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• Record Type: Instruction
• Directive Number: CSP 01-01-004
• Old Directive Number: STP 2-1.3
• Title: General Guidance for Regional Office Review of State 18(b) Plans
• Information Date: 10/30/1978

U.S. DEPARTMENT OF LABOR

OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION

WASHINGTON, D.C. 20210

April 7, 1972

OSHA Instruction OSHA Program Directive # 72-10 October 30, 1978 STP 2-1.3

TO: Regional Administrators Assistant Regional Administrators for State Programs National Office Directors

SUBJECT: General Guidance for Regional Office Review of State 18(b) Plans

Attachments: I. Secretary's Order No. 17-71, Review of State

Plans by Governors

II. State Plan Review Control Form
III. Index Form for State 18(b) plans

IV. State Plan Review - Regional Flow Chart

1. Purpose. To provide general guidance for the Regional Office review of State 18(b) plans.

2. Action

a. The regulations on State plans (Part 1902.10) provide

for the State agency to submit ten copies of the plan (including all supporting documents, standards, laws, etc.) to the Regional Administrator. Prior to this formal submission, however, the Regional Office, through the ARA for State Programs, is urged to work closely with the State and have frequent looks at each part of the plan as it is being developed. This will reduce the cmount of time the Regional Office must spend assisting the State in curing any defects discovered after formal submission.

OSHA Instruction STP 2-1.3 October 30 1978

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b. When the State agency formally submits the 16(b) plan to

the Regional Office, the Regional Administrator shall promptly forward one complete copy of the plan (with a copy of all accompanying material) to Director, Office of State Programs. The reasons for submitting an advance copy of the plan to the Natioral Office are threefold: (1) to faciltate telephone communication between the ARA and the National Office staff regarding questions on the plan, (2) to provide input for National Office personnel resource planning, and (3) to advise the Assistant Secretary on inquiries he may receive regarding the plan. If, for any reason, the Regional Office must return the plan to the State for major changes or corrections, the Office of State Programs will return this initial copy of the plan to the region upon notification.

c. The Regional Office shall promptly make available a copy of

the plan for review by the Regional Program Director for NlOSlY, since a significant part of the NIOSH recommendation for approval or rejection will be based on its regional review. Comments mcde by NIOSH may be submitted to the ARA for State Programs, or sent directly to the NIOSH Washington Office. When the comments are sent to the NIOSH Washington Office, that Office will be responsible for fowarding the comments to the Director, Office of State Programs. The submission of the plan from the Region to the National Office shall not be delayed if NIOSH has not completed its review of the plan. However, the ARA for State Programs should notify the NIOSH Office that the plan is being sent to the National Office.

d. The ARA for State Programs will serve as Project Officer for

coordinating and expediting the review of State plans with respect to the six program areas listed below. The Regional Administrator should designate one person to be responsible for the review of each program area and that person should sign the Review Control Form to indicate that that program area has been reviewed. The offices noted in parentheses are suggestions of appropriate offices to review each area but are not meant to limit the discretion of the Regional Administrator. The program areas are:

Scope and Issues - (Compliance), (State Programs), (Solicitor)

Enforcement - (Compliance), (Solicitor)

Standards - (Technical Services), (Solicitor)
Training and Consultation - (Training), (Technical Services), (Solicitor)

OSHA Instruction STP 2-1.3 October 30, 1978

Resources and Personnel - (Management), (Civil Service
Commission)

Reports and Statistics - (State Programs), (BLS)

The ARA for State Programs may consult with the Regional Office

of the Civil Service Commission on the plan relating to the State merit system and affirmative action program; the Bureau of Labor Statistics' Regional Office may be consulted on the reports and statistics part of the plan. Contact with these two offices should be on an informal basis only.

The Regional Office review of standards is not required to

consist of a line-by-line comparison of State standards with Federal standards. The review, however, shall insure that the State has clearly defined the scope and issues included in the plan; that an adequate comparison of State standards against Federal standards has been made; that the State has provided assurance that, in its judgement, State standards are, or will be "at least as effective" as Federal standards.

e. Secretary's Order No. 17-71 (attached) implements Part III,

Office of Management and Budget Circular A-95, Review of State Plans. In summary, the Order requires that (I) the Governor be given up to 45 days to comment on any plan involving Federal grants-in-aid before its submission, (2) the plan be signed by the Governor, or his designated representative, and (3) where the plan is signed by the Governor's designee, the plan will be accompanied by a statement that the Governor was given an opportunity to comment on the plan. The Regional Administrator shall insure that the State agency or agencies are informed and comply with the provisions of the Secretary's Order and make appropriate provisions for clearing modifications made before final submission. The submission of a State plan should not be considered official unless it is signed by the Governor, or his designee.

f. After examination of the State plan by the Regional Office,

and after affording the State ample opportunities to make changes, if necessary, the Regional Administrator shall submit all remaining copies of the plan (except for one copy each to be retained by the ARA for State Programs and the NIOSH Regional Program Director) to the Assistant Secretary. In addition, the Regional Administrator shall forward with the plan a copy of the complete State Plan Review Control form (attachment II - see i below) and a copy of the Index Form far State 18(b) plans (attachment III - filled in by the State in accordance with below) with comments from all participating offices.

OSHA Instruction October 30, 1978 STP 2-1.3

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The Regional Administrator shall also forward his comments on the plan based on findings resulting from the regional review.

g. As indicated above, when the examination reveals defects in

the State plan, the Regional Administrator shall offer assistance to the State agency, and provide the agency an opportunity to make changes in the plan. However, after the State agency has made any changes it feels are necessary for meeting the Federal criteria, the State may exercise its rights and request that the Regional Administrator submit the plan to the Assistant Secretary even though the Regional Administrator does not yet feel the plan is ready for submittal

h. After receipt of the plan by the Assistant Secretary, he

shall publish a notice in the Federal Register meeting the requirements of 1902.11. Paragraph (c) of that Section requires that copies of the plan shall be available for inspection and copying at the National Office, the Regional Office, and the State office. The party requesting a copy of the plan will bear the expense. The copy retained by the Regional Office should be made available for inspection. The State must also provide a copy for this purpose and its location must be made known by the Regional Office at the time that the plan is formally submitted to the Assistant Secretary.

i. Attachment II, State Plan Review Control Form, is provided

for those persons designated by the Regional Administrator to be responsible for the review of each program area (see d above). A signature means that that portion of the regional review has been completed and that all comments from each reviewer related to that area are attached. Additional copies of the Review Control Form will be sent to each Regional Office under a separate cover.

j. Attachment III, Index Form for State 18(b) Plans, should be

used by the State agency as a means of indicating the location(s) within the State plan where all material applicable to specific subiects may be found. The form includes instructions on how it should be completed. ARA's should request the State designee to complete a form for each plan and submit it

OSHA Instruction October 30, 1978 STP 2-1.3

May 7, 1971

SECRETARY'S ORDER NO. 17-71

SUBJECT: Review of State Plans by Governors - Part III of Office of Management and Budget Circular A-95, Revised February 9, 1971.

1. Purpose. This Order is to implement the requirements of Part III, Office of Management and Budget Circular A-95, revised February 9, 1971, effective April 1, 1971.

2. Background. Part III requires that procedures be established to ensure that Governors be given the opportunity to review State Plans, when such plans are a condition of assistance under a Federal program, in order to comment on the relationship of such State plans to comprehensive and other State plans and programs.

3. Applicability. All State plans which are required by statute or regulation as a condition of assistance under a Federal program are covered. State plans are defined to include any required supporting reports or documentation that indicate the programs, projects, and activities for which federal funds will be utilized.

Presently, the Department of Labor programs requiring a State plan and covered under this provision are State Employment Security plans and budgets and State plans required under Section 18(b) of the Occupational Safety and Health Act of 1970. This provision will apply to any new programs requiring a State plan as a condition for assistance which may be assigned to the Department in the future.

4. Responsibility. Adminstrations and Offices assigned responsibility for a program requiring an applicable State plan will establish procedures and instructions to State agencies, as required, to include the following requirements:

a. The Governor will be given up to 45 days to comment on the relationship of each applicable State plan and supporting documents to comprehensive and other State plans and programs.

OSHA Instruction October 30, 1978 STP 2-1.3

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b. The plan will be signed by the Governor, or by his designated representative.

c. Where the plan is signed by the designated representative or the Governor, the plan will be accompanied by a statement that the Governor was given the opportunity to comment on the plan.

5. Directive Affected. Secretary's Order No, 10-70 is superseded.

6. Effective Date. This Order is effective immediately.

Assistant Secretary for Administration

OSHA Instruction October 30, 1978 STP 2-1.3 Attachment II

State Plan Review Control Form

Regional Office
State_________________________________________
Date Received In Regional Office_______________________

_________________________________________________________________________

_________________________________________________________________________

The attached review forms for each of the six program areas should indicate which offices reviewed that area and should include all comments from each reviewer. (Attach additional pages if more space is needed.)

OSHA Instruction October 30. 1978

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Review For Scope and Issues
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