OSHA Instruction ADM 12.5 CH-1 June 28, 1993 Office of Management Systems and Organization

Subject: Change 1 to OSHA Instruction ADM 12.5, OSHA Compliance Records

A. Purpose. This change instruction transmits revised pages to OSHA Instruction ADM 12.5.

B. Scope. This instruction applies OSHA-wide.

C. Reference. OSHA instruction ADM 12-7.4, Safety Fatality and Catastrophe Case File Disposition.

D. Action.

1. Remove pages F-3 thru F-7 and replace them with the attached changed pages. Changes are marked in the left margin by a vertical line.

2. File this transmittal page after the signature page of the instruction as a record of this change.

E. Explanation.

1. The disposition period for safety fatality/catastrophe inspection case files was changed form a 10 year retention to Permanent retention for item 9 on page F-4. In order to capture all safety fatality/catastrophe inspection case files, the disposition for item 24, safety inspections closed on or before September 30, 1982 on page F-7 was also changed form 10 years to Permanent. Refer to OSHA Instruction ADM 12-7.4 for the new disposition instructions for these permanent records.

2. The references to OSHA Instruction ADM 12.6A in items 11 and 12 on page F-5 have been removed because that instruction was canceled.

David C. Zeigler Director Administrative Programs

Distribution: National, Regional and Area Offices, OASAM

ITEM NUMBER: 1 ITEM NUMBER: 2

TITLE: General Material TITLE: Policy Material

DESCRIPTION: General correspondence DESCRIPTION: Records and other and other material relating to materials reflecting policy, inspection activities in federally precedent, and the like relating inspected States or within Federal to planning, developing, and agencies. directing the Federal Inspection Program. The Agency Record Copy of these documents is maintained in other offices. This material does not include published include published instructions, notices, and other directives, manuals, and the like.

DISPOSITION: a. Record Copy: DISPOSITION: Destroy when

Destroy when 3 years superseded or obsolete. old.

b. Other Copies: Destroy when 2 years old.

ITEM NUMBER: 3 ITEM NUMBER: 4

TITLE: Reports TITLE: Activity Reports

DESCRIPTION: Covers all inspection DESCRIPTION: Periodic summaries of or compliance activities except those work performed by administrative or which are covered elsewhere in this program personnel. schedule such as reports properly part of an inspection case file. The Agency Record Copy of substantive reports is maintained in other offices.

DISPOSITION: a. Record Copy: DISPOSITION: Destroy when 2

Destroy when 3 years years old. old.

b. Other Copies: Destroy when 2 years old.

ITEM NUMBER: 5 ITEM NUMBER: 6

TITLE: Meetings/ TITLE: Active/Open Committees Case files

DESCRIPTION: Meetings and committees, DESCRIPTION: Includes all that relate to safety and health inspection case files upon which inspection functions and activities. an action remains to be completed. The Agency Record Copy of these Except inspection case files in records is maintained in other offices. contest, see Item 16. Does not include advisory committees.

DISPOSITION: Destroy when 3 years old DISPOSITION: Place in closed case or when no longer needed for file after all actions have been reference. completed. See items 7 thru 13 below.

ITEM NUMBER: 7 ITEM NUMBER: 8

TITLE: Closed Safety TITLE: Safety General Duty Inspections Inspections

DESCRIPTION: Safety inspection case DESCRIPTION: Consists of case files relating to a specific safety files of safety inspectios where inspection in a specific establishment. General Duty Clause (5.a.1 of the Includes related follow up Act) violations occured. Includes inspections and Proposed Modification related follow up inspecitons and of Abatement (PMA) monitoring reports. PMA monitoring reports.

EXCEPT: Combined health and safety EXCEPT: Case files involving inspections, General Duty safety fatalities or catastrophes, see inspections, safety in-compliance Item 9. inspecitons, safety fatality and catastrophe inspections classified as special interest, see items 8 thru 12 below.involving fatalities

DISPOSITION: a. Record Copy. DISPOSITION: a. Record Copy.

Transfer to Federal Transfer to FRC Records Center (FRC) not later than not later than 3 3 years after years after case case is closed. is closed. Destroy 10 years after case is Destroy 6 years after closed. case is closed.

b. Other Copies. Destroy b. Other Copies. material not placed in Destroy material the record copy when not placed in the file is consolidated. record copy when file is consolidated.

|ITEM NUMBER: 9 ITEM NUMBER: 10 | |TITLE: Safety Fatalities/ TITLE: Safety In-Compliance | Catastrophes Inspections | |DESCRIPTION: Case files of safety DESCRIPTION: Case files of safety |inspections involving Catastrophes inspections where no violations |fatalites and/or catastrophes. were cited. Includes inspections |Includes related follow-up where only a records review was |inspections and PMA monitoring conducted. |reports. | |THIS ITEM HAS BEEN SUPERSEDED BY |SCHEDULE N1-100-90-1, ITEM 23. |REFER TO OSHA INSTRUCTION |ADM 12-7.4 FOR ADDITIONAL INFORMATION. | |DISPOSITION: a. Record Copy. DISPOSITION: a. Record Copy. | Transfer to FRC not Destroy 3 years | later than 3 years after case is | after case is closed. closed. | Destroy 10 years | after case is | closed. | | b. Other Copies. Destroy b. Other Copies. | material not placed in Destroy material | the record copy when file not placed in the | is consolidated. record copy when file is consolidated.

ITEM NUMBER: 11 ITEM NUMBER: 12

TITLE: Health Inspections TITLE: Non-Sampling Health

Inspections

DESCRIPTION: Case files of DESCRIPTION: Case files of industrial hygiene inspections and industrial hygiene inspections combined safety and industrial and combined health and safety hygiene inspecitons. Includes in-compliance inspections. health and combined health and Consists of inspections where safety in-compliance inspections. sampling data was not collected. Also included follow up inspections and PMA monitoring reports. EXCEPT: Combined health and safety (Also refer to OSHA instruction inspections which involve safety ADM 12.6 for information regarding General Duty Clause inspections, asbestos-related records.) dispose in accordance with Item 8.

(Also refer to OSHA Instruction ADM 12.6 for information regarding asbestos-related records.)

DISPOSITION: a. Record Copy. DISPOSITION: a. Record Copy.

Transfer to FRC not Transfer to FRC later than 3 years not later than Destroy 40 years after 3 years after case is closed. case is closed.

Destroy 6 years after case is closed.

b. Other Copies. b. Other Copies. Destroy material not Destroy material placed in the record copy placed in the when file is consolidated. record copy when file is consolidated.

ITEM NUMBER: 13 ITEM NUMBER: 14

TITLE: Non-Formal Complaints TITLE: Reserved and Referrals

DESCRIPTION: Inspection case files DESCRIPTION: Reserved relating to complaints and Referrals or referrals concerning unsafe or unhealthy conditions in an establishment. No inspection is made of the establishment. Except for nonformal complaints which become formal and referrals which result in an inspection, see Items 8 thru 12, as appropriate.

DISPOSTION: a. Record Copy. DISPOSITION:

Destroy when 3 years old.

b. Other Copies. Destroy material not placed in the record copy when the file is consolidated.

ITEM NUMBER: 15 ITEM NUMBER: 16

TITLE: Reserved TITLE: Contested

Cases Duplicate File

DESCRIPTION: Reserved DESCRIPTION: This category

covers duplicate inspection case files when the establishment or firm appeals a citation or penalty. The original file is sent to the Solicitor and remains there until the appeal is decided. After the original file is returned to the originating office, merge the duplicate file into the original file destroying all duplicate documentation.

DISPOSITION: DISPOSITION: When the original file is returned to the originating office, merge the duplicate file into the original file destroying all duplicate documentation. Dispose in accordance with the applicable inspection case file disposition item.

ITEM NUMBER: 17 ITEM NUMBER: 18

TITLE: Reserved TITLE: Establishment Files

DESCRIPTION: Reserved DESCRIPTION: Case files of

establishments, companies, firms or Federal, State or local government worksites which do not relate to a specific inspection. This includes health hazard evaluations, process descriptions, production data, product toxicity data, engineering controls, Federal agency action plans, lists of competent persons, and any other information of value relating to safety and health matters.

DISPOSITION: DISPOSITION: Destroy when establishment or firm no longer exists or when no longer needed, whichever occurs first.

ITEM NUMBER: 19 ITEM NUMBER: 20

TITLE: Refused and Attempted TITLE: Invalid Complaints Inspection Files

DESCRIPTION: Records and other DESCRIPTION: Complaints which materials relating to proposed are not related to occupational inspections which did not occur safety and health or are not because entry was denied by the covered by OSHA. Includes establishment and a magistrate, appeals where the area office the Solicitor, or the agency made director determines the complaint a determination not to proceed. is invalid for redress and the Also includes proposed inspections complaint appeals the decision. which did not occur because a decision was made not to attempt EXCEPT: Successful appeals which are an inspection because the firm was filed elsewhere in this schedule. no longer in operation, the coourrence of a labor action, or a similar situation.

DISPOSITION: a. Record Copy. DISPOSITION: Destroy when 1 year

Destroy when 3 years old. old.

b. Other Copies. Destroy when 1 year old.

ITEM NUMBER: 21 ITEM NUMBER: 22

TITLE: Discrimination TITLE: Reserved

DESCRIPTION: Records dealing with DESCRIPTION: Reserved employer discrimination or retaliation (under Section 11(c) of the Act) against employees who report violations of the Act or cooperate with OSHA inspections. Consists of copies of materials sent to another office for investigation. Does not include investigative files.

DISPOSITION: Destroy when 1 year old. DISPOSITION:

ITEM NUMBER: 23 |ITEM NUMBER: 24

TITLE: Compliance Index File |TITLE: Safety Inspections Closed

| on or before September | 30, 1982 | DESCRIPTION: This file consists of |DESCRIPTION: Includes all safety card files (OSHA 47 or equivalent |inspection case files closed on or including predecessor or successor | before September 30, 1982 forms) or information maintained in | office automation equipment or in |THIS ITEM HAS BEEN SUPERSEDE BY printout form as an alternative used |SCHEDULE N1-100-90-1, ITEM 23. to provide reference and case tracking |REFER TO OSHA INSTRUCTION capabilities for the inspection case |ADM 12-7.4 FOR ADDITIONAL files. |INFORMATION.

DISPOSITION: Destroy when no longer |DISPOSITION: a. Record Copy. need for reference but not later than | Transfer to FRC if 40 years after case is closed or 12 | 3 years of years after State assumes inspection | retention period duties. | remains. Destroy | 10 years after | case is closed. | | b. Other Copies. | Destroy material | not placed in the | record copy when | file is | consolidated.

ITEM NUMBER: 25

TITLE: Health Inspections Closed on or before September 30, 1982

DESCRIPTION: Includes all industrial hygiene inspection case files and combined safety and industrial hygiene inspection case files closed on or before September 30, 1982.

DISPOSITION: a. Record Copy.

Transfer to FRC if 3 years of the retention period remains. Destroy 40 years after case is closed.

b. Other Copies. Destroy material not placed in the record copy when file is consolidated.