- Record Type:OSHA Instruction
- Current Directive Number:TED 3.5B
- Old Directive Number:TED 3.5B
- Title:Revised Consultation Policies and Procedures Manual.
- Information Date:
OSHA Instruction TED 3.5B CH-1
January 3, 1997
Office of Cooperative Programs
Subject: Change 1 to OSHA Instruction TED 3.5B, Consultation Policies and Procedures Manual
A. Purpose. This change instruction transmits one revised page to OSHA Instruction TED 3.5B.
B. Scope. This instruction applies OSHA-wide.
- 1. Remove page 4 and replace it with the attached change page. The single change is marked in the left margin by a vertical line.
- 1. Due to a typographical error, number 9 on page 4 is incorrect. Number 9 should read as follows: Chapter X. V.A.1.e.(2).
Paula O. White, Director
National, Regional and Area Offices
OSHA Consultation Project Managers
OSHA Instruction TED 3.5B
December 9, 1996
Office of Cooperative Programs
Subject: Revised Consultation Policies and Procedures Manual
A. Purpose. This instruction transmits the revised Part I of the Consultation Policies and Procedures Manual (CPPM).
B. Scope. This instruction applies OSHA-wide.
- 1. 29 CFR Part 1908, Consultation Agreements.
- 2. OSHA Instruction CPL 5.1, VPP Policies and Procedures
- 3. OSHA Instruction FIN 3.2, Financial and Administrative
Monitoring of the 23(g) Grants, 7(c)(1) Cooperative Agreements and 24(b)(2)
Grants and Contracts, August 27, 1984.
D. Cancellation. This instruction cancels the following instruction which is now incorporated in this manual:
- 1. OSHA Instruction TED 3.5A, October 2, 1995.
- 1. Regional Administrators shall ensure each 7(c)(1) Consultation
Project and State Designees has a copy of this instruction which replaces
Part I of the CPPM issued on April 27, 1987.
- 2. Regional Administrators, 7(c)(1) Project Managers and State
Designees shall ensure that all requirements and procedures established in
the attached revised manual are adhered to by 7(c)(1) Consultation Project
personnel and by OSHA Regional and Area Office personnel.
F. Federal Program Change. This instruction describes a Federal program change which affects State Programs. Each Regional Administrator shall:
- 1. Ensure that this instruction is promptly forwarded to each
State Designee, using a format consistent with Plan Change Two-Way Memorandum
in Appendix A, OSHA Instruction STP 2.22A, Ch-2. Part I of the Manual is the
only part requiring response as a Federal program change.
- 2. Explain the technical content of this instruction to the State
designee as requested.
- 3. The State shall respond to this change within 70 days in
accordance with paragraph I.1.a.(2)(a) and (b), chapter III.
- 4. However, the State must expand its applicability to its public
sector consultation effort and where applicable, to any private sector
consultation program operated under its State plan (i.e., the eight States
without 7(c)(1) consultation programs). This State acknowledgment should
include: (a) the State's plan to adopt and implement identical policies and
procedures for its 18(b) consultation program(s), (b) the State's plan to
develop an alternative document which is at least as effective as these
policies and procedures, or (c) the reasons why no change is necessary to
maintain a program which is as effective. The State shall submit the plan
supplement within 6 months in accordance with I.1.a.(3)(c), chapter III. If
the State's free onsite consultation services for private sector employers is
not a part of its 18(b) plan, the State's response should be limited to
public sector consultation and enforcement related issues in the private
- 5. Inform each State providing free onsite consultation services
to private and/or public sector employers as part of its 18(b) plan, or SHARP
participation as part of its consultation project, that a plan supplement
describing the program and establishing policies and operating procedures for
both consultants and compliance personnel must be submitted within 6
- 6. Advise the State that its submission will be assessed with
respect to the impact of its consultation program on the "at least as
effective" status of its overall State program. If the State adopts an
alternative to the Federal procedures, the State's submission must identify
each substantive difference from the Federal program element and provide
rationale for judging that such difference has no negative impact on the at
least as effectiveness of its enforcement program.
- 7. After Regional review of the State plan supplement and
resolution of any comments thereon, forward the State submission to the
National Office in accordance with established procedures. The Regional
Administrator shall provide a judgement on the relative effectiveness of each
substantive difference in the State plan change and overall assessment
thereon with a recommendation for approval or disapproval by the Assistant
G. Background. The Revised CPPM consolidates all changes made to OSHA Instruction 3.5A which was first issued on October 2, 1995. It continues the purpose of providing a handbook for consultants to carry out the policies and procedures of the Consultation Program.
H. Significant Changes. Because OSHA Instruction TED 3.5B is a complete reissuance of the CPPM (Part I) and not a collection of page changes to the existing directive, individual revisions of text are not marked by black lines in the left margin. Important changes are summarized below:
- 1. Chapter III. B.2. Scheduling Priority. An error in
the second sentence was corrected to establish that "as the hazardousness of
an employer's workforce increases and/or the size of the establishment
decreases, the priority assigned for servicing the request will increase
accordingly," not "decrease accordingly."
- 2. Chapter VI. C.2.d.(2)(b), Employer Obligations. This
paragraph has been revised and provides clear and comprehensive guidelines
for unionized sites.
- 3. Chapter IX. Appendix A, Safety and Health Program
Assessment Worksheet (Form 33). A revised copy of the Consultation Form 33,
currently being used by consultants in the field, has been
- 4. Chapter IX. II.A., Management Leadership and Employee
Involvement. A "NOTE" has been added to clarify employee
- 5. Chapter X. II.B, Program Eligibility. A "NOTE" has
been added which clarifies the LWDI data source consultants should use to
compare an employer's LWDI rate to the industry average when determining
whether that employer is eligible for participation in the Safety and Health
Achievement Recognition Program (SHARP).
- 6. Chapter X. III.A.3.c., Program Requirements. The word
"at" has been added to the sentence to clarify that employers lowering their
LWDI to at or below their industry average will be eligible for participation
in SHARP if they met all other requirements.
- 7. Chapter X. III.A.3.c., Program Requirements. A "NOTE"
has been added to indicate that, once an employer has participated in the
Safety and Health Achievement Recognition Program (SHARP) for one year and
has reduced his/her LWDI rate to at or below the average for that industry,
that improved LWDI rate should be used when the consultant is comparing it to
the BLS data to which the employer's original average was compared.
- 8. Chapter IX. VI.A.2, SHARP Procedures. The word "at"
has been added to the sentence to clarify that employers will be informed
that they must lower their LWDI and IIR to at or below their industry average
in order to pursue participation in SHARP, in addition to meeting other
- 9. Chapter X. V.A.1.e.(2), Failure to Meet or Maintain
Requirements. This paragraph has been revised to provide guidelines that
take into consideration small establishments that have met the criteria and
have been accepted into the SHARP program but, for the act of a single injury
or small number of injuries, may make them ineligible to continue in the
Joseph A. Dear
DISTRIBUTION: National, Regional and Area Offices
7(c)(1) Consultation Program Managers
Chapter I -- Overview of the OSHA Consultation Program
- I. Overview of the OSHA Consultation Program - Background
- II. The Consultation Policies and Procedures Manual (CPPM)
Chapter II -- Consultation Program Administration: Roles
- and Responsibilities - A Tri-part Relationship
- I. Introduction
- II. OSHA National Office
Chapter III -- Consultation Scheduling Priorities
- I. Scheduling
- II. Visit Priorities
Chapter IV -- Consultation Promotion and Outreach
- I. Consultation Promotion
- II. Targeting Promotional Activities
- III. Consultative Visits During Promotional Activities
- IV. Promotional Methods and Strategies
- V. Outreach Activities
- VI. Evaluating Promotional and Outreach Activities
Chapter V -- Consultation Requests
- I. Consultation Requests
- II. Responsibilities
- Appendix A - Example Letter to Employer Low Priority
Chapter VI -- Onsite Consultation Requests
- I. Purpose
- II. Types of Onsite Services
- III. Extent/Level of Consultation Services
- IV. Consultation Process
Chapter VII -- Written Report to the Employer (Reserved)
Chapter VIII -- Training and Education by Consultants
- I. Introduction
- II. Relationship of Training and Education to Consultation
- III. Types of Training and Education
- IV. Allocating and Recording Training Time
- V. Reporting to the Employer
- VI. Coordinating Training and Education Activities
- VII. Consultant Training and Education Capabilities
- VIII.Resources for Training and Education: Sources of Information
- IX. Disengagement of Training and Education
- Appendix A -- Consultant Training and Education Capabilities
Chapter IX - Safety and Health Program Assistance
- I. Introduction
- II. Elements of a Fully Effective Safety and Health Program
- III. Procedures for Comprehensive Program Assistance
- IV. Flexibility in the Application Criteria
- Appendix A - Safety and Health Program Assessment Worksheet - Form 33
- Appendix B - Employee Interview Questions
Chapter X -- Safety and Health Achievement Recognition Program (SHARP)
- I. Program Overview
- II. Program Eligibility
- III. Program Requirements
- IV. SHARP Procedures
- V. Failure to Meet or Maintain Requirements
I. The OSHA Consultation Program - Background.
- A. Subsequent to the promulgation of the Occupational Safety and
Health Act of 1970 (the Act), the Agency recognized that employers needed to
better understand their obligations under the Act. Small employers in
particular expressed difficulty in interpreting the sometimes complex
occupational safety and health regulations that could apply to their
workplaces and in identifying hazards at their worksites. Moreover, small
employers often lack the financial resources to hire outside private
consultants to aid them in meeting their obligations under the Act.
- B. The OSH Act, under Section 21(c), directs the Secretary of
Labor to establish programs for the education and training of employers and
employees in the recognition, avoidance, and prevention of unsafe or
unhealthful working conditions in employment covered under the Act. Before
OSHA's consultation program was developed, many States provided onsite
consultation services to employers as part of their State plan under section
18(b) of the Act.
- C. On May 20, 1975, in response to the demand for onsite
consultation in Federal enforcement States, the Secretary of Labor
promulgated the regulation at 29 CFR Part 1908 (40 Federal Register
21935), which authorized Federal funding of onsite consultation activity by
States without State plans. This activity was funded through Cooperative
Agreements under the authority of sections 21(c) and 7(c)(1) of the Act.
OSHA consultation is often referred to as "7(c)(1) Consultation" because of
its dependence on this section of the Act.
- D. Part 1908 was subsequently amended on August 16, 1977, to
increase the level of Federal finding for State run consultation projects to
ninety percent, a level that provided a strong incentive for all States to
enter into the program. At the present time, forty-four States and U.S.
territories operate OSHA Onsite Consultative Programs under section 7(c)(1)
agreements with Federal OSHA. Eight States and U.S. territories operate
programs as part of their approved State plans for which fifty percent
funding is received from Federal OSHA through their 23(g) grants.
- E. In 1983, OSHA published a proposed change to the consultation
regulation to clarify a number of provisions and to change the focus of
services provided to an employer during an OSHA consultative visit. The
proposal raised a number of new issues, including the Agency's desire to
shift the focus of the consultation visit from simply the identification and
correction of specific workplace hazards to a broader and more comprehensive
goal. This goal includes having the OSHA consultant work with the employer
and his or her employees to address the employer's overall management system
for ensuring a safe and healthful workplace, i.e., the worksite's
occupational safety and health program. In addition, the proposal allowed
for the provision of offsite consultation, including training and education
services, to be made available to employers and provided for an exemption
from general schedule OSHA inspections for employers who met specific
criteria. A final rule including these provisions was published in the
Federal Register on June 19, 1984 (FR 25082) and is the current
regulation governing OSHA consultative services.
II. The Consultation Policies and Procedures Manual (CPPM).
- A. States operating consultation programs under a cooperative
agreement with Federal OSHA are required to follow policies and procedures
set forth by the Assistant Secretary. The main policy guidance document is
the "Consultation Policies and Procedures Manual (CPPM)" which appears in the
Agency's directive system as OSHA Instruction TED 3.5. The CPPM was first
issued in April of 1987. It defines the activities and procedures that
OSHA-funded consultation projects are to follow, sets forth the monitoring
and evaluation system and procedures to be used during Federal OSHA
evaluation of State consultation project performance, and provides
instruction on project participation in the Consultation Data System managed
by Federal OSHA.
- B. The CPPM also serves as the official document outlining the
goals of the OSHA Consultation Program and defines the principal program
objectives of OSHA Consultation activity. Over the years, the CPPM has
undergone several revisions and several chapters have been issued in draft
form. Other chapters have been listed in the table of contents to the CPPM
"reserved" and have never been issued.
- C. In 1995, the Agency revised the consultation program and
consultation monitoring and evaluation process to improve the consultation
program overall. This revision of the CPPM seeks to ensure that it best
reflects OSHA'S program objectives and that the OSHA Consultation Program
achieves the biggest impact with limited Agency resources.
I. Introduction. The successful implementation of the OSHA nationwide consultation program is dependent upon the cooperative effort and ongoing communication among the OSHA National Office, the OSHA Regional Offices, and the OSHA-funded State consultation projects. The purpose of this chapter is to define the respective roles and responsibilities of each party composing this cooperative arrangement.
II. OSHA National Office.
- A. Directorate of Federal-State Operations. The
Directorate of Federal-State Operations (FSO), through the Office of
Cooperative Programs, Division of Consultation Programs, is responsible for
the nationwide coordination and administrative oversight of the national OSHA
consultation program. The Office seeks to ensure that OSHA'S limited
resources are consistently and effectively employed in the pursuit of the
stated goals and objectives of the nationwide consultation program. To that
end, the Office of Cooperative Programs is responsible for establishing the
policies and procedures which govern the operation, monitoring, and
evaluation of the OSHA consultation program. The Office is also available to
assist the Regions and the States in effectively implementing the program and
in resolving any problems or disputes which may arise. In addition, the
Office of Cooperative Programs conducts, on an annual basis, a programmatic
review of all 7(c)(1) Consultation Cooperative Agreement applications and
- B. Directorate of Administrative Programs.
- 1. Consultation Data System. The Directorate of
Administrative Programs, through the Office of Management Data Systems
(OMDS), is responsible for the design and administration of the Consultation
Data System (CDS); programming of the Consultation Activity Measures (CAMS);
processing of CDS information, as a function of the OSHA computerized
Integrated Management Information System (IMIS); and production and
distribution of both routine reports (such as the quarterly Consultation
Activity Measures (CAM) Report) and such special reports as may be needed.
OMDS also designs and writes the software programs which enable the OSHA
Regional Offices and the States to query the National data base directly, and
any special programs needed in response to requests for more complex, ad hoc
- 2. Consultation Cooperative Agreements. The
Directorate of Administrative Programs, through the Office of Financial
Management, Division of Grants Management, is responsible for the day-to-day
management of cooperative agreement funds used to support the OSHA
consultation program and the preparation of the annual instructions for the
cooperative agreements and amendments. The Division is also responsible for
oversight of the financial requirements and arrangements with the States that
participate in the OSHA consultation program. The Division also conducts a
financial review each year of all agreement applications and
- C. OSHA Regions. The OSHA Regions are responsible for
monitoring and evaluating the State consultation projects within their
respective Regions. This must be done in accordance with established Federal
policies and procedures and must be consistent with the effort to support the
States in building and maintaining consultation project operations which
effectively and efficiently meet the objectives of the OSHA consultation
program. Continuous communication and cooperative relations between the
Regions and the States are essential to fulfilling the Regions'
responsibilities. The Regions also provide technical assistance and
communicate Federal program direction to the States. The mutual maintenance
of regular channels of communication is an essential component of the
- D. States. The States are responsible for operating and
maintaining programs which effectively meet the objectives of the OSHA-funded
consultation program, in accord with 29 CFR 1908, Consultation Agreements,
the Annual Cooperative Agreements, and measures established in the
Consultation Policies and Procedures Manual. The States are active
participants in the monitoring process used to assess their performance.
Accordingly, the States must maintain continuous and constructive
communication with the Regions and provide the Regions with appropriate
information about State performance, including information about unique
project activities. The State consultation projects' involvement in the
monitoring system includes the responsibility to participate in the review
and analysis of State project performance, including financial performance
monitoring and consultant performance evaluation.
- A. Requirements.
- 1. More Hazardous, Smaller Businesses. 29 CFR Part
1908 requires that preference be given to requests from more hazardous
businesses, especially in smaller establishments. Within these parameters,
Project Managers are authorized to schedule visits, including visits to
provide limited consultative assistance, according to the potential impact of
the visit, and the available resources of the project (see section
- 2. Less Hazardous, Larger Businesses. Larger and/or
less hazardous businesses will be informed that their requests for onsite
services will typically receive a low priority. When merited by the backlog
of requests and their priority, the employer will be notified that targeting
criteria and the project's backlog of requests preclude servicing a request
due to its low priority. In such cases, it is appropriate to suggest
alternative sources of assistance to the employer.
- 3. Abatement Assistance. No special priority will be
assigned to requests from OSHA enforcement for abatement assistance
("Correction Assistance Cited") or for assistance in response to an
enforcement informal complaint letter. These types of requests will be
evaluated for scheduling on the same basis as all other
- B. Scheduling Priority.
- 1. General. Project Managers are authorized to
schedule visits based on the following criteria:
- a. An imminent danger situation, or where the urgency of
the request (e.g., request for assistance involving a hazardous trenching
operation) may require the highest priority response;
- b. The hazardousness and size of the business, with more
hazardous small businesses receiving priority response;
- c. The availability of project resources such as staffing
and budgetary resources which may necessarily affect the assignment of case
- The highest priority for services is to be given to
employers who have the highest incidence rates or who are classified as high
hazard, with primary attention to smaller businesses.
- 2. Worst First. In order to make the biggest impact
with limited consultation resources, requests for consultation services shall
be serviced in the order of "worst first," that is, from highest to lowest
priority according to the relative hazardousness of the establishment and the
relative size of the establishment. As the hazardousness of an employer's
workforce increases and/or the size of the establishment decreases, the
priority assigned for servicing the request will increase accordingly. A
newer, higher priority request will always take precedent over older, lower
priority requests, and project managers must ensure that request lists are
continually updated according to these criteria.
II. Visit Priorities.
- A. Imminent Danger Situations.
- Preference will be given, as the highest priority for servicing
requests, to eligible employers (employing no more than 500 employees
nationwide) who indicate an imminent danger situation or where the urgency of
the request (e.g., trenching operations) may require the highest priority
- B. More Hazardous Businesses: "Target Industries"
- Second priority will be given to employers who employ less that
250 employees at the site and no more than 500 employees nationwide and who
are in a high hazard industry, as defined below, or who have the highest
incidence rates. Either limited or fill service assistance may be provided,
depending on the services requested. Establishments and operations are
defined as "high hazard" based on the following criteria:
- 1. High Incidence Rates. An establishment will be
considered "high hazard" for OSHA consultation priority considerations if
that establishment's LWDI is above the national average for that
- 2. High Hazard SIC Codes. An establishment is
considered high hazard if it is in an industry whose Standard Industrial
Classification (SIC) code is on the OSHA generated listing of high hazard
industries (Annual OSHA High Rate Industries Listing).
- 3. Alternative High Hazard Listing. If an
establishment is not on the OSHA generated listing, consultants may refer to
an alternative high hazard listing(s), which has been developed by the state
based on Workers' Compensation Data or other data, and which has been
approved for use by OSHA'S Directorate of Federal-State
- 4. Secondary SIC. One or more hazardous work processes
or work areas (e.g., a bindery in a publishing house) may be located within
an establishment in an industry that is not on the high hazard list. If such
a process or area is the focus of a visit, a secondary code may be used to
classify the establishment and, therefore, the priority for receiving a
visit, as high hazard. To be used, the secondary SIC must be either on the
OSHA generated high hazard listing, or on the OSHA approved alternative State
- 5. Process Hazardousness. An establishment may also be
classified as "high hazard" based on the relative hazardousness of workplace
processes which occur at the establishment and which cannot be described by a
Secondary SIC code. Criteria for process hazardousness include the
- a. A substance in regular use at the establishment has a
health code of HE1 - HE4 in the OSHA Chemical Information Manual (carcinogen,
chronic toxicity and acute toxicity) or is noted as highly toxic in that
- b. A substance in regular use at the establishment is
explosive, or working conditions or work processes in use at the
establishment are dangerous but not customary for the establishment
- C. Larger Employers. A lower priority will be given to
employers who employ more that 250 employees at the worksite or more that 500
employees nationwide. Such larger employers requesting consultation services
must still be prioritized for service based on their incidence rates or on
their listing on the high hazard list(s). Only limited service visits may be
conducted for these employers.
I. Consultation Promotion.
- A. Objectives of Promotional Activities.
- 1. Generating Requests. The primary purpose of
promotion is to generate inquiries and requests for consultative assistance
from smaller, high hazard employers, especially employers with a high
incidence of serious injury or illness. Successful promotion will result in
inquiries and requests for visits to establishments in the target industries
described in Chapter III, Consultation Scheduling Priorities.
- 2. Onsite Visits. Promotional efforts should focus on
generating inquiries and requests for consultative services. These efforts
should include information regarding onsite visits, particularly initial
visits and/or training and assistance visits, from more hazardous, smaller
- 3. Offsite Assistance. Offsite assistance maybe
promoted in situations where offsite training provides the most effective and
efficient way to utilize consultation resources to address a training need
common to a number of employers.
- B. Promotional Content. The Consultation Program seeks to
have the greatest feasible impact on the reduction of work related injuries
and illnesses in smaller businesses. Promotion and the scope of services made
available to employers will be limited in larger and less hazardous
establishments, especially promotion to larger establishments. Further,
State publicity and promotional materials on consultation must note the
following employer requirements governing the provision of consultative
- 1. Employer Obligations. Fundamental to the integrity
of the consultation program is the removal of workers from risk once their
exposure to hazards has been determined by a consultant. To this end, it is
imperative that the following requirements be conveyed to employers. This
can be done either through promotional materials or through other forms of
communication prior to the consultant traveling to a site to conduct the
visit and before significant financial or other resources are invested in a
- a. Statutory. While using these services, the
employer remains under statutory obligation to provide safe and healthful
work and workplace conditions for employees.
- b. Imminent Dangers/Serious Hazards. Even though a
consultation visit generates no citations and levies no fines or penalties,
the employer is required to take immediate action to eliminate employee
exposure to imminent danger hazards, and to take action to correct serious
hazards within a reasonable time.
- c. Referral to Enforcement. If an employer fails
to eliminate an imminent danger or serious hazard within the established time
frame or any extensions thereof, a referral must then be made by the Project
Manager to the appropriate Federal or State enforcement
- 2. Employer Rights. Confidentiality of the service in
relation to enforcement is a critical component of the consultation program.
Therefore, it is imperative that employers be advised of the following
requirements prior to the consultant's walkthrough of the
- a. Disclosure of Prior Consultative Visit. In the
event of a subsequent Federal or State enforcement inspection, the employer
is not required to inform the compliance officer of a prior consultation
- b. Disclosure of Consultation Report. The employer
is not required to provide a copy of the State consultant's written report to
the compliance officer, except to the extent that disclosure information
contained in the written report is required by a standard such as 29 CFR Part
1910.20, Access to Employee Exposure and Medical Records.
- c. Consultant's Advice. The advice of the
consultant and the consultant's written report are not binding on a
compliance officer. However, if the employer chooses to provide a copy of the
consultant's report to the compliance officer, it may be used by OSHA as a
factor in determining the extent to which an inspection is required and as a
factor in determining proposed penalties.
- d. Hazards Outside the Scope of the Request. The
scope of the visit may be reduced or expanded at any time during the
consultation visit at the request of the employer. However, if the
consultant identifies a hazard outside the scope of the request, the hazard
must be treated as though it is within the scope of the request. The
employer must correct any serious hazard identified, and the employer must
agree to this condition prior to the commencement of the consultation
- 3. Employee Participation. It is extremely important
to involve employees in all phases of the consultative
- a. Unionized Work Areas. In unionized work areas
of a site, the employer must afford employee representatives the opportunity
to participate in the onsite consultative visit. This includes the
opportunity to participate in the opening and closing conferences and to
accompany the consultant on the walk through the workplace. Whether through
consultation promotional materials or through other forms of communication,
employers at unionized sites must be advised of and agree to the requirement
for involvement of employee representatives before the consultant's walk
through the worksite.
- b. All Worksites. At all sites, the employer will
be encouraged to involve employees in the consultative visit and the employer
must permit the consultant to conduct random private interviews with
employees. At all sites, employers are to be encouraged to include their
employees in all elements of the safety and health management program,
including notification of identified hazards at the time the consultant's
written report is received by the employer, and all other decisions arising
out of the consultative visit as they affect employee safety and health. The
involvement of employees is key to ensuring the fullest protection of
employees in the workplace, to properly identifying and assessing the nature
and extent of hazards, and in determining the effectiveness of the employer's
efforts to establish and maintain a workplace safety and health management
- C. Consultation Services. The purpose of the consultation
program is to assist employers and employees in preventing the occurrence of
injuries and illnesses which may result from exposure to hazardous workplace
conditions and from hazardous work practices. Services are available to
employers to assist them in establishing effective workplace safety and
health management systems to prevent the occurrence or recurrence of
- 1. Full Service Consultation. Although the employer
may limit the scope of services requested, States will convey to priority
employers the benefits of full service consultation. The States will
encourage employers to request a consultation visit covering all working
conditions and the employer's entire safety and health management
- a. Benefits. Benefits of full service consultation
include providing the employer the opportunity to work with the consultant to
address safety and health hazards in the entire workplace and to develop a
comprehensive safety and health program. In addition, effective safety and
health program implementation results in a safety and health management
system which, when effectively implemented and operating, will work to
continually address the hazards of the workplace and serve as a mechanism to
ensure that hazards are continually addressed. At the same time, it will
promote the conservation of human lives and resources, improve employee
morale, and improve productivity and product quality. In addition, financial
gains or savings include lower than average injury rates, decreased costs in
workers' compensation, decreased product losses and less lost worktime. The
aim is to show employers that effective workplace safety and health
management systems are an economical and practical approach to solving safety
and health problems and that preventing accidents is good business since the
cost of accidents can far exceed the cost of prevention.
- b. Partnerships. Where the provision of full
service consultation is agreed to by the employer, the consultant will stress
to the employer the special need to join with the consultant and with the
employer's own employees to form a partnership in which all three parties can
together, on a longer term basis, make the workplace a safer and more
- c. Communications. When securing the employer's
commitment to implement an effective safety and health management program as
part of full service consultation, it is critical that the consultant ensure
that the commitment is received from, and that effective communication is
established with, the appropriate party or parties at the establishment.
This would include the persons (or circle of persons) vested with the
authority to establish and implement policy and expend the resources
necessary to meet the conditions for the visit. This circle would also
include the person(s) who will manage and enforce the safety and health
management program, and take responsibility for making it become an integral
part of the business on par with production, sales, and quality control. In
many cases this will be the owner, but it could also be (or include) a plant
manager or ranking member of the management team.
- d. Submission of Program and Other Materials. In
recognition that consultation resources are best used when information
bearing on safety and health at the workplace is provided to the consultant
prior to the visit, employers requesting full service consultation will be
encouraged to submit copies of all safety and health program materials in
current use, and such other relevant materials as equipment and chemical
lists. This will assist the consultant in preparing for the onsite
- 2. Limited Service Consultation. Limited scope
services may also be promoted by the States. Limited scope consultation will
not include all services provided employers through a full service visit, but
may include services such as: a hazard survey and hazard abatement
assistance; training and education; follow-up; and/or limited safety and
health program assistance.
- a. Since the employer retains the right to limit the scope
of the requested consultation, the consultant will address only the area(s),
or process(es) the employer requests.
- b. Employers whose requests are limited in scope must be
informed, however, of their responsibility to correct any serious hazards
that may be observed by the consultant which would be outside the scope of
- D. Other Information. Depending on the type and form of
promotion (e.g., radio spots, television public service announcements,
brochures, newspaper advertisements, etc.), States may wish to address the
following points in their promotional activities:
- 1. Correction of Other-than-Serious Hazards. While no
correction period is set for other-than-serious hazards, employers are
expected to correct such hazards in a timely manner. Employers should be
reminded that if Federal or State enforcement were to conduct a compliance
inspection at the workplace, the employer would be cited and possibly fined
for such hazards.
- 2. SHARP (Safety and Health Achievement Recognition
Program). When an eligible employer (1) requests and receives a full
service consultative visit covering all occupational safety and health
conditions and operations in the workplace; (2) corrects all hazards
identified during the visit and posts notice of their correction when
completed; (3) demonstrates that the elements of an effective safety and
health management program are in operation; and (4) agrees to request a
consultative visit if major changes in working conditions or work processes
occur which may introduce new hazards, and meets certain other requirements,
the employer may request to be recognized by OSHA for achievements in
establishing an effective safety and health management system. This
recognition is provided in part through the issuance of a SHARP certificate,
and subsequent removal from a Federal or, where applicable, State OSHA
general schedule inspection list for one year.
- 3. Acknowledgments. The State is required to indicate
in documents describing and publicizing the consultation program that the
service is provided at no cost to the employer through Federal and State
- NOTE: Section 516 of the 1989 Department of Labor
Appropriation Act requires that when issuing statements, press releases,
requests for proposals, bid solicitations or other documents describing the
program, the State must clearly describe (1) the percentage of the total
costs of the program which will be or is being financed with Federal money,
and (2) the dollar amount of Federal funds for the
II. Targeting Promotional Activities. The consultation regulation (29 CFR Part 1908) requires the assignment of priority to requests for onsite consultation services. Preference must be given to businesses with the more hazardous operations, especially small businesses. Accordingly, promotional efforts should follow the scheduling priorities described in Chapter III, Consultation Scheduling Priorities.
III. Consultative Visits During Promotional Activities. At the time of a promotional visit, consultation may be conducted if the employer agrees to the conditions and requirements identified in section IV.B.1, and the consultant is prepared to provide the service. Being "prepared" means the consultant possesses the safety and health expertise to perform the survey; the consultant's work schedule allows sufficient time to provide the service(s); needed protective equipment is available and ready for use; the consultant is knowledgeable of applicable codes and standards, and necessary field sampling or monitoring instruments are available.
IV. Promotional Methods and Strategies. Promoting the availability of consultation services may be accomplished through a variety of methods and techniques, ranging from broad-based mass media campaigns to direct solicitation involving face-to-face contact with employers. Refer to 1908.5(a)(2) for a description of some of these means.
- A. Recommended Promotional Tools. The following
promotional tools have been suggested by Project Managers as effective means
of promoting consultative services and, therefore, warrant special
consideration. States will, of course, want to draw upon their own
experiences in promoting consultation, especially where proven results have
been obtained. They are also encouraged to explore new and original avenues
of promotion to ensure that services are being provided to those employers
most in need and most able to effectively use the services.
- 1. Door-to-Door. Although described as costly, Project
Managers indicate that door-to-door solicitation is often the best means of
promoting the program. This method is most effective where the program has
one staff person responsible for promotion. However, in view of budgetary
constraints, the allocation of such a position may be impractical in many
- 2. Direct Mailings. Another successful promotional
method is the use of direct mailings of program information to the individual
most responsible for business operations such as the President,
Vice-President, or Comptroller. To attain the highest rate of response, the
mailings should be followed by a telephone call to encourage the employer's
"interest" in the service.
- B. Identifying Target Audiences. To promote the
consultation program effectively within the target audience, projects may (1)
use State Workers' Compensation data whenever available; (2) work closely
with Federal or State enforcement authorities to identify those industries
which are the subject of National or Local Emphasis Programs; (3) focus on
industries within which significant occurrences such as fatalities,
catastrophes and/or the issuance of major citations and/or penalties have
recently taken place; (4) work with new employers who are attempting to
establish a business; (5) concentrate on industries in which a new standard
such as confined spaces or process safety management is likely to have a
major impact; and, (6) use employer and employee organizations to generate
requests for services.
V. Outreach Activities. States are encouraged to engage in outreach activities either individually or in concert with recognized groups whose stated mission is the promotion of safety and health in the workplace.
- A. Target Audiences. See Chapter X.II.A.
- B. Methodology. The State may engage in outreach
activities such as (but not limited to) the following:
- 1. Public presentations 2. Radio Talk Shows 3. Cooperative
Training Seminars 4. Roundtable Discussions 5. Safety and Health
Conventions 6. Participation in Association Meetings 7. Publication
- C. Cooperative Efforts. The state is encouraged to seek
out and establish working relationships with professional safety and health
- 1. Group Activities. The State may conduct cooperative
activities with any recognized group so long as the primary intent and
outcome is the enhancement of safety and health in the
- 2. Pro Bono Activities. The State may choose to assist
in coordinating "pro bono" offers. "Pro bono" is a Latin term meaning "for
the good of" and is used to describe the work done for free by concerned
individuals. OSHA encourages this type of outreach wherein consultation
projects pool their resources with recognized safety and health organizations
to provide training or other outreach activities, with the understanding that
no particular group is endorsed by either OSHA or the OSHA 7(c)(1)
VI. Evaluating Promotional and Outreach Activities. States are encouraged to document and track, by type of activity and strategy, efforts to promote consultation services. Promotional/outreach resources must always be directed toward the target audience, i.e., high hazard, small employers.
- A. Target Audiences. Periodically, States are expected to
analyze and assess the impact of their promotional/outreach activities in
generating from the target audience inquiries and requests for consultative
services. A State's inability to effectively promote its consultative
services in the target audience will be viewed as a significant
problem warranting serious attention by the State and the Federal monitors.
Where promotion/outreach is ineffective, new strategies must be developed and
implemented to address this problem.
- B. Information Sharing. States with particularly effective
promotional/outreach programs are encouraged to share their methods and
strategies with others so the entire consultation program might benefit from
I. Consultation Requests
- A. Requirements.
- 1. A request for onsite consultation services must always
include a request for a Hazard Survey (Initial Visit), unless it is
determined that a consultation hazard survey, OSHA inspection or private
consultation survey conducted in the past twelve months provides adequate
foundation for conducting the requested services through a Training and
- 2. Offsite training maybe provided in situations where it
provides the most effective and efficient way to address a training need
common to a number of employers. To avoid duplication of effort and ensure
the most efficient use of resources, offsite training should be coordinated
with the Regional Administrator when appropriate or with the State Designee
in State plan States.
- 3. Some employers cannot be promptly scheduled for a
consultation visit because of low scheduling priority or other project
considerations. They must be informed, however, of their statutory
responsibility to maintain safe and healthful work and workplace conditions
for employees in the interim. A sample letter in response to these employers
is contained in Appendix A to this chapter.
- 4. No onsite consultative visit maybe provided in the absence
of a request by the employer.
- B. Request Information.
- 1. In accepting an employer request, a consultation project
must obtain information on the services requested, and the establishment to
be served. Key information such as incidence rates, establishment size,
Standard Industrial Classification (SIC) code, specific hazards at issue,
requested visit date, and location will be used by the project management to
prioritize and schedule onsite activities. This information will also be
used by the consultant to prepare for the visit.
- 2. When taking a request, a consultation project will also
determine if there is a need for special protective clothing or equipment,
immunizations, security clearances or other special entrance requirements to
the site covered by the consultative visit.
- C. Construction Sites.
- 1. While assistance may be provided to subcontractors away
from the worksite on safety and health management programs (offsite
assistance), a subcontractor request for onsite consultation may be accepted
only with the approval of the general contractor at the site. The general
contractor must be informed that it is the general's responsibility to ensure
the correction of any hazards identified during the course of the visit which
are not under the control of the requesting subcontractor.
- 2. When a construction employer requests fill scope services,
the employer must agree to allow the consultant to visit a sample of sites
over time in order to (1) determine any program needs, and (2) verify that
new program initiatives are working effectively.
- 3. Where a company's headquarters is in another State,
cooperation between State consultation projects may be necessary. However,
assistance should always focus in the employer's "home" State where the
assistance was requested.
- 4. The same scheduling priorities should be applied to
requests from construction sites as for other employers requesting
consultative assistance. (See Chapter III, Consultation Scheduling
- D. Scope of Request.
- 1. Full Service. Although the employer may request
limited consultative assistance, in more hazardous, smaller businesses, the
employer will be encouraged to request a fill scope visit covering all
working conditions at the site and the employer's entire safety and health
management program. Full service consultation may be provided only to sites
with 250 or fewer employees which are not a part of a corporation employing
more than 500 employees nationwide.
- 2. Limited Service. Employers in larger and less
hazardous establishments will be encouraged to request a more limited scope
of service. Projects may provide such assistance under the guidelines set
forth in Chapter III, Consultation Scheduling Priorities,
Requirements, and employers will be allowed to limit their
- 3. Abatement Assistance. Abatement assistance, i.e.,
assistance in correcting hazards cited by Federal or State enforcement which
are final orders of the Occupational Safety and Health Review Commission
(OSHRC) or its State counterparts, may also be requested by the
- 4. Offsite Assistance. Offsite assistance may also be
provided. Such assistance will be encouraged when it is the best and most
expedient response to the needs of the specific requester and when it frees
consultants to provide onsite assistance elsewhere. More specifically,
offsite training should be coordinated with the Regional Administrator or
State Designee, when appropriate, and provided where it offers an effective
and more efficient way to respond to the needs of a number of high-priority
- 5. Response to Informal Complaint. Employers often
contact the consultation project after receiving a letter from OSHA
enforcement concerning an employee informal complaint. These letters
frequently cite OSHA consultation as one source that the employer may contact
to receive assistance in abating hazards alleged in the informal complaint.
These requests for assistance should be evaluated according to the same
criteria as set forth in Chapter III, Consultation Scheduling Priorities, for
other consultation requests.
- E. Relationship to Enforcement. A consultation visit will
not take place while a Federal or State enforcement inspection is in progress
at the worksite, or following such an inspection, subject to the conditions
- 1. Inspection in Progress. Where an OSHA Federal or
State enforcement inspection is in progress.
- a. An "inspection in progress" is defined as extending
from the time a compliance officer initially seeks entry to the workplace to
the end of the closing conference.
- b. Where right of entry is refused, "inspection in
progress" is defined as from the time a compliance officer initially seeks
entry to such time as:
- (1) The inspection is conducted and the closing
- (2) The Regional Administrator (RA) determines that a
warrant to require entry will not be sought; or
- (3) The RA determines that allowing a consultative
visit to proceed is in the best interest of employee safety and
- c. In these cases, a consultation project may either elect
to decline the request until such time as all enforcement considerations are
resolved or elect to accept the request and coordinate with the employer a
visit date that falls after the time that pending enforcement considerations
- 2. Subsequent to Inspection.
- a. Following an enforcement inspection, no consultation
visit may take place until a determination has been made
- (1) No citation will be issued, or
- (2) When a citation is issued and the contest period
has passed, cited items have become final orders.
- b. No consultation may take place in relation to
conditions that have not become final orders. Assistance may be provided only
for those citation items that have become final orders or for conditions not
being cited. However, it is the consultant's responsibility to inquire
whether an enforcement inspection has been conducted in the establishment.
If the consultant has reason to believe that there are citations which have
not become final orders, the State consultation Project Manager must
telephone the local OSHA Area Office to determine their status. Abatement
assistance may be provided for the correction of hazards identified
subsequent to a Federal or State enforcement inspection.
- A. Consultation Project Manager.
- 1. Request Information. The Project Manager will
assess whether requesting employers provide accurate data relating to
incidence rates, and the size of the establishment, the type of business, the
Standard Industrial Classification (SIC) code, and the specific reason(s) for
- 2. Request Listing. Information received from an
employer concerning a request for services may be used to generate on the
microcomputer a listing for project management that includes establishment
size, hazardousness, request date, and other pertinent information. This
information will be used by the Project Manager to make informed decisions on
scheduling and consultant assignments according to the "worst first" criteria
discussed in Chapter III, Scheduling Priorities.
- 3. Responding to Requests. The Project Manager will
ensure that each request is responded to in the appropriate order of priority
based on the listing or schedule which is developed to rank establishments by
size and hazardousness.
- B. Consultant.
- 1. Request Information. It is essential that the
consultant check the accuracy and completeness of any information taken about
a request. Whenever possible, information taken by another person should be
provided to the consultant well in advance of the visit date. This will
allow an opportunity to verify that all information has been correctly
received and recorded and to enable the consultant to prepare adequately for
- 2. Visit Preparation. Information concerning a request
will be used by the consultant to prepare for the visit. For example, using
the SIC code and the description of the nature of the request, the consultant
will carefully research potential hazards and applicable standards and review
any employer provided program materials and evaluate what is applicable.
Care must be taken to determine if the employer has requested the visit on a
specific date so that conflicts may be avoided. Also, a telephone call prior
to the actual visit will guard against conflicts and confirm that all
pre-visit information provided is accurate and up to date.
We currently have a request from you seeking occupational safety and health consultation assistance. Due to the limited resources available to us, requests from relatively low hazard and/or larger employers such as yourself must be given a low scheduling priority. We cannot estimate how long you might have to wait to receive our service or whether we may be able to service your request at all.
I should make clear however, that our inability to assist you at this time does not relieve you of your responsibility to continue to provide for safe and healthful work and workplace conditions for all of your employees. Therefore, we would encourage you to seek other sources of consultative assistance which are available to employers of your type and size.
We regret that we are not in a better position to service you. Thank you for your interest in occupational safety and health. However, if we can provide you with further information, please do not hesitate to call on us.
- A. The information and policies in this chapter are to be used by
consultation personnel in performing onsite activities related to the
consultation process. Guidance in this chapter is intended to provide
consistency in project operations across the nation.
- B. Included in this chapter are the essential components of the
process which normally take place before, during, and in some cases, after
the onsite activity. Also included are descriptions of the types of
activities which occur.
II. Types of Onsite Services.
- A. Assessing worksite safety and health management systems.
- B. Identifying existing hazards, potential hazards, and violations
of Federal or State OSHA requirements.
- C. Observing and commenting on work processes, methods, and
- D. Noting potential health problems for referral to health (if a
safety survey only), or noting potential areas to be investigated further via
referral to a safety specialist if a health survey only is being
- E. Interviewing employees to help determine the extent of
workplace hazards and how well the safety and health management program
- F. Conducting training with the approval of the employer, if
- G. Using walkthrough findings as a basis for training to show the
employer and employees the relationship between hazards identified and
applicable elements of an effective safety and health management
III. Extent/Level of Consultation Services.
- A. Full Service Consultation. A consultation activity
which provides assistance with safety and health management systems in a
comprehensive manner is considered to be "full service
- 1. This would include analysis of the existing safety and
health management system components, recommendations for improvements in
these systems, identification of existing or potential safety and health
hazards and recommendations for their elimination and/or control, training
needed by the employer, supervisors and employees, or a combination of
activities as determined appropriate by the project
- 2. Full service consultation normally will include an initial
visit to address the safety and health hazards and their abatement in the
entire workplace and any combination of followup, training and education, or
safety and health management assistance visits.
- B. Limited Service Consultation. This activity will not
include all services provided in a full service consultation visit, but may
include particular services such as but not limited to the
- 1. A hazard survey
- 2. Recommendations for the control and abatement of hazards
associated with specific work processes or operations
- 3. Training and education, and/or safety and health management
IV. Consultation Process. An onsite consultation visit will be provided only when requested by the employer and will cover only those activities specifically approved by the employer. It will consist of an opening conference, delivery of services, and a closing conference.
- A. Pre-visit Preparation. An onsite consultation visit
will be made only after appropriate information is gathered from the
- 1. Information Gathering. This is an especially
important part of pre-visit preparation since it will determine the quality
and professionalism of services provided. Full service visits will require
sufficient information from the employer prior to the onsite visit to
thoroughly evaluate the systems in place at the worksite. Some of the
information needed will include:
- a. Existing safety and health management programs
- b. OSHA 200 logs
- c. First reports of injury
- d. Accident investigation reports
- e. Workers' compensation and insurance data
- f. Copies of programs in place (e.g., respiratory
protection, lockout/tag-out, confined space, etc.)
- g. Safety & health committee meeting minutes; site layout;
and organizational charts.
- h. Limited service visits will not normally require the
amount of information collected for a full service visit. However,
sufficient information must be secured so quality services can be
- 2. Research. Each consultant will review and analyze
the data provided by the employer. In addition, the following information
should be reviewed prior to the visit:
- a. Case File. The case file of previous
consultations, if available.
- b. References. Appropriate technical references to
become knowledgeable about potential hazards and industrial processes that
may be encountered and to identify personal protective equipment necessary
for protection against anticipated hazards.
- c. Standards/Sampling Methods. Appropriate
standards and sampling methods. Based on experience and information on file
concerning the establishment, select the instruments and equipment that will
be needed and prepare them using standard sampling and calibration methods as
outlined in the OSHA Technical Manual, the latest release of OSHA Instruction
CPL 2-2.20B, OSHA Directives, manufacturer's recommendations, and other
standard calibration procedures and practices.
- 3. Survey Materials and Equipment. It is the
responsibility of the Project Manager to ensure that all materials and
equipment required for an onsite survey are available to the consultant. The
consultant, however, is responsible for taking and using the equipment needed
for the onsite visit.
- a. Forms and Handouts. The consultant will
assemble all reports, forms and other materials in sufficient quantity to
conduct the onsite survey.
- b. Personal Protective Equipment. All necessary
personal protective equipment will be used. The Project Manager will ensure
that the equipment is usable and that the consultant has been trained in its
use and limitations. (Further information on the proper selection and use of
protective clothing and equipment, including respiratory protection, can be
found in OSHA Instruction CPL 2-2.20B and other pertinent OSHA
- 4. Safety and Health Rules or Other Special Policies of the
- a. Rules and Practices. All safety and health
rules and practices of the employer, including the wearing of safety clothing
or protective equipment, will be observed by the
- b. Immunizations or Other Special Entrance
Requirements. Immunizations and other special entrance requirements will
be observed. The Project Manager will ensure that the consultant has the
proper immunizations for these situations. (Many pharmaceutical firms,
medical research laboratories and hospitals have areas which have special
- c. Personal Security Clearance. Where personal
security clearances are required, the Project Manager will assign a
consultant who has the proper clearances or ensure that appropriate ones are
- d. Classified Information and Trade Secrets. Any
classified or trade secret information and/or personal knowledge of such
information by State personnel will be handled in accordance with the
regulations of the State. The collection of such information and the number
of personnel accessing it will be limited to the minimum number necessary for
the conduct of the onsite consultative survey.
- 5. Visit Confirmation. For onsite visits with employer
requested visit dates of thirty days or more after the request date, the
requesting employer should be contacted within five calendar days of the
scheduled visit to confirm the visit date. At the time the employer is
contacted to verify the scheduled visit, the employer should once again be
asked whether any Federal or State OSHA inspection activity is in
- B. Entry to the Workplace. Upon arrival at the worksite,
the consultant will introduce himself/herself and produce identification
(business card, State employee ID or both, etc.) which, at a minimum,
identifies the following:
- 1. The consultant's name.
- 2. The consultant's employer.
- 3. The consultant's place of employment.
- (The consultant will make clear that he or she is a
representative of the State/OSHA consultation service, state the reason for
the visit, and ask for the person in charge of the workplace.)
- C. Opening Conference. The first phase of the onsite visit
is the opening conference. The conference is used to establish a clear
understanding of the purpose of the visit and its procedures. It provides an
opportunity to gain the employer's trust, and it allows the consultant an
opportunity to confirm the scope of the request and to review with the
employer the terms of the visit.
- 1. General. The scope of the opening conference will
be determined by the type of visit being conducted, e.g., fill service or
- 2. Information to be Covered. The following
information will be covered during the opening conference:
- a. Introductions. The consultant will identify
himself/herself and anyone else in the party. The employer, other company
representatives, and employees will be identified and their names recorded in
the case file notes.
- b. OSHA Enforcement Inspection in Progress. As
part of the information included in the terms of a visit, verify the
employer's status regarding any ongoing or previous OSHA enforcement
activity, and verify that a current inspection is not in progress. If an
inspection is in progress, explain that such an inspection takes priority
over an onsite consultation visit. Terminate the onsite visit immediately.
Follow up with a letter to the employer explaining that a consultation visit
cannot be rescheduled until the employer has been notified that no citations
will be issued. If citations are issued, onsite consultation can be provided
only with regard to those citation items that have become final orders and
any items not cited. (Final orders are citations for which the period of
contest has elapsed; they are final and are not subject to
- NOTE: A compliance inspection is determined to be
"in progress" from the time that a compliance officer originally seeks entry
to the workplace to the conclusion of the closing conference. Also, the
inspection is determined to be in progress where entry is refused until such
time as the Regional Administrator determines that allowing a consultation
visit would be in the best interest of employee safety and health or a
warrant is sought and executed.
- c. Safety and Health Achievement Recognition Program
(SHARP). State consultation projects which participate in SHARP may wish
to explain the terms of the program during the opening conference. Employers
who successfully complete all requirements of a full service visit, have a
fixed worksite, employ fewer than 250 employees at the site, and have fewer
than 500 employees at all sites nationwide, and meet other requirements for
participation, may request recognition through the Safety and Health
Achievement Recognition Program (SHARP). This employer incentive program
recognizes employers who establish and maintain effective workplace safety
and health management programs with a certificate suitable for framing. It
also grants removal of the employer's establishment from a Federal or, where
applicable, State OSHA general schedule inspection list for one year. (See
Chapter X, SHARP, for further information.)
- d. Required Information. The consultant will
emphasize the following policies and procedures to the employer as part of
the terms of the visit.
- (1) Program Characteristics:
- (a) Independence. The consultation program is
independent of Federal OSHA enforcement or State
- (b) Cost. Consultative services are provided at
no cost to the employer and are supported by Federal and State
- (c) Confidentiality. The employer's name and
the results of the onsite visit will remain confidential from State or
Federal enforcement, except in situations where hazards are not corrected as
agreed upon, or where the employer participates in
- (d) No Citations or Fines. Consultants do not
issue citations or propose penalties.
- (2) Employer Obligations. Ensure that the
employer understands the following:
- (a) Full Service Visits. Under full service
consultative assistance, employers must agree to actively participate in
implementing an effective workplace safety and health management
- (b) Unionized Sites.
- 1 During the opening conference, the
employer must afford the highest ranking union official or union employee
representative the opportunity to participate fully in the consultative
visit. This means that, during the opening conference, the employer must
either afford the highest ranking union official the opportunity to either
participate in the walk around or designate who will participate in the walk
around of the worksite. At an establishment where groups of employees have
different representatives (union and non-union), it is acceptable to have a
different employee representative for different phases of the inspection,
i.e., union representatives for those work areas which affect union
employees, non-union representatives for those work areas which affect
- 2 More than one employee representative
may accompany the Consultant throughout or during any phase of an inspection
if the Consultant determines that such additional representatives will aid,
and not interfere with, the inspection of the work
- (c) All Worksites. At all sites, the employer
will be encouraged to involve employees in the consultative visit and the
employer must permit the consultant to conduct random private interviews with
- (d) Imminent Danger Situations. The employer
must correct imminent danger situations immediately, or remove employees from
the danger area. Failure to do so will result in referral to
- (e) Hazards. The employer must correct all
serious hazards in accord with mutually agreed upon correction due dates and
provide documentation to the project of the action taken to eliminate or
control the hazards. Failure to do so will result in referral to enforcement.
Employers are expected to correct other-than-serious hazards in a timely
- (3) Employer Rights. Ensure that the employer
understands the following:
- (a) Termination of Services. The employer has
the right to terminate participation in the visit at any time. However, the
employer is responsible for correcting any hazards identified up to the point
of visit termination.
- (b) Informing Enforcement. In the event of a
subsequent enforcement visit, the employer does not have to inform
enforcement of the onsite visit or furnish a copy of the results, except to
the extent that disclosure of information contained in such a report is
required by 29 CFR 1910.20 or other standards.
- (c) Scope of Survey. The employer has the right
to change the scope of the survey at any time during the course of the visit,
including termination of the hazard survey before its completion. However,
the employer must understand that any hazards identified prior to termination
must be corrected.
- (d) Correction Schedule. The employer has the
right to disagree with correction schedules and may, within 15 working days
of receipt of the Written Report to the Employer, appeal to the Project
Manager for amendment of the correction date(s) or any other substantive
findings of the Report.
- (4) Effect on Enforcement. Explain fully the
impact of the consultation visit on enforcement as
- (a) Employer Good Faith. If the employer
chooses to provide enforcement with a copy of an onsite visit report, it will
be used by enforcement to determine the employer's "good faith" for purposes
of adjusting any proposed penalties, as well as the extent to which an
inspection is required.
- (b) Subsequent Inspection. The advice of the
consultant and the consultant's written report will not be binding on a
compliance officer in a subsequent enforcement inspection. In a subsequent
inspection, a compliance officer is not precluded from finding hazardous
conditions or violations of standards, rules or regulations, for which
citations would be issued and penalties proposed.
- (c) Referral to Enforcement.
- 1 If an employer fails to eliminate an
imminent danger or serious hazard within the established time frame or any
extensions thereof, the case must be referred to OSHA enforcement for
appropriate action. In addition, 1908.6(f)(1) requires that the consultant
immediately notify affected employees in an imminent danger
- 2 In the event of an employer referral to
OSHA enforcement, the state Consultation Project Manager, in coordination
with the Federal OSHA Regional Office, will notify the appropriate federal or
state OSHA office at the time the employer is notified that a referral is
being made. The Project Manager will provide the enforcement office with all
relevant information to the case. The Project Manager will communicate that
the employer has declined to correct the hazard in question and recommend
that appropriate action be taken.
- (d) Visit Termination. If one of the following
kinds of enforcement action is about to take place, the onsite visit will be
- 1 Imminent danger investigation
- 2 Fatality/catastrophe investigation
- 3 Complaint investigation
- 4 Other critical inspections as determined
by the Assistant Secretary.
- (5) Explanation of the Onsite Process. During
this phase, the consultant will explain to the employer what will occur
during the onsite process following the opening
- (6) Explanation of the Closing Conference
Process. The closing conference process will also be explained at this
- D. Assessment/Assistance. During this phase of the onsite
process, the consultant will become familiar with plant processes, collect
information on hazards, observe employee activities, conduct interviews, and
offer advice on hazard control or elimination as appropriate.
- 1. Safety and Health Program Assessment. The primary
purpose of program assistance is to promote the improvement of safety and
health management systems. Consult Chapter IX, Safety and Health Program
Assistance, for detailed instructions.
- 2. Hazard Assessment. Identification of actual or
potential safety or health hazards is an indicator of safety and health
program management system deficiencies, and the hazards will be referenced to
applicable safety and health management program elements.
- a. Hazard Identification. Record all facts
pertinent to the suspected hazard(s) on field notes to be included in the
case file. Suspected hazards will be brought to the attention of the employer
or employer representative, and any employee representative at the time they
- (1) Imminent Danger. If an imminent danger
exists, exposed employees will be informed and the employer must remove them
from exposure immediately.
- (2) Documentation. All field notes,
observations, analyses, and other written documentation are part of the
survey record and will be retained in the case file. Photographs, sketches,
and hazard descriptions are part of the survey record and will be retained in
the case file.
- (3) Identifying Hazards and Potential Hazards.
The consultant will document as much information as necessary to establish
the specific characteristics of each identified
- (a) Describe the observed hazardous conditions or
practices, i.e., the facts which constitute a hazardous condition, operation
or practice, and the essential facts as to how a standard is violated.
Specifically, identify the hazard(s) to which employees have been or could be
exposed and the relationship of each hazard to the appropriate safety and
health management program element(s).
- (b) Describe the type of accident which could
reasonably be predicted to result from each identified hazard. Identify the
name and exposure level of any contaminant or harmful physical agent to which
employees are, have been, or could be exposed. If more than one type of
accident or exposure could reasonably be predicted to occur, describe the one
which would result in the most serious injury or
- (4) Work Processes. Observe and comment on work
processes, methods, and procedures.
- (5) Employee Exposure Not Observed. If employee
exposure is not observed, describe what could occur in the event of employee
- (6) Interim Protection. Indicate in the case
file notes whether interim protection is required, the nature of the interim
protection, and the date the interim protection will be in
- (7) Hazards Corrected on the Spot. If the
employer or the employer's representative is able to correct the hazard "on
the spot," note the hazard and the correction method in the field
- (8) Referrals. Note potential health/safety
problems referral to a respective health/safety
- b. Hazard Correction Assistance. Consultants will
offer general suggestions and explanations during the walk through on how
hazards might be corrected. The information provided should enable the
employer to develop acceptable correction methods or to seek other
appropriate professional assistance.
- (1) Assistance. The type of assistance provided
to the employer will depend on the needs of the employer and the complexity
of the hazard. Where standards specify correction methods, such as guarding
of belts and pulleys, the consultant will ensure that the employer is aware
of the specifications. For more complex problems, the consultant will offer
general information on types of controls and procedures commonly used to
correct the hazard. Alternative methods should be provided whenever
- (2) Employer Responsibilities. The employer
must be informed of the following:
- (a) The employer is responsible for selecting and
carrying out an appropriate correction method.
- (b) The methods explained are general and may not be
effective in all cases.
- (c) The employer is not limited to the correction
methods suggested by the consultant.
- 3. Training and Education. Training and education
services may be delivered during the visit. Training should be based on
findings of the workplace assessment. (Refer to Chapter VIII, Training and
Education by Consultant, for types of training and specific training
- E. Closing Conference. This is normally the final phase of
the onsite activity. There may be more than one closing conference (safety
and health). During this phase, the consultant will explain and review with
the employer the following:
- 1. Suggested improvements in workplace management systems for
safety and health.
- 2. Hazards observed, standards violated, the classification of
hazards, possible solutions, and correction dates.
- 3. Other sources of hazard correction assistance.
- 4. Recommendations for additional training.
- 5. The content and timetable of the written report.
- 6. The employer's report of hazards corrected.
- 7. Explain that the outcome of industrial hygiene sampling
analysis, other than direct readings, will be provided at a later date when
the results are available.
- A. Purpose. This chapter contains policies and procedures
on consultant provision of training and education to employers and employees.
Training and education is one of several tools available to the consultant
to assist employers in the development of effective safety and health
management systems and in the identification and control of
- B. Training and Education Function of Consultants. While
training and education is often a natural part of the consultative process,
it is not intended to become the major emphasis of the consultation
- 1. Informal training and education conducted by consultants
onsite should complement the training and education efforts of full-service
Area Offices, training and education programs in State plan States, the OSHA
Training Institute (OTI), and the Education Centers funded by OSHA through
OTI. Consultants are in a unique position to provide assistance to employers
and employees at the worksite to change their behavior.
- 2. Some assistance to employers or employees which is provided
during the walk through or in conference with management can be considered
training and education, yet it is similar to technical assistance.
Consultants are encouraged to provide this type of incidental training and
education. It will not be discussed at length in this chapter nor will data
on incidental training and education be collected for the Consultation Data
- C. Definitions.
- 1. Training and Education. Planned and organized
activity by a consultant to impart information, skills, or techniques to
employers and employees which enables them to establish and maintain
employment and a place of employment which is safe and
- 2. Informal Training and Education. Training and
education which occurs during the initial visit or hazard survey and
typically involves a brief interruption of work or production to instruct
individuals or small groups on concepts, techniques, or
- 3. Formal Training and Education. Training and
education on a particular subject which is structured, scheduled, and
provided to larger groups of employers and employees such as associations and
unions. Formal training and education sessions are typically longer than
informal sessions and may be conducted during the initial visit or hazard
survey but are usually a separate activity.
- 4. Onsite Training and Education. Informal or formal
training and education that takes place at the employer's place of
- 5. Offsite Training and Education. Formal training and
education which takes place at a location other than the employers' place of
- D. Responsibilities.
- 1. Regional Administrator. The Regional Administrator
is responsible for:
- (a) Monitoring, and when appropriate, coordinating the
training and education conducted under 7(c)(1) agreements in all
- (b) Keeping consultation projects (both 7(c)(1) and 23(g))
informed of the training and education resources of OTI, the OTI Education
Centers, and the OSHA full-service Area Offices.
- 2. Consultation Project Manager. The Project Manager
is responsible for coordinating the training and education activities of
individual consultants; specifically:
- (a) Assessing the training and education skills and
interests of consultants and identifying those consultants most capable of
providing formal instruction.
- (b) Ensuring that consultants are adequately trained to
provide the formal training and education for which they have been assigned
- (c) Assigning priority to and scheduling employer requests
for formal training and education.
- 3. Consultants. Training and education by consultants
will be conducted within the following guidelines:
- (a) In preparation for a consultative visit, consultants
should anticipate employer or employee training and education needs in view
of the work processes and potential hazards of the workplace and brief
themselves on the information necessary to provide incidental or informal
- (b) Employers will be notified that informal training and
education may take place as part of the consultative process but only with
the consent of the employer.
- (c) During the closing conference, consultants will discuss
with the employer any training and education needs identified but not
addressed during the visit. If the employer so requests, the consultant may
assist in developing a training and education plan. Based on that plan, the
consultant will, where appropriate:
- (1) Help to identify employer in-house resources to
conduct training and education.
- (2) Help to identify sources of training and education
other than the State consultant.
- (3) Accept the employer's request for formal training
and education by a consultant at a later time.
- (d) Where the employer can effectively deliver training and
education with his own staff, the consultant will encourage and assist in
such preparation in order to increase the employer's
- (e) Similarly, where formal training and education from a
source other than the consultation project (e.g., the OSHA fill-service Area
Office, a State plan State, or an OTI Education Center) would be equally
effective, the consultant will refer the employer to that source to conserve
consultation resources for other purposes.
- (f) Consultants who have the knowledge and skills to
provide formal training and education in conjunction with an initial or
follow-up visit may do so at the request of the employer if time and other
consultative priorities permit.
- (g) Employer requests for training and education which
require separate training and assistance visits will be submitted to the
Consultation Project Manager for assignment of priority and
II. Relationship of Training and Education to Consultation.
- A. Onsite Training and Education.
- 1. Basis for Training and Education. Onsite training
and education by consultants will be based on a survey of workplace hazards
by the consultant or other acceptable party (see B.1.c.).
- (a) The training and education will be tailored to the
nature of the hazards or potential hazards in each specific
- (b) Training and education will be conducted at the
worksite in a manner which makes it most relevant to the circumstances of the
- 2. Sources of Training and Education Requests.
Training and education is provided to employers or employees at the
employer's request, or at the recommendation of the consultant and the
employer's subsequent agreement.
- 3. Need for Hazard Survey. Employer requests for
onsite training and education will be accepted only in conjunction with, or
subsequent to, a hazard survey. Onsite training and education may be
- (a) In conjunction with an initial hazard survey.
- (b) During a training and assistance visit which follows a
hazard survey that was performed within the 12 months preceding the date of
the request for a training and assistance visit, and that covered the
conditions to which the training and education relates. A hazard survey may
be accepted as a basis for training and education if:
- (1) It was conducted by a State consultant, a Federal
or State compliance officer, or a private consultant;
- (2) The State consultant has access to the report on
the survey (e.g., the employer's copy of the OSHA-2) and is able to confirm
that hazards were fully identified and corrected or are being corrected, and
that no new hazardous conditions exist. The consultant will conduct a brief
walk through the workplace to verify hazard corrections and review current
- B. Offsite Training and Education.
- 1. Characteristics. Offsite training and education
takes place at a location other than the employer's place of business.
Offsite training and education may take place at the consultation project
office, but does not include training and education provided by telephone or
letter. A hazard survey is not a prerequisite for providing this service.
Procedures for recording and entering offsite training and education
information into the data system are in the IMIS Consultation Forms Manual,
OSHA Instruction ADM 1-1.29.
- 2. Limitations on Providing Offsite Training and
- (a) Consultants are strongly encouraged to refer employer
requests for offsite training and education to other resources such as OSHA
full-service Area Offices in Federal enforcement States, the training and
education programs of State plan States. OTI Education Centers, community
safety and health organizations, or local training and education
- (b) However, on occasion, offsite training and education of
one or more employers (and/or groups of employees) may result in a more
efficient use of consultant time and training and education resources, and
provide a more effective way to address an instructional need common to a
number of employers.
- Example: A number of employers request assistance in
understanding and applying a standard, e.g., Hazard Communication. A series
of offsite seminars may address the needs of those employers more effectively
or efficiently than a presentation to every site.
- (1) In order to avoid duplication of effort and to
ensure the most efficient use of limited consultation resources, requests for
offsite training and education approved by the Project Manager should be
coordinated with the Regional Administrator, or State Designee in State plan
States, when appropriate. This will allow the Region or State the
opportunity to co-sponsor the activity, and provide the opportunity for the
Region and State to work together to deliver a joint training and education
session when this would be efficient and effective.
- (a) Such coordination is specifically desired to avoid
duplication of activities and possible inefficient use of training and
education resources in the same geographic area.
- (b) State plan States are not required to provide
offsite training and education under their 7(c)(1) agreement, but if they
choose to do so, they should coordinate their activities with the Regional
Administrator, when appropriate. A State plan State may, however, elect to
conduct offsite training and education under their own 23(g) funded program,
absent coordination with the Regional Administrator, as long as it does not
involve the use of any 7(c)(1) agreement funds.
- (c) Should the Regional Administrator, and where
applicable, the State Designee, choose to participate in the offsite training
and education, the activity will be planned and delivered cooperatively, with
each party sharing the sponsorship and the
III. Types of Training and Education.
- A. Informal.
- 1. Characteristics. Informal or incidental training
and education includes the following:
- (a) Pre-visit preparation by the consultant similar to the
preparation for an onsite visit. However, the preparation is very general and
is based on training and education needs anticipated by the consultant, not
necessarily those specified by the employer.
- (b) Instruction through demonstration, aimed at achieving
immediate change in knowledge or behavior.
- (c) Onsite delivery as an immediate or spontaneous response
to issues raised or needs identified during the initial consultation
- (d) Brief interruption of the work or production process in
order to conduct a demonstration or to share information in an efficient
- (e) Limited or task-specific focus, oriented toward issues
directly related to identified hazards, workplace conditions or management
- (f) Loosely structured format, flexible enough to allow
adaptation to the needs of the audience or the conditions of the workplace.
- 2. Examples. The following examples are typical of
informal or incidental training and education activities conducted by
- (a) During the hazard survey, the consultant notices that a
machine guard has been removed, apparently because an employee thought it was
cumbersome. The consultant points this out to the employer, who acknowledges
that it is a problem which has occurred more than once. The consultant
offers to provide a brief "refresher" session on the purpose, value and use
of machine guards. The employer agrees, and asks a small group of employees
who use the machine to stop what they are doing for a few minutes and gather
around the machine to watch and to listen to the
- (b) During the opening conference, the plant manager and
supervisors mention that they would like to improve their method of training
new employees. The consultant suggests several methods, and mentions Job
Hazard Analysis as an effective, easy-to-use procedure for analyzing a job,
determining the best way to perform it, and identifying an employee's
training and education needs. When the managers express an interest, the
consultant shows them a Job Hazard Analysis, discusses how to apply it to new
worker training and education, and tells them how to obtain copies of the
form and its instructions.
- B. Formal.
- 1. Characteristics. Formal training and education
includes the following:
- (a) Typically conducted in a separate visit, since formal
training and education takes longer than informal and requires more
preparation, though it maybe conducted at the time of the hazard survey or
during a follow-up visit if the consultant is prepared and the employer
- (b) Usually "scheduled" instruction which allows the
consultant time to prepare the presentation and
- (c) The content of formal training and education, while
generally focusing on broad safety and health concepts or potential hazards,
could still have immediate application to the workplace under consultation if
- (d) Structured, "classroom style" instruction which can
utilize audiovisual materials, printed materials, lectures, discussions or
- (e) Training and education designed for long-range
competency building and self-sufficiency.
- (f) Usually serves larger groups of employers and/or
- 2. Examples. The following examples are typical of the
formal training and education activities of consultants:
- (a) An employer has requested consultation to help
strengthen the accident prevention and injury management program. Following
the initial visit and hazard survey, the consultant schedules a training and
assistance visit to be conducted a week later and begins preparing for the
visit back at the consultation project office. The consultant prepares a
program designed for both management and workers, using a lecture, a
film-strip and open discussion to cover such issues as management leadership,
employee involvement, hazard identification, improving work procedures,
actions to take in case of accident or injury, accident investigation
procedures and accident record analysis to prevent future incidents. The
training and education is delivered in the plant lunchroom to all employees
during the last two hours of the workday. (Formal training and education
- (b) An employer has written to the project requesting a
briefing on the new Process Safety Management Standard. He indicates he
plans to bring all supervisors and branch managers from other sites around
the state to a central location (offsite) for this presentation. (Formal
training and education offsite.)
IV. Allocating and Recording Training Time.
- A. Scheduling.
- 1. Scheduling Informal Training and Education.
Informal training and education is typically unscheduled, and can be provided
during the initial visit or a subsequent visit which was intended primarily
for verification of hazard correction or for Safety and Health Program
- 2. Scheduling Formal Training and Education.
- (a) Formal onsite training and education is typically
scheduled as a separate training and assistance visit, but if appropriate and
feasible, it can be provided during an initial or follow-up
- (b) When appropriate and after coordination with the
Regional Administrator, formal training and education may be scheduled
- B. Recording Training and Education Time. Instructions for
recording time spent and other data related to training and education are in
the IMIS Consultation Forms Manual, OSHA Instruction ADM 1-1.29.
V. Reporting to the Employer.
- A. If training and education services are provided during the
initial visit, a summary of the services provided will be included in the
written report to the employer.
- B. If training and education services are provided after the
written report has been sent to the employer or in separate training and
assistance visits or during a follow-up visit, the consultant will place a
description of the training and education provided into the employer's case
VI. Coordinating Training and Education Activities. Steps to coordinate training and education activities with other groups are strongly recommended in order to avoid duplication of events within a geographic area and to allocate resources in an effective manner.
- A. Coordination with State Plan Training and Education
Programs. 7(c)(1) projects in State plan States are encouraged to work
with the State plan training and education program staff to coordinate onsite
training and education events.
- B. Coordination with OSHA Regional and Area Offices.
- 1. Consultation projects are encouraged to share information
with the Regional Administrator on the type of training and education they
are providing so that opportunities for cooperative activities can be
- 2. Consultants are encouraged to make use of the training and
education resources and expertise available at OSHA Area Offices, and to
inform employers of these resources. Information on these resources may be
obtained from the Regional Administrator.
- C. Coordination with Targeted Training Grantees.
- 1. Labor unions, employer associations, and other nonprofit
organizations across the country have produced a variety of training and
education materials and conducted instructional activities with the support
of OSHA grant programs.
- 2. Consultation projects are encouraged to contact past and
present grantees to identify training and education resources and
opportunities for cooperative training and education. Information on
grantees, the audience they serve, and their products may be obtained from
the Regional Administrator or OSHA'S Office of Training and
- 3. Consultation projects are strongly encouraged to refer
requests for offsite training and education to grant recipients, OTI
Education Centers, or other training and education resources.
- D. Coordination with the OSHA Training Institute (Office of
Training and Education).
- 1. Through a request to the Regional Administrator,
consultation projects may draw upon the resources of the OSHA Office of
Training and Education to identify appropriate training and education methods
and locate training and education materials. (A current list is maintained
on the OSHA Computerized Information System [OCIS] at the Salt Lake City
- 2. Consultation projects which develop training and education
materials are encouraged to send a copy of these materials to the Regional
Administrator for transmittal to the OSHA Training Institute Library so that
others may have access to them.
- NOTE: Consultation projects should avoid developing or
purchasing costly training and education materials with project funds if
suitable materials can be borrowed or rented from other
- E. Coordination with Community Safety and Health
Organizations. Consultation projects are encouraged to identify and
contact community safety and health organizations in order to identify
resources for training and education and opportunities for cooperative
training and education. Consultation projects may contact the Region for
assistance in identifying these organizations.
VII. Consultant Training and Education Capabilities. Additional information on consultant training and education capabilities and acquisition of training and education skills is in Appendix A of this chapter.
VIII.Resources for Training and Education: Sources of Information.
- A. The Office of Training and Education maintains a list of
audio-visual materials produced by Targeted Training and other grantees on an
OCIS file called Resource Center. The source of each item is
identified. Most items must be purchased from the grantee, but a few may be
borrowed from the OSHA Training Institute.
- B. In addition to Federal OSHA, recipients of OSHA-funded Targeted
Training grants, training and education programs in State Plan States and
other consultation projects, information on training and education resources
may be obtained from:
- 1. Organizations of occupational safety and health
- 2. Professional and trade publications
- 3. Employer associations
- 4. Organized labor groups
- 5. National and local safety councils
- 6. Insurance companies
- 7. Larger employers, businesses and industries
- 8. Private occupational safety and health consulting
IX. Disengagement from Training and Education.
- A. One of the dangers of successful training and education by
consultants is that employers may come to rely on or to expect consultants to
provide all of their workplace training and education.
- B. However, training and education by consultants is designed to
foster the self-sufficiency of workplace protection programs and to enhance
employer ability to conduct workplace training and education.
- C. Consultants will make every effort to help employers develop
their own training and education programs, or refer employers to other
training and education organizations or to sources of information about
training and education. (See IX-1.A.2b., I-1 and IX-14.H.1.)
I. Competencies Required for All Consultants. In order to be able to provide "training and education on demand," all consultants must possess the following knowledge, abilities and skills:
- A. The ability to recognize workplace problems, hazardous
conditions or situations which can be addressed effectively through training
- B. The ability to recognize appropriate opportunities for training
- 1. Given an identified need for training and education or a
request from an employer, the consultant must determine whether it is an
appropriate time to offer and/or to provide training and
- 2. Indicators of opportune moments for training and education
- (a) Expressed interest on the part of the employer.
- (b) Expressed interest on the part of the employees to be
- (c) The ability of the employer and employees to interrupt
briefly the production or work process to receive training and
- (d) The immediate relevance and application of the training
and education to the work that the employer or employees are
- (e) The consultant's immediate access to all information
and materials necessary to conduct the training and
- 3. If the time is clearly not appropriate for training and
education the consultant will propose to conduct the training and education
at another time, to be scheduled at the employer's request.
- C. The ability and skill to provide informal training and
education during or subsequent to the initial visit.
- 1. Given the wide range of issues and problems in occupational
safety and health consultants are not expected to prepare themselves to train
on all conceivable topics.
- 2. They are, however, expected to prepare themselves to
provide informal training and education on topics common to and prevalent
among employers in the type of business or industry in which they are
- D. The ability to help employers and employees identify their
needs for additional training and education to propose solutions which will
help them meet these needs, and to recognize when it is appropriate to refer
employers to other training and education resources.
- E. The ability to select training and education materials which
are technically correct and appropriate to the workplace.
II. Competencies Required of Consultant-Trainers. Consultant trainers are expected to possess the knowledge, skills and abilities required of all consultants (as described above), plus the following:
- A. Knowledge of the voluntary nature of adult learning and methods
for making training and education interesting and relevant.
- B. The ability to assess employer and employee training and
education needs in light of both the workplace and the industry.
- C. The ability to plan and design training and education programs
which are relevant to the needs and interests of the audience, which are
feasible for the consultation project to deliver, and which produce the
- D. Effective communication skills for training and education of
both employers (management) and employees.
- E. Knowledge of effective methods of instruction and how to adapt
them to the learning situation.
- F. Knowledge of sources of information on training and education
- G. Ability to operate applicable audiovisual equipment.
- H. Ability to evaluate training and education programs and to plan
future programs based on these evaluations.
III. Acquisition of Training and Education Skills. Training on the consultant's role as a trainer is provided at the OSHA Training Institute as part of the "Basic Onsite Consultation Training" (course #150).
IV. Training and Education Techniques. The following information is presented as a summary of the training and education techniques consultants are expected to acquire through formal OSHA sponsored training and education programs.
- A. Preparation for Training and Education.
- 1. Informal Training and Education.
- (a) Preparation for a consultation visit is to include the
compilation of sufficient information about the workplace, any hazards and
potential hazards, information on controlling these hazards, and general
industrial processes or trends so that if the employer so requests, informal
training and education can be provided "on-the-spot."
- (b) Consultants who frequently consult with employers in
the same or similar industries may want to prepare informal or formal
training and education programs in advance of a visit and use the same
presentation at more than one workplace.
- 2. Formal Training and Education.
- (a) Preparation of formal training and education programs
will be specific to the request of the employer and the needs of the
- (b) Preparation of content may involve research additional
to that necessary for a consultative visit the identification of appropriate
training and education resources, and an assessment of the needs and
experience of the audience.
- (c) The planning of formal training and education programs
typically involves the following:
- (1) Identification of training and education
- (2) Selection of content.
- (3) Development of objectives to produce the desired
changes in the audience.
- (4) Development of learning activities.
- (5) Design of methods or instruments to evaluate the
results of the training and education.
- B. Training and Education Methods.
- 1. Training and Educating Individuals.
- (a) Training and education and education of individuals,
whether employers or employees, will most likely occur during the walk
through or in conferences as incidental training and
- (b) Typical training and education and education techniques
include discussions, demonstrations, answering questions and providing
- (c) Consultants will bear in mind that training and
education of individual employees ultimately will be most effective when
conducted by the employer.
- 2. Training and Educating Small Groups.
- (a) Small group assemblage is most typical of informal
training and education.
- (b) Small group assemblage allows the consultant to make
efficient use of training and education time and resources while still
incorporating a personalized approach to the structure and delivery of
- (c) Effective techniques include brief lectures,
audiovisual presentations, case studies, demonstrations, simulations, skill
practice, coaching, informal discussions, question and answer sessions, peer
teaching and exhibits.
- 3. Training and Educating Large Groups.
- (a) Large group assemblage is most typical of formal
training and education.
- (b) Effective techniques include lectures, demonstrations,
films, sound-slide presentations, open forums, panel discussions, job
rotation, speeches, and question and answer sessions.
- 4. Fostering Independent Learning. Regardless of group
size or training and education methods, the consultant can make a valuable
contribution to the learning process by encouraging people to pursue a topic
or issue on their own and by assisting them in locating learning
- C. Communication Strategies.
- 1. The success of any training and education activity depends
in large part on the consultant's ability to communicate the content in a
manner that is easily understood and readily applied by the
- 2. Effective training and education of employers often
involves presenting the information in "management terms," i.e., clearly
communicating the application of instruction to such management concerns as
injury and illness prevention, systems of employee motivation and control or
- 3. Training and education of employees relies on communicating
the information in "personal terms" which illustrate the application of
instruction to such individual concerns as personal health and safety,
reduction of physical or mental stress, improvement of job performance, or
- A. Purpose. This chapter explains OSHA's policies on
provision to employers of assistance in developing and implementing an
effective safety and health (S&H) program.
- B. Background.
- 1. After years of providing onsite hazard recognition and
recommendations for hazard control, the agency recognized in 1983 that new
approaches were necessary to help small, high hazard industry employers
improve working conditions and work practices permanently. The Consultation
Program regulations (29 CFR 1908) were rewritten in 1984 (49 FR 119, June 19,
1984) in part to encourage projects to offer safety and health program
assistance. The scope of consultative services was broadened in the
regulation by shifting the focus from simply the identification and
correction of specific workplace hazards to a concern for the effectiveness
of the employer's total management system for ensuring a safe and healthful
workplace. This emphasis on safety and health program implementation was
based on OSHA'S experience that the fact that an employer had hazards under
control at a particular point in time did not mean that they would continue
to be under control and that other hazards would be prevented. Hazard
identification in and of itself does not result in a lasting, comprehensive
basis for continued elimination of hazards by an employer. Hazards may
- 2. In 1989, OSHA published the "Safety and Health Program
Management Guidelines" Notice in the Federal Register (January 26,
1989, Vol. 54, No. 16). The Guidelines consist of program elements which
represent a distillation of applied safety and health management practices
that have been used by employers who have been successful in protecting the
safety and health of their employees. OSHA has used the guidelines to form
the basis of what is considered by the Agency to be an effective safety and
health program when the elements are implemented at a particular worksite.
An effective program is one that incorporates workable policies, procedures,
and practices to keep hazards under control and to prevent new hazards.
Safety and health programs, when effectively implemented, result in
long-lasting effects. Further, effective programs empower employers and
employees to help keep their workplaces free of injury- and illness-causing
- 3. The main goal of the OSHA consultation program is not
simply compliance with OSHA standards. Compliance is a by-product of
systematic workplace review, evaluation and control of hazards through an
effective safety and health management program. OSHA's focused inspection
effort has recently embraced this concept as a means to more effectively
utilize scarce inspection resources.
- 4. Through work with Voluntary Protection Program (VPP)
participants and with the construction sector, OSHA can show that effectively
operating safety and health programs prevent injuries and illnesses by
controlling hazards and improving work practices. We can show that employee
involvement in developing and maintaining safety and health programs improves
productivity. Empowering employees improves their self-respect; increasing
their responsibilities makes them feel and act more responsibly; and asking
for their help brings out information quickly that may otherwise require long
and costly studies by management. Safety and health programs produce lasting
results, since they involve employers and employees in continuous control of
hazards and continual review and improvement of worker safety and
- C. Definitions.
- 1. Effective. The word "effective" is the same as the
word "adequate" used in current industry standards, i.e., sufficient to
protect employees from reasonably foreseeable hazards. A safety and health
program is effective if it protects employees from actual and potential
- 2. Guidelines. The word "guidelines" refers to
Federal Register Notice 54 FR 3908, published January 26, 1989,
entitled "Safety and Health Program Management Guidelines." These guidelines
are the basis for the Form-33, Safety and Health Program Assessment
Worksheet, shown in Appendix A to this chapter.
- 3. S&H Program. "Safety and health program," when used
in this chapter, refers to a comprehensive, employer-provided, site-specific
system to protect worker safety and health. The word "program" is used
interchangeably with the entire phrase throughout this
- NOTE: Although an employer may develop separate worker
protection programs for safety and for health, or may divide responsibilities
among any number of individuals and groups, the consultant must deal with the
program as a whole, pointing out any gaps, redundancies or conflicts allowed
by the employer's specific systems and practices.
- 4. Program Assessment. "Program assessment" refers to
a consultant's review of an employer's existing safety and health program to
identify which elements are adequate and which ones need development or
improvement. Program assessment is facilitated by the Form-33, Safety and
Health Program Assessment Worksheet, shown in Appendix A to this
- 5. Program Assistance. "Program assistance" refers to
the consultant's recommendations, based on program assessment for developing
or improving program elements to create an effective program. Complete
development of a program from scratch is still program assistance and is
still done using the Form-33 as a guide.
- (a) Type of Assistance. Previous distinctions between
formal and informal program assistance no longer apply. This
change is part of the Consultation revision effort of FY 95.
- (b) Scope of Assistance. Comprehensive safety and
health program assistance covers the entire worksite and the complete safety
and health program, to the extent of the consultant's knowledge.
(Consultants are not expected to provide engineering solutions or in-depth
training, but are expected to refer employers to other sources of
assistance.) Previous categories Hazards Only and Hazards Plus
are now considered specific safety and health program assistance, provided in
conjunction with a limited service hazard survey.
II. Elements of a Fully Effective Safety and Health Program.
- A. MANAGEMENT LEADERSHIP AND EMPLOYEE INVOLVEMENT assigns
safety and health responsibility and authority to supervisors and employees
and holds them accountable. It includes policy formulation, annual
goal-setting and program review, management example, and employee
- NOTE: Employee empowerment gives employees the
responsibility to make decisions about their work, thereby enhancing job
flexibility. It is based on the view that employees know how to do their
jobs and can and should be trusted to do so without having to check or get
permission for issues that fall outside a narrow realm.
- B. WORKSITE ANALYSIS identifies current and potential
hazards. It includes a thorough baseline survey to review work processes and
individual potential hazards, management of change (to deal with facilities,
equipment, and the physical, economic and regulatory environment), job hazard
analysis (written safe operating procedures for major tasks), a
self-inspection program using checklists, a system for reporting hazards,
accident and incident investigation, and analysis of injuries and
- C. HAZARD PREVENTION AND CONTROL. Prevention consists of
such measures as regular maintenance and housekeeping; emergency planning and
preparation; first aid and CPR training; ready access to emergency care,
medical surveillance; and may include such measures as preventive health
care. Control includes guards, enclosures, locks, protective equipment, safe
work procedures (the result of job hazard analysis), and administrative
placement of personnel so as to minimize hazards.
- D. SAFETY AND HEALTH TRAINING of all personnel about the
hazards they may be exposed to, and the identification, prevention, and
control of those hazards. Managers and supervisors also need training in
program management (e.g., enforcing rules, conducting drills, and accident
investigation). Training can demonstrate management leadership and
facilitate employee involvement.
III. Procedures for Comprehensive Program Assistance.
- A. Consultant Training and Preparation. The consultant
should have been provided training in the subject and should be comfortable
with both the technical and programmatic aspects of consulting on this
- B. Promotion. The employer must request the services that
will be provided by the consultant, but the project and the consultant should
promote this service for high-hazard small businesses as being essential to
lasting improvement in employee safety and health. (All visits must include
safety and health program assessment and assistance for issues/areas covered
by the visit.)
- C. Opening Conference. During the opening conference, the
consultant uses the Form-33 to acquaint management (and, preferably, an
employee representative) with the OSHA guidelines. There is discussion of
the employer's safety and health systems and practices at the workplace and a
gathering of supporting documents. This discussion enables all parties to
speak the same language and helps the consultant determine the current
complexity and formality of the employer's program. Remind the employer that
comprehensive program assistance requires permission to conduct random
private interviews with employees, selected for their program
responsibilities, to conduct program assessment. Explain that these formal
interviews will not be held without permission, but that, without them, it
may be impossible to provide the requested assistance.
- D. The Hazard Survey (Walk Through). The consultant must
identify hazards in the workplace before an effective safety and health
program can be designed and implemented. However, the mere identification and
control of hazards may not produce lasting results at the worksite, since old
hazards can recur and similar hazards can also recur. A management program
provides systematic policies, procedures, and practices which address
continued hazard control. During the walk through, consider how each hazard
observed could have been prevented or corrected by appropriate elements of
the safety and health program and be prepared to explain how to improve the
program so that the same or similar hazards will not occur.
- EXAMPLE: Lack of a machine guard may indicate a need for
development of or improvement in:
- 1. Rule development and enforcement by supervisors (Management
- 2. Positive attitude towards safety (Employee
- 3. Job hazard analysis (Worksite Analysis).
- 4. Attention to guards as part of equipment maintenance
- 5. Safety interlocks integrated into machine design (Hazard
- 6. Employee training in the use of machine guards (Safety and
- E. Interviews. Assessment requires talking with managers,
supervisors and employees. The consultant may need privacy to do the talking
and/or to make notes from the talks.
- F. Determination of Program Effectiveness.
- 1. Based on the information obtained, score the Form-33 for
each indicator (or note on the form that a particular indicator is not
applicable). The consultation Form-33 covers the 25 indicators of the safety
and health program guidelines and provides space for the consultant to make
observations, suggestions, and other comments. Each element has a scoring
range of 0 to 4, for a total possible form score of 100. With a scoring
range of 100, the form allows an employer's progress in developing a filly
effective safety and health program to be charted and easily understood on a
- 2. The 0 to 4 scores in each indicator are essentially the
same. No score (0) is awarded where little or no evidence of positive effort
can be found. Basic or minimal compliance generally yields a "1." For
example, written material may exist, but awareness or understanding is
limited. By level "2," some positive changes and/or behavior is generally
apparent. Level "3" suggests most people are aware of and adhere to the
expectations spelled out by that indicator. Level "4" is the region of
excellence that suggests the workplace culture is fully supportive of safety
and health as a fundamental value.
- 3. Total scores for the form can be assessed accordingly:
Zero to 24 suggests elements of an effective safety and health program simply
do not exist. Twenty-five to 49 suggests the paperwork exists and that there
may be some level of program understanding. Fifty to 74 indicates that
safety and health is fairly well established and supported in the workplace.
Scores of 75 and above point to a facility where everyone plays a positive
role and the workplace is fully supportive of safety and health and the
safety and health management system. It is important to note, however, that
effective total scores (effective programs) are those in which relatively
equal scoring occurs in each of the four major program elements (in other
words, not having 30 points in one element, but only 6 in another, and large
numbers in the others, etc.).
- 4. Form-33 also allows for the graphic display of total
scores, and scores for each major program element. This allows the employer
and consultant to visualize the employer's status in meeting each of the
major program elements. Comparison of copies of the graphs, over time, will
show the progress being made.
- 5. Form-33 appears in Appendix A along with instructions for
using and scoring the form. The 33 is a tool for use by consultants which
will help them explain the 1989 Agency Program Management Guidelines to
facility management and to work with them on achieving the highest possible
scores in each element. Consultants should leave a copy of the completed
form with management to allow them to use it as a tool to work to improve
their program and to be able to understand what steps may be necessary to
move up in "scoring" on the form. Form-33, used in this way will serve to
reinforce efforts employers and their employees may have already made, and
will suggest achievable next steps in the facility's program
- G. The Closing Conference.
- 1. During the closing conference, any hazards identified
should be discussed with the employer in terms of how an effective safety and
health program would address and assure their continued control. Explain to
the employer why any aspect of the workplace safety and health program needs
improvement. Explain the Form-33 total score and individual element scores,
and agree on goals, strategies and implementation dates for each ineffective
- 2. Ensure employee participation during the closing
conference, explaining to the employer that employee involvement is key to
the implementation of an effective safety and health program.
- 3. As a schedule is agreed upon for the development and
implementation of the program, write these dates onto the blocks provided on
the Form-33. Given the necessity for employee participation and the fact
that a nonexistent or minimal program may require further consultant visits,
you may decide not to try to develop the whole program in one
- 4. When the consultant and employer agree that comprehensive
implementation or improvement of a nonexistent or minimal program will
require considerable time and further visits, they may agree to establish a
multi-step program assistance plan, upon approval of the Project Manager,
with reviewable goals and timetables based upon program
- 5. If a sample safety and health program has been developed
for the employer's industry and it is available, provide it as a model to the
- 6. Provide examples of documents, forms, and procedures, when
available, for recommended activities. Such examples might include forms for
employee notification of safety problems, job hazard analysis procedures,
self-inspection procedures and self-inspection report forms. As discussed
above, leave a copy of the Form-33 for the employer to use and refer to in
his or her work on program development, implementation and
- H. Report to the Employer.
- 1. For every initial visit, a discussion of how program
assistance was provided will be included in the written report to the
employer. Development of the safety and health program will follow the Four
Point Workplace Program described in the OSHA "Handbook for Small
- 2. If further program assistance is provided through a
training and assistance visit, the consultant may submit, as directed by the
Project Manager, either a follow up letter or a revised report to the
- 3. Sample materials not available at the closing conference
maybe mailed with the written report.
- I. Consultation Data System Forms. The IMIS Consultation
Forms Manual (OSHA Instruction ADM 1-1.29) describes procedures for recording
data on requests for and the delivery of safety and health program
- 1. Complete a Form-33 for every case in which program
assistance has been provided.
- 2. Using the Form-33, progress on an employer's program
implementation can be documented and displayed graphically. Progress on
implementation may require the use of several Form-33's, each representing an
employer's accomplishments at specific times. These forms should be kept in
the case file and must contain complete documentation on indicators of
effectiveness for each element how the employer is meeting the desired
results. Progress on program implementation may be documented in the case
file by either a Form-33 or a letter from the employer describing program
indicators and their implementation.
IV. Flexibility in the Application of Criteria.
- A. The complexity, formality and degree of documentation needed
for an effective safety and health program will vary considerably with the
size of the establishment and the nature of its operations. The smaller and
less hazardous a business, the less complex, formal and documented the safety
and health program will need to be.
- B. The consultant must exercise professional judgment in
determining the acceptability of an employer's program. The two key questions
are, "Does it work?" and "Is it open to review and to change as
- C. The employer's safety and health program must be reduced to
writing to provide and to document accountability and to clearly state safety
and health policies and objectives. The level and degree of complexity
necessary for written programs are left to the professional judgement of the
consultant. Smaller employers may not need lengthy, written programs.
Larger employers usually will, which provides a reference document for
employees. In addition, certain OSHA health and safety standards require
mandatory written programs describing how the employer will comply with the
standard's requirements. These programs (e.g., lockout/tagout) will exist as
separate but integral documents to the employer's overall written safety and
health program. Certain standards require that safe work practices must be
reduced to writing. However, these written materials must be effectively
communicated to all affected employees, which includes communication to and
training of employees whose English may be limited or who may otherwise be
(For Form 33 page 1, Click Here)
(For Form 33 page 2, Click Here)
(For Form 33 page 3, Click Here)
(For Form 33 page 4, Click Here)
(For Form 33 page 5, Click Here)
These questions are intended for use by the consultant to guide oral employee interviews. State that all employee responses will be kept confidential. Explain your purposes in being at the site and in conducting the interview.
- 1. What is your job here?
- 2. How long have you worked here?
- 1. Is there an overall policy here regarding employee safety and
health? If so, please restate it in your own words or tell me where to find
- 2. How important is worker safety and health protection to
management in this company? What have you seen or heard to back up your
- 3. In your own words, what is (are) this year's safety goal(s),
and how is it (are they) going to be achieved?
- 4. Does management set a good example when it comes to doing
things safely? What (else) does top management do to demonstrate interest in
worker safety and health? Is it enough? If not, what else needs to be
- 5. Do you have any particular responsibilities for safety and/or
health here? If so, what are they? If not, why not?
- 6. What are you expected to do to keep this company safe and
healthful? Do you always do it? If not, why not?
- 7. How easy is it to get rid of a safety or health hazard? Give an
- 8. What happens when a safety or health goal is not reached?
- 9. If you have had any part in a review of the safety and health
program, describe to the best of your knowledge how that review process
C. Worksite Analysis.
- 1. Are regular safety and health self-inspections made? Are they
done often enough? Do the inspectors know their stuff?
- 2. Have you ever discovered a safety or health hazard? What did
you do about it? What should you do about it if you find one
- 3. Are new safety and health precautions introduced at the same
time as or after new facilities, equipment, materials or processes? Give an
- 4. What generally happens after an accident? Does investigation
turn up root causes? Give an example.
D. Hazard Prevention and Control.
- 1. Do you have a set of instructions that you can go by to keep
you working safely? If so, do you follow them?
- 2. If there are any hazardous substances in or around your work
area, how are you protected from them? How good is that protection? On what
do you base your judgment?
- 3. Is the facility here usually kept reasonably clean?
- 4. Is maintenance done regularly? If you perform any maintenance,
do you have a set of instructions to go by?
- 5. Do you know what to do in an emergency? If so, how do you know
that, and for what emergencies?
- 6. Is there a medical program here? If so, how does it work? If
not, is there a first-aid program here and how does that work?
E. Safety and Health Training.
- 1. Have you been trained by this company on all routine,
maintenance, and emergency procedures that you are expected to follow? If so,
when, how, by whom, and how good was the training given? If not, did you ask
for more training? If so, what reason was given for not providing the
training you requested?
- 2. Do you receive regular safety and health training? If so, how
- 3. Are you aware of company safety rules? If so, do they seem to
cover everything they should?
I. Program Overview.
- A. Objective. SHARP is a recognition program which
provides incentives and support to smaller, high-hazard employers to work
with their employees to develop, implement, and continuously improve the
effectiveness of their workplace safety and health programs. SHARP is a
program of the Occupational Safety and Health Administration (OSHA)
consultative services program. Guidance in this chapter is intended for use
with employers who have demonstrated to the Project Manager that they would
be good candidates for SHARP.
- B. Recognition. To promote effective safety and health
program management and to provide model programs for others to follow, SHARP
recognizes employers who operate at their worksites exemplary safety and
health programs that result in the immediate and long term prevention of
job-related injuries and illnesses. This is achieved by:
- 1. Encouraging employers to use OSHA consultation services and
to involve their employees in establishing fully effective safety and health
- 2. Providing for public recognition of employers and employees
who have worked together successfully to establish exemplary safety and
health programs and who have met other specified conditions. This includes
transmittal to the employer by the Region of the SHARP certificate of
recognition signed by the Assistant Secretary for OSHA.
- C. Exemption from OSHA General Schedule Inspections. SHARP
provides added incentive for employers to establish effective programs by
removing their company's name from OSHA'S Program Inspection
II. Program Eligibility. An employer requesting to pursue the process leading to SHARP approval must meet the following criteria:
- A. Employ not more than 250 employees at the site and not more
than 500 total employees at all sites controlled nationwide.
- NOTE: Larger establishments that demonstrate commitment to
workplace safety and health beyond the requirements of OSHA standards maybe
eligible for OSHA's Voluntary Protection Program (VPP)(see OSHA Instruction
TED 8.1, November 10, 1986).
- B. Have a lost workday injury (LWDI) rate above the average for
their industry or be in an industry that is on OSHA'S high hazard list or a
supplemental high hazard list approved by the Regional Administrator and the
Director of Federal-State Operations, or be on any national or approved state
or local special emphasis program list.
- NOTE: When comparing an employer's LWDI rate to the industry
average, the consultant should use the most recently published BLS data for
the SIC code in which that employer is specifically classified (e. g., 5159),
if available. If data is not available, then the consultant should use data
for the next highest tier for which data is available (e.g.,
- C. Be a single, fixed worksite.
- NOTE: Multiple worksites under common management will be
evaluated and approved separately. Employers of mobile worksites (i.e.,
logging, longshoring, construction, etc.) are not currently eligible for
- D. Have at least a one (1) year operating history. Twelve (12)
months of operating time is necessary to establish lost workday injury rates
(LWDI) and injury incident rates (IIR). (See the most recent version of the
Bureau of Labor Statistics (BLS) publications, Occupational Injuries and
Illnesses in the U.S. by Industry or the Survey of Occupational
Injuries and Illnesses, for more information on current injury and
incident rates and rate calculations.)
III. Program Requirements.
- A. Employer Responsibilities. Employers requesting initial
pursuit of SHARP must agree to:
- 1. A full service consultation survey of all conditions and
operations at the establishment, including a complete safety and health
- NOTE: A full service survey is one that addresses all
real and potential safety and health hazards. To accomplish this, the Project
Manager may need to assign more than one consultant (one safety, one health)
to perform the initial survey. The consultants then must work with the
employer to correct all hazards identified, both safety and health, and
address their continued control through implementing the elements of an
effective safety and health program.
- 2. Involve employees in the development, operation, and
improvement of all elements of the workplace safety and health program and in
the decisions that affect their safety and health. (See Chapter IX, Safety
and Health Program Assistance, for more details.)
- 3. Work with the consultation program for a period of at least
one year from the date of the initial visit, during which time the employer
will work to:
- a. Correct all identified safety and health hazards and
provide the Project Manager with written confirmation that all hazards have
- b. Implement all elements of an effective safety and
- c. Lower the LWDI rate of the establishment to at or below
the national average for their industry, based on at least one full year's
experience. In addition, the Injury Incidence Rate (IIR) for the site must
also be at or below the national average for that industry, as calculated on
the most recent 12-month data.
- NOTE: After an employer has participated in SHARP
for one year and reduced their LWDI, the employer's improved average should
be compared to the same BLS data to which the employer's original average was
- 4. Consult in advance with the consultation project on any
changes in working conditions or work processes which might introduce new
hazards into the workplace.
- 5. Notify the project at the end of the one-year or longer
period and request a second full service visit.
- a. The second visit will be conducted to verify that all
of the requirements for SHARP approval have been met (all hazards corrected,
all elements of the safety and health program in place and operating
effectively, and that the employer's LWDI rate and IIR are at or below the
average for their industry).
- b. If verified in the second visit that all requirements
have been met, the employer may then be recommended by the Project Manger to
receive the SHARP certification of recognition.
- B. Employers With Existing Exemplary Programs.
- 1. Employers who meet all of the criteria for SHARP may be
recommended for final approval without meeting the twelve month preparatory
requirement. (It is anticipated that such employers will rarely be
encountered by the consultation program, since SHARP is limited to the more
hazardous businesses. In addition, employers who already have exemplary
safety and health programs and no existing workplace hazards will probably be
encountered infrequently by the consultation project.)
- 2. The following criteria must be met by the employer:
- a. The company must demonstrate that their LWDI rate and
IIR are currently at or below the national average for their industry and
that the rates have been maintained at or below this level during the period
of two consecutive years immediately preceding the date of the initial
- b. All other SHARP requirements must be met.
- (1) If any minor safety and/or health hazards are
identified in the initial visit, all such hazards must be corrected and
correction must be verified in writing by the employer prior to project
recommendation for SHARP approval.
- (2) All elements of a fully effective safety and health
program must be in place and operating.
- (3) Program elements must be observed by the consultant
and their effectiveness must be fully documented on the OSHA Form 33, Safety
and Health Program Assessment Worksheet.
- C. Consultation Project Responsibilities.
- 1. It is the responsibility of the Project Manager to ensure
that all of the requirements for SHARP have been met by the employer prior to
forwarding a request to the Regional Administrator to issue a SHARP
- 2. During the year (or longer) period that the employer is
working toward SHARP approval, the Project Manager may schedule additional
training and assistance visits to the site to provide assistance in meeting
SHARP requirements. These visits also will be scheduled if and when the
Project Manager is not confident that the employer has understood all of the
requirements for SHARP. The purpose of the additional visits is to work with
the employer to develop the elements of an effective safety and health
program and to provide necessary employer and employee training. As with all
- a. Where verification of serious hazard correction is not
satisfactory or timely, a followup visit must be
- b. Followup visits will also be conducted when the Program
Manager has reason to question the veracity of the employer's assurance that
identified serious hazards have been corrected.
- 3. Onsite verification that all SHARP requirements have been
met will take place in the second full service visit, normally at least one
year following the date of the initial visit. At the time of this visit, all
elements of an effective safety and health program must be in place an
- a. If new hazards are found, the Project Manager must be
confident, based on subsequent receipt of the employer's written assurance
that all hazards have been corrected, that the program will operate
effectively. If the Project Manager lacks full confidence in the employer's
written assurance, a followup visit must be conducted to verify that all
SHARP requirements have been met.
- b. If the new hazards reflect significant deficiencies in
the safety and health program, the company cannot be recommended for SHARP
final approval until the deficiencies have been corrected and the Project
Manager is confident that the program will operate effectively
- c. Should hazards in the second visit be identified as
hazards which remain uncorrected from the first visit, these uncorrected
serious hazards would constitute grounds for referral to enforcement. This
is especially true since the employer by this point would have provided
written verification of "correction" sometime during the past year. In such
cases, the employer will not be recommended for SHARP final approval or be
continued further in the SHARP process.
- D. Removal from OSHA General Schedule Inspection Lists.
- 1. Programmed Inspection Schedule. Employers who meet
the requirements for SHARP will have the names of their establishments
removed from OSHA's Programmed Inspection Schedule for a period of one year.
The one year exemption period will extend from the date of issuance by the
Regional Office of the certificate of SHARP recognition.
- 2. Inspections at SHARP Sites. At Sharp sites, OSHA
will continue to make inspections in the following categories:
- a. Imminent danger.
- b. Fatality/Catastrophe.
- c. Formal complaints.
- d. Referral from a safety compliance officer to a health
compliance officer, or from a health compliance officer to a safety
compliance officer. (Referrals from other government agencies will be
conveyed to the consultation project for handling unless the Regional
Administrator concludes that it reflects a hazard of sufficient urgency to
require an inspection).
- e. Followup on previously cited violations.
IV. SHARP Procedures
- A. Dissemination of Information on SHARP. Project Managers
and consultants will inform employers about the opportunity to pursue SHARP.
This information will be provided in at least one of the following ways: in
publicity and promotion for the program; in response to inquiries on
consultation services; in the opening conference while providing onsite
- 1. Consultation personnel will stress that the intent of SHARP
- a. Recognize the safety and health achievements of
- b. Require a commitment on the part of employers to work
closely with their employees and the consultation project to develop,
implement, and continuously improve the workplace safety and health
conditions of their worksite through the development and implementation of an
effective safety and health program.
- 2. Employers will be informed that in order to pursue SHARP
they must undergo a comprehensive safety and health visit and work with the
consultation project over at least a one year period to correct all
hazards, develop and implement an effective safety and health program, and
lower their LWDI and IIR to at or below the average for their
- 3. Regional Administrators are responsible for responding to
questions concerning OSHA policy on SHARP. In addition, Regional and Area
Office staff will encourage employers who are interested in SHARP to contact
the appropriate state consultation project.
- B. Effect On Scheduling Requests.
- 1. Priorities. The priority accorded a consultation
request generally will not be affected by the fact that it involves pursuit
of SHARP, although an employer who meets the requirements of Sec. II of this
Chapter will generally fall into a high-priority category.
- 2. Renewal. An employer may request annual renewal of
SHARP. Because of the employer's commitment to exceptional worker
protection, the request for renewal will be assigned high
- 3. Concurrent Visits. Whenever a SHARP request is
serviced, safety consultants and industrial hygienists will, whenever
schedules permit, make concurrent visits. If this is not possible,
initiation of one visit will not be delayed more than 60 calendar days
following the starting date of the first.
- a. All consultation visits related to SHARP will operate
in accord with 29 CFR 1908, Consultation Agreements, the Consultation
Policies and Procedures Manual (CPPM) and the approved Cooperative Agreement.
Chapter VI of the CPPM provides specific procedures for onsite
- b. Establishments pursuing SHARP approval will receive a
comprehensive consultation survey covering all conditions and
operations in the workplace.
- c. A single safety or health consultant may cover both
safety and health issues at a worksite if the Project Manager is confident
that the consultant has the training and experience necessary for the
specific site. This will normally include cross-training in the discipline
in which the consultant is not a specialist.
- 4. The Project Manager will take special care to ensure that
consultants assigned to establishments pursuing SHARP approval have the
expertise necessary to assess the hazards and the safety and health programs
in those establishments and to provide assistance in hazard correction and/or
safety and health program improvement.
- C. Conduct of a Visit
- 1. Opening Conference. In the opening conference, the
consultant will review the employer's request for consultation assistance.
If the employer has previously expressed or in the opening conference
expresses an interest in pursuing SHARP, the consultant will review the
program requirements with the employer to ensure that the employer
understands the commitment necessary to pursue SHARP.
- 2. Employee Participation. Employers electing to
pursue SHARP must be committed to working to develop a comprehensive,
written, and operational safety and health program that involves employees in
significant ways that affect their safety and health.
- 3. Full Service Consultation. A full service visit
will include a survey of the employer's entire establishment covering all
operations, including a complete safety and health program review. All
hazards identified will be discussed in light of how an effective safety and
health program would address their continued correction and control. Using
the OSHA Form 33, and following the guidance found in Chapter IX, Safety and
Health Program Assessment, the consultant will discuss with the employer the
elements of an effective program.
- (a) The employer will be informed that the consultant will
remain available to work with the employer and employees to develop or
improve any existing program or program elements.
- (b) SHARP candidates must receive superior scores on the
OSHA Form 33. It is anticipated that SHARP approved sites will never receive
less that a "3" on any indicator and that most scores will be "4s." In
addition, for each indicator, extensive documentation providing information
on what evidence helped the consultant identify or verify program adequacy
must be noted in the space provided on the OSHA Form 33.
- 4. Written Report. After the consultant conducts the
comprehensive survey, the employer will be advised that a written report
explaining the findings of the visit and confirming any agreed on correction
periods will be provided at a later date. The written report will reflect
the consultant's findings and recommendations for hazard correction and
safety and health program improvements and the action plan to which the
employer agreed to meet SHARP requirements.
- 5. Closing Conference. In the closing conference, the
- (a) Describe the hazards identified in the walk
- (b) Discuss possible methods of correction.
- (c) Describe the adequacies and deficiencies of the
employer's workplace safety and health program.
- (d) Discuss with the employer the extent to which
additional onsite visits may be needed during the interim one year (or
longer) period prior to the comprehensive review to provide safety and health
program assistance and training assistance.
- (e) Develop a schedule for one or more such visits, as
- (f) Leave at least one copy of the completed OSHA Form 33
with the employer so that the employer can use it as a tool to work toward
full safety and health program implementation in the subsequent year. The
employer will also be reminded that, at the end of the interim one year (or
longer) period, the employer is responsible for requesting a second fill
service visit for final, onsite evaluation of SHARP
- D. Action Plan. The consultant will work with the employer
to develop an action plan that addresses the employer's progress in meeting
the requirements for SHARP.
- 1. The action plan is developed with the employer in the
initial comprehensive survey. The consultant and employer together will use
the onsite time in the initial visit to agree on the terms of the action plan
and the time frames for achieving specific items.
- 2. The action plan outlines the specific steps that must be
accomplished by the employer to merit SHARP approval. The action plan must
address in detail:
- a. The employer's correction of all identified safety and
health hazards, with timeframes.
- b. The steps necessary for the employer to implement an
effective safety and health program (the Form 33 plus additional information
as necessary), with time frames.
- c. A statement of the employer's commitment to work with
the consultation project to achieve SHARP approval. This includes a
commitment to consult with the project should new processes be planned which
might introduce new hazards into the workplace.
- E. Submission of SHARP Requests for Approval and Certificate
- 1. Project Managers, after ensuring that the employer has met
all requirements for final approval, will obtain from the employer a signed
letter requesting SHARP approval. The Project Manager will submit the
employer's request to the Regional Administrator and inform the employer that
if approved, the SHARP exemption period will extend for a period of one year
from the date of issuance of the SHARP certificate by the
- 2. On receipt of written verification that the employer has
met all of the requirements for SHARP approval, the Regional Administrator
- a. Provide a copy of the SHARP certificate to the
employer, which will include the company's name and location, and the period
of exemption (extending one-year from the date of
- b. Notify the appropriate Area Director to remove the
company from the OSHA Programmed Inspection Schedule for a period of one year
from the date of issuance of the SHARP certificate.
- c. Send to the consultation project for their records a
copy of the letter that accompanied the SHARP certificate to the employer.
To expedite matters and ensure thorough communications, the Regional Office
will telephone the project on the date of issuing the certificate to alert
them to the approval and transmittal of the SHARP
- F. Renewal Requirements.
- 1. Employers granted initial SHARP approval may apply for
renewal during the last quarter of the one year approval period. At the time
that the renewal comes up, consultants must conduct a complete onsite safety
and health survey to ensure that the safety and health program has been
effectively maintained or improved. Workplace hazards must be under control
and elements of the safety and health program must be operating
- 2. The employer must demonstrate that the LWDI rate and IIR
for the establishment have remained at or below the national average for
their industry during the period of SHARP approval.
- 3. Renewal is dependent on the consultation project's
assessment of continued program effectiveness. If all requirements for SHARP
are verified as operating effectively in an onsite visit by the consultant,
the project may inform the employer that the employer is authorized to
request SHARP renewal. The employer must submit a renewal request in writing
to the project. The project will forward the request to the Regional Office.
The Region will issue a new SHARP certificate to the employer, with the new
dates, and inform the Area Office of the employer's continuation as an
approved SHARP site.
V. Failure to Meet or Maintain Requirements.
- A. An employer's SHARP approval will be terminated if the Project
Manager or the Regional Administrator determine that the employer's failure
to meet or maintain SHARP requirements represents a lack of good faith in
relation to those requirements and/or a significant reduction in worker
protection. Except in egregious cases, the employer should be given the
opportunity to withdraw from the program, rather than be
- 1. The following are some specific situations:
- a. The employer fails to maintain the elements of the
safety and health program in a way that significantly reduces worker
protection and/or reflects an inadequate commitment to the
- b. An OSHA fatality or catastrophe investigation results
in the issuance of a citation for a violation that directly contributed to
the cause of the fatality/catastrophe, or the Regional Administrator or the
Project Manager concludes that a weakness in the safety and health program
allowed for the fatality or catastrophe.
- c. The employer does not provide complete and timely
written verification of serious hazard correction, or an onsite visit
verifies that serious hazards continue to go uncorrected.
- d. An employer is found guilty in an 11(c) discrimination
case which was filed after SHARP approval.
- e. The employer fails to maintain the required lost
workday injury rate (LWDI) or injury incidence rate (IIR), with the following
- (1) In smaller establishments, the fact that a single
injury or small number of injuries may have a large impact on subsequent
rates should be considered, along with the nature and cause of the injury and
the overall quality of the program. The Project Manager and the Regional
Administrator shall examine the reason for the rate increase and jointly
determine whether or not the establishment should be allowed to continue in
the SHARP program.
- (2) In situations described in (1), above, where the
cause of the rate increase is not related to the overall quality and
effectiveness of the site's safety and health (as determined by the Project
Manager and Regional Administrator), the Project should nevertheless work
with the employer to ensure that the accident, injury or situation causing
the rate increase is effectively abated and addressed within the employer's
safety and health program.
- B. At unionized sites, if the union representatives object to the
site's involvement in SHARP, the employer will be advised that the pursuit of
SHARP cannot be formalized or must be terminated until such time as a
labor/management agreement is reached on this issue.
- C. Establishments that are physically relocated will be
automatically dropped from the program. Employers must return the
Certificate of Recognition and reapply at their new location.
- D. Termination Procedures. The employer will be notified in
writing of the project's final decision to terminate SHARP approval, the
reason(s) for this decision, and the re-entry requirements.
- NOTE: If the reason for termination is the employer's
failure to correct serious hazards or standards violations, appropriate
referral to OSHA will be made.