Directives - Table of Contents Directives - Table of Contents
• Record Type: Instruction
• Directive Number: CPL 02-00-025
• Old Directive Number: CPL 2.25I
• Title: Scheduling System for Programmed Inspections
• Information Date: 01/04/1995

OSHA Instruction CPL 2.25I January 4, 1995 Office of Statistics

Subject: Scheduling System for Programmed Inspections

A. Purpose. The purpose of this instruction is to transmit a revised CPL 2.25I. This instruction contains revisions for FY 1995 to the scheduling system for programmed inspections.

B. Scope. This instruction applies OSHA-wide.

C. Cancellation.

      1. OSHA Instruction CPL 2.25H, December 31, 1990, Scheduling System for Programmed Inspections.
      2. OSHA Instruction CPL 2.45B, June 15, 1989, Field Operations Manual (FOM), Chapter II, Section F.2.

D. References.

      1. OSHA Instruction CPL 2.45B, June 15, 1989, Field Operations Manual(FOM), Chapter XI and Chapter XIII.
      2. OSHA Instruction CPL 2.51H, March 22, 1993, Exemptions and Limitations under Current Appropriations Act and memorandum dated June 1994 with new appendixes.
      3. OSHA Instruction CPL 2.90, June 3, 1991, Guidelines for Administration of Corporate-wide Settlement Agreements.
      4. OSHA Instruction CPL 2.95, February 10, 1992, Enforcement Authority at the Department of Energy's Government-Owned, Contractor-Operated Sites.
      5. OSHA Instruction CPL 2.102, March 23, 1994, Procedures for Approval of Local Emphasis Programs (LEPs) and Experimental Programs.
      6. OSHA Instruction CPL 2.103, September 26, 1994, Field Inspection Reference Manual (FIRM).
      7. OSHA Instruction ADM 1-1.30, July 26, 1993, The System Administration Manual.
      8. OSHA Instruction ADM 12.5, November 15, 1989, OSHA Compliance Records, Records Disposition Schedule.
      9. OSHA Instruction PAE 1.1C May 10, 1993, Field Operation Program Plans.

E. Action. Regional Administrators and Area Directors shall ensure that the policies and procedures established in this instruction are transmitted to all Area and District Offices, and to appropriate staff members.

F. Federal Agencies. This instruction describes a change that affects Federal Agencies. Executive Order 12196, Section 1-201, and 29 CFR 1960.16, maintains that Federal agencies must also follow the enforcement policy and procedures contained in this instruction.

G. Federal Program Change. This instruction describes a Federal program change which affects State programs. Each Regional Administrator shall:

      1. Ensure that this change is promptly forwarded to each State designee using a format consistent with the Change Two-way Memorandum in Appendix P, State Plan Policies and Procedures Manual (SPM).
      2. Explain the content of this change to the State designees as required.
      3. Ensure that the State shall respond to this change within 70 days in accordance with paragraph I.1.a.(2)(a) and (b), Chapter III. The State shall submit the plan supplement within 6 months in accordance with I.1.a.(3)(c), Chapter III.
      4. Ensure that the State's acknowledgement include:
        a. The State's plan to adopt and implement identical criteria for identifying industries and establishments to be scheduled for programmed safety and/or programmed health inspections;
        b. The State's plan to develop/utilize alternative criteria to those contained in the instruction, which are as effective; or
        c. The reasons why no change is necessary for the State to maintain a program which is as effective.
      5. Advise the State designees that the State specific targeting list will be available through the IMIS and that the establishment lists will be in random order for the top 200 industries. Those States who wish the lists to be in rank order should contact the Office of Statistics, (202) 219-6466.
      6. Review policies, instruction and guidelines issued by the State to determine that this change has been communicated to State compliance personnel.

H. Changes for FY 1995.

      1. For safety, national BLS Lost Workday Injury and Illness data are used to rank industries at the 4 digit SIC Level. The data are for Calendar year 1992, the most recent that BLS has published. National data are used because BLS no longer supplies OSHA with the state data. (See B.1.a.(1)(a) and B.1.b.(1)(a)1).
      2. For safety and health, deletion criteria is extended to 5 years for a complete inspection. Previous deletion criteria was 2 years for safety and 3 years for health. (See B.1.b.(1)(b)6b)
      3. For both safety and health, establishment lists are in random order and contain all the establishments in the top 200 industries. The establishments in the top 100 industries are given two chances to rank high on the list. That is, for safety all the establishments within the 200 industries with the highest lost workday injury and illness rates are placed in random order with the top 100 industries twice as likely to rank high. For health all establishments within the 200 industries ranked by serious health violation per inspection are placed in random order with the top 100 industries twice as likely to rank high. The establishments are selected for inspection in this random order. (See B.1.a.(2)(b) and B.1.b.(1)(b)4)
      4. Small employers that are part of another employer are included on the lists. Some employers with sizable employment appear on the Dun and Bradstreet (D&B) list as having no employment. This is because some corporations report corporation employment to Dun and Bradstreet and do not separate the employment by worksite. The small employers will have a small employer deletion code of 'T0' which needs to be removed if the employer is to be inspected. (See B.1.b.(1)(b) NOTE #2 and B.1.b.(1)(b)6bT#)
      5. The issuance of this instruction authorizes the termination of the use of inspection cycles created using the FY 1994 planning guide. No unscheduled establishments are to be carried over to the FY 1995 cycles.

Joseph A. Dear Assistant Secretary

DISTRIBUTION: National, Regional, and Area Offices All Compliance Officers State Designees NIOSH Regional Program Directors 7(c)(1) Project Managers

SCHEDULING SYSTEM FOR PROGRAMMED INSPECTIONS

A. Program Planning.

      1. Purpose. Scheduling System for Programmed Inspections provides general guidelines to the Regional Administrator and Area Director in planning compliance operations and related activities and instructions for their implementation.
      2. Primary Consideration. The primary consideration in conducting compliance operations is the attainment of maximum effective inspection coverage. To achieve this goal, the guidelines in this chapter shall be used for scheduling inspections.

B. 1. Programmed Inspections. A programmed inspection generally is a

        comprehensive inspection of the worksite but may be limited as necessary in view of resource availability and other enforcement priorities such as focused inspections. (Low hazard areas, such as office space, may be excluded from inspection without affecting the comprehensiveness of the inspection.)
        a. General. Certain considerations are fundamental to the implementation of OSHA's targeting system. The word "host" refers to the computer system used by the National Office and the word "micro" refers to the computer system used in each Area/District Office.
          (1) Policy. It is OSHA policy that inspections conducted as programmed inspections be primarily in the "high hazard" sectors of employment.
            (a) In the area of safety, the Agency considers a "high hazard" industry to be one within a Standard Industrial Classification (SIC) code with a National lost workday injury and illness rate among the highest 200 as published for calendar year 1992 by the Bureau of Labor Statistics (BLS) at the 4-digit SIC level. The 1992 data are the most recently published data by BLS.
            (b) In the area of health, the agency considers a "high hazard" industry to be one with a previous history of serious OSHA health citations.
            (c) For the purpose of scheduling programmed inspections, construction and maritime are considered to be categories of high hazard employment.
            (d) Other specific industries, such as logging, and oil and gas extraction, are also high hazard industries and are frequently scheduled for inspection as special emphasis programs.
          (2) Description. Both programmed safety inspections and programmed health inspections are scheduled using a multiple-step process.

B. 1. a. (2) (a) The initial selection of a particular category of

              employment (e.g., Federal Agency, high rate general industry, construction, maritime, or high hazard health) is made with current agency policy and with actual numbers of planned inspections taken from the annual Field Operations Program Plan projections made at the Area Office level, reviewed at the Regional and National Office levels and approved by the Assistant Secretary. (See OSHA Instruction PAE 1.1C.)
            (b) Within a category establishments are grouped by some criteria such as industry and priority is established by grouping. Within the grouping establishments are selected for inspection and placed in an inspection cycle.
              1 For Federal Agencies, the priority is based on the Lost Time Claims Rate (LTCR) List based on the Office of Worker Compensation Programs LTCR and a list of targeted agencies will be supplied by the National Office after consultations with the Regional Administrator and the agency DASHO. (See Chapter XIII of OSHA Instruction CPL 2.45B, or superseding directive.)
              2 For General Industry safety, the priority is based on the Lost Workday Injury and Illness Rate by industry and the list of establishments within these industries will be provided by the National Office. Establishments on the list are those within the top 200 industries and are placed in random order with weighing factor applied so that establishments in the top 100 are twice as likely to place high on the random ordered list. The list is provided by the National Office in four sublists.
              3 For General Industry health, the priority is based on the number of serious health violations per health inspection by industry and the list of establishments within these industries will be provided by the National Office. Establishments on the list are those within the top 200 industries and are placed in random order with weighing factor applied so that establishments in the top 100 are twice as likely to place high on the random ordered list. The list is provided by the National Office in four sublists.
              4 For Construction, the universe of active construction sites is maintained by the Construction Resource Analysis (CRA) group at the University of Tennessee. Each month CRA randomly selects active worksites for inspection. Each area office receives the list from CRA and the OSHA Construction Inspection Reports for each site from F. W. Dodge.
              5 For Low Rate Manufacturing and Nonmanufacturing safety, the National Office supplies a list of establishments randomly selected from those available in each category and the Planning Guide software randomly selects the number needed from this list based on a 90/5/5 split among high rate manufacturing/low rate manufacturing/ non-manufacturing.

B. 1. a. (2) (c) Where no establishment list is provided by the

              National Office (e.g., maritime and logging categories), the Area Director shall compile a complete list of active establishments (worksites) considering all establishments (worksites) within the coverage of the office and using the best available information (commerce directories, commercial telephone listings, local permits, local knowledge, etc.). From this list worksites for inspection will be selected randomly.
        b. Guidelines and Procedures. Programmed inspections shall be conducted jointly by both safety and health personnel whenever resources are available and it is likely, based on experience in inspecting similar workplaces, that both safety hazards and health hazards exist to a significant degree. If an inspection is begun as safety only or as health only but the CSHO determines during the course of the inspection that it should be expanded, the CSHO shall make a referral as appropriate.
          NOTE: Establishments which appear on both the safety and health registers should be scheduled for a joint safety/health inspection whenever practicable. (See B.1.b.(1)(e)1g.)
          (1) Inspection Scheduling for General Industry (Safety & Health). The following procedures are to be adhered to in programming General Industry safety and health inspections.
            NOTE: Federal Agency Program targeted inspections and onsite evaluations have a priority equal to that of private sector general industry programmed inspections. The scheduling system for these inspections is outlined in Chapter XIII, of OSHA Instruction CPL 2.45B, or superseding directive.
            (a) Industry Rank Report. The National Office shall provide each Area/District Office with a Statewide Industry Rank Report (SIC List), listing industries by their 4-digit Standard Industrial Classification (SIC) codes where available. These lists are sent electronically at the beginning of each fiscal year. Ranks are assigned based on the priority criteria described above. (See Appendix A and B, and also ADM 1-1.30.)
              1 The Safety SIC List is a statewide listings of industries with the highest Lost Workday Injury and Illness Rates. A list is provided with the top 200 safety industries ranked by the industry's National Lost Workday Injury and Illness Rate. The National Lost Workday Injury and Illness Rates are estimated from the Bureau of Labor Statistics (BLS) annual survey at the 4-digit SIC level industry. The 1992 data are the most recently published data by BLS. Two lists are provided, one in SIC order and the other in Lost Workday Injury and Illness rate order from highest to lowest.
              2 The Health SIC List is a statewide listing of industries with high average numbers of serious (willful and repeat) health violations per inspection. A list is provided with the top 200 health industries ranked by the industry's average number of serious health violations per inspection. The average number of serious health violations per inspection is calculated by dividing the number of serious health violations for the previous five calendar years in the industry by the number of health inspections conducted in the industry. Two lists are provided, one in SIC order and the other in serious health violations per inspection order from highest to lowest.

B. 1. b. (1) (b) Establishment Lists. The National Office

              will also provide a series of establishment lists (in random order) from the host for use by the Area Office in programming inspections. These lists are provided electronically when needed.
              1 Data Processing Issues - Random Order. The establishments are placed in random order at the host using the following procedure. Each establishment in the top 200 industries is assigned a random decimal number between 0 and 1. Establishments in industries ranked 1 to 100 are given two random numbers with the larger number selected and assigned to the establishment. The list is sorted from largest to smallest random number. The resulting establishment list is in random order with the establishments in industries in the top 100 given two chances to place high on the list.
              a For the purpose of downloading the appropriate number of establishments for each office, the list for each office is divided into four sublists each containing about one quarter of the firms on the list.
              b No additions should be made to the establishment lists because the lists are a random ordering of all the establishments in the top 200 safety industries and the top 200 health industries. All the firms within an industry may not be in the sublist of establishments downloaded to the micro computer. Only after all four sublists are downloaded are all the establishments for all industries present on the micro computer.
              c Establishments with 10 or fewer employees and that are not part of a larger employer will be deleted from establishment lists provided by the National Office. Establishments with 10 or fewer employees and that are a part of a larger employer will have a deletion code of 'TO'. Some establishments showing no employment on the employer file are locations of larger corporations that do not report their employment to Dun & Bradstreet for each location.
              d Because the existing software on the micros is limited to three-digit rank values, any establishment list with more than 999 establishments is renumbered, with the result that more than one establishment may share the same rank number. For example, on an establishment list of 2400 establishments, the first three establishments will be given rank value "1", the second three establishments given rank value "2", and so on. The rank value on the micros will be used for the random ordering of the establishment list. In the past the rank value had been used to provide a reference to the Industry rank report. The planning guide software will randomly select when there are firms of the same rank and not all are selected.

B. 1. b. (1) (b) 2 High Rate Establishment List for Safety.

              A list of establishments located within the Area/District Office jurisdiction for each SIC code on the High Rate SIC List (the top 200 safety industries) will be provided by the National Office as available to all Area/ District Offices. This list will be in random order. The list is divided into four sublists and made available electronically to all Area/District Offices. (See Appendix B and Chapter X of OSHA Instruction ADM 1-1.30.)
              3 Low Rate Establishment List for Safety. A list of randomly selected establishments in industries not included in the top 200 safety industries located within the Area/District Office jurisdiction will be provided by the National Office to all Area/District Offices. A randomly selected pool of these establishments is included in each sublist of establishments made available electronically to all Area/District Offices. (See Chapter X of OSHA Instruction ADM 1-1.30.)
              4 Nonmanufacturing Establishment List for Safety. A list of establishments randomly selected from industries with SIC codes in the range 4000 through 8999 and located within the Area/District Office jurisdiction will be provided by the National Office to all Area/District Offices. A randomly selected pool of these establishments is included in each sublist of establishments made available electronically to all Area/District Offices. (See Chapter X of OSHA Instruction ADM 1-1.30.)
              5 Health Establishment List. A list of establishments located within the Area/District Office jurisdiction for each SIC code on the Health SIC List will be provided by the National Office to all Area/District Offices. This list will be in random order. The list is divided into four sublists and made available electronically to all Area/District Offices. (See Appendix A and Chapter X of OSHA Instruction ADM 1-1.30.)
              6 Adjustments. Prior to use of establishment lists provided by the National Office for scheduling purposes, the Area Director shall make appropriate deletions as follows:
              a IMIS Codes for deletions are also found in Chapter X, Table I, Update Codes of OSHA Instruction ADM 1-1.30. Deletions may be applied to the inspection register (as defined in B.1.b.(1)(c)). The planning guide software selects the appropriate number of establishments for low rate manufacturing and nonmanufacturing for each safety cycle.

B. 1. b. (1) (b) 6 b Only establishments with an out

              of business deletion code will be deleted by the National Office. All establishments with valid deletion codes will be downloaded with their deletion codes.
              c Additions. The lists are in random order. No additions should be made to the lists. When an establishment is identified for addition to the list, it should be sent to the National Office for inclusion in next year's list. For use by State Plan States, the following updated code is available for adding establishments to the list:

Code Description

              AA When information received from local sources reliably indicates that an establishment is classified within a SIC code on one of the SIC Lists but does not appear on the corresponding establishment list provided. Additions shall be placed on the proper SIC List in accordance with the listing criterion used; e.g., alphabetically, by size, etc.
              d Deletions. The following deletion codes shall be used to update establishment lists. Deletions for any other reason shall be requested from the Regional Administrator and approved by the Director of Compliance Programs.
              EXCEPTION: Approval from the National Office is not required when the deletion code is used to eliminate duplicate listings or when establishments are not within OSHA's jurisdiction.
                                  Activity Code   Description (# = last
                                                  digit of the fiscal
                                                  year)
              A# Activity ceased or process not active.
              B# Business Closed--Establishment is no longer in business.
              C# Consultation--Establishment has been approved for exemption from inspection through consultation.
              H# Health inspection--A substantially complete or focused health inspection was conducted within the current or previous five (5) fiscal years with no serious violations cited; or, where serious violations were cited, an acceptable abatement letter or a followup inspection has documented "good faith" efforts to abate all serious hazards.
              I# Incorrect SIC code--The correct SIC code for the establishment is not on the current Safety High Rate SIC List or the current Health SIC Lists. This deletion also applies when the correct establishment SIC code is not on the Low Hazard SIC List when used for scheduling according to B.1.b.(1)(e)4a (i.e., when the correct SIC code is a nonmanufacturing code).

B. 1. b. (1) (b) 6 d EXAMPLES: Establishment is

              listed under an incorrect SIC code which is on the High Rate SIC List but the correct SIC code for the establishment is not on the High Rate SIC List.
              Establishment is listed in a SIC code which was on the High Rate SIC List for the fiscal year in which the Inspection Register was made up initially, but is no longer on the High Rate SIC List at the time the inspection is scheduled.
              NOTE: If an establishment is listed on the Low Hazard or the Nonmanufacturing Establishment List for Safety under an incorrect SIC code, the establishment shall not be deleted from those lists. Its selection is random and will fit in wherever its real SIC code places it.
              J# Jurisdictional error--Not within Area Office geographic area or jurisdiction.
              L# Location of establishment--Could not be found.
              O# Other reasons for deletion not listed above. Approval for deletion shall be requested from the Regional Administrator and approved by the Director of Field Operations.
              P# Plant office or headquarters-- Nonplant facility.
              S# Safety inspection--Any comprehensive programmed or focused safety inspection or a substantially complete unprogrammed safety inspection conducted within the current or previous five (5) fiscal years.
              T# Ten or fewer employees -- Establishments with 10 or fewer employees and are part of larger employers will be included in the employer lists supplied by the National Office. These employers will be coded `TO' by the National Office.
              V# Voluntary protection program participation approved. Establishment has been approved to participation in the voluntary protection program.

W# Reserved.

Y# Carryover

B. 1. b. (1) (c) Inspection Register. After all the

              appropriate changes are made, the Area Office inspection registers shall be made up by determining which establishments are to be scheduled for inspection during the current fiscal year. The number of projected programmed inspections is taken from the revised OSHA-146 Form (OSHA-146 EZ). This number shall be adjusted to reflect the number of planned inspections in each category that are expected to be done in the next year. The number of carryover establishments shall be subtracted to determine the number of establishments required to meet the projected number.
              1 The General Industry Safety Inspection Register shall consist of the following elements:
              a Up to five percent of the total number of projected programmed high hazard safety inspections to be conducted shall be scheduled from the Low Hazard Establishment List;
              b Up to five percent of the total number of projected programmed high hazard safety inspections to be conducted shall be scheduled from the Nonmanufacturing Establishment List;
              NOTE: Since a fractional establishment cannot be inspected, five percent should be read to mean up to, but not exceeding five percent. If, for example the total number is 50, five percent would be 2.5, but only 2, not 3, establishments should be inspected.
              c Ninety percent of the total number of projected programmed high hazard safety inspections shall be selected in rank order from the High Hazard Establishment List, for the purpose of inspection scheduling.
              2 The Health Inspection Register shall consist of the total number of projected programmed health inspections selected in random order from the Health Establishment List.
              3 The inspection registers, together with adequate documentation on all additions, deletions, or other modifications, shall be maintained in the Area Office for 3 years following their completion. (See OSHA Instruction ADM 12.5 Appendix F, A.1. and B.1., Records Disposition Schedule NC1-100-82-1, Item 1a.)

B. 1. b. (1) (d) Inspection Cycle. An inspection

              cycle is a group of establishments which have been selected for inspection. The cycle has two characteristics: 1) once started all establishments within the cycle must be inspected, and 2) the establishments within the cycle may be inspected in any order. Ideally, the size of the cycle should be such that all establishments will be inspected during the course of the fiscal year and there would be no carry over. It is best to estimate a cycle size of sufficient size to last 10 to 12 months. If the cycle is not large enough to cover the entire fiscal year, when it is about to be finished another cycle can be chosen that is of a size to cover the balance of the fiscal year. The next year's cycle will be selected from next year's register which will have refreshed data.
            (e) Inspection Scheduling. Within a cycle, establishments may be scheduled and inspected in any order that makes efficient use of available resources.
              1 Each inspection cycle shall be completed before another cycle is begun. The only exceptions are as follows:
              a An establishment may be carried over to another cycle if the establishment is not operating normally because of strikes, seasonal fluctuations, or other factors.
              b An establishment may be carried over to another cycle if necessary equipment or personnel with necessary experience and qualifications to perform the inspection are not presently available.
              c An establishment may be carried over to another cycle if it is the last remaining establishment in a cycle, its inspection would require travel in excess of 50 miles and it cannot be combined with other inspection activity.
              d An establishment may be carried over to another cycle if the employer has not yet completed abatement action required as a result of a previous comprehensive OSHA inspection of the same inspection type (safety or health) because the final abatement date has not yet come.
              e An establishment may be carried over to another cycle if the employer has contested a citation item issued as a result of a previous OSHA inspection and the case is still pending before the Review Commission.
              f An establishment may be carried over to another cycle if the inspection cannot be completed due to the employer's refusal to allow the inspection.

B. 1. b. (1) (e) 1 g An establishment may be

              carried over to another cycle if the inspection must be deferred because of the presence of a at the worksite or because the establishment has applied has not yet been approved in the Inspection Exemption through has has Consultation Program or a Voluntary Protection Program which carries a temporary exemption from inspection.
              h Approval for carrying over an establishment for reasons not listed above must be requested from the Regional Administrator and approved by the Director, Office of Field Programs.
              NOTE: Although the Area Director is authorized to carry over inspections to another cycle for the reasons given in this subparagraph, in most cases there is no requirement to do so.
              o There may be good reasons for not carrying an establishment over to another cycle; in that case, the Area Director is free to schedule the inspection.
              o If an inspection is conducted rather than carried over and if there are items under contest or with an abatement date that is still open, those items shall be excluded from the scope of the inspection unless monitoring of abatement is required; e.g., pursuant to a settlement agreement. (See OSHA Instruction CPL 2.90.)
              2 As previously described, the inspection cycle is established with the number of projected at the beginning of the fiscal year. Number of inspections actually performed, however, will depend on factors such as staffing, unprogrammed inspection activity and special programs. If all establishments in the inspection cycle are inspected before the end of the fiscal year, another cycle shall be prepared by extending the inspection register. The number of establishments on this inspection cycle will be equal to the estimate of the number of inspections that the Area Office projects it can conduct prior to the end of the fiscal year. The planning guide software will give the 90/5/5 split for high hazard, low hazard and non- manufacturing as each cycle is generated.
              a If all establishments in the current cycle are inspected before the end of the fiscal year, another cycle shall be prepared by extending the inspection register to the next group consecutively numbered establishments on the high hazard list and randomly generated low hazard and non-manufacturing establishments.

B. 1. b. (1) (e) 2 b The number of establishments on

              the extended inspection register will be equal to an estimate of the number of inspections that the Area Office projects it can conduct prior to the end of the fiscal year.
              3 Any cycle begun but not yet completed at the end of the fiscal year shall be completed, subject to the exceptions set forth in B.1.b.(1)(e)1, before beginning the new fiscal year inspection cycle. The number of inspections yet to be completed shall be taken into account in setting the new fiscal year inspection cycle.
              4 In the event that inspections have been conducted in all eligible establishments on the Establishment Lists received from the National Office before completing the planned number of inspections, the Area Director shall:
              a For safety, request from the National Office, through the Regional Administrator, additional establishments from the Low Hazard Establishment List, selected in rank order, making appropriate adjustments, according to B.1.b.(1)(b)5.
              b For health, request from the National Office, through the Regional Administrator, a list of additional establishments within the next group of targeted health SIC codes.
            (f) Deletions. Once the inspection cycle itself begins, the following policy shall guide deletions:
              1 An establishment shall be deleted from an inspection cycle whenever one of the criteria form deletion becomes applicable. For example, an establishment may be out of business or inactive.
              2 Where it is learned only after the compliance officer has arrived at the establishment that one of the criteria for deletion applies, the inspection shall not be conducted (or continued if already begun). Citations for the completed portion of the inspection shall still be issued, unless the establishment has fewer than 11 employees and the SIC code is exempted. (See OSHA Instruction 2.51H, or most current version, memorandum dated June 1994 with new appendixes.)
              3 If the CSHO learns after arrival that the establishment has been classified in the wrong SIC code, but the correct SIC is on the safety or the health SIC list, the CSHO shall conduct the inspection at that time. Otherwise, the inspection shall be deferred.

Note: This section has been cancelled by CPL 02-00-155.

B. 1. b. (2) Inspection Scheduling for Construction.

          Due to the mobility of the construction industry, the transitory nature of construction worksites and the fact that construction worksites frequently involve more than one construction employer, inspections shall be scheduled from a list of construction worksites rather than construction employers. The National Office will provide to each Area/District Office a randomly selected list of construction projects from all covered active projects. This list should contain the projected number of sites the office plans on inspecting in the next month.

B. 1. b. (2) (a) Inspection List. OSHA has

              contracted with F.W. Dodge and the Construction Resources Analysis (CRA) group of the University of Tennessee. Each month F.W. Dodge will provide to CRA information on construction projects which are expected to start in the next 60 days. CRA adds to the Dodge data a time period when each project is active and maintains a file containing all active construction projects. From active construction projects, CRA will generate monthly for each Area Office a randomly selected construction inspection list based upon:
              1 Counties located within Area Office boundaries;
              2 Estimated number of worksites to be inspected during the monthly scheduling period (to be determined by the Area Director);
              3 The selection criteria are to be determined by the Area Director based on local conditions, approved by the Regional Administrator, and provided to CRA for entry into the system. These selection criteria may be designed to include any class of worksites within the computerized selection process. Some examples of such criteria are:
              a A minimum dollar value of the construction project.
              b Specific stages of construction project (in percent complete).
              c Specific types of construction projects.
            (b) OSHA Construction Inspection Reports. CRA will order appropriate OSHA Construction Inspection Reports, corresponding to the sites on the randomly selected list for each Area Office.
            (c) Limitation on Frequency of Selection. Normally, no site shall be selected for inspection more frequently than once per trimester. Therefore, CRA will remove from its master files any project selected for an inspection for a period of four months and reenter it in the fifth month if it is still active. Thus, if a list is not used, CRA should be notified so those sites will be returned to available status. Refer to paragraph B.1.b.(2)(d)4 for return procedures.
            (d) Scheduling Cycle. The scheduling period (cycle) for construction inspections shall be one calendar month. Each month, each Area Office will receive its programmed construction inspection list from CRA. Within the following 10 days it will receive the OSHA Construction Inspection Reports corresponding to the sites on the inspection list. Offices receiving 10 or fewer OSHA Construction Inspection Reports will receive them by FAX. This list will be dated the following month. It can be used when received and should be completed by the end of the month it is dated. The use of the current list is important because conditions change rapidly and the lists become outdated. The best planning strategy is to receive from CRA the required number of sites for the month to ensure that the most current list is always being used.

B. 1. b. (2) (d) 1 All sites on the inspection list

              shall be inspected, and the sites can be scheduled in any order to make efficient use of resources.
              2 Complaints shall be treated in accordance with Chapter I, C. of OSHA Instruction CPL 2.103. All other information indicating the possible need for a construction inspection at a specific worksite shall be treated as a referral, also in accordance with Chapter I, C. of OSHA Instruction CPL 2.103.
              3 The Area Office shall make no deletions from the inspection list, except where the Area Director documents that:
              a Little or no construction activity at a worksite on the list has begun or construction activity has already been substantially completed before an inspection can be made.
              b A worksite has become ineligible for any reason; e.g., where a substantially complete inspection of the worksite has been conducted as a result of a complaint investigation.
              c A worksite has been approved for exemption from inspection through consultation or for participation in the voluntary protection program.
              4 If a new list is received and it is anticipated that it will not be used because of a large number of sites remaining on the current list, the CRA shall be notified directly by the Area Office by FAX or phone as soon as practicable so that the unused sites may be restored to be eligible for possible selection on the next list. The unused list shall be marked as such and retained in the scheduling file. (See B.1.b.(2)(g)1.)
            (e) Completion of Inspection List. By the middle of each cycle, the Area Director shall assess progress in inspecting all sites on the list in order to plan resources for the following cycle.
              1 If it appears that not all sites on the list will have been inspected by the end of the month, the Area Director may request a shortened list from CRA for the following month through the Assistant Regional Administrator for Federal-State Operations.

B. 1. b. (2) (e) 2 If it appears that all sites on the list

              will have been inspected by the end of the third week of the month, or if fewer employers are inspected than originally the Area Director may request a supplemental inspection list from CRA through the Assistant Regional Administrator for Federal-State Operations.
              3 Consecutive months' lists may be combined and used concurrently. However, all sites from the first month of a combined list shall be inspected before worksites from the second month's list are combined with a third month, except when a site is carried over as described at B.1.b.(2)(f) below. That is, list for two consecutive months can be combined to form one combined cycle; but the first month's list must be completed or classified as carryover before the second month's list can be combined with the third month's list and so on.
            (f) Carryovers. Worksites on one inspection list may be carried over to the next cycle only under the following circumstances:
              1 A worksite may be carried over to the next cycle if it is not operating normally at the time of the inspection because of personnel strikes, environmental conditions or other factors.
              2 A worksite may be carried over to the next cycle if necessary equipment or personnel with experience and qualifications to perform the inspection are not presently available.
              3 A worksite may be carried over to the next cycle in the interest of efficient use of resources. The number of such carryovers may not exceed 25% of the total number of sites on the original cycle. Any worksite carried over in this manner may not be carried over a second time.
              4 A worksite may be carried over to the next cycle if the inspection cannot be completed due to the employer's refusal to allow it.
              5 A worksite may be carried over to the next cycle if conditions (construction activity at the site) have not changed substantially since a prior inspection.
              6 A worksite may be carried over to the next cycle if the inspection must be deferred because of the presence of a consultant at the worksite.
              7 Approval for carrying over a worksite for reasons not listed above must be requested from the Regional Administrator and approved by the Director of Field Programs.
              NOTE: Although the Area Director is authorized to carry over inspections to another cycle for the reasons given in this subparagraph, there is no requirement to do so. There may be good reasons for not carrying a worksite over to another cycle; in that case the Area Director is free to schedule the inspection.

B. 1. b. (2) (g) Area Director Administration of Inspection

              List. The Area Director shall be responsible for maintaining documentation of the construction inspection list and for ensuring that selection criteria are current and appropriate.
              1 The monthly construction inspection lists received from CRA and the corresponding OSHA Construction Inspection Reports shall be maintained in the Area Office for a period of 3 years after completion of the cycle whether they are used or not. (OSHA Instruction ADM 12.5 OSHA Compliance Records, Records Disposition Schedule NC1-1800-82-1, Item 1a.)
              2 If circumstances indicate a need to modify the Area Office's selection criteria on file with CRA, the Area Director shall contact the Assistant Regional Administrator for Federal- State Operations. All modifications to the Area Office's selection criteria shall be approved by the Regional Administrator and shall be effective for the month following entry into the computer if recieved by the 23rd of the month.
            (h) Health Construction Inspections. No seperate scheduling method is applied for programmed construction health inspections. Rather, the Area Director shall determine which construction inspections are to be conducted as a joint inspection where serious health hazards are likely to exist at the site. A local emphasis plan may be submitted and approved for scheduling health construction inspections.

B. 1. b. (3) Inspection Scheduling for Maritime.

          The maritime industry is made up of several industrial activities and, due to the unique differences among the industries, several scheduling methods are necessary. Consequently, maritime inspections shall be scheduled either as local emphasis programs as outlined in B.1.b.(4) or as follows:
            (a) Maritime Industries Scheduled With General Industry Inspections. All fixed maritime (shipyard) establishments listed on the safety or the health inspection registers for each Area Office shall be scheduled and inspected with General Industry as outlined in B.1.b.(1).
            (b) Maritime Inspections Scheduled With Construction. Maritime construction shall be scheduled with other construction inspections as outlined in B.1.b.(2).
            (c) Water Transportation Services (Longshoring, Marine Terminals, Voyage Repair). Because of differences in conducting water transportation services operations in a large port, where, for example, many stevedores generally conduct longshoring operations, and on rivers and other waterways, where loading and unloading by a single employer is generally involved, water transportation services inspections may be scheduled either by port area or by employer.

B. 1. b. (3) (c) NOTE #1: The method of selection shall

              be determined at the beginning of each fiscal year by each Area Director, based on the type of water transportation services activities within the Area Office jurisdiction and on the ability to identify active employers and their worksites. The selection method shall be approved by the Regional Administrator.
                           NOTE #2:  Inspections may be scheduled
                                     by employer in large ports
                                     when the Area Director is able
                                     to identify all of the
                                     employers (stevedores) working
                                     within the port and, when a
                                     particular employer is to be
                                     inspected, all active
                                     worksites (vessels) of that
                                     employer.
                           NOTE #3:  All marine terminals, which
                                     may be associated with a port
                                     area or with an employer, and
                                     all voyage (mobile, nonfixed
                                     or dockside) ship repair
                                     operations which may be under
                                     way at the time of the
                                     scheduled water transportation
                                     services inspection shall be
                                     inspected along with the
                                     inspection of all active
                                     longshoring operations.
              1 Inspection List. This list shall consist of the worksites from which water transportation services inspections will be scheduled. It may be constructed in either of two ways:
              a By Port Area. A list of Port Areas shall be prepared at the beginning of the fiscal year by the Area Director, using OSHA inspection history, local knowledge and experience, company schedules, and information from other sources.
              EXAMPLES: The port of Savannah might be subdivided into three Port Areas; the port of Houston might be subdivided into eight or more Port Areas. Other large ports may be subdivided in the same manner.
              (i) The list shall be arranged alphabetically by port and within each port by Port Area (location name).
              (ii) This list shall be reviewed and revised as necessary each year and submitted to the Regional Administrator for approval.
              (iii) The Area Director shall use the Port Area List to prepare a list of all stevedores, marine terminals, and ship-building and repair employers working each Port Area. All of these employers who are actively working in the Port Area at the time of the scheduled inspection of the Port Area shall be included in the programmed inspection of the Port Area. (See, however, B.1.b.(3)(c)5a.)

B. 1. b. (3) (c) 1 a (iv) No employer shall be

              inspected at more than one worksite (vessel) during any Port Area inspection except for imminent danger reports, fatalities, formal complaints and referrals.
              (v) Port Areas which have received a substantially complete inspection within the preceding quarter (i.e., at least one worksite was inspected of each employer working a Port Area at the time of the scheduled inspection) shall be deleted from the Port Area List for the next quarter.
              b By Employer. A list of all water transportation services employers within the Area Office jurisdiction shall be prepared, based on OSHA inspection history, local knowledge and experience, company schedules, and other sources.
              (i) If all employers identified are programmed for inspection within a cycle, no additional selection procedure is necessary except as outlined in B.1.b.(3)(c)5.
              (ii) If not all employers are to be inspected, the list shall be arranged alphabetically by employer name and by location.
              (iii) Employers who have received a substantially complete inspection in the previous fiscal year shall be deleted from the list for the next fiscal year unless all employers on the list received such an inspection.
              (iv) The list of employers shall be reviewed and revised as necessary each year and submitted to the Regional Administrator for approval initially and whenever revised.
              2 Numbering of List. After a list of Port Areas or a list of employers has been prepared and adjusted as necessary, the list is sorted alphabetically by name and location and each Port Area or each employer on the list shall be numbered consecutively, beginning with the number 1.
              3 Quarterly Inspection Cycle for Port Areas. The number of quarterly inspection is estimated using the number of water transportation services inspections projected for the year on the OSHA-146 EZ Form and divide by 4, a quarterly inspection cycle shall be prepared as follows:

B. 1. b. (3) (c) 3 a Apply the random number table to

              the Port Area List which has been prepared as directed in B.1.b.(3)(c)2 a.
              b Select Port Areas in the order prescribed by the random numbers until the number of inspections estimated (i.e. total number of employers) at least equals the number of inspections projected for the fiscal year.
              4 Annual Inspection Cycle for Employers. Using the number of water transportation services inspections projected for the year in the OSHA-146 EZ Form, one annual inspection cycle shall be prepared as follows:
              a Apply the random number table to the Employer List which has been prepared as directed in B.1.b.(3)(c)2b.
              b Select employers in the order prescribed by the random numbers until the number of inspections estimated at least equals the number of inspections projected projected for the fiscal year.
              c Random numbers would not be used if all employers on the list are to be inspected.
              5 Inspection Scheduling. Within a cycle Port Areas or employers may be scheduled and inspected in any order that makes efficient use of available resources.
              a When scheduling workplaces in a larger port either by Port Area or by employer in accordance with B.1.b.(3)(c)1a or c and all active workplaces of the scheduled employer are not to be inspected, the Area Director may select any of the active workplaces for inspection. Due consideration shall be given to resource availability, size and type of project involved, previous activity at the various locations, the potential presence of other related activities such as terminal operations and dockside repair activities, and other relevant factors in selecting the particular worksite(s) to be inspected.
              b Each inspection cycle shall be completed before the next cycle is begun. The only exceptions are as follows:
              (i) A worksite may be carried over to the next cycle if it is not operating normally because of strikes, or other factors.
              (ii) A worksite may be carried over to the next cycle if necessary equipment or personnel with experience and qualifications to perform the inspection are not presently available.

B. 1. b. (3) (c) 5 b (iii) A worksite may be carried

              over to the next cycle if its inspection would require travel in excess of 50 miles and it cannot be combined with other inspection activity.
              (iv) (NOT FOR PORT AREAS) An employer may be carried over to another cycle if the employer has not yet completed abatement action required as a result of a previous comprehensive OSHA maritime inspection of the same inspection type (safety or health) because the final abatement date has not yet come.
              (v) (NOT FOR PORT AREAS) An employer may be carried over to another cycle if the employer has contested a citation or a citation item issued as a result of a previous OSHA inspection of the same inspection type (safety or health) and the case is still pending before the Review Commission.
              (vi) A worksite may be carried over to the next cycle if the inspection cannot be completed due to the employer's refusal to allow it.
              (vii) A worksite may be carried over to another cycle if the inspection must be deferred because of the presence of a consultant at the worksite or because the worksite is a participant in the Inspection Exemption through Consultation Program or a Voluntary Protection Program which carries a temporary exemption from inspection.
              (viii) Approval for carrying over a worksite for reasons not listed above must be requested from the Regional Administrator and approved by the Director of Compliance Programs.
              NOTE: Although the Area Director is authorized to carry over inspections to another cycle for the reasons given this subparagraph, there is no requirement to do so. There may be good reasons for not carrying a worksite over to another cycle; in that case the Area Director is free to schedule the inspection.
              c If all Port Areas in the quarterly inspection cycle or all employers in the annual cycle have been inspected but fewer employers are inspected than originally predicted, additional Port Areas or employers shall be selected appropriate list, using the order prescribed by the random numbers, until the additional number of inspections at least equals the number of inspections still needed to meet the number of inspections projected for the quarter or the year.

B. 1. b. (3) (c) 5 d Similarly, if the Area Office is

              able to do more programmed water transportation services inspections than the number of inspections projected at the beginning of the year, additional Port Areas or employers shall be scheduled for inspection in the order prescribed by the random numbers.
              e At the end of a fiscal year the number of inspections yet to be completed in that cycle shall be taken into account in setting the new inspection cycle.
              EXAMPLE: At the end of the fiscal year an Area Office has 2 maritime employers left to inspect. If the projected number of water transportation services inspections for the new fiscal year is 10, the new list shall be used to select 8, rather than 10, maritime employers.
              6 Deletions. After the beginning of an inspection cycle, a Port Area or employer shall be deleted from the inspection cycle if a substantially complete inspection of the Port Area or the employer has been conducted during an unprogrammed inspection.
              NOTE: This paragraph does not preclude further unprogrammed inspections conducted in response to specific evidence of conditions involving imminent danger or serious hazards at a worksite, such as those obtained through direct observations. These instances shall be evaluated by the Area Director and, if appropriate, investigated as referral inspections.
              7 Other Maritime Industry Inspections. Maritime industries not covered by one of the above scheduling programs shall be scheduled as local emphasis programs under the Special Emphasis Programs procedures outlined in B.1.b.(4).
              8 Health Maritime (Construction and Water Transportation Services) Inspections. No seperate method is applied for programmed maritime health inspections. Rather, the Area Director shall determine which maritime inspections are to be conducted as joint inspections because serious health hazards are likely to exist at the worksite, or scheduled as a local emphasis program.
          (4) Special Emphasis Programs. Special Emphasis Programs provide for programmed inspections of establishments in industries with potentially injury or illness rates which are not covered by the scheduling systems outlined in the preceding subsections of B.1.b. or, if covered, are not addressed to the extent considered adequate under the specific circumstances present. Special emphasis programs may also be used to set up alternative scheduling procedures or other departures from national procedures. They include National Emphasis Programs and Local Emphasis Programs (See OSHA Instruction CPL 2.102).

B. 1. b. (4) (a) Description. The description of and the

              reasons for specific National Emphasis Programs will be set forth in appropriate instructions or notices as the occasion arises. Local Emphasis Programs may be developed by the Area Office or by the Regional Office, depending on the matter addressed.
              1 The description of the particular Special Emphasis Program shall be identified by one or more of the following:

a Specific industry.

b Trade/craft.

              c Substance or other hazard.
              d Type of workplace operation.

e Type/kind of equipment.

              f Other identifying characteristic.
              2 The reasons for and the scope of a Special Emphasis Program shall be described described and may be limited by geographic boundaries, size of worksite, or similar considerations.
              3 National or local pilot programs may also be established under Special Emphasis Programs. Such programs may be conducted for the purpose of assessing the actual extent of suspected or potential hazards, determining the feasibility of new or experimental compliance procedures, or for any other legitimate reason.
            (b) Scheduling Inspections. The following guidelines shall apply in scheduling Special Emphasis Program inspections:
              1 Certain Special Emphasis Programs identify the specific worksites and/or industries that will be inspected; therefore, the only action remaining to be taken is the scheduling of inspections.
              2 Other Special Emphasis Programs identify only the subject matter of the program and contemplate that not all worksites within the program will necessarily be inspected.

B. 1. b. (4) (b) 3 If no special worksites are identified

              within the program, the Regional Administrator or the Area Director shall use available information to compile a worksite list.
              4 Where no procedures for scheduling worksites for inspection are specified by the National Office, the Regional Administrator or the Area Director, the selection procedures should be random using the mehtod set forth in Appendix C. Other selection procedures shall be submitted for approval to the Director of Field Operations through the Regional Administrator.
            (c) Program Evaluation. Agency policy currently requires the Regional Administrator to evaluate any special emphasis program approved for inspection within the Region. This evaluation shall consist of a report of the program's successes and difficulties in accomplishing its identified goals. Every program submitted for approval shall contain a program evaluation element.
          (5) Other Special Programs. The Agency may develop programs to cover special categories of inspections which are not covered under the planning guide or under Special Emphasis Programs. Currently migrant farmworker camp inspections have been designated as such a program.
            (a) OSHA has agreed to conduct migrant farmworker camp inspections annually, the number to be assigned by the Assistant Secretary in accordance with current program plan procedures. These inspections are to be distributed among the Regions in accordance with traditional levels of such activity. (See Chapter XI of OSHA Instruction CPL 2.45B)
            (b) At the beginning of each season, the Regional Administrators for the Employment Standards Administration (ESA) will provide each Regional Administrator with a list of migrant farm worker camps which ESA does not intend to inspect.
              1 The list will contain all known migrant camps except the ones to be inspected by ESA.
              2 The list will also contain all known migrant camps not subject to ESA inspection because they do not have farm labor contractors associated with them.
            (c) When the list is received, the Regional Administrator shall determine what procedure is to be used for scheduling migrant camp inspections. These inspections may be scheduled either by the the Regional Office or by the Area Office. If the scheduling is to be done by the Area Office, the list received from ESA shall be subdivided by geographical area and forwarded to the appropriate Area Office as soon as possible.
            (d) The Regional Administrator is responsible, under either scheduling procedure, for ensuring that the minimum number of inspections mandated for the Region is accomplished. Area Offices may be assigned a proportional number of the inspections for which the Region is responsible or some other equitable distribution procedure may be used.

B. 1. b. (5) (e) The office responsible for scheduling these

              inspections shall proceed as follows:
              1 Add to the ESA list (if one is recieved) all additional known migrant camps, using all available information, including OSHA inspection history, local knowledge and experience, and information from other relevant sources. This list shall be reviewed and revised as necessary each year.
              2 Delete any camps known to be inactive from past experience or from other reliable sources from the list referred to in the preceding subparagraph.
              3 If the total number of camps on the list is equal to or less than the number of inspections to be conducted, all of the camps shall be scheduled for inspection.
              4 If the total number of camps exceeds the number of inspections to be conducted, number the adjusted list consecutively beginning with 1.
              5 Using a random number method and following the guidelines in Appendix C, select farm worker camp sites in the order prescribed by the random numbers until the number of camps selected equals the number of projected inspections for the year. The resulting list shall constitute the annual cycle.
              6 If the Regional Office has scheduled the inspections for the whole Region, the list shall be subdivided and assigned to the appropriate Area Offices for inspection.
              7 Camps on the list for inspection may be selected and inspected in any order that makes efficient use of available resources.
              8 The inspection cycle shall be completed before the end of the current growing season. The only exceptions are as follows:
              a An establishment may be carried over to the next cycle (next growing season) if substantially all activity has been completed at the site where the migrant camp is located and the camp itself has been vacated before the inspection could be conducted.
              b An establishment may be carried over to the next cycle if the inspection cannot be completed due to the employer's refusal to allow it and there is not enough time to obtain a warrant.

B. 1. b. (5) (e) 8 c Approval for carrying over a

              worksite for reasons not listed above must be requested from the Regional Administrator and approved by the Director, Office of Field Programs.
              9 As the cycle progresses, each time a camp is deleted as not inspectable or is carried over to the next cycle (year) for some legitimate reason, another camp shall be immediately selected from the migrant camp list in the order prescribed by the the random numbers and added to the inspection list until the number of inspections conducted equals the number of inspections needed to meet the total number projected for the Area (Regional) Office or until the list of known migrant camps is exhausted.

C. Exemptions and Limitations.

      1. Congress may place exemptions and limitations on OSHA activities through the annual Appropriations Act. Refer to current OSHA Instructions for guidelines on how to apply current exemptions and limitations to compliance programming. (See OSHA Instruction CPL 2.51H., or most current version, and memorandum dated June 1994 with new appendixes.)
      2. New construction activities within DOE sites will no longer be considered part of OSHA's jurisdiction. When such sites appear on targeting lists, they shall be deleted. If inspections are underway at such sites, they shall be terminated with appropriate explanations to the employer and to employee representative. Complaints from employees at such sites shall be referred to the DOE for resolution. See CPL 2.95, Enforcement Authority at the Department of Energy's (DOE) Government-Owned, Contractor-Operated (GOCO) Sites, February 10, 1992.

APPENDIX A

HEALTH INSPECTION PLAN

OSHA establishes priority for industries in scheduling programmed General Industry health inspections on the basis of the previous inspection experience of the industry. The agency assumes that industries for which OSHA has found a high number of serious, willful and repeat health violations in the establishments that were inspected have the greatest potential for health problems in those establishments not inspected. The agency uses violations data from all inspection types except follow-up inspections. Since the majority of OSHA's inspections are not programmed, the system is not inbred and most of the data used are the results of unprogrammed inspections.

The basis for the health inspection plan is from OSHA's previous inspection experience as recorded in the Integrated Management Information System (IMIS). Industries are selected by 4-digit Standard Industrial Classification (SIC) code on the basis of the average number of serious health violations found during the previous 5 years of OSHA health inspections of that industry. A ratio is calculated for all industries of the number of serious, repeat and willful health violations found to the number of inspections conducted within that industry from January 1989 through December 1993. Industries are then ranked in accordance with the ratios calculated, beginning with the highest ratio. The ranking is a national ranking; and, consequently, each State will receive a list of all industries operating within that State in the same rank order as on the national list. Data from over 30,000 inspections produce data on all of the 1,000 4-digit SICs that are used to classify industry in the private sector..

Once the industry priorities are established, an Industry Rank Report for health (Health SIC list) is generated, and a commercially available employer mailing list obtained from Duns & Bradstreet is used to identify all the establishments (with more than 10 employees) belonging to these industries (Health Establishment List). Establishments are listed separately by Area/District Office jurisdiction. For each office all the establishments within the top 200 industries are randomly ordered and placed into four sublists which can be downloaded from the host computer to the micro.

The establishments are placed in random order using the following procedure. Each establishment in the top 200 industries is assigned a random decimal number between 0 and 1. Establishments in industries ranked 1 to 100 are given two random numbers with the larger number selected and assigned to the establishment. The list is sorted from largest to smallest random number. The resulting establishment list is in random order with the establishments in industries in the top 100 given two chances to place high on the list. To provide compatibility with the planning guide software, the rank value will be use at the micro for the random ordering of the establishment list. In the past the rank value has been used to provide a reference to the Industry rank report. The software uses the rank value to provide the order in which establishment are selected. Since rank is allowed only three digits on the micro computers, those area offices with more than 999 firms on their establishment lists will have up to three firms showing with the same rank. The planning guide software will randomly select when there are firms of the same rank and not all are selected.

Two reports are available. REPORT A-1 and REPORT A-2 contain a sample of each report with a detailed explanation. Report A-1 is the health industry list and lists the top 200 industries by 4-digit SIC codes by State (including all top 200 SIC codes, even those without establishments within the Area/District Office boundaries). The health industry list is sent to each office in SIC order and in rank order. Report A-2 lists the violations most frequently cited for each of the top 200 ranked industries. This report is available on request from the Office of Statistics.

NOTE: REPORT A-1, as in this appendix, contains phony data and is releasable. REPORT A-1 with data for each state is for OSHA use only. Each state report shall be considered confidential and non-disclosable in accordance with the prohibition against advance notice as contained in Section 17(f) of the Act.

REPORT A-1

Target Health SIC List for (State Name)

For each State, the rank of the highest 200 industries is based on the number of serious health violations per inspection. REPORT A-1 contains all industries with or without identified establishments employing more than 10 employees within the State. The list is presented in two ways: in rank order and in SIC code order. Industries with the same average number of serious violations per inspection are assigned the same rank. Figure B-1 is a sample report with fictitious data as it would appear for the State of Texabama (the rank order has also been modified so as to protect the true ranking).

For each industry in the report, the following data are furnished:

SIC Code - Based on the 1987 SIC code manual and presented at the 4-digit level.

INDUSTRY DESCRIPTION - Short SIC code industry titles.

RANK - Rank of industry based on its number of serious violations per inspection, beginning with "1" for the industry with the highest serious health violation ratio.

The following data are supplied for industries having establishments within the State:

SHV PER INSP - Number of serious, willful, and repeat violations per inspection for the 5-year period of federal health inspection.

WORKERS - State industrial employment.

FIRMS - State number of firms in the industry.

CUMULATIVE TOTALS - Cumulative totals are provided for each industry for the employment and number of firms. The cumulative totals are the sum of the value for that industry and all other industries with a higher rank.

(For Report A-1 Table, see printed copy)

Report A-2

Most Frequently Cited Health Standards by Industry

For each industry listed in Report A-1, Report A-2 lists the health standards cited during inspections. Figure A-2 is a sample page from this report for SIC code 2022. The following data are furnished:

SIC Code and Industry Description - These description are based on the 1987 SIC Code Manual and are presented at the 4-digit level.

STANDARD - The 19-digit standard as it appears in the IMIS.

TOTAL VIOLATIONS - The number of times the standard was cited.

TOTAL PENALTY - The penalty dollars associated with that standard.

SERIOUS VIOLATIONS - The number of times the standard was cited serious, repeat, or willful.

SERIOUS PENALTY - The penalty dollars when cited serious, repeat, or willful.

10/28/94 OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION

MOST FREQUENTLY CITED HEALTH STANDARDS BY INDUSTRY

        SIC 2022 CHEESE, NATURAL AND PROCESSED SIC 2022

TOTAL TOTAL SERIOUS SERIOUS

STANDARD VIOLATIONS PENALTY VIOLATIONS PENALTY _____________________________________________________________

5A(1) 1 720 1 720 1904.002 A 8 15,550 1 15,000 1904.002 B02 2 1904.004 1 5,000 1904.005 B 1 1904.005 C 1 1910.020 G01 I 4 12,500 1 12,500 1910.020 G01 II 4 1 1910.020 G01 III 4 1 1910.020 G02 3 1910.094 D09 I 1 640 1 640 1910.095 B01 1 480 1 480 1910.095 C01 1 1 1910.095 D01 1 1910.106 E02 IVD 1 360 1 360 1910.106 E06 II 1 1 1910.120 L01 I 1 720 1 720 1910.120 Q01 2 1,100 2 1,100 1910.132 A 2 980 2 980 1910.133 A01 1 1 1910.134 A02 1 1,000 1910.134 B01 1 1910.134 B05 1 1910.134 B07 1 1910.134 B10 2 640 1 640 1910.134 E01 1 300 1 300 1910.134 E02 1 1 1910.134 E03 3 1,250 3 1,250 1910.134 E03 III 1 1 1910.134 E05 1 1 1910.134 E05 I 1 1 1910.134 F01 4 940 3 940 1910.134 F02 I 2 210 1 210 1910.134 F02 II 1 1 1910.134 F02 III 1 1910.151 C 7 4,995 7 4,995 1910.252 A02 IID 1 1910.252 A02 IVA 1 19101000 A02 2 4,500 1 4,500 19101000 A03 1 1 19101000 E 1 19101000 F02 I 1 4,500 1 4,500 19101000 F03 I 1 1 19101001 M05 II 1 19101200 E01 6 1,030 3 1,030 19101200 E01 I 3 2,500 1 2,500 19101200 E01 II 1 1,100 1 1,100 19101200 F05 I 7 2,780 5 2,780 19101200 F05 II 6 4 19101200 G01 3 3,375 3 3,375 19101200 H 4 1,800 4 1,800 19101200 H01 1 1 19101200 H02 I 1 4,500 1 4,500 19101200 H02 II 2 600 2 600 19101200 H02 III 2 2

____________________________________________________________

SIC TOTAL 115 74,070 68 67,520

APPENDIX B

GENERAL INDUSTRY SAFETY INSPECTION PLANNING

The planning of General Industry safety inspections is based Lost Workday Injury and Illness (LWDC) rates for calendar year 1992 as provide for the nation by the Bureau of Labor Statistics. LWDC stands for Lost Work Day Cases either injury or illness. The information is presented in report form lists industries in rank order beginning with the industry with the highest LWDC rate. Only the Top 200 industries are included in the reports. All industries with an LWDC rate of 3.9 or greater per 100 full-time employees are considered high rate industries. However, the top 200 industries are used because in these 200 industries there are more establishments than can be used by most Area Offices. The rate of 3.9 is the national average LWDC rate for the private sector as published by the Bureau of Labor Statistics (BLS) for calendar year 1992. In this way, OSHA is able to maximize the utilization of available resources by targeting establishments in the Top 200 industries for programmed (planned) inspections. Report B-1 consists of a lists of the top 200 high rate industries with or without establishments located in the State.

The establishments are placed in random order at the host using the following procedure. Each establishment in the top 200 industries is assigned a random decimal number between 0 and 1. Establishments in industries ranked 1 to 100 are given two random numbers with the larger number selected and assigned to the establishment. The list is sorted from largest to smallest random number. The resulting establishment list is in random order with the establishments in industries in the top 100 given two chances to place high on the list. For the purpose of down loading the appropriate number of establishments for each office. The list for each office is divided into four sublists each containing about one quarter of the firms on the list.

To provide compatibility with the planning guide software, the rank value will be use for the random ordering of the establishment list. In the past the rank value has been used to provide a reference to the Industry rank report. The software uses the rank value to provide the order in which establishments are selected. Since rank is allowed only three digits on the micro computers, those area offices with more than 999 establishments on their establishment list will have up to three firms showing with the same rank. The planning guide software will randomly select when there are firms of the same rank and not all are selected.

NOTE: Most establishments with 10 or fewer employees have been removed from the lists. Report B-1, however, is a complete list of all ranked SIC codes irrespective of whether or not there are any targeted establishments within a listed industry to be found within the State.

The industry LWDC rates are based on the latest available national BLS injury and illness rates obtained from the annual survey for 1992. Statewide High Rate SIC List (Report B-1) is generated using national BLS data and statewide establishment and worker data. Establishments within each industry are obtained from a commercially available establishment mailing list. OSHA obtains the establishment list from Duns & Bradstreet to identify all the establishments belonging to these industries. These establishments are supplied electronically to the Area Office with jurisdiction.

NOTE: REPORT B-1, as in this appendix, contains phony data and is releasable. Report B-1 with data for each state is for OSHA use only. Each state report shall be considered confidential and non-disclosable in accordance with the prohibition against advance notice as contained in Section 17(f) of the Act.

Report B-1

High Rate Safety SIC List for (State Name)

For each State, the rank of all high rate industries is given in descending order beginning with the industry with the highest Lost Workday Injury and Illness (LWDC) rate. Report B-1 contains all industries with or without identified establishments employing more than 10 employees within the State. The list is presented in two ways: in rank order and in SIC code order. Industries with the same lost workday injury and illness rate are assigned the same rank. Only manufacturing industries are used in the selection process. Figure B-1 is a sample with fictitious data as it would appear in the report for the State of Texabama.

For each industry in the report, the following data are furnished:

SIC CODE - Based on the 1987 SIC code manual and presented at the 4-digit SIC level.

INDUSTRY DESCRIPTION - Short SIC code industry titles.

RANK - Sequential numbers assigned in the report, beginning with "1" for the industry with the highest LWDC rate.

LOST WORKDAY INJ/ILL - National LWDC rate as determined by the latest available BLS Survey, 1992.

WORKERS - Total number of employees in the industry for firms with 11 or more employees and smaller worksites related to larger firms.

FIRMS - Total number of establishments in the industry with 11 or more employees and smaller locations related to larger firms..

CUMULATIVE TOTALS - Cumulative totals are provided for each industry in a State for the number of employees and number of establishments. The last ranked industry in the State contains the respective totals for the State.

(For Report B-1 Table, see printed copy)

APPENDIX C

RANDOM NUMBER LISTS

The three lists of random numbers provided are designed to order randomly a list of firms which contains 1,000 or fewer firms. A larger list of random numbers will be supplied upon request. For purposes of random selection, the attached random number lists may be used or any other authentic random number list available to the Area Office.

The following tables have been produced by ordering the integers from 1 to 1,000 randomly and displaying the results in three lists corresponding to establishment list size.

LIST ONE - 100 numbers: the integers from 1 to 100 listed in five columns.

LIST TWO - 500 numbers: the integers from 1 to 500 listed in nine columns.

LIST THREE - 1,000 numbers: the integers from 1 to 1,000 listed in 18 columns.

The procedure to be used is as follows:

1. Make all modifications to the establishment list.

2. Number the establishment list sequentially; i.e., assign "1" to the first firm on the list, "2" to the second, etc.

3. Select the smallest random number table with more numbers than firms on the establishment list; e.g., for 110 firms, select list two.

4. Cross out all numbers on the random number list that has been selected which are greater than the number of firms on the establishment list.

5. Include all firms in the inspection cycle whose sequence number is listed in column I. If the size is larger than the size of column I, start at the top of column II and select enough numbers to fill out the inspection cycle.

6. Draw a line after the last random number used; this will be the starting point for the next inspection cycle.

EXAMPLE: Suppose there are 70 firms on the establishment list and an inspection cycle containing 12 firms is needed. Random number list one is selected and all numbers greater than 70 are crossed out. The first inspection cycle would then contain firms with the following sequence numbers: 64, 18, 16, 22, 47, 14, 39, 51, 38, 67, 24 and 1. Draw a line under the number 1 and start the next cycle with the numbers 5, 33, 11 on down Column II.

Random Number Table

List One

100 Numbers

Column Column Column Column Column

I II III IV V

        ______________________________________________
          94 98 89 20 83 64 97 80 57 58 18 33 15 65 41 90 11 45 25 93 92 52 85 54 46 16 40 84 6 26 74 75 49 71 87 22 37 13 44 62 47 72 29 70 21 14 82 19 48 30 100 63 8 78 34 39 35 73 88 23 77 56 55 9 28 86 69 2 60 99 51 79 32 43 7 38 42 81 95 59 67 12 96 91 3 24 68 31 53 66 1 61 27 17 36 5 76 50 10 4 ______________________________________________

Prepared by the Office of Statistics,

          October 11, 1994
      (For Random Number Table List Three, 500 Numbers, see printed copy)
      (For Random Number Table List Three, 1000 Numbers, see printed copy)

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