Appendix C did not clearly describe the data OSHA was requiring from VPP participants. This memorandum provides clarification of data that is to be submitted by VPP participants on an annual basis.

Procedures for Submission of CY 2010 Injury and Illness Data:

OSHA has developed the document found in Attachment A: "Format for Annual VPP Participant Submissions." This document, which will be posted on OSHA's VPP webpage, will replace Appendix C of OSHA Instruction CSP-03-01-003, VPP Policies and Procedures Manual dated April 18, 2008. The revised format reflects the new ways to participate established by the January 9, 2009 Federal Register Notice, 74 FR 927 and clarification for annual data submissions. You will find changes in the introduction and Sections A and B only.

OSHA expects all participants to adhere to the revised requirements for participant injury and illness data submission beginning with the data from CY 2010. The new format clearly delineates the data submission requirements for site-based non-construction participants, site-based construction participants, and mobile workforce participants. Each Regional VPP Manager will provide Attachment A by email to the Region's VPP participants under federal jurisdiction to ensure a timely submission for their annual self evaluations. Subsequently, in reviewing participants' annual submissions for CY 2010 and subsequent years, each Regional VPP Manager must consider these revised data submission requirements.

For participants' CY 2010 data and annual self-evaluation only, the deadline for submission to OSHA is extended from February 15, 2011 to March 15, 2011.

Attachment

Attachment A
Format for Annual VPP Participant Submissions

This document replaces Appendix C of the April 18, 2008 VPP Policies and Procedures Manual.  It will be made available on OSHA’s VPP web page.

OSHA requires each VPP participant to perform annually a self-evaluation of its safety and health management system.  This self-evaluation, reflecting the previous calendar year’s experience, must be submitted to the participant’s OSHA Regional VPP Manager by February 15 of each year.  Participants will find it useful to review the VPP Federal Register Notice, 74 FR 927, January 9, 2009, which includes annual submission requirements, safety and health management system requirements applicable to all participants, plus additional requirements unique to the participant’s chosen way to participate.

The annual self-evaluation is not a compliance audit.  It is a critical review to assess the effectiveness of all four VPP elements and their sub-elements, and to analyze participant and contractor injury and illness data and trends.  It should include a review of written programs, a walk-through of the workplace, and interviews with employees.  During this process, participants should answer the following questions relating to each element and sub-element of their safety and health management system:

  1. Is it comprehensive?
  2. Is it operating effectively and meeting established goals and objectives?
  3. Are there problems that require the development and implementation of solutions in order to maintain excellent worker protection and continued VPP eligibility?
  4. What improvements can be made to make it even more effective?
  5. What goal modifications should be made for the upcoming year?

OSHA expects the evaluation to include participant and applicable contractor injury and illness data, progress toward Merit or 1-Year Conditional Star goals (if applicable), and success stories.  OSHA uses the submitted information to update records and statistics, showcase successes related to implementation of the VPP requirements, and demonstrate that participants are committed to continuous improvement of worker safety and health at their facilities.

Additionally, participants that fall under OSHA’s Process Safety Management (PSM) standard must provide responses to all applicable questions found in the PSM Supplement B questionnaire.  The responses must cover all PSM operations within the site/DGA.

OSHA encourages participants to use the following suggested format in preparing their annual self-evaluation submission:

Revised Suggested Format for Participant's Annual Submission
(Use for Calendar Year 2010 and Subsequent Years)

Section A:  Summary Information


Table A-1 Participant Summary Sheet


To be completed by all VPP Participants

VPP Participant Name
Address
Phone

Calendar Year Date Submitted

Corporate Information


(if different from above)

Name
Address
Phone

Site/DGA Manager

Name
Phone
E-Mail
Fax
Site/DGA VPP Contact

Name
Phone
E-Mail
Fax
NAICS Code


VPP Status


To be completed by Site-Based Non-Construction Participant (1)
Number of Employees


Hours Worked TCIR DART Rate

Summary - All Applicable Contractors of a Site-Based Non-Construction Participant (2)


Total Number of
Applicable Contractor
Employees




Hours Worked Onsite of
All Applicable
Contractor Employees
Combined Applicable
Contractor TCIR
Combined Applicable
Contractor

DART Rate
To be completed by Site-Based Construction or Mobile Workforce Participant (3)
Total Number of All
Site/DGA Employees
Including All
Contractor Employees




Hours Worked of All
Site/DGA Employees
Including All
Contractor Employees
Combined TCIR Combined DART Rate

(1) Site-based Non-Construction Participants:  Enter the average number of employees employed at the site and the total hours worked by the participant’s own employees (including temporary and contractor employees regularly intermingled with and directly supervised by participant employees) at the approved site.  Injury and illness data should cor

(2) Summary of Applicable Contractors of Site-Based Non-Construction Participants:  All data in these cells must reflect the combined employee numbers and hours worked of only applicable contractors’ employees at the approved site.  Applicable contractor data must not be combined with participant employee numbers and site hours unless contractor employees are regularly intermingled with and directly supervised by participant employees.

(3) Site-Based Construction and Mobile Workforce Participants:  All data must reflect the combined workforce of participant employees and all contractor/subcontractor employees. 

Table A-2 Union Information
Union Name

 
Union Local Number  
Union Representative for the Site/DGA

 
Address



 
Phone  
E-Mail  
Fax  

Section B: Injury & Illness Rate Information

Injury and illness rate information for the previous calendar year must be received in the Regional Office or appropriate Field Office no later than February 15th of each year, along with your annual self-evaluation. (An exception is made for submissions reflecting CY 2010 performance; the deadline is extended to March 15, 2011.)

(1) Site-based Non-Construction Participants: Use Table B-1 below to submit data for your own site employees including temporary employees and any contractor employees regularly intermingled with and directly supervised by your employees. On the Participant Summary Sheet (see Section A, Table A-1), you will record some of the data you record in Table B-1.

(2) Site-based Non-Construction Participants with Applicable Contractors: Use Table B-2. Provide a separate Table B-2 for each applicable contractor (an applicable contractor is a contractor whose employees worked 1,000 hours or more at your site in any calendar quarter). Report applicable contractor injury and illness experience only for work at your site. Do not combine this data with your own site employee data. The NAICS code should reflect the applicable contractors primary work activity at your site, and not necessarily the participants NAICS code. On the Participant Summary Sheet (see Section A, Table A-1) you will record combined data for all applicable contractors.

(3) Site-Based Construction and Mobile Workforce Participants: Use Table B-1. Submit combined work hours and combined injuries and illnesses of all employees. This must include your own employees including temporary employees plus all contractor/subcontractor employees. Use this combined data to calculate your site or DGA TCIR and DART rate. On the Participant Summary Sheet (see Section A, Table A-1) you also will record combined data.

Table B-1
VPP Participants Record able Non-Fatal Injury and Illness Case Incidence Rates
1 2 3 4 5 6 7
Year Total
Number
Employees
Total Work
Hours
Total Number
of Injuries &
Illnesses
Total Case Incidence
Rate for Injuries and
Illnesses (TCIR)
Total Number of
Injury & Illness Cases
Involving Days Away
from Work, Restricted
Work Activity, and/or
Job Transfer
Days Away
from Work,
Restricted
Work Activity,
and/or
Job Transfer Rate
(DART Rate)
   

       
Most recent published BLS rate for
NAICS code _________
     
Percent above or below National Average

     
Participant's 3-Year TCIR and DART rate

     


Table B-2
Applicable Contractor Record able Nonfatal Injury and Illness Case Incidence Rates
(for use by site-based non-construction participants)
(for the applicable contractors work at your site only)
Name of Applicable Contractor
NAICS Code for applicable contractors work at your site
1 2 3 4 5 6 7
Year Total
Number
Employees*
Total Work
Hours
Total Number
of Injuries &
Illnesses
Total Case Incidence
Rate for Injuries and
Illnesses (TCIR)
Total Number of
Injury & Illness Cases
Involving Days Away
from Work, Restricted
Work Activity, and/or
Job Transfer
Days Away
from Work,
Restricted
Work Activity,
and/or
Job Transfer Rate
(DART Rate)
   

       
Most recent published BLS rate for
NAICS code _________
     
Percent above or below National Average

     

* Estimated average number of applicable contractor employees.

Calculating Rates for Tables B-1 and B-2

Annual rates are calculated by the formula (N/EH) x 200,000 where:

N = Total number of record able nonfatal injuries and illnesses during the calendar year. Site-based non-construction participants: This number will be the total injuries and illnesses of your site employees including temporary employees and any contractor employees regularly intermingled with and directly supervised by your employees. Site-based construction participants and mobile workforce participants: This number will be total injuries and illnesses of your own employees plus all contractor/subcontractor employees.

For the TCIR use the total number of injuries and illnesses.

For the DART rate use injuries and illnesses resulting in days away from work, restricted work activity, and/or job transfer.

EH = Total number of hours worked by employees during the year. Site-based non-construction participants: This number will be hours worked by your site employees including temporary employees and any contractor employees regularly intermingled with and directly supervised by your employees. Site-based construction participants and mobile workforce participants: This number will be hours worked by your own employees including temporary employees and contractors directly supervised by applicant/participant plus all contractor/subcontractor employees.

200,000 = equivalent of 100 full time employees working 40 hours per week, 50 weeks per year.

BLS data: Insert the TCIR and DART rates for your industry from the Bureau of Labor Statistics (BLS) Table of Incidence Rates of Nonfatal Occupational Injuries and Illnesses by Industry. Find the table at the Bureau of Labor Statistics web site or obtain from your Regional VPP Manager. Compare your rates to the most recently published BLS average rates for your industry: Calculate the percent above or below the BLS national average for your TCIR and DART rates using the formula: [(Site rate - BLS rate) BLS rate] x 100.

When Participant Rates Have Increased

If your 1-year site/DGA TCIR or DART rate has increased since last year, you must identify and describe the contributing factors and corrective actions you have taken. Include this information in the narrative evaluation of each related element and sub-element. See Section D below.

If your 3-year site/DGA TCIR or DART rate now exceeds the highest rate of the last 3 years published by the BLS statistics for your NAICS code, you must submit a rate reduction plan based on your findings. Contact your Regional VPP Manager to discuss the terms of your rate reduction plan.

Section C: Significant Events or Changes

Describe the impact of any significant event, the change that occurred, and the steps taken to ensure or restore employee safety and health e.g. change in management, corporate buy-out, complaint, accident, catastrophe, fatality, etc.

Section D: Narrative Evaluation of Safety and Health Management System

In narrative form, describe the effectiveness of each of the four elements (and their sub-elements) of your safety and health management system. They are:

  1. Management Leadership and Employee Involvement
    1. Management Commitment to Safety and Health Protection and to VPP Participation
    2. Policy
    3. Goals, Objectives, and Planning
    4. Visible Top Management Leadership
    5. Responsibility and Authority
    6. Line Accountability
    7. Resources
    8. Employee Involvement
    9. Contract Employee Coverage
    10. Written Safety and Health Management System
  2. Work site Analysis
    1. Hazard Analysis of Routine Jobs, Tasks, and Processes
    2. Hazard Analysis of Significant Changes, New Processes, and Non-Routine Tasks - Including pre-use analysis and new baselines
    3. Routine Self-Inspections
    4. Hazard Reporting System for Employees
    5. Industrial Hygiene Program
    6. Investigation of Accidents and Near-Misses
    7. Trend/Pattern Analysis
  3. Hazard Prevention and Control
    1. Certified Professional Resources
    2. Hazard Elimination and Control Methods - Engineering Controls - Administrative Controls - Work Practice Controls and Hazard Control Programs - Safety and Health Rules and Disciplinary System - Personal Protective Equipment
    3. Process Safety Management (if applicable)
    4. Occupational Health Care Program
    5. Preventive/Predictive Maintenance
    6. Tracking of Hazard Correction
    7. Emergency Preparedness
  4. Safety and Health Training
    1. Managers
    2. Supervisors
    3. Employees
    4. Emergencies
    5. PPE

For each sub-element also include a description of:

  • Improvements made since the previous year and completion of the previous year's recommendations.
  • Any deficiencies identified, recommendations for improvement, the person(s) responsible for fulfilling each new recommendation, target dates for their completion, and the data/information reviewed to assess the effectiveness of the sub-element.

Section E: Summary Chart of Merit or 1-Year Conditional Goals

Please fill in the table below, using as many rows as necessary to summarize all of the goals currently awaiting completion of implementation, either from the previous year or the current year.

Goal Status
Goal 1:  
Goal 2:  
Goal 3:  

Section F: Success Stories

Please describe any success stories related to the implementation of VPP requirements. Include anecdotal as well as statistical evidence of improvements, non-routine safety and health activities, outreach, etc.