• Record Type:
    OSHA Instruction
  • Current Directive Number:
    CPL 02-00-119
  • Old Directive Number:
    CPL 2-0.119
  • Title:
    OSHA High Injury/Illness Rate Targeting and Cooperative Compliance Programs
  • 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NOTICE: This is an OSHA Archive Document, and may no longer represent OSHA Policy. It is presented here as historical content, for research and review purposes only.



DIRECTIVE NUMBER: CPL 2-0.119EFFECTIVE DATE: November 25, 1997
SUBJECT: OSHA High Injury/Illness Rate Targeting and Cooperative Compliance Programs


ABSTRACT

Purpose:This instruction establishes and implements the High Injury/Illness Rate Targeting System and Cooperative Compliance Program (CCP).
      
Scope:OSHA-wide
      
References:OSHA Instruction CPL 2.103; Field Inspection Reference Manual, OSHA Instruction CPL 2.45B; Field Operations Manual, OSHA Memorandum;
Subject:Core Elements for Maine 200-type Programs.
      
Cancellations:None
      
State Impact:This Directive contains a Federal Program Change requiring State Response - see Section XXII.
      
Action Offices:National, Regional, Area Offices and 7(c)(1) Consultation Project Offices in Federal enforcement states, and 18b States (Section XXII).
      
Originating Office:Directorate of Compliance Programs
      
Contact:Pat Fahey (202-219-8118)
Directorate of Compliance Programs
N-3468 Frances Perkins Building
200 Constitution Avenue, 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. Action
  5. Definitions
  6. Background
  7. Objectives
  8. Inspections Categories
  9. CCP Requirements
  10. CCP Participant Tracking
  11. Inspection Scheduling
  12. Nonresponder Inspections
  13. Records Verification Inspections
  14. Additions and deletions
  15. Inspection Procedures
  16. Worker Involvement
  17. Relationship to Other Programs
  18. Relationship to Consultation (7)(c)(1)
  19. Existing CCPs
  20. Information and Outreach
  21. Program Evaluation
  22. Federal Program Change
  23. IMIS Coding
  24. Appendix A

    Appendix B

    Appendix C

    Appendix D

    Appendix E




  1. Purpose: This Instruction implements OSHA's High Injury/Illness Rate Targeting System and Cooperative Compliance Program (CCP).
  2. Scope: This instruction applies OSHA wide.
  3. References:
    1. OSHA Instruction CPL 2.103; Field Inspection Reference Manual (FIRM), September 26, 1994.
    2. OSHA Memorandum From J.A. Dear; Subject: Core Elements for Maine 200-type Programs, January 25, 1996.
    3. OSHA Instruction CPL 2.25I; Subject: Scheduling System for Programmed Inspections.
    4. OSHA Draft Notice CPL 2, August 1, 1996, Subject: The Program Evaluation Profile (PEP).
    5. OSHA Instruction TED 3.5B, Consultation Policy and Procedures Manual.
    6. 29 CFR Part 1908.7; Subject: Consultation Agreements
    7. OSHA Instruction, STP 2.22A, Subject: State Plan Policies and Procedures Manual.

  4. Action: Regional Administrators, Area Directors, and 7(c)(1) Consultation Project Managers in Federal enforcement states will ensure that the policies and procedures established in this instruction are transmitted to, and implemented in all Area, District, and Consultation Offices.
  5. Definitions:
  6. Cooperative Compliance Program (CCP): An alternative enforcement strategy which offers some employers a choice between a traditional inspection and working cooperatively with OSHA to reduce injuries and illnesses in the workplace.

    Data Initiative: Collection of site-specific injury and illness data from approximately 80,000 employers with 60 or more employees in manufacturing and certain other industries. (See Appendix A)

    High Injury/Illness Rate Targeting System: The criteria used to generate the annual High Injury/Illness Rate inspection list (primary inspection list) from employer-certified data collected during the Data Initiative.

    LWDII Rate: Lost Workday Injury and Illness Rate. This includes cases of lost work days and restricted work activity and is calculated based on (N/EH) x (200,000) where N is the number of 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 the 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.

    Primary Inspection List: All establishments surveyed by the Data Initiative with an LWDII rate of 7.0 or higher.

    Secondary Inspection List: Establishments initially on the primary list that choose to participate in the CCP.

    Tertiary Inspection List: Establishments initially on the primary list with 100 or fewer workers (in firms with 500 or fewer workers) that choose to participate in the CCP and also to work with the OSHA-funded State Consultation Program.

    Consultation Program: All references to the "OSHA Consultation Programs or Projects" in this CPL refer to 7(c)(1) State Consultation Offices in Federal Enforcement States only.

  7. Background: The previous OSHA targeting system used data from the Bureau of Labor Statistics to identify high rate industries as defined by Standard Industrial Classification Codes (SICs). Employers in those industries were then randomly selected for inspection. With this system, OSHA did not know beforehand if the worksite being inspected was one with a high injury and illness rate, or one with a low injury and illness rate. Regardless of the employer's site-specific rate, OSHA conducted an inspection.
  8. In view of these limitations, OSHA explored the use of worker's compensation data to target specific worksites with high rates. This led to the concept of a cooperative approach to compliance with the implementation of pilot programs in Maine, New Hampshire, and Wisconsin. These programs offered employers identified as having the highest number of workers compensation claims an opportunity to work with OSHA to identify and correct workplace hazards and reduce injuries and illnesses in their workplaces. Because of the success of these programs, CCPs were developed in each Region. Nine state-wide CCPs are operating today utilizing workers' compensation data and/or high hazard SIC data. Problems arose however, with the use of worker's compensation data. The data was not consistent among states, and the use of the number of compensation cases as the basis of selection was biased against employers with a large number of workers.

    In May 1995, the President announced, "The New OSHA: Reinventing Worker Safety and Health." The "New OSHA" focused on the implementation of strategic "data-driven" initiatives specifically aimed at reducing workplace injuries and illnesses, as was demonstrated by the early CCPs. In January 1996, OSHA outlined the new requirements for the strategic CCP initiatives. The first and foremost requirement was that the initiative be driven by site-specific data. This would give OSHA the ability to target establishments with high rates of injuries/illnesses based on actual data from that worksite.

    The use of uniform site-specific rate information made available by OSHA's Data Initiative for targeting specific worksites under the CCP should effectively address the above problems. With site-specific data now available, OSHA is expanding its CCP to all of the Federal enforcement states.

  9. Objectives:
    1. To establish a site-specific inspection targeting system for the highest LWDII rate employers.
    2. To reduce work-related injuries and illnesses in manufacturing and certain other industries that experience the highest lost work day injury and illness (LWDII) rates through the identification and correction of hazards.
    3. To provide eligible employers with an opportunity to work cooperatively with OSHA to improve their workplace safety and health conditions, qualify for placement on a lower priority inspection targeting list, identify and correct workplace hazards, and develop and/or improve a comprehensive workplace safety and health program.
    4. To leverage limited OSHA resources.

  10. Inspections Categories: There are three types of inspections under this OSHA enforcement program.
    1. High Injury/Illness Rate Targeted Inspections: Inspections of establishments on the initial primary list, including those who agree to participate in the CCP and are removed from the primary list and placed on the secondary or tertiary list.
    2. Nonresponder Inspections: Records check inspections of establishments that failed to respond to the 1996 Data Initiative.
    3. Records Verification Inspections. Inspections of 250 randomly selected establishments for the purpose of evaluating the accuracy of the information submitted by employers in response to the 1996 OSHA Data Initiative. OSHA's visits to these establishments will start with an analysis of injury and illness records. Further action may be taken if the reported data is inaccurate.

  11. CCP Requirements:
    1. Program Eligibility: An opportunity to participate in the CCP will be provided to establishments (see Appendix B) with an injury and illness rate of 7.0 or greater and whose rate and inspection history does not exclude them from participation as described under Section XI.A.1. These employers will be notified in writing that they have been selected for a regular OSHA enforcement inspection, but that they may elect to participate in the CCP. This program runs for two years.
    2. Employer Requirements: A participating employer signs an agreement (see Appendix E) committing to:
      1. Identify and correct hazards,
      2. Work toward a significant reduction of injuries and illnesses,
        1. In some cases the reduction of an employer's reported LWDII rate will occur swiftly. OSHA recognizes however, that in other circumstances reduction will be a gradual process. In fact, during the initial phases of identifying and correcting hazards and implementing a safety and health program an employer may find that its reported rate increases. This may occur because, as an employer improves its program, worker awareness and thus reporting of injuries and illnesses may increase. Over time, however, the employer's LWDII rate should decline if the employer has put into place an effective program.
        2. OSHA is not setting an LWDII-rate-reduction goal for employers. OSHA is expecting employers to experience a decline in their rates over time. The degree to which a rate is reduced will depend on the employer's efforts and the nature of the industry and the type of hazards prevalent in that industry.

      3. Implement or improve a comprehensive safety and health program as set forth in the OSHA 1989 Safety and Health Program Management Guidelines; Issuance of Voluntary Guidelines (see Appendix C),
      4. Involve workers in the identification and correction of hazards,
      5. Involve workers in the structure and operation of the site's safety and health program (see Section XVI.D.),
      6. Maintain policies and programs that encourage the reporting of hazards to the employer for corrective action,
      7. Provide OSHA with information from its Annual Injury and Illness Log (OSHA 200) each year.
      8. Establishments with 100 or fewer workers (and no more than 500 workers controlled by the employer) have an additional option; they can commit to requesting outside assistance in the form of the OSHA Consultation Program from the State (see Section XVIII).
      9. Contractors: The host employer shall ensure that appropriate information is exchanged with the contractor(s) about safety and health hazards, controls, safety and health rules, and emergency procedures.

    3. CCP Agreement: In return for making the CCP agreement, these establishments will be removed from the primary inspection list and placed on a secondary or tertiary list (for smaller establishments utilizing consultation services). The secondary and tertiary lists provide for a reduced chance of inspection (no more than 3/10 for a secondary list establishment and 1/10 for a tertiary list establishment) over a two-year period. Moreover, no inspection under the CCP will be scheduled until at least May 4th, 1998.
    4. Employer Withdrawal: An employer may drop out of the CCP at any time. If an employer elects to drop out of the CCP, the employer must notify the Area Office. The employer will be removed from the secondary or tertiary inspection list, and will be placed back on the primary inspection list.
    5. Employer Notification: By December 5th, 1997, the Area Office will notify all CCP-eligible employers that they have been selected for an inspection but that they have the opportunity to participate in the CCP. The Area Office will do this by sending one of two notification letters (which letter sent depends on employer size; for sample letters see Appendix B) to all employers qualifying for participation in the CCP. Employers must post the letter to employees provided with the employer CCP package.
    6. Worker Notification: At the same time that the employer letter is mailed, the Area Office will send a separate letter to announce the OSHA program to the worker representative in those establishments on the CCP list that have identifiable worker representation (Appendix B).
    7. Participants' Enrollment Period: Employers will have until January 30th, 1998, to advise OSHA of their decision to enroll in the CCP. The Area Office will make an attempt to contact employers who do not respond by January 30th, 1998, to verify their status as a non-participant in the CCP.
    8. Information received by the Area Office that the employer is not adhering to the conditions for CCP participation will be investigated and may result in an on-site inspection. As OSHA considers appropriate, based upon the investigation of the complaint or other information available to OSHA, the establishment may be removed from the CCP and returned to the primary inspection list.

  12. CCP Participant Tracking: A case file will be maintained by the Area Office for every establishment in the CCP, including those not selected for an on-site inspection. The file will include Data Initiative information, correspondence, notes of employer and/or worker contacts, OSHA 200 information, any off-site evaluation, and any on-site inspection report (an OSHA 55 Form will be filled out as appropriate.)
  13. Inspection Scheduling:
    1. Primary List: The employer inspection list generated as the High Injury/Illness Rate targeted inspection list (primary inspection list) from employer-certified data collected during the Data Initiative. There are several categories of employers on the primary list.
      1. Establishments on the primary list meeting the following criteria are ineligible to participate in the CCP.
      2. A worksite with an LWDII rate of 28.0 or greater, or a worksite with an LWDII rate of 20.0 or greater and an OSHA inspection history since January 1, 1993 which includes:

        • causal violation(s) related to a fatality or catastrophe, or
        • willful violation(s), or
        • repeat violation(s), or
        • more than eight serious violations for all inspections

        A list of establishments meeting these criteria will be provided to the respective Area Offices by the Office of Statistics. Scheduling of comprehensive safety and health inspections of establishments meeting these criteria may begin on the effective date of this directive. Inspections may be scheduled in any order, but inspections of all establishments on the list should be completed during the current fiscal year.

      3. All other establishments on the primary inspection list are eligible to participate in the CCP. Establishments that opt not to participate in a CCP remain on the primary inspection list. Inspections of such establishments may be scheduled as soon as the employer's choice becomes known and may be scheduled concurrently with other primary list inspections. Inspections of these establishments must be completed the end of 1999. Establishments that opt to participate in the CCP will be removed from the primary inspection list and placed on the secondary or tertiary inspection list as appropriate and will be scheduled for an inspection as described below.
      4. In general, inspections from the primary list should receive priority over inspections from the other inspection lists.

    2. Secondary list inspections: As soon as practicable after January 30th, 1998, the Area Office shall compile a list of participating establishments, listed in the order of receipt of the employer's agreement.
      1. A random number table shall be used to select establishments on the secondary list for inspection. The number chosen for inspection shall not exceed 30% of the total number of establishments on the list. From this list, two or more cycles can be created as appropriate. Within a cycle, establishments may be scheduled for inspection in any order. The size of the cycles should be large enough to provide flexibility in scheduling. It is anticipated that many offices will not be able to complete all of their cycles, but once a cycle is begun, all establishments in the cycle must be inspected.
      2. Secondary list inspections must be completed by the end of calendar year 1999.
      3. An inspection may not be scheduled until after May 4th, 1998.

    3. Tertiary list inspections: As soon as practicable after January 30th, 1998, the Area Office shall compile a list, in the order of receipt, of those establishments participating in a CCP involving the state consultation service. This list shall be provided to the State Consultation Program Manager.
      1. A random number table shall be used to select establishments for inspection. Based on resource projections, the Area Office shall estimate the number of tertiary list inspections which can be completed within a two-year period. The number chosen shall not exceed 10% of the total number of establishments on the list. In the event there are fewer than 10 eligible establishments on an Area Office's list, a random number table shall be used to select one establishment for inspection.
      2. All establishments selected for inspection shall be inspected by the end of calendar year 1999. Prior to making an inspection of a Tertiary List employer, the OSHA Area Director shall confer with the Consultation Program Manager to ensure that a consultation visit is not in progress.
      3. Note: For purposes of this directive, a "consultation visit in progress" is limited to the consultant's work with the employer to abate all hazards identified during the consultant's on-site visit. Consultation Program Managers shall advise the OSHA Area Office when final abatement dates are reached for all identified safety and health hazards at a particular establishment. A CCP inspection of an employer on the tertiary inspection list will not be scheduled until this time.

      4. An inspection may be scheduled at any time after the establishment completes its work with the 7(c)(1) Consultation Program in identifying and abating workplace hazards. For example: If the 7(c)(1) consultation program establishes several abatement dates, an inspection shall not be opened until the last item has been corrected.

  14. Nonresponder Inspections: A list of establishments not responding to the 1996 Data Initiative will be provided by the Office of Statistics to the Area Offices. All establishments on the list, after any appropriate deletions have been made, shall receive a records check inspection within one year from the effective date of this directive. Inspections may begin immediately and may be scheduled from the list in any order. Employers will not be cited for failing to send in the 1996 data. However, employers may be cited for 29 CFR Part 1904 violations within the parameters of the FIRM (OSHA Instruction CPL 2.103) and CPL 2.111.
    1. If the establishment's LWDII rate is above 7.0, and the rate and history places the employer in the category of establishments excluded from participating in the CCP (see Section XI.A.1.), then the records check inspection will be expanded into a comprehensive safety and health inspection.
    2. If the establishment has an LWDII rate of 7.0 or greater and is eligible to participate in the CCP, the employer shall be provided with the applicable CCP information, including the employer and worker letters and the CCP agreement. The employer shall be advised that it has 45 days to choose whether to participate in the CCP. The CSHO will answer any questions and then conclude the records check inspection.
    3. If the establishment's LWDII rate is below 7.0, the employer will be provided information on setting up an effective safety and health program. The CSHO will answer any questions and then conclude the records check inspection.

  15. Records Verification Inspections: 250 establishments surveyed under the 1996 Data Initiative were randomly selected by the National Office. Inspections began in July 1997 and shall be scheduled so that all inspections are completed by March 31, 1998. These inspections will be coordinated through the Office of Statistics.
  16. Additions and deletions: Area Offices will be responsible for making appropriate additions and deletions to the inspection list, such as establishments no longer in business.
    1. During high injury and illness rate targeted inspections, the OSHA 200 log for 1996 will be reviewed. The LWDII rate calculated during the inspection will be compared to the LWDII rate reported by the employer to the OSHA Data Initiative. (See Section "V" for an example of LWDII calculations.)
      1. If the data reported was correct, the CSHO will proceed with the inspection.
      2. If the data reported was incorrect, the CSHO will contact the Area Director for guidance. In general, however, an adjustment will be made as appropriate. Establishments which should have been offered the opportunity to participate in a CCP but were not will be provided the CCP information and given 45 days to make a choice. If the establishment's recalculated rate is below 7.0, the CSHO shall exit the facility.
      3. When an establishment is to be added to an already created secondary or tertiary list, a supplementary secondary list and a supplementary tertiary list shall be created, listing establishments in the order in which their agreement to participate is received.
        1. When the supplementary secondary list contains ten establishment names, a random number table shall be applied to select three establishments which will be added to the current cycle.
        2. When the supplementary tertiary list contains ten establishment names, a random number table shall be applied to select one establishment which will be added to the inspection list.

    2. If the establishment has more than 10 workers and fewer than 60 workers, the inspection will still be conducted.
    3. During unprogrammed inspections (such as complaints and referrals), the OSHA 200 log for 1996 will be reviewed, if the establishment's SIC and number of workers places it within the group covered by the Data Initiative. If such an establishment does not appear on the Data Initiative list, the CSHO will:
      1. Complete and submit an OSHA Data Initiative Information form to the OSHA Office of Statistics for future Data Initiative surveys. If the employer's rate and history meet the criteria in Section XI.A.1., the scope of the inspection will be expanded into a comprehensive safety and health inspection. If the employer's LWDII rate is 7.0 or greater, but the employer does not meet the criteria of Section XI.A.1., the scope of the inspection will be limited to the referral or complaint items and the employer will be provided all of the applicable CCP information and given 45 days to decide whether or not to enroll in the CCP.

    4. Establishments that have received a comprehensive safety and health inspection after January 1, 1996, will be removed from the primary list.
    5. Establishments that hold a current OSHA VPP achievement award or a Consultation SHARP award or that achieve such designation during the two year life of the CCP will be removed from the lists.
    6. If an employer is scheduled for an inspection and has a contested citation and/or penalty received as a result of a previous inspection, and the case is still pending before the Review Commission, the Area Office shall follow the procedures outlined in the FIRM (CPL 2.103) Chapter I, Section B.4.a.3. (Page I-5).
    7. During Records Verification Inspections for the OSHA Data Initiative, 1996 OSHA 200 data for 250 establishments will be evaluated for accuracy and completeness. Where errors are found, the LWDII rate will be recalculated. Appropriate adjustments will be made in the same manner as described in Section XIV.C.1.

  17. Inspection Procedures:
    1. Scope: Inspections conducted under this program will be comprehensive programmed 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. CSHOs will review the implementation of any employer programs or policies related to worker incentive programs to ensure that there is not a worker disincentive for the reporting of injuries or illnesses.
    2. Note: If an employer in the CCP has worked diligently to identify and correct hazards and implement a safety and health program that involves workers, there should be fewer violations to be investigated and documented, resulting in a shorter OSHA inspection with lower penalties. Also, the good faith shown by an employer's efforts to implement a safety and health program and correct workplace hazards will be reflected in lower penalties for most violations (FIRM, OSHA Instruction CPL 2.103 IV.C.2.1.(5)(b)).

    3. Citations: Serious, repeat, willful, and failure to abate violations will be cited according to the FIRM (OSHA Instruction CPL 2.103) and other guidance documents. Other-than-serious violations observed during CCP inspections will not be cited, if corrected by the employer during the inspection. Recordkeeping violations, however (29 CFR 1904), will be cited in the circumstances stated in OSHA Instruction CPL 2.111.
    4. Informal Settlement Agreement: Where the Area Director and the employer agree, the Informal Settlement Agreement (ISA) following the issuance of any citations will address any safety and health program improvements needed.

  18. Worker Involvement:
    1. Worker Representative: Both the Occupational Safety and Health Act of 1970, Section 8(e) and 29 CFR 1903.8 require that a worker representative be given the opportunity to participate in an OSHA inspection.
    2. Note: A worker representative means a representative of the certified or recognized bargaining agent or a worker member of a safety and health committee chosen by the workers as their representative or an individual worker that has been selected as the walkaround representative by the workers of the establishment. See 29 CFR 1903.8; FIRM, Chap. II, A.3.f. Where there is no authorized representative of workers, the CSHO shall consult with a reasonable number of workers on safety and health matters. See 29 CFR 1903.8(b).

    3. Opening and Closing Conference: In all worksite inspections under this directive, the compliance officer shall conduct a joint opening and closing conference with the employer and worker representatives unless either party objects. If there is an objection to a joint conference, then separate opening and closing conferences shall be held.
    4. Worker Complaints: The compliance officer may consult with any worker who desires to discuss a possible violation. Upon receipt of such information, the CSHO shall investigate the alleged hazard, where possible, and record findings.
    5. Worker Involvement: CCPs
      1. Under the CCP, workers have the same rights as described above for an OSHA inspection.
      2. In joining the cooperative compliance program, the employer also agrees to work with workers, and the collective bargaining agent where present, to reduce injuries and illnesses, correct hazards, and implement a comprehensive and effective safety and health program. A safety and health program will only be effective where both the employer and workers work together on the program.
      3. Effective worker participation requires the following:
        1. Workers are afforded the opportunity to participate in the walk around phase of workplace safety and health inspections conducted by the employer. Where a worker representative exists, the representative shall be given the opportunity to participate in the inspection. Where no worker representative exists, the employer shall consult with a reasonable number of workers during the inspection.
        2. Workers are afforded a right of access to available employer information about safety and health programs, such as site accident records; site injury/illness records to the extent required by 29 CFR Part 1904; worker medical records and exposure records and analyses to the extent required by 29 CFR 1910.1020; site hazard assessments; plans for or reports of corrective action; and evaluations of the safety and health program. Trade secret information need not be disclosed except where required by applicable OSHA standards.
        3. A reliable system exists for workers, without fear of reprisal, to notify management personnel about conditions that appear hazardous and to receive timely and appropriate responses, and workers are encouraged to use the system.
        4. Workers are trained in the operation of the employer's safety and health program, including opportunities for worker participation, and in the safety and health hazards to which they may be exposed and the protective measures to be followed.

      4. OSHA will notify the collective bargaining agent at the same time as the employer is notified that it has been selected for the CCP. Where information is not available as to whether or not the workers are represented by a collective bargaining agent, the letters to employers regarding the CCP will include a request that the employer provide a list (including name and address) of the collective bargaining agent(s) for the workers (if the employer chooses to participate). Once that notification is received, OSHA will notify the collective bargaining agent of the employer's selection for the CCP. The employer is required to post the CCP letter from OSHA to the employer as well as a copy of the employer's letter of commitment and the OSHA letter to employees in a readily viewable location.
      5. Under the 29 CFR 1908 regulations applicable to consultative visits performed by the state Consultation Programs under Section 7(c)(1) of the OSH Act, employers receiving consultation services are encouraged to allow full worker participation in the on-site consultative visit. 29 CFR 1908.6(c)(2). Similarly, the regulation encourages the employer to advise affected workers of the hazards identified by the consultant or of their correction. 29 CFR 1908.6(e)(8). In order to participate in the CCP and be placed on the tertiary inspection list, employers must agree to afford the worker walkaround rights described in paragraph 3(a) above in connection with the consultation visit and to provide workers a copy of that section of the report that describes the hazards identified by the consultant and the corrective action taken or to be taken by the employer (the rest of the report from the consultant, however, need not be disclosed).

    6. Discrimination: Workers are also protected from discrimination under OSHA Act Section 11(c), and do not give up their rights to file such a complaint.

  19. Relationship to Other Programs:
    1. Emphasis Programs: Some establishments may be selected for inspection as a high injury and illness rate or CCP employer and also under one or more other OSHA initiatives [National Emphasis Programs (NEPs) or Local Emphasis Programs LEPs)].
      1. Special or local emphasis programs based upon a particular hazard (i.e., silica, lead, or amputations) or on a particular industry (i.e., logging, scrap yards) can be run concurrently with the CCP. During programmed CCP inspections, companies also targeted under an NEP or LEP will be subject to the inspection criteria/protocols established for that NEP or LEP.
      2. CCP participants who are not scheduled for a CCP inspection will not be scheduled for an NEP or LEP inspection.

    2. Unprogrammed Inspections: Complaints, referrals, fatalities, catastrophes and follow-ups will be handled according to the FIRM (OSHA Instruction CPL 2.103) or other guidance documents. Such inspections will not be affected by the presence or lack of a CCP agreement.

  20. Relationship to Consultation (7)(c)(1):
    1. The Area Director shall provide to the State Consultation Program Manager a list of those employers (and their LWDII rate) who indicated that they would be seeking the services of the State OSHA Consultation Program.
    2. When the State Consultation Office receives a request for services from an employer participating in the CCP, the Consultation Program Manager shall afford such a request the HIGHEST priority. As explained in this program directive, during the time period that OSHA consultation is working with the employer to identify and correct safety and health hazards, the employer will not receive a targeted inspection under the CCP. The consultation program's work with the employer to develop and implement an effective safety and health program may continue past the hazard correction dates, after which time an OSHA tertiary list enforcement inspection may occur. OSHA compliance personnel will recognize that site safety and health program work is continuing and may continue over time with the employer and the state consultant(s). An employer's good faith effort to develop an effective program will be taken into account if an OSHA tertiary list inspection occurs.
    3. In order to manage Federal and 7(c)(1) State Consultation Program resources effectively, Area Offices will confer with their respective State Consultation Programs when developing the employer notification and outreach plan. (In states with more than one Area Office, the Area Director will confer with the Regional Office's Consultation Officer to coordinate outreach activities between the Consultation Office and the appropriate Area Offices.) Consultation staff should be included, wherever possible, in training sessions and other outreach activities. State 7(c)(1) personnel can serve as valuable additional training resources for these sessions, and can provide information on the OSHA Consultation program and the benefits to be realized by CCP-eligible employers who elect to work cooperatively with OSHA by voluntarily utilizing the services of the State on-site consultation program.
    4. Employers seeking to be placed on the tertiary inspection list must advise the OSHA Consultation project that they are requesting the consultation services as part of their agreement under OSHA's CCP. Employers will also be informed that the OSHA Area Office will follow up with the OSHA Consultation Program office to determine their status as a CCP and Consultation Program participant. Employers that fail to contact the consultative program office or that later decline to use the consultation program will be placed back on the primary list.
    5. It is imperative that these employers inform the Consultation program of this special status so that they can receive the highest priority for services and so that the Consultation Program Manager is aware of their special CCP status.

    6. Nothing in this CCP initiative diminishes employers' rights under the OSHA Consultation Program regulations found at 29 CFR 1908. Employers whose names appear on OSHA scheduling lists (from the OSHA Data Initiative, see Section XII.A.1.), for this CCP are already on an OSHA scheduling list. Their voluntarily choosing to work with the OSHA Consultation Program as part of their responsibilities under this OSHA enforcement initiative as a CCP participant, lessens their chance for inspection. By seeking to work cooperatively to abate hazards, reduce their site's LWDII, and work to improve or implement an effective safety and health program by utilizing the services of the State OSHA Consultation Program, employers reduce their chances of being inspected by Federal OSHA from 100% to 10%.
    7. As described previously in Section XVI, paragraph D.5, regarding worker involvement in the CCP, employers who utilize the State Consultation program to fulfill their obligations under this CCP must provide employees with a listing of the hazards found during the on-site consultation visit, along with the corrective action taken or to be taken by the employer. This information may be obtained from the Consultation Program's Written Report to the Employer, and appears as an Appendix to the Written Report, entitled the "Report of Hazards Found." The employer is to be informed by the consultant that he or she must provide this information to site employees. In addition, any monitoring data provided to the employer as part of the consultation visit must also be provided by the employer to his or her employees. This information is also easily retrievable from the Written Report to the Employer, since it is provided as a part of the Report and appears as a separate Appendix entitled, simply, "Monitoring Data." The employer may either provide a copy of these materials to all of his employees, or post them in an easily or centrally accessible location at the workplace, so long as every employee has access to this required information.

  21. Existing CCPs: All currently existing CCPs (Maine, New Hampshire, Alabama, Georgia, Mississippi, North Dakota, South Dakota, Wisconsin, and Idaho) will have until 9/30/98 to close out these programs and switch to operation under this directive.
  22. Information and Outreach: Information and outreach will be offered to all employers, worker representatives, and workers participating in the CCP, or considering participation, prior to January 30th, 1998, to explain the CCP, emphasize the components of an effective safety and health program as outlined in Appendix C and D, and discuss recognition, evaluation and control techniques for workplace hazards.
    1. The Area Office will hold seminars to discuss the program before January 30th, 1998. The area office is to hold at least two seminars per state, except that in smaller states, only one seminar may be appropriate. The Area Director shall coordinate outreach and training activities with the State Consultation Program Manager or, if there is more than one Area Office in that state, with the Regional Consultation Officer, who will facilitate coordination of outreach and training efforts. Notification to the targeted employers will be either in the initial employer notification.
    2. Area Directors shall also attempt to include local VPP resources whenever possible in training and outreach activities. The Regional Office VPP coordinators may be of assistance in providing liaison or contacts to VPP participants who may be useful additions to planned outreach activities under this program.

      Information directly related to the hazards associated with different SIC Codes and to types of commonly encountered OSHA violations will be provided to the employers and employees with the CCP letters and at the seminars. Sources of additional information, such as the OSHA consultation program, the OSHA home page Web site, other web sites of interest, and OSHA publications that may be of benefit to an employer and employee will also be provided.

    3. OSHA will publicize how questions concerning safety and health programs can be raised by telephone or by other methods (including meetings at the area office, resources permitting). OSHA will also publicize the role and activities of the OSHA Consultation Services in the initial notification and elsewhere, particularly to establishments having 100 or fewer workers. (Where appropriate, outreach or promotional materials developed by the State OSHA Consultation Program Office should be included.)
    4. As resources permit, the Area/Regional and Consultation offices will be responsive to requests from stakeholders for additional offsite training concerning specific hazards likely to found in the targeted establishments.

  23. Program Evaluation:
    1. The key to the success of this program is the actual identification and correction of workplace hazards leading to a reduction in the employer's injury and illness rate. Implementation of an effective and comprehensive safety and health program that includes meaningful worker involvement is a major part of this effort. Such a program must include the identification and correction of the causes of worker injury and illness.
    2. To measure success of the CCP, OSHA will conduct annual program evaluations of the CCP over the next five years. Information from the OSHA 200 records will be collected from CCP employers annually during the program. OSHA will also collect annual runs of Data Initiative sub-sets for employers on the primary list for both participating and nonparticipating establishments over the next several years. This approach will allow OSHA to look for a reduction in individual employer's LWDII rates as well as to determine any reductions in rates across individual SIC Codes.
    3. OSHA will also be examining traditional measurement devices such as violations cited, number of violations, severity of cited items and reductions in penalty amounts for given violations, in CCP-participant inspections compared to nonparticipant inspections.
    4. The National Office will determine the appropriate activity, intermediate and outcome measures for this program in conjunction with GPRA.
    5. The Area Office will be responsible for reporting any anecdotal information or success/failure stories concerning the CCP to the Regional Office.

  24. Federal Program Change: This instruction describes two important changes in the Federal OSHA program. It implements OSHA's High Injury/Illness Rate Targeting System and Cooperative Compliance Program.
    1. High Injury and Illness Rate Targeting (Primary). This aspect of the instruction describes a new OSHA high hazard inspection targeting system based on the Data Initiative, for which State action is required.
      1. State Intent. Documentation must be provided to the Regional Administrator within 60 days of the effective date of this instruction of a State's intent with regard to its programmed high hazard inspection targeting system. There are a number of options available to the 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 CPL 2.25I, Scheduling System for Programmed Inspections, which is based on 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 primary high hazard inspection targeting system and procedures established by this instruction. The primary system is based on site-specific employer LWDII data obtained annually through the "Data Initiative" (see Appendix A) and defines the primary inspection list. The primary system may be used for inspection targeting whether or not a State establishes a CCP. (The Office of Statistics will provide each State a new data initiative list of high-rate employers within the State and new criteria for inspection categories annually. In addition, the State will receive a list of "nonresponding" employers in their State and will be expected to conduct appropriate records check inspections, to assure the completeness and integrity of the Data Initiative.)
        4. Develop a new State high hazard inspection targeting system based on available State data or LWDII data obtained annually through the "Data Initiative" (see Appendix A). (The Office of Statistics will produce inspection targeting lists based on specific criteria established by a State, upon request. States using the Data Initiative data for targeting will be expected to conduct appropriate records check inspections of "nonresponding" employers in order to assure the completeness and integrity of the Data Initiative.)

      2. State Response. The nature of plan change documentation depends on the action taken by the State in response to issuance of the high injury and illness rate inspection targeting system.
        1. If a State elects to continue with an existing inspection targeting system based either on available State data or OSHA Instruction CPL 2.25I, no plan change supplement is required. However, the State's notice of intent should identify where its inspection targeting policies and procedures are found in its State plan document.
        2. If a State elects to adopt the primary inspection targeting system identically (modified only to the extent needed to reflect a State's unique structure), the State must implement the change within six months from the date of issuance of this instruction and submit the cover page of the State's implementing instruction or memorandum to the Regional Administrator when the State change has been implemented.
        3. If a State adopts a new, alternative approach to inspection targeting, the State shall submit one copy of a plan supplement to the Regional Administrator within six months of the date of issuance of this instruction. The plan supplement shall consist of a cover letter describing the change, documentation that the change has been implemented and distributed to appropriate staff, and a listing of significant differences with a statement of how the State change is at least as effective as OSHA's primary inspection targeting system.

    2. CCP. This aspect of the instruction describes the implementation of the OSHA CCP in conjunction with the primary system. State action to adopt and implement a CCP either within the context or independent of a State-adopted primary system is not required. However, documentation of a State's intent whether or not to adopt a parallel or alternative CCP must be provided to the Regional Administrator within sixty days of issuance of this instruction. In addition, if a State elects to implement its own CCP at this time or subsequently, the State shall submit a copy of its CCP to the Regional Administrator.

  25. IMIS Coding.
    1. For inspections conducted under other programs in addition to the CCP, enter the appropriate NEP/SEP/LEP/optional information codes for those programs into the IMIS. All applicable codes must be reported.
    2. Inspections conducted under this program will be coded as "H. Planned" in Item 24. and "Manufacturing" in Item 25 a. or 25 b. of the OSHA-1 form except for the 14 non-manufacturing SICs, which will be coded as non-manufacturing. In addition, the Optional Information Code for Item 42. will be recorded as:
    3. Type = "N"

      ID = "09"

    Existing programs will continue to enter LEP codes as they currently are entered. Consultation will use the same codes on "20" and "30" in optional information N 09 and will always use CCP3.

    CCP1AHigh injury and illness rate targeted Employer, no agreement offered
    CCP1BHigh injury and illness rate targeted non-responder
    CCP1CHigh injury and illness rate targeted non-participant
    CCP2Secondary list participant
    CCP3Tertiary list participant




Appendix A

OSHA DATA INITIATIVE


The OSHA 1996 Data Initiative is a highly objective, focused collection of data from selected establishments with more than 60 workers. 80,000 establishments in manufacturing and selected other industries were surveyed for their 1996 injury and illness experience. The data initiative is not a statistical sampling type of survey, but is a site-specific database that can be used to identify establishments with serious safety and health problems and then measure their performance in resolving those problems.

The data initiative provides the Agency with a mechanism for obtaining site-specific injury and illness data from employers, along with employment and hours worked. The data will be used for a variety of purposes, including targeting, outreach, performance measurement and the CCP.

INDUSTRIES INCLUDED UNDER THE 1996 DATA INITIATIVE and the CCP

SIC CodeIndustry
20-39MANUFACTURING
0783ORNAMENTAL SHRUB AND TREE SERVICES
4214LOCAL TRUCKING WITH STORAGE
4215COURIER SERVICES, EXCEPT BY AIR
4220PUBLIC WAREHOUSING AND STORAGE
4491MARINE CARGO HANDLING
4580AIRPORTS, FLYING FIELDS, & SERVICES
4783PACKING AND CRATING
4953REFUSE SYSTEMS
5051WHOLESALE METALS SERVICE CENTERS AND OFFICES
5093WHOLESALERS OF SCRAP AND WASTE MATERIALS
5140WHOLESALERS OF GROCERIES AND RELATED PRODUCTS
5180WHOLESALERS OF BEER, WINE, AND DISTILLED BEVERAGES
5210RETAILERS OF LUMBER AND OTHER BUILDING MATERIALS
8050NURSING AND PERSONAL CARE FACILITIES




Appendix B

Letters to Employers and Worker Representatives

Letter 1: For employers with more than 100 workers:

(On AO or RO letterhead)

date

Dear Employer:

The purpose of this letter is to inform you that your worksite has been placed on our primary inspection list for a comprehensive safety and health inspection. Your establishment is on this primary inspection list for the following reasons:

  • Earlier this year the Occupational Safety and Health Administration conducted a survey that collected workplace injury and illness data from employers with more than 60 employees in manufacturing and 14 other selected industries.
  • OSHA has used this data to develop its high hazard inspection target list. The list includes worksites with 60 workers or more and a lost workday injury and illness (LWDII) rate of 7.0 or greater (approximately twice the National average of 3.6).
  • Your workplace was one of those surveyed, and as a result of your injury and illness rate, your establishment is included on the agency's high hazard inspection list for a comprehensive safety and health inspection.

OSHA does understand that there may be a variety of explanations for an elevated injury and illness rate in a given year. An elevated rate does not necessarily indicate any lack of interest in safety and health on your firm's part.

This letter is also intended to advise you of a National program designed to provide an alternative for worksites such as yours which have been placed on OSHA's primary inspection list. Under the new, enforcement-based cooperative compliance programs (CCPs), employers willing to work cooperatively with OSHA to reduce injuries and illnesses in the workplace. The CCP is an enforcement based-program, but places those employers willing to work diligently to establish a comprehensive safety and health program and reduce their injury and illness rate on a secondary inspection list, with a reduced chance for inspection.

OSHA's experience with Cooperative Compliance Programs

CCPs have been operating in nine states (Maine, New Hampshire, Alabama. Georgia, Mississippi, Wisconsin, North Dakota, South Dakota, and Idaho.) Some examples of the successes include:

  • In Maine, since 1991, the overall annual injury incidence rate has declined 30% from 11.2 in 1991 to 7.6 for those the first hundred graduating companies.
    • 119 of the companies (54%) representing 801 worksites from the Maine 200 program had met all program criteria.

  • In New Hampshire, 50 of the 59 participating employers experienced a median reduction of 18% in OSHA recordable injuries from 1993 to 1996.
  • In Mississippi, CCP participants experienced a reduction of more than 30% for all recordable injuries over two years. Post-inspection surveys showed a significant reduction in worker's compensation claims and costs. Employers in the program reported that claims were reduced as much as 55%, and costs were reduced between $10,000 to $50,000.

What are your options?

  • For most employers (such as yourself) on the high hazard inspection list, OSHA is offering an opportunity to work with the Agency by entering into a CCP.
  • With receipt of this letter you have until January 30th, 1998, to make a decision and return the enclosed agreement to the    Name of AO     Area Office. If you elect to join the CCP, OSHA will not conduct a CCP inspection until May 4th, 1998 or later.
  • Employers are under no requirement or obligation to enter into this program; furthermore, you may drop out of the program at any time. If you elect not to participate, or elect to drop out at a later date, your establishment will remain on (or be returned to) the primary high hazard inspection list.

What you have to do:

To enter into the CCP you must agree to:

  1. Identify and correct safety and health hazards in your workplace.
  2. Actively involve your workers in the identification and abatement of hazards in the workplace, as described in Section XVI of the enclosed compliance directive.
  3. Implement a comprehensive safety and health program based upon the principles set forth in the 1989 Voluntary Safety and Health Program Management Guidelines - Elements for an Effective Safety and Health Program (Appendix C in the enclosed Directive) or improve an existing safety and health program.
  4. Actively involve your workers in the comprehensive safety and health program.
  5. Work to significantly reduce your LWDII rate.
  6. Fill out the enclosed agreement and return it to the Area Office by January 30th, 1998.
  7. Send OSHA once each year information from the OSHA 200 annual summary form (the injury and illness log) during the two years of the program.

What you may expect from OSHA if you elect to participate

  • Your establishment will be removed from the primary high hazard inspection list and placed on a secondary list.
  • A CCP inspection is deferred to at least May 4th, 1998, and may not occur at all.
  • No more than 30% of the establishments on the secondary list will be inspected under the program. Please note, however, that your establishment remains subject to an inspection for other reasons, such as a fatality or a complaint.
  • If an employer in the CCP has worked diligently to identify and correct hazards and implement a safety and health program that involves workers, there should be fewer violations to be investigated and documented, resulting in a shorter OSHA inspection with lower penalties. Also, an employer's efforts to implement a safety and health program and correct workplace hazards is strong evidence of an employer's good faith, which also contributes to reducing the employer's assessed penalties for violations.
  • Other-than-serious violations that are corrected during the inspection will not result in a citation or penalty. (Recordkeeping violations [29 CFR Part 1904] will, however, be handled in accordance with established procedures; accurate recordkeeping is a precondition to the success of the CCP.)
  • In the event we receive information or that your establishment is not adhering to the conditions for participation in the program, we will investigate and may conduct an on-site inspection. As OSHA considers appropriate, and upon notice to you, you may be removed from the program and returned to the primary list.

What assistance you can expect from OSHA?

  • OSHA will conduct a CCP information and outreach session for participating employers and employee representatives to introduce members of the safety and health community who may be helpful in your efforts to reduce your injury and illness rate.
  • The CCP, the features and benefits of an effective safety and health program, and the requirements of certain OSHA regulations will be discussed.
  • I urge you to attend the information and outreach session. Please let us know the number of people you plan to bring by telephoning this office at least two weeks before the session.
  • To help you implement an effective program, we have enclosed additional materials. These materials include a description of the injuries and illnesses and violations of OSHA standards that are most commonly found in your industry. This information should prove useful in conducting your workplace safety and health analysis.
  • We are also enclosing OSHA's program evaluation profile for safety and health programs (see Appendix D of the enclosed directive). Use of the profile is not required in the CCP, but may prove helpful in undertaking a detailed evaluation of the strengths and weaknesses of your program.
  • [If you know when and where the session(s) will be held, include here; if uncertain, tell the employer you will get back to it with date and time.]

[For unionized employers]

OSHA has attempted to identify the labor unions that represent your employees and communicate with them directly. Attached is a copy of the letter that was sent to them. If you agree to participate in the CCP you must post this letter in a readily viewable and prominent location so that workers will be made aware of your commitment to their health and safety. In the event the attached copies show that we have not accurately identified all the unions that represent your employees, we ask that you send or fax to us the name(s) and address(es) of the senior authorized representative at your worksite at your earliest convenience (if you decide to participate in the CCP). In addition, to avoid any miscommunication, please provide to the senior on-site union representative(s) a copy of both this letter and the letter to the union(s).

[For nonunion employers]

Attached is a copy of a letter to employees from OSHA. If you agree to participate in the CCP you must post this letter in a readily viewable and prominent location so that workers will be made aware of your commitment to their health and safety.

If you agree to participate in the CCP, please respond using the enclosed Notice of Employer Participation by January 30th, 1998. No submission of written programs or action plans is required.

It is my hope that you will make the commitment to develop an effective and comprehensive safety and health program. If you have any questions or concerns about this letter or any aspects of the CCP, I hope you will give us the opportunity to address them by contacting this office at [AO phone number].

Sincerely,

Area Director

Enclosures



Letter No. 2: For employers with between 60-100 workers

(On AO or RO letterhead)

date

Dear Employer:

The purpose of this letter is to inform you that your worksite has been placed on our primary inspection list for a comprehensive safety and health inspection. Your establishment is on this primary inspection list for the following reasons:

  • Earlier this year the Occupational Safety and Health Administration conducted a survey that collected workplace injury and illness data from employers with more than 60 employees in manufacturing and 14 other selected industries.
  • OSHA has used this data to develop its high hazard inspection target list. The list includes worksites with 60 workers or more and a lost workday injury and illness (LWDII) rate of 7.0 or greater (approximately twice the National average of 3.6).
  • Your workplace was one of those surveyed, and as a result of your injury and illness rate, your establishment is included on the agency's high hazard inspection list for a comprehensive safety and health inspection.

OSHA does understand that there may be a variety of explanations for an elevated injury and illness rate in a given year. An elevated rate does not necessarily indicate any lack of interest in safety and health on your firm's part.

This letter is also intended to advise you of a National program designed to provide an alternative for worksites such as yours which have been placed on OSHA's primary inspection list. Under the new, enforcement-based cooperative compliance programs (CCPs), employers willing to work cooperatively with OSHA to reduce injuries and illnesses in the workplace. The CCP is an enforcement based-program, but places those employers willing to work diligently to establish a comprehensive safety and health program and reduce their injury and illness rate on a secondary inspection list, with a reduced chance for inspection.

OSHA's experience with Cooperative Compliance Programs

Cooperative Compliance Programs (CCPs) have been operating in nine states (Maine, New Hampshire, Alabama. Georgia, Mississippi, Wisconsin, North Dakota, South Dakota, and Idaho.) Some examples of the successes include:

  • In Maine, since 1991, the overall annual injury incidence rate has declined 30% from 11.2 in 1991 to 7.6 for those first hundred graduating employers companies submitting data.
    • 119 of the companies (54%) representing 801 worksites from the Maine 200 program had met all program criteria.

  • In New Hampshire, 50 of the 59 participating employers experienced a median reduction of 18% in OSHA recordable injuries from 1993 to 1996.
  • In Mississippi, CCP participants experienced a reduction of more than 30% for all recordable injuries over two years. Post-inspection surveys showed a significant reduction in worker's compensation claims and costs. Employers in the program reported that claims were reduced as much as 55%, and costs were reduced between $10,000 to $50,000.

What are your options?

  • For most employers (such as yourself) on the high hazard inspection list, OSHA is offering an opportunity to work with the Agency by entering into a CCP.
  • With receipt of this letter you have until January 30th, 1998, to make a decision and return the enclosed agreement to the     Name of AO      Area Office. If you elect to join the CCP, OSHA will not conduct a CCP inspection until May 4th, 1998 or later.
  • Employers are under no requirement or obligation to enter into this program; furthermore, you may drop out of the program at any time. If you elect not to participate, or elect to drop out at a later date, your establishment will remain on (or be returned to) the primary high hazard inspection list.

What you have to do:

To enter into the CCP you must agree to:

  1. Identify and correct safety and health hazards in your workplace.
  2. Actively involve your workers in the identification and abatement of hazards in the workplace, as described in Section XVI of the enclosed compliance directive.
  3. Implement a comprehensive safety and health program based upon the principles set forth in the 1989 Voluntary Safety and Health Program Management Guidelines - Elements for an Effective Safety and Health Program (Appendix C in the enclosed Directive) or improve an existing safety and health program.
  4. Actively involve your workers in the comprehensive safety and health program.
  5. Work to significantly reduce your LWDII rate.
  6. Fill out the enclosed agreement and return it to the Area Office by January 30th, 1998.
  7. Send OSHA once each year information from the OSHA 200 annual summary form (the injury and illness log) during the two years of the program.

As an employer with 100 or fewer workers there is an additional option available to you.

  • You may elect to join the CCP as described above plus commit to utilizing a full service on-site visit from the State Consultation Program at:____________ in addition to meeting the obligations described previously.
  • You must inform the Consultation Program Manager that your request is being made as a participant of the OSHA CCP.
  • You agree that you will invite workers to participate in the consultant's on-site visit. You also agree to make available to your workers the section of the consultation report describing the hazards found during the consultation visit, the results of any workplace monitoring, and of the abatement, or plans for abatement, of these hazards.

By electing to use the consultation program you will be placed on an even lower inspection priority (tertiary) list. OSHA will conduct inspections of no more than 10% of these employers. CCP inspections will not be scheduled until the consultation program manager has advised OSHA that the abatement of the identified hazards is complete.

What you may expect from OSHA if you elect to participate

  • Your establishment will be removed from the primary high hazard inspection list and placed on a secondary or tertiary inspection list.
  • A CCP inspection is deferred to at least May 4th, 1998, and may not occur at all.
  • No more than 30% of the establishments on the secondary list and no more than 10% of the establishments on the tertiary list will be inspected under the program. Please note, however, that your establishment remains subject to an inspection for other reasons, such as a fatality or a complaint.
  • If an employer in the CCP has worked diligently to identify and correct hazards and implement a safety and health program that involves workers, there should be fewer violations to be investigated and documented, resulting in a shorter OSHA inspection with lower penalties. Also, an employer's efforts to implement a safety and health program and correct workplace hazards is strong evidence of an employer's good faith, which also contributes to reducing the employer's assessed penalties for violations.
  • Other-than-serious violations that are corrected during the inspection will not result in a citation or penalty. (Recordkeeping violations [29 CFR Part 1904] will, however, be handled in accordance with established procedures; accurate recordkeeping is a precondition to the success of the CCP.)
  • In the event we receive information that your establishment is not adhering to the conditions for participation in the program, we will investigate and may conduct an on-site inspection. As OSHA considers appropriate, and upon notice to you, you may be removed from the program and returned to the primary list.

What assistance you can expect from OSHA?

  • OSHA will conduct a CCP information and outreach session for participating employers and employee representatives to introduce members of the safety and health community who may be helpful in your efforts to reduce your injury and illness rate.
  • The CCP, the features and benefits of an effective safety and health program, and the requirements of certain OSHA regulations will be discussed.
  • I urge you to attend the information and outreach session. Please let us know the number of people you plan to bring by telephoning this office at least two weeks before the session.
  • To help you implement an effective program, we have enclosed additional materials. These materials include a description of the injuries and illnesses and violations of OSHA standards that are most commonly found in your industry. This information should prove useful in conducting your workplace safety and health analysis.
  • We are also enclosing OSHA's program evaluation profile for safety and health programs (see Appendix D of the enclosed directive). Use of the profile is not required in the CCP, but may prove helpful in undertaking a detailed evaluation of the strengths and weaknesses of your program.
  • [If you know when and where the session(s) will be held, include here; if uncertain, tell the employer you will get back to it with date and time.]

[For unionized employers]

OSHA has attempted to identify the labor unions that represent your employees and communicate with them directly. Attached is a copy of the letter that was sent to them. If you agree to participate in the CCP you must post this letter in a readily viewable and prominent location so that workers will be made aware of your commitment to their health and safety. In the event the attached copies show that we have not accurately identified all the unions that represent your employees, we ask that you send or fax to us the name(s) and address(es) of the senior authorized representative at your worksite at your earliest convenience (if you decide to participate in the CCP). In addition, to avoid any miscommunication, please provide to the senior on-site union representative(s) a copy of both this letter and the letter to the union(s).

[For nonunion employers]

Attached is a copy of a letter to employees from OSHA. If you agree to participate in the CCP you must post this letter in a readily viewable and prominent location so that workers will be made aware of your commitment to their health and safety.

If you agree to participate in the CCP, please respond using the enclosed Notice of Employer Participation by January 30th, 1998. No submission of written programs or action plans is required.

It is my hope that you will make the commitment to develop an effective and comprehensive safety and health program. If you have any questions or concerns about this letter or any aspects of the CCP, I hope you will give us the opportunity to address them by contacting this office at [AO phone number].

Sincerely,

Area Director

Enclosures



Letter No. 3 For unionized workplaces: Letter to Worker Representative

(On AO or RO letterhead)

date

Dear Labor Representative (use name wherever possible):

As indicated in the attached letter, OSHA has placed [employer name] on its high hazard inspection list and invited your employer to participate in OSHA's Cooperative Compliance Program (CCP). The goals of this program are: 1) identify and correct workplace hazards; 2) significantly reduce workplace injuries or illnesses; and, 3) establish a comprehensive and effective safety and health program to ensure a safe and healthful work environment.

Participation in this program does not diminish worker rights; such rights exist to the same extent under the CCP as under any other OSHA enforcement activity. Workers and their representatives have the same rights to make a complaint as they normally do.

Successful employers and OSHA both know that a comprehensive safety and health program can succeed only if workers and their representatives are fully involved and committed to the success of the program. Employers in the CCP who agree to establish a comprehensive program are required to provide workers and their representatives a reasonable opportunity for full participation in the effort within the facility as described in Section XVI of the enclosed Directive. We have therefore asked the employer to provide the senior on-site union representative(s) a copy of this letter, and the attached letter to the employer.

Workers and their representatives are also responsible for ensuring their own participation. OSHA encourages you to learn about this program. We have asked the employer to review the program with you. In addition, we have asked employers to provide workers and their representatives upon request copies of certain documentation pertinent to the CCP.

OSHA plans to conduct an information session to introduce employers and workers to members of the safety and health community who may be helpful in your efforts to develop and improve your worksite conditions. Information on this CCP will also be provided, along with the obligations and benefits of choosing to work cooperatively with OSHA. The features and benefits of implementing an effective safety and health program and how such a program serves as a continuing means of preventing or controlling worker exposure to hazards will also be explained. And, the requirements of pertinent OSHA regulations and standards will also be presented. You and your company are invited and encouraged to attend these free sessions, which will be held ____________.

Your involvement and the participation of all workers, the likelihood of success in improving safety and health conditions and reducing the number of injuries and illnesses in your workplace will be significantly decreased. It is our sincere hope that you and your membership will embrace the spirit of this program and join in active participation with the employer and OSHA in this effort.

If you have any questions regarding the CCP, please contact our office at [phone number].

Sincerely,

Area Director

Enclosures



Letter No. 4 For nonunion workplaces: Letter to Employees

(On AO or RO letterhead)

date

Dear Employees:

As indicated in the attached letter, OSHA has invited [employer name] to participate in OSHA's Cooperative Compliance Program (CCP). The goals of this program are: 1) identify and correct workplace hazards; 2) significantly reduce workplace injuries or illnesses; and, 3) establish a comprehensive and effective safety and health program to ensure a safe and healthful work environment.

Participation in this program does not diminish worker rights; such rights exist to the same extent under Cooperative Compliance Programs as under any other OSHA enforcement activity. Workers have the same rights to make a complaint as they normally do.

Successful employers and OSHA both know that a comprehensive safety and health program can succeed only if workers and their representatives are fully involved and committed to the success of the program. Employers in the CCP who agree to establish a comprehensive program are required to provide workers a reasonable opportunity for full participation in the effort within the facility as described in Section XVI of the enclosed compliance directive. We have therefore asked the employer to post this letter and the letter which the employer received.

Workers are also responsible for ensuring their own participation. OSHA encourages you to learn about this program. We have asked the employer to review the program with you. In addition, we have asked employers to provide workers upon request copies of certain documentation pertinent to the CCP.

OSHA plans to conduct an information session to introduce employers and workers to members of the safety and health community who may be helpful in your efforts to develop and improve your worksite conditions. Information on this CCP will also be provided, along with the obligations and benefits of choosing to work cooperatively with OSHA. The features and benefits of implementing an effective safety and health program and how such a program serves as a continuing means of preventing or controlling worker exposure to hazards will also be explained. And, the requirements of pertinent OSHA regulations and standards will also be presented. You and your company are invited and encouraged to attend these free sessions, which will be held ____________.

Your involvement and the participation of all workers, the likelihood of success in improving safety and health conditions and reducing the number of injuries and illnesses in your workplace will be significantly decreased. It is our sincere hope that you will embrace the spirit of this program and join in active participation with the employer and OSHA in this effort.

If you have any questions regarding the [CCP], please contact our office at [phone number].

Sincerely,

Area Director

Enclosures



Appendix C

ELEMENTS FOR AN EFFECTIVE SAFETY AND HEALTH PROGRAM

[1989 Voluntary Safety and Health Program Management Guideline; Issuance of Voluntary Guidelines; Notice]

The 1989 guidelines are set forth below. The full text of the explanatory introduction, preamble, and commentary which accompanied the guidelines can be found in Federal Register Notice dated January 26, 1989 (54 Fed. Reg. 3904), or by using the OSHA Home page at the following Internet address: http://www.osha.slc.gov/FedReg_osha_data/FED19890126.html/, and is also available from the local Area Offices.

  1. General.

    1. Employers are advised and encouraged to institute and maintain in their establishments a program which provides systematic policies, procedures, and practices that are adequate to recognize and protect their workers from occupational safety and health hazards.
    2. An effective program includes provisions for the systematic identification, evaluation, and prevention or control of general workplace hazards, specific job hazards, and potential hazards which may arise from foreseeable conditions.
    3. Although compliance with the law, including specific OSHA standards, is an important objective, and effective program looks beyond specific requirements of law to address all hazards. It will seek to prevent injuries and illnesses, whether or not compliance is at issue.
    4. The extent to which the program is described in writing is less important then how effective it is in practice. As the size of a worksite or the complexity of a hazardous operation increases, however, the need for written guidance increases to ensure clear communications of policies and priorities and consistent and fair application of rules.

  2. Major Elements. An effective occupational safety and health program will include the following four elements. To implement these elements, it will include the actions described in paragraph (c).
    1. Management commitment and worker involvement are complementary. Management commitment provides the motivating force and the resources for organizing and controlling activities within an organization. In an effective program, management regards workers safety and health as a fundamental value of the organization and applies its commitment to safety and health protection with as much vigor as to other organizational purposes. Worker involvement provides the means through which workers develop and/or express their own commitment to safety and health protection, for themselves and for their fellow workers.
    2. Worksite analysis involves a variety of worksite examinations, to identify not only existing hazards but also conditions and operations in which changes might occur to create hazards. Unawareness of a hazard which stems from failure to examine the worksite is a sure sign that safety and health policies and/or practices are ineffective. Effective management actively analyzes the work and worksite, to anticipate and prevent harmful occurrences.
    3. Hazard prevention and controls are triggered by a determination that a hazard or potential hazard exists. Where feasible, hazards are prevented by effective design of the jobsite or job. Where it is not feasible to eliminate them, they are controlled to prevent unsafe and unhealthful exposure. Elimination or controls is accomplished in a timely manner, once a hazard or potential hazard is recognized.
    4. Safety and health training addresses the safety and health responsibilities of all personnel concerned with the site, whether salaried or hourly. If is often most effective when incorporated into other training about performance requirements and job practices. Its complexity depends on the size and complexity of the worksite, and the nature of the hazards and potential hazards at the site.

  3. Recommended Actions:

    1. Management Commitment and Worker Involvement.
      1. State clearly a worksite policy on safe and healthful work and working conditions, so that all personnel with responsibility at the site and personnel at other locations with responsibility for the site understand the priority of safety and health protection in relation to other organizational values.
      2. Establish and communicate a clear goal for the safety and health program and objectives for meeting that goal, so that all members of the organization understand the results desired and the measures planned for achieving them.
      3. Provide visible top management involvement in implementing the program, so that all will understand that management's commitments is serious.
      4. Provides for the encourage worker involvement in the structure and operation of the program and in decisions that affect their safety and health, so that they will commit their insight and energy to achieving the safety and health program's goal and objectives.
      5. Assign and communicate responsibility for all aspects of the program so that manages, supervisors, and workers in all parts of the organization know what performance is expected of them.
      6. Provide adequate authority and resources to responsible parties, so that assigned responsibilities can be met.
      7. Hold managers, supervisors, and workers accountable for meeting their responsibilities, so that essential tasks will be performed.
      8. Review program operations at least annually to evaluate their success in meeting the goal and objectives, so that deficiencies can be identified and the program and/or the objectives can be revised when they do not meet the goal of effective safety and health protection.

    2. Worksite Analysis.

      1. So that all hazards are identified:
        1. Conduct comprehensive baseline worksite surveys for safety and health and periodic comprehensive update surveys:
        2. Analyze planned and new facilities, processes, materials, and equipment; and
        3. Perform routine job hazard analyzes.

      2. Provide for regular site safety and health inspection, so that new or previously missed hazards and failures in hazard controls are identified.
      3. So that worker insight and experience in safety and health protection may be utilized and worker concerns may be addressed, provide a reliable system for workers, without fear of reprisal, to notify management personnel about conditions that appear hazardous and to receive timely and appropriate responses; and encourage workers to use the system.
      4. Provide for investigation of accidents and "near miss" incidents, so that their causes and means for their prevention are identified.
      5. Analyze injury and illness trends over time, so that patterns with common causes can be identified and prevented.

    3. Hazard Prevention and Control.

      1. So that all current and potential hazards, however detected, are corrected or controlled in a timely manner, established procedures for that purpose, using the following measures:
        1. Engineering techniques where feasible and appropriate:
        2. Procedures for safe work which are understood and followed by all affected parties, as a result of training, positive reinforcement, correction of unsafe performance, and, if necessary, enforcement through a clearly communicated disciplinary system:
        3. Provision of personal protective equipment; and
        4. Administrative controls, such as reducing the duration of exposure.

      2. Provide for facility and equipment maintenance, so that hazardous breakdown is prevented.
      3. Plan and prepare for emergencies, and conduct training and drills as needed, so that the response of all parties to emergencies will be "second nature."
      4. Establish a medical program which includes availability of first aid on site and of physician and emergency medical care nearby, so that harm will be minimized if any injury or illness does occur.

    4. Safety and Health Training.

      1. Ensure that all workers understand the hazards to which they may be exposed and how to prevent harm to themselves and others from exposure to these hazards, so that workers accept and follow established safety and health protections.
      2. So that supervisors will carry out their safety and health responsibilities effectively, ensure that they understand those responsibilities and the reasons for them, including:
        1. Analyzing the work under their supervision to identify unrecognized potential hazards:
        2. Maintaining physical protections in their work areas; and
        3. Reinforcing worker training on the nature of potential hazards in their work and on needed protective measures, through continual performance feedback and, if necessary, through enforcement of safe work practices.

      3. Ensure that managers understand their safety and health responsibilities, as described under (c)(1). "Management Commitment and Worker Involvement," so that the managers will effectively carry out those responsibilities.




Appendix D

OSHA's Program Evaluation Guide

To further assist the employer in evaluating or implementing their safety and health program and to assist the CSHO in a evaluating a workplace safety and health program, the following program evaluation guide is provided.

The use of the program evaluation guide is not required, but rather is provided as a tool for use and assistance in evaluation of ones program or as a guide in using the 1989 safety and health guidelines. Each of the elements and factors of the program evaluation may be scored from 1 to 5, indicating the level of the safety and health program, as follows:

Overall ScoreLevel of Safety and Health Program
5Outstanding program
4Superior program
3Program implemented
2Developmental program
1No program implemented



MANAGEMENT LEADERSHIP and EMPLOYEE PARTICIPATION
Management Leadership
Visible management leadership provides the motivating force for an effective safety and health program. [1989 Voluntary Safety and Health Program Management Guidelines, (b)(1) and (c)(1)]
1 Management demonstrates no policy, goals, objectives, or interest in safety and health issues at this worksite.
2 Management sets and communicates safety and health policy and goals, but remains detached from all other safety and health efforts.
3 Management follows all safety and health rules, and gives visible support to the safety and health efforts of others.
4 Management participates in significant aspects of the site's safety and health program, such as site inspections, incident reviews, and program reviews. Incentive programs that discourage reporting of accidents, symptoms, injuries, or hazards are absent. Other incentive programs may be present.
5 Site safety and health issues are regularly included on agendas of management operations meetings. Management clearly demonstrates--by involvement, support, and example--the primary importance of safety and health for everyone on the worksite. Performance is consistent and sustained or has improved over time.


MANAGEMENT LEADERSHIP and EMPLOYEE PARTICIPATION
Employee Participation
Employee participation provides the means through which workers identify hazards, recommend and monitor abatement, and otherwise participate in their own protection. [Guidelines, (b)(1) and (c)(1).]
1 Worker participation in workplace safety and health concerns is not encouraged. Incentive programs are present which have the effect of discouraging reporting of incidents, injuries, potential hazards or symptoms. Employees/employee representatives are not involved in the safety and health program.
2 Workers and their representatives can participate freely in safety and health activities at the worksite without fear of reprisal. Procedures are in place for communication between employer and workers on safety and health matters. Worker rights under the Occupational Safety and Health Act to refuse or stop work that they reasonably believe involves imminent danger are understood by workers and honored by management. Workers are paid while performing safety activities.
3 Workers and their representatives are involved in the safety and health program, involved in inspection of work area, and are permitted to observe monitoring and receive results. Workers' and representatives' right of access to information is understood by workers and recognized by management. A documented procedure is in place for raising complaints of hazards or discrimination and receiving timely employer responses.
4 Workers and their representatives participate in workplace analysis, inspections and investigations, and development of control strategies throughout facility, and have necessary training and education to participate in such activities. Workers and their representatives have access to all pertinent health and safety information, including safety reports and audits. Workers are informed of their right to refuse job assignments that pose serious hazards to themselves pending management response.
5 Workers and their representatives participate fully in development of the safety and health program and conduct of training and education. Workers participate in audits, program reviews conducted by management or third parties, and collection of samples for monitoring purposes, and have necessary training and education to participate in such activities. Employer encourages and authorizes employees to stop activities that present potentially serious safety and health hazards.


MANAGEMENT LEADERSHIP and EMPLOYEE PARTICIPATION
Implementation
Implementation means tools, provided by management, that include:
-- budget
-- information
-- personnel
-- assigned responsibility
-- adequate expertise and authority
-- means to hold responsible persons accountable (line accountability)
-- program review procedures.

[Guidelines, (b)(1) and (c)(1)]
1 Tools to implement a safety and health program are inadequate or missing.
2 Some tools to implement a safety and health program are adequate and effectively used; others are ineffective or inadequate. Management assigns responsibility for implementing a site safety and health program to identified person(s). Management's designated representative has authority to direct abatement of hazards that can be corrected without major capital expenditure.
3 Tools to implement a safety and health program are adequate, but are not all effectively used. Management representative has some expertise in hazard recognition and applicable OSHA requirements. Management keeps or has access to applicable OSHA standards at the facility, and seeks appropriate guidance information for interpretation of OSHA standards. Management representative has authority to order/purchase safety and health equipment.
4 All tools to implement a safety and health program are more than adequate and effectively used. Written safety procedures, policies, and interpretations are updated based on reviews of the safety and health program. Safety and health expenditures, including training costs and personnel, are identified in the facility budget. Hazard abatement is an element in management performance evaluation.
5 All tools necessary to implement a good safety and health program are more than adequate and effectively used. Management safety and health representative has expertise appropriate to facility size and process, and has access to professional advice when needed. Safety and health budgets and funding procedures are reviewed periodically for adequacy.


MANAGEMENT LEADERSHIP and EMPLOYEE PARTICIPATION
Contractor Safety
Contractor safety: An effective safety and health program protects all personnel on the worksite, including the employees of contractors and subcontractors. It is the responsibility of management to address contractor safety. [Guidelines, (b)(1) and (c)(1)]
1 Management makes no provision to include contractors within the scope of the worksite's safety and health program.
2 Management policy requires contractor to conform to OSHA regulations and other legal requirements.
3 Management designates a representative to monitor contractor safety and health practices, and that individual has authority to stop contractor practices that expose host or contractor employees to hazards. Management informs contractor and employees of hazards present at the facility.
4 Management investigates a contractor's safety and health record as one of the bidding criteria.
5 The site's safety and health program ensures protection of everyone employed at the worksite, i.e., regular full-time employees, contractors, temporary and part-time employees.


WORKPLACE ANALYSIS
Survey and Hazard Analysis
Survey and hazard analysis: An effective, proactive safety and health program will seek to identify and analyze all hazards. In large or complex workplaces, components of such analysis are the comprehensive survey and analyzes of job hazards and changes in conditions. [Guidelines, (c)(2)(I)]
1 No system or requirement exists for hazard review of planned/changed/new operations. There is no evidence of a comprehensive survey for safety or health hazards or for routine job hazard analysis.
2 Surveys for violations of standards are conducted by knowledgeable person(s), but only in response to accidents or complaints. The employer has identified principle OSHA standards which apply to the worksite.
3 Process, task, and environmental surveys are conducted by knowledgeable person(s) and updated as needed. Current hazard analyzes are written (where appropriate) for all high-hazard jobs and processes; analyzes are communicated to and understood by affected workers. Hazard analyzes are conducted for jobs, tasks,, workstations, where injury or illnesses have been recorded.
4 Methodical surveys are conducted periodically and drive appropriate corrective action. Initial surveys are conducted by a qualified professional. Current hazard analyzes are documented for all work areas and are communicated and available to all the workforce; knowledgeable persons review all planned/changed/new facilities, processes, materials, or equipment.
5 Regular surveys including documented comprehensive workplace hazard evaluations are conducted by certified safety and health professional. Corrective action is documented and hazard inventories are updated. Hazard analysis is integrated into the design, development, implementation, and changing of all processes and work practices.


WORKPLACE ANALYSIS
Inspection
Inspection: To identify new or previously missed hazards and failures in hazard controls, an effective safety and health program will include regular site inspections. [Guidelines, (c)(2)(ii)]
1 No routine physical inspection of the workplace and equipment is conducted.
2 Supervisors dedicate time to observing work practices and other safety and health conditions in work areas where they have responsibility.
3 Competent personnel conduct inspections with appropriate involvement of workers. Items in need of correction are documented. Inspections include compliance with relevant OSHA standards. Time periods for correction are set.
4 Trained workers conduct inspections, and all items are corrected promptly and appropriately. Workplace inspections are planned, with key observations or check points defined and results documented. Persons conducting inspections have specific training in hazard identification applicable to the facility. Corrections are documented through follow-up inspections. Results are available to workers.
5 Inspections are planned and overseen by certified safety or health professionals. Statistically valid random audits of compliance with all elements of the safety and health program are conducted. Observations are analyzed to evaluate progress.


WORKPLACE ANALYSIS
Hazard Reporting
A reliable hazard reporting system enables workers, without fear of reprisal, to notify management of conditions that appear hazardous and to receive timely and appropriate responses. [Guidelines, (c)(2)(iii)]
1 No formal hazard reporting system exists, or workers are reluctant to report hazards.
2 Workers are instructed to report hazards to management. Supervisors are instructed and are aware of a procedure for evaluating and responding to such reports. Workers use the system with no risk of reprisals.
3 A formal system for hazard reporting exists. Worker reports of hazards are documented, corrective action is scheduled, and records maintained.
4 Workers are periodically instructed in hazard identification and reporting procedures. Management conducts surveys of worker observations of hazards to ensure that the system is working. Results are documented.
5 Management responds to reports of hazards in writing within specified time frames. The workforce readily identifies and self-corrects hazards; they are supported by management when they do so.


ACCIDENT and RECORD ANALYSIS
Accident Investigation
Accident investigation: An effective program will provide for investigation of accidents and Near miss incidents, so that their causes, and the means for their prevention, are identified. [Guidelines, (c)(2)(iv)]
1 No investigation of accidents, injuries, near misses, or other incidents is conducted.
2 Some investigation of incidents takes place, but root cause may not be identified, and correction may be inconsistent. Supervisors prepare injury reports for lost time cases.
3 OSHA-101 is completed for all recordable incidents. Reports are generally prepared with cause identification and corrective measures prescribed.
4 OSHA-recordable incidents are always investigated, and effective prevention is implemented. Reports and recommendations are available to workers. Quality and completeness of investigations are systematically reviewed by trained safety personnel.
5 All loss-producing accidents and "near-misses" are investigated for root causes by teams or individuals that include trained safety personnel and workers.


ACCIDENT and RECORD ANALYSIS
Data Analysis
Data analysis: An effective program will analyze injury and illness records for indications of sources and locations of hazards, and jobs that experience higher numbers of injuries. By analyzing injury and illness trends over time, patterns with common causes can be identified and prevented. [Guidelines, (c)(2)(v)]
1 Little or no analysis of injury/illness records; records (OSHA 200/101, exposure monitoring) are kept or conducted.
2 Data is collected and analyzed, but not widely used for prevention. OSHA -101 is completed for all recordable cases. Exposure records and analyzes are organized and are available to safety personnel.
3 Injury/illness logs and exposure records are kept correctly, are audited by facility personnel, and are essentially accurate and complete. Rates are calculated so as to identify high risk areas and jobs. Workers compensation claim records are analyzed and the results used in the program. Significant analytical findings are used for prevention.
4 Employer can identify the frequent and most severe problem areas, the high risk areas and job classifications, and any exposures responsible for OSHA recordable cases. Data are fully analyzed and effectively communicated to workers. Illness/injury data are audited and certified by a responsible person.
5 All levels of management and the workforce are aware of results of data analyzes and resulting preventive activity. External audits of accuracy of injury and illness data, including review of all available data sources are conducted. Scientific analysis of health information, including non-occupational data bases is included where appropriate in the program.


HAZARD PREVENTION and CONTROL
Hazard Control and Maintenance
Hazard Control: Workforce exposure to all current and potential hazards should be prevented or controlled by using engineering controls wherever feasible and appropriate, work practices and administrative controls, and personal protective equipment (PPE). An effective safety and health program will provide for facility and equipment maintenance, so that hazardous breakdown is prevented. [Guidelines, (c)(3)(I) and (ii)]
1 Hazard control is seriously lacking or absent from the facility. No preventive maintenance program is in place; break-down maintenance is the rule.
2 Hazard controls are generally in place, but effectiveness and completeness vary. Serious hazards may still exist. Employer has achieved general compliance with applicable OSHA standards regarding hazards with a significant probability of causing serious physical harm. Hazards that have caused past injuries in the facility have been corrected. There is a preventive maintenance schedule, but it does not cover everything and may be allowed to slide or performance is not documented. Safety devices on machinery and equipment are generally checked before each production shift.
3 Appropriate controls (engineering, work practice, and administrative controls, and PPE) are in place for significant hazards. Some serious hazards may exist. Employer is generally in compliance with voluntary standards, industry practices, and suppliers' safety recommendations. Documented reviews of needs in machine guarding, energy lockout, ergonomics, materials handling, bloodborne pathogens, confined space, hazard communication, and other generally applicable standards have been conducted. The overall program tolerates occasional deviations. A preventive maintenance schedule is implemented for areas where it is most needed; it is followed under normal circumstances. Manufacturers' and industry recommendations for maintenance frequency are complied with. Breakdown repairs for safety related items are expedited. Safety device checks are documented. Ventilation system function is observed periodically.
4 Hazard controls are fully in place, and are known and supported by the workforce. Few serious hazards exist. The employer requires strict and complete compliance with all OSHA, consensus, and industry standards and recommendations. All deviations are identified and cause determined. The employer has effectively implemented a preventive maintenance schedule that applies to all equipment. Facility experience is used to improve safety-related preventative maintenance scheduling.
5 Hazard controls are fully in place and continually improved upon based upon workplace experience and general knowledge. Documented reviews of needs are conducted by certified health and safety professionals. There is a comprehensive safety and preventative maintenance program that maximizes equipment reliability.


HAZARD PREVENTION and CONTROL
Medical Program
An effective safety and health program will include a suitable medical program where it is appropriate for the size and nature of the workplace and its hazards. [Guidelines, (c)(3)(iv)]
1 Employer is unaware of, or unresponsive to medical needs. Required medical surveillance, monitoring, and reporting are absent or inadequate.
2 Required medical surveillance, monitoring, removal, and reporting responsibilities for applicable standards are assigned and carried out, but results may be incomplete or inadequate.
3 Medical surveillance, removal, monitoring, and reporting comply with applicable standards. Workers report early signs/symptoms of job-related injury or illness and receive appropriate treatment.
4 Health care providers provide follow-up on worker treatment protocols and are involved in hazard identification and control in the workplace. Medical surveillance addresses conditions not covered by specific standards. Worker concerns about medical treatment are documented and responded to.
5 Health care providers are on-site for all production shifts and are fully involved in hazard identification and training. Health care providers periodically observe the work areas and activities and are fully involved in hazard identification and training.


EMERGENCY RESPONSE
Emergency Preparedness and First Aid
Emergency preparedness: There should be appropriate planning, training/drills, and equipment for response to emergencies. Note: In some facilities the employer plan is to evacuate and call the fire department. In such cases, only applicable items listed below should be considered. First aid/emergency care should be readily available to minimize harm if an injury or illness occurs. [Guidelines, (c)(3)(iii) and (iv)]
1 Little or no effective effort to prepare for emergencies. Neither on-site nor nearby community aid (e.g., emergency room) can be ensured.
2 Emergency response plans for fire, chemical, and weather emergencies as required by 1910.38, 1910.120 are present. Training is conducted as required by the standard. Some deficiencies may exist. Either on-site or nearby community aid is available on every shift.
3 Emergency response plans have been prepared by persons with specific training. Appropriate alarm systems are present. Workers are trained in emergency procedures. The emergency response extends to spills and incidents in routine production. Adequate supply of spill control and PPE appropriate to hazards on site are available. Personnel with appropriate first aid skills commensurate with likely hazards in the workplace and as required by OSHA standards (e.g., 1910.151) are available. Management documents and evaluates response time on a continuing basis.
4 Evacuation drills are conducted no less than annually. The plan is reviewed by a qualified safety and health professional. Personnel with certified first aid skills are always available on-site; their level of training is appropriate to the hazards of the work being done. Adequacy of first aid is formally reviewed after significant incidents.
5 Designated emergency response team with adequate training are on-site. All potential emergencies have been identified. Plan is reviewed by the local fire department. Plan and performance are reevaluated at least annually and after each significant incident. Procedures for terminating an emergency are clearly defined. Personnel trained in advanced first aid and/or emergency medical care are always available on-site. In larger facilities a health care provider is on-site for each production shift.


SAFETY and HEALTH TRAINING
Safety and health training should cover the safety and health responsibilities of all personnel who work at the site or affect its operations. It is most effective when incorporated into other training about performance requirements and job practices. It should include all subjects and areas necessary to address the hazards at the site. [Guidelines, (b)(4) and (c)(4)]
1 Facility depends on experience and peer training to meet needs. Managers/supervisors demonstrate little or no involvement in safety and health training responsibilities.
2 Some orientation training is given to new hires. Some safety training materials (e.g., pamphlets, posters, videotapes) are available or are used periodically at safety meetings, but there is little or no documentation of training or assessment of worker knowledge in this area. Managers generally demonstrate awareness of safety and health responsibilities, but have limited training themselves or involvement in the site's training program.
3 Training includes OSHA rights and access to information. Training required by applicable standards is provided to all site workers. Supervisors and managers attend training in all subjects provided to workers under their direction. Workers can generally demonstrate the skills/knowledge necessary to perform their jobs safety. Records of training are kept and training is evaluated to ensure that it is effective.
4 Knowledgeable persons conduct safety and health training that is scheduled, assessed, and documented, and addresses all necessary technical topics. Workers are trained to recognize hazards, violations of OSHA standards, and facility practices. Workers are trained to report violations to management. All site workers--including supervisors and managers--can generally demonstrate preparedness for participation in the overall safety and health program. There are easily retrievable scheduling and record keeping systems.
5 Knowledgeable persons conduct safety and health training that is scheduled, assessed, and documented. Training covers all necessary topics, situations, and that includes all persons working at the site (hourly workers, supervisors, managers, contractors, part-time and temporary workers). Workers participate in creating site-specific training methods and materials. Workers are trained to recognize inadequate responses to reported program violations. Retrievable recordkeeping system provides for appropriate retraining, makeup training, and modifications to training as the result of evaluations.




Appendix E

OCCUPATIONAL SAFETY & HEALTH ADMINISTRATION
"Name of local area office" AREA OFFICE-REGION "xxx"


CCP INSPECTION OPTION
NOTICE OF EMPLOYER PARTICIPATION


Employer Name:_____________________________________
Employer Address:_____________________________________
 _____________________________________

We have reviewed and evaluated the information sent with the OSHA High Injury and Illness Targeting System. We agree to participate in the OSHA CCP as described.

We understand that our company may contact the Area Office for assistance and clarification.

___________________________________________________________
Signature of C.E.O., Owner or Senior Management OfficialDate



STATE CONSULTATION OPTION:

This is a work site of 100 or fewer workers and a company of 500 or fewer total workers, and we requested a full service consultation visit from the state consultation service on ___________________(date).

The organized labor representative for this site is:

Name___________________________________Telephone________________________

FAX ____________________________________

Address_______________________________________________________

______________________________________________________________

______________________________________________________________

Note:This Notice of Employer Participation must be returned to the OSHA Area Office within 45 days of receipt and must be posted in a readily visible location for worker viewing if you opt to enroll in the CCP.




INDEX

Abatement

Access

Accident

Agreement

Area Office

BLS

Case File

CCP

Citation

Classification

Closing Conference

Complaint

Compliance

Conference

Consultation

Consultation Visit

CSHO

Data initiative

Directive

Emergency

Employee

Employee Participation

Employer

Employer notification

Enforcement

Establishment

Evaluating

Evaluation

Failure to Abate

Federal Program Change

Field Inspection Reference Manual

FIRM

High injury and illness rate targeting

Illness Data

IMIS

Informal Settlement Agreement

Injury Data

Inspection

Investigation

Lost work day injury and illness

LWDII

Organization

OSHA 200

OSHA 55

Penalty

PEP

Personnel

Primary list

Recordkeeping

Records verification

Referral

Regional Administrator

Regional Office

Report

Review Commission

Safety and Health Program

Secondary list

SHARP

Shorter OSHA inspection

SIC

State

State Plan

Tertiary list

Training

Verification

Violation

VPP

Worker notification
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.

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.