• Record Type:
    OSHA Notice
  • Current Directive Number:
    99-3 (CPL 2)
  • Old Directive Number:
    99-3 (CPL 2)
  • Title:
    Site Specific Targeting.
  • Information Date:
Archive Notice - OSHA Archive

NOTICE: This is an OSHA Archive Document, and may no longer represent OSHA Policy. It is presented here as historical content, for research and review purposes only.

Notice



DIRECTIVE NUMBER: 99-3 (CPL 2) EFFECTIVE DATE: April 19, 1999
SUBJECT: Site Specific Targeting

ABSTRACT

Purpose: This notice replaces the August 14, 1998 notice, which amended OSHA's interim plan for inspection targeting, with a new site specific targeting inspection plan.
   
Scope: OSHA-wide
   
References: OSHA Instruction CPL 2.25I, Scheduling System for Programmed Inspections; OSHA Instruction CPL 2.103, Field Inspection Reference Manual (FIRM); OSHA Instruction CPL 2.111, Citation Policy for Paperwork and Written Program Requirement Violations

   
Cancellations: OSHA Notice 98-3 (CPL 2), Interim Plan for Inspection Targeting
   
Expiration Date: December 31, 1999
   
State Plan Impact: State Adoption not Required, See Paragraph VI
   
Action Offices: National, Regional and Area Offices
   
Originating Office: Directorate of Compliance Programs
   
Contact: William J. Smith (202-693-1850)
Directorate of Compliance Programs
200 Constitution Ave, NW
Washington, DC 20210

By and Under the Authority of
Charles N. Jeffress
Assistant Secretary






TABLE OF CONTENTS

  1. Purpose.

  2. Scope.

  3. References.

  4. Cancellation.

  5. Expiration Date.

  6. Federal Program Change.

  7. Action Information.

  8. Definitions.

  9. Background.

  10. Description of the Site Specific Targeting (SST) Plan.

  11. Scheduling.

  12. Deletions.

  13. Inspection Procedures.

  14. Relationship to Other Programs.

  15. Recording and Tracking.

APPENDIX A Industry Groups Included in Collection of Calendar Year 1997 Injury & Illness Data

APPENDIX B Compliance Officer Checklist

INDEX


  1. Purpose. This notice replaces the August 14, 1998 notice, which amended OSHA's interim plan for inspection targeting, with a new site specific targeting inspection plan.

  2. Scope. This notice applies OSHA-wide.

  3. References.

    • OSHA Instruction CPL 2.25I, Scheduling System for Programmed Inspections
    • OSHA Instruction CPL 2.103, Field Inspection Reference Manual (FIRM)
    • OSHA Instruction CPL 2.111, Citation Policy for Paperwork and Written Program Requirement Violations
    • OSHA Instruction CPL 2-2.45A, Process Safety Management of Highly Hazardous Chemicals -- Compliance Guidelines and Enforcement Procedures
    • OSHA Instruction, STP 2.22A, State Plan Policies and Procedures Manual
    • Log Data Collection System Procedures Manual: 1997 Log Data Collection Initiative

  4. Cancellation. OSHA Notice 98-3 (CPL 2), Interim Plan for Inspection Targeting

  5. Expiration Date. This notice will terminate on December 31, 1999.

  6. Federal Program Change. This notice describes a Federal OSHA program change for which State adoption is not required.

    The site specific targeting inspection plan described in this notice is not required to be adopted by States; however, States are required to have their own inspection targeting systems (a "core inspection policy"), which must be documented in a State Plan supplement. States may choose to adopt the procedures contained in this notice. There are a number of options available to States.

    1. Continue to use an existing State-developed high hazard inspection targeting system based on available State data.

    2. Continue to use an existing high hazard inspection targeting system based on OSHA Instruction CPL 2.25I, which is based on Bureau of Labor Statistics (BLS) injury/illness rate data. (The Office of Statistics will continue to make these State-specific lists available to a State annually, upon specific request.)

    3. Adopt the targeting inspection plan established by this notice. The plan is based on establishment-specific employer LWDII data obtained through the 1998 Data Initiative. (The Office of Statistics will provide a Data Initiative list of high-rate employers within the State and criteria for inspection categories, upon specific request.)

      A State choosing to adopt this targeting plan for its inspection targeting should indicate its anticipated adoption date on the two-way memorandum and submit the cover page of the State's implementing notice or memorandum to the Regional Administrator when the State change has been implemented.

  7. Action Information.

    1. Responsible Office. Directorate of Compliance Programs (DCP)

    2. Action Offices. National, Regional and Area Offices

    3. Information Offices. State Plan States, Consultation Project Managers

  8. Definitions.

    Data Initiative (a.k.a. Data Survey): Nationwide collection of establishment-specific injury and illness data from approximately 80,000 employers. This notice uses data from the 1998 Data Initiative (data for calendar year 1997, collected in 1998). See Appendix A.

    Lost Workday Injury and Illness (LWDII) Rate: This includes cases involving days away from work and restricted work activity and is calculated based on (N/EH) x (200,000) where N is the number of lost work day injuries and illnesses combined, EH is the total number of hours worked by all workers during the calendar year and 200,000 is the base for 100 full-time equivalent workers. For example:

    Workers of an establishment including management, temporary, and leased workers worked 645,089 hours at this worksite. There were 22 lost workday injuries and illnesses from the OSHA 200 (totals in columns 2 and 9). The LWDII rate would be (22/645,089) x (200,000) = 6.8.

  9. Background. On April l0, 1998, OSHA issued a notice implementing its interim plan for inspection targeting. The interim plan targeted for inspection establishments in 99 high hazard industries for which establishment-specific data from calendar year 1996 (1997 Data Initiative) were available. These industries were identified by using Bureau of Labor Statistics (BLS) data. On August 14, 1998, the April 10 notice was updated and amended in minor respects.

    This notice replaces the interim targeting plan with a new site specific targeting (SST) plan. The SST plan targets for inspection establishments with high injury and illness rates in calendar year 1997, as shown by data collected in the 1998 Data Initiative.

  10. Description of the Site Specific Targeting (SST) Plan.

    1. Inspection Targeting List. The SST plan targets individual worksites, as identified through the 1998 Data Initiative. The national average LWDII rate for private industry for 1997 was 3.3. The SST plan initially targets those worksites with a LWDII rate above 16.0 (over 2200 sites). However, an exception is made for establishments in Skilled Nursing Care Facilities (SIC 8051), Intermediate Care Facilities (SIC 8052), and Nursing and Personal Care, Not Elsewhere Classified (SIC 8059). This group of three industries contains many more establishments than the other SICs on the list. To avoid over-concentration of inspections in this group, only the top 20% of the establishments in these SICs with LWDII rates over 16.0 will be included on the list. All of the establishments on the Inspection Targeting List will be inspected by December 31, 1999, except as provided below in XI.B.

    2. Supplemental Inspection List. If an Area Office will complete its inspections of all establishments with LWDII rates above 16.0 before December 31, 1999, it should estimate the number of additional programmed inspections it can conduct before that date. The Area Office should request a supplemental inspection list containing that number of additional establishments from the Office of Statistics through the Directorate of Compliance Programs. Additional establishments will be randomly generated by the National Office from those establishments reporting an LWDII rate between 10.0 and 16.0 in the 1998 Data Initiative. These establishments will be inspected using procedures defined in this notice.

      To avoid over-concentration of the three SIC codes mentioned in paragraph X.A., establishments in these SIC codes will be pooled together with general industry firms. Then the needed number of establishments will be randomly selected from the pool, but the number of establishments from the three SIC codes may not exceed 10% of the number of establishments selected for an Area Office's Supplemental Inspection List.

    3. Establishments with Fewer than 50 Workers. If an establishment to be inspected under the SST plan currently has fewer than 50 workers, the inspection will still be conducted, provided that it has more than ten workers and its LWDII rate is greater than 10.0 or if records are not available. See XIII. E., below for more details.

  11. Scheduling. The National Office will provide each Area Office with a software package and database containing the establishments on the Inspection Targeting List for their coverage area. As discussed in X.B., the National Office will provide an Area Office with a Supplemental Inspection List upon request.

    1. Cycle Size. Area Offices shall base their determination of cycle size (i.e., 5 to 50 establishments) on considerations of available resources and geographic range of the office. Larger cycle sizes will allow greater flexibility and efficiency of scheduling, but once begun, the cycle must be completed. If a cycle larger than 50 would provide the Area Office with more efficient use of staff, the office should request Regional Office approval for a larger cycle size.

      Note: Area Offices that have started but not completed a cycle of inspections from OSHA Notice 98-3 must complete that cycle before moving to inspections under this plan. Any remaining cycles under OSHA Notice 98-3, which have not been started, will not be used.

      Within a cycle, the establishments may be scheduled and inspected in any order that makes efficient use of available resources.

      When a cycle is completed, the Area Office may generate a new cycle using the software.

      All of the establishments in a cycle must be inspected before any establishments in a new cycle may be inspected. Carryovers will be allowed, as provided in OSHA Instruction CPL 2.25I, at paragraph B.1.b.(1)(e).

    2. Inspection Priority. The first inspection priority for Area Offices is to conduct unprogrammed inspections. Although Area Offices will continue to conduct other programmed inspections under national emphasis programs, or local emphasis/ initiative programs as the Area Office and Regional goals dictate, all sites on the Inspection Targeting List must be inspected prior to December 31, 1999, unless the Regional Administrator has received special approval from the Deputy Assistant Secretary. That approval will normally require the Area Office to complete all inspections in the current cycle.

  12. Deletions. Area Offices will be responsible for making appropriate deletions to the inspection list, such as for establishments that are no longer in business, in accordance with CPL 2.25I at B.1.b.(1)(b)6.d.

    Establishments that have received a comprehensive safety and health inspection after January 1, 1997, will be deleted from the inspection list.

  13. Inspection Procedures.

    1. Scope. Inspections conducted under this plan will be comprehensive programmed safety and health inspections as defined by the FIRM (OSHA Instruction CPL 2.103) and conducted in accordance with the procedures described there and in other guidance documents.

    2. Citations. All violations will be cited according to the FIRM (OSHA Instruction CPL 2.103) and other guidance documents.

    3. Compliance Officers. Inspections under the plan may be conducted either as one combined safety and health inspection by a cross-trained compliance officer (as established through specific training or demonstrated ability), or as separate safety and health inspections, or as joint safety and health inspections.

      For a checklist of items that compliance officers need to accomplish on inspections please refer to Appendix B.

    4. Ownership. If the ownership of the establishment has changed since the end of 1997, proceed with the inspection unless the new ownership has been in place for at least six months, and the recalculated LWDII for the period of the new ownership is at or below 10.0. (When calculating the LWDII for the period of the new ownership, which may be less than a year, be sure both N and EH are for the new ownership period.)

      In facilities where the ownership has changed, compliance officers shall enter into the IMIS the Dun & Bradstreet (Dun's) number in the appropriate field on the Establishment Detail Screen. This can be accessed by pressing F5 in Item 8 to access establishment processing. Once establishment processing is completed, the Dun's number will appear in Item 9b.

    5. Recalculate LWDII. During inspections under this notice, the OSHA 200 logs for 1996, 1997, and 1998 will be reviewed. The LWDII rate for all three years will be recalculated and recorded on the OSHA 1 Form. The LWDII rate for 1997 (calculated by the compliance officer) will be compared to the LWDII rate reported by the employer to the OSHA 1998 Data Initiative data collection. (See paragraph VIII, above, for an example of LWDII calculations.) A recalculation will not be performed if, for any reason, the relevant records are not immediately available. Compliance officers will check OSHA 101 Forms as they deem appropriate to validate the OSHA 200 Forms.

      If records are not available for compliance officers to make this determination, the workplace comprehensive safety and health inspection will proceed and appro-priate citations under 29 CFR 1904 shall be considered.

      If the establishment's recalculated rate is below 16.0, but the 1997 or 1998 LWDII rate is at or above 10.0, proceed with the inspection.

      If the establishment's recalculated rate using the establishment's records is less than10.0 for both years, do a records audit and then recalculate the establish-ment's LWDII rate. Classify the inspection as a "records only" inspection and exit the facility, if the rate for both years is below 10.0.

      If recordkeeping violations are discovered, they shall be cited in accordance with OSHA Instruction CPL 2.111. A partial walkthrough may be conducted to inter-view workers in order to confirm and verify the injury and illness experience. Any serious violations that are observed in the vicinity or brought to the attention of the compliance officer shall be investigated and may be cited.

  14. Relationship to Other Programs.


    1. Unprogrammed Inspections. Unprogrammed inspections will be conducted according to the FIRM (OSHA Instruction CPL 2.103) or other guidance docu-ments.

    2. Special Emphasis Programs. Some establishments may be selected for inspection under the SST plan and also under one or more other OSHA initiatives (National Emphasis (NEP), Local Emphasis (LEP), or Experimental Programs). Programs based upon particular hazards (such as silica, lead, or mechanical power presses) or on particular industries (such as logging or scrap yards) can be run concurrently with the SST plan; however, the SST plan inspections have priority. Wherever an employer shows up on the plan and on an NEP/LEP list, the inspections should be scheduled at the same time. Compliance officers will apply all applicable IMIS codes to the inspection. The employer's Dun's number should also be recorded for each inspection since it is important for tracking.

    3. Process Safety Management Inspections. Inspections conducted under the site specific targeting plan shall address process safety management if 29 CFR 1910.119 applies to the establishment being inspected. Such inspections shall be comprehensive safety and health inspections regardless of whether the establish-ment's SIC code is one of those specified in OSHA Instruction CPL 2-2.45 A; however, they will not normally be Program-Quality-Verification (PQV) inspections as defined by that instruction.

  15. Recording and Tracking. The OSHA 1 Forms for all programmed inspections conducted under this targeting inspection plan shall be marked as "planned" in item 24h and the "NEP" box checked and the value "SSINTARG" recorded in item 25d. These inspec-tions are being coded under the NEP for ease of tracking.

    The Dun's number, which is a required entry for all plan inspections, must be recorded in the appropriate field on the Establishment Detail Screen. This can be accessed by pressing F5 in Item 8 to access establishment processing. Once establishment processing is completed, the Dun's number will appear in Item 9b.


APPENDIX A

Industry Groups Included in Collection of Calendar Year 1997 Injury & Illness Data

Approximately 80,000 establishments were surveyed in the 1998 Data Initiative, including:

1. All firms in the following industries that had 50 or more employees and either (1) were not included in the 1997 Data Initiative; (2) reported a lost workday injury and illness rate of 7.0 or greater in the 1997 Data Initiative; or (3) were included in, but did not respond to, the 1997 Data Initiative.

SIC INDUSTRY
   
20-39 MANUFACTURING
   
0783 ORNAMENTAL SHRUB AND TREE SERVICES
   
4210 LOCAL TRUCKING & COURIER SERVICES, EXCEPT AIR
4220 PUBLIC WAREHOUSING AND STORAGE
4230 TRUCKING TERMINAL FACILITIES
4490 WATER TRANSPORTATION SERVICES
4510 AIR TRANSPORTATION, SCHEDULED
4580 AIRPORTS, FLYING FIELDS, & SERVICES
4783 PACKING AND CRATING
4953 REFUSE SYSTEMS
   
5010 MOTOR VEHICLES, PARTS, AND SUPPLIES
5050 METALS AND MINERALS, EXC. PETROLEUM
5093 SCRAP AND WASTE MATERIALS
5140 GROCERIES AND RELATED PRODUCTS
5180 BEER, WINE, AND DISTILLED BEVERAGES
5210 LUMBER AND OTHER BUILDING MATERIALS
   
8050 NURSING AND PERSONAL CARE FACILITIES

SICs with final digit of zero are three-digit SICs and include all four-digit SICs with the same first three digits.

Note: With certain exceptions, all of which are discussed below, these industries are those for which the Bureau of Labor Statistics reported industry-wide injury and illness rates above 5.0 for 1995 (the most current data available at the time the industries were selected for inclusion in the Data Initiative). The private industry LWDII rate for 1995 was 3.6. The exceptions include construction, agriculture, mining, commercial sports, and industries in which many of the employers are state and local governments. Construction was excluded because construction workplaces are inspected pursuant to a separate administrative plan. Agriculture (except for SIC 0783, discussed below) was excluded because most agricultural workplaces are subject to a relatively low level of OSHA enforcement. Mining was excluded because most mining operations are subject to the Mine Safety and Health Act. Commercial sports were excluded because athletic injuries are largely beyond the scope of OSHA enforcement. Industries with high concentrations of state and local government employers were excluded because state and local governments are not subject to federal OSHA enforcement. In addition, Residential Care (SIC 8360) and Museums and Art Galleries (SIC 8420) were not surveyed because establishments in these industries are not required to maintain OSHA injury and illness records. Department Stores (SIC 5310) were excluded because their injury and illness rates (5.3) were lower than most of the industries surveyed and because the industry contained too many establishments to permit their inclusion while still limiting the survey to approximately 80,000 establishments. A pilot on Department Stores, however, will be included in the 1999 Data Initiative.

Two four-digit SICs included in the survey were in three-digit SICs with rates below 5.0. These were SIC 0783 (Ornamental Tree and Shrub Services) and SIC 5093 (Scrap and Waste Material). Even though the overall rates for the three-digit SICs were relatively low, SICs 0783 and 5093 were surveyed because the historically large number of fatalities in those industries made them of special concern to OSHA. Also, for two three-digit SICs with rates above 5.0, OSHA surveyed only one four-digit component. These were SIC 4953 (Refuse Systems), which is within SIC 4950 (Sanitary Services), and SIC 4783 (Packing and Crating), which is within SIC 4780 (Miscellaneous Services Incident to Transportation). In the case of SIC 4950, SIC 4953 was included in the survey because of SIC 4950's high overall rate (7.1) and SIC 4953's high historical fatality rate, while SICs 4952 (Sewerage Systems) and 4959 (Sanitary Services, Not Elsewhere Classified) were excluded because they include a large percentage of public sector employers. In the case of SIC 4780, which had an overall rate of 8.2, SIC 4783 was included because OSHA believed it was the primary contributor to the industry's overall high rate.

2. All establishments in Logging (SIC 2411) with 11 or more employees. These establishments were surveyed to support OSHA's strategic plan, which has as one of its goals a 15% reduction in the historically high rates of injuries and fatalities in Logging by the year 2002.

3. Two hundred and fifty (250) randomly selected establishments with 40-49 employees in the SIC Codes listed above. Data were collected from a small number of firms of this size to test whether such data would be comparable to those reported by larger firms.

4. Some establishments in North Carolina and Minnesota were surveyed for the sole use of those state plans in evaluating their programs.


APPENDIX B

Compliance Officer Checklist

On-site:

Confirm SIC. If not in Data Initiative SIC list, proceed anyway, based on high rate. Enter correct SIC on OSHA 1.

Employment. If the establishment has fewer than 50 employees, proceed with inspection as long as there are more than ten employees.

Ownership. If the ownership of the establishment has changed since the end of 1997, proceed with the inspection unless the new ownership has been in place for at least six months, and the recalculated LWDII for the period of the new ownership is at or below 10.0. (When calculating the LWDII for the period of the new ownership, which may be less than a year, be sure both N and EH are for the new ownership period.) See IMIS section below for Duns number entry.

Verify LWDII Rate. Review the OSHA 200 logs for 1996, 1997, and 1998. The LWDII rate for all three years will be recalculated and recorded on the OSHA 1 Form. The LWDII rate for 1997 (calculated by CSHO) will be compared to the LWDII rate reported by the employer to the OSHA 1998 Data Initiative data collection. A recalculation will not be performed if, for any reason, the relevant records are not immediately available. Compliance officers will check OSHA 101 Forms as they deem appropriate to validate the OSHA 200 Forms.

  • If the review confirms a 1997 rate or 1998 rate below 16.0 but at or above 10.0, proceed with the inspection.

  • If the review confirms a rate less than 10.0 for both years, then do an audit to get true LWDII. Then classify the inspection as a "records only" inspection and exit the facility.

  • Cite for recordkeeping and any observed serious violations. A partial walkthrough may be conducted to interview workers in order to confirm and verify the injury and illness experience. Any serious violations that are observed in the vicinity or brought to the attention of the CSHO shall be investigated and may be cited.

IMIS:

Record the Dun's Number. Press F5 in Item 8 to access establishment processing and record the Dun's number in the appropriate field on the Establishment Detail Screen. Once establish-ment processing is completed, the Dun's number will appear in Item 9b.

Enter the inspection as Planned in Item 24. Note: If the reason for going to the ITP site is an unprogrammed activity, and the comprehensive ITP inspection is conducted concurrently, then the inspection will be marked complaint, referral, etc.

Enter SSINTARG in Item 25d.

Enter all applicable NEP, LEP and Experimental Programs codes in Item(s) 25c and 25d where a comprehensive ITP inspection was conducted and the inspection also met the protocol for the other program(s).

Enter all applicable Strategic Plan hazard/industry codes in Item 25f.


INDEX

Agriculture

Area Office

Background

BLS

Bureau of Labor Statistics

Cancellation

Carryovers

Checklist

Citations

Construction

CPL 2.103

CPL 2.111

CPL 2.25I

CPL 2-2.45A

Cycle size

Data Initiative

Data survey

Definitions

Deletions

Directorate of Compliance Programs

Dun's number

Establishment-specific

Experimental Programs

Expiration date

Fatalities

Federal Program Change

Field Inspection Reference Manual

FIRM

IMIS

Inspection priority

Inspection Procedures

Inspection Targeting List

Interim plan

Lead

Log Data Collection Initiative

Logging

LWDII rate

Mechanical power presses

Mining

Nursing care facilities

Office of Statistics

OSHA 1

OSHA 101

OSHA Notice 98-3

Ownership

Process Safety Management

Program-Quality-Verification (PQV)

Purpose

Recording

References

Regional Office

Scheduling

Scope

Scrap yards

SIC

Silica

Site specific targeting

Special Emphasis Programs

SST

State

STP 2.22A

Strategic plan

Supplemental Inspection List

Tracking

Unprogrammed inspections



Archive Notice - OSHA Archive

NOTICE: This is an OSHA Archive Document, and may no longer represent OSHA Policy. It is presented here as historical content, for research and review purposes only.