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Directives - Table of Contents
• Record Type: Instruction
• Directive Number: ADM 03-00-003
• Old Directive Number: ADM 8-0.3
• Title: OSHA Directives System
• Information Date: 12/11/2000

INSTRUCTION
DIRECTIVE NUMBER:ADM 8-0.3 EFFECTIVE DATE:Dec. 11, 2000
SUBJECT:OSHA Directives System
ABSTRACT

Purpose: This instruction describes and implements a revised directives system which implements the policies stated in OSHA Instruction ADM 8-0.2
 
Scope: OSHA-wide
 
References: OSHA Instruction ADM 1-0.20, OSHA Internet and Intranet Policy and Procedures
OSHA Instruction ADM 8-0.2, OSHA Policy Issuances
OSHA Instruction ADM 8-0.4, OSHA Non-Policy Issuances
OSHA Instruction ADM 12.1, OSHA Classification System
 
State Impact: This Instruction is not a Federal Program Change requiring State adoption or notice, but States are encouraged to consider its implications on their operations
 
Action Offices: National, Regional and Area Offices
 
Originating Office: Directorate of Administrative Programs
 
Contact: Directives Officer, OMSO, DAP (202-693-2002)
S1513, FPB
200 Constitution Ave. NW
Washington, DC 20210
 
Approval: By and Under the Authority of
Charles Jeffress
Assistant Secretary
Executive Summary:

OSHA Instruction ADM 8-0.1C, OSHA Electronic Directives System, was canceled by Instruction ADM 8-0.2. It had covered both the overall policy framework governing OSHA's issuance of policy statements and the processes and procedures for drafting, clearing and issuing OSHA Directives. This Instruction provides clarification and revises the processes and procedures for clearing and issuing OSHA Directives in three principal ways:

  • It eliminates the Interim Directive as a means for the rapid communication of policy and procedure. In its stead, this Instruction establishes a process for the issuance of policy and procedure in exigent circumstances as OSHA Directions (DIRs).

  • It clarifies the process for directives review and clearance.

  • It expands the mandatory OSHA directives Abstract to include an Executive Summary of the significant provisions and/or changes conveyed in the directive.

Significant Changes:

This Instruction implements policy provided by OSHA Instruction ADM 8-0.2 and provides clarification and some revisions in the processes and procedures for clearing and issuing OSHA Directives. Non-policy issuances are governed by ADM 8-0.4. This Instruction's significant changes include:

  • The incorporation of Agency policies for the preparation and clearance of policy and non-policy issuances in separate directives. These are issued as OSHA Instructions ADM 8-0.2 and ADM 8-0.4.

  • The addition of a new directive type, the OSHA Direction, and cancellation of the Interim Directive.

  • The removal of all directive drafting procedures and their replacement with a Directives Handbook on the Directives Web page.

  • The requirement to include an "Executive Summary" statement in the Abstract which provides a short, concise explanation of the major features, especially policy initiatives, of the directive.


Table of Contents

ABSTRACT

Chapter 1.       DIRECTIVES SYSTEM INTRODUCTION


  1. Purpose.

  2. Scope.

  3. References.

  4. State Impact.

  5. Significant Changes.

    1. General.

    2. Directives.

  6. Action Information.

    1. Responsible Office.

    2. Action Offices.

    3. Information Offices.

  7. Actions Required.

  8. Directives System Policy Coverage..

  9. Authority.

  10. Objectives.

  11. Responsibilities.

    1. Assistant Secretary.

    2. Director, Administrative Programs.

    3. Directives Officer, Office of Management Systems and Organization, DAP.

    4. Program Directors Initiating National Directives (Directors of National Office Directorates and Free Standing Offices).

    5. OSHA Program Directors and Regional Administrators Receiving a Proposed Policy Issuance for Review and Clearance.

    6. Regional Administrators.

    7. Directive Liaison Officers.

    8. Area Office Directors.

    9. OSHA Webmaster.

  12. Types of Directives

    1. National Directives.

    2. Regional Directives.

    3. Internal Procedure Systems.

    4. External Authorities.

  13. Distribution of Directives.

  14. Masthead.

    Figure 1-1   NATIONAL INSTRUCTION MASTHEAD

    Figure 1-2   NATIONAL NOTICE MASTHEAD

    Figure 1-3   OSHA DIRECTION MASTHEAD

    Figure 1-4   REGIONAL INSTRUCTION MASTHEAD

    Figure 1-5   REGIONAL NOTICE MASTHEAD

Chapter 2       PREPARATION

  1. Purpose.

  2. Responsibilities.

    1. Program Directors (Directors of Directorates and Free-Standing Offices) and Regional Administrators.

    2. Originators.

    3. Directives Officer.

    4. National Office Directives Liaison Officers.

  3. Writing and Style.

    1. General Style Guidance.

    2. Abstract with Directives Templates.

  4. Masthead Information.

    1. Directive Number.

    2. Effective Date.

    3. Subject.

    4. Regional Identifier.

  5. Abstract.

    1. Purpose.

    2. Scope.

    3. References.

    4. Cancellations.

    5. State Plan Impact.

    6. Action Offices.

    7. Originating Office.

    8. Contact.

    9. Authority Statement.

    10. Executive Summary Statement.

    11. Significant Changes Statement.

  6. Mandatory Paragraphs.

    1. Purpose Paragraph.

    2. Scope Paragraph.

    3. Cancellation Paragraph.

    4. Suspension Paragraph.

    5. Significant Changes Paragraph.

    6. Reference Paragraph.

    7. Expiration Date Paragraph.

    8. Action Information Paragraph.

    9. Federal Program Change Paragraph.

    10. Definitions Paragraph.

  7. Format.

    1. Directives Templates.

    2. Electronic Drafting.

    3. Paragraph Numbering.

    4. Manuals.

    5. Hypertext (Web) Links.

    6. Appendices, Figures and Graphics.

  8. OSHA Direction Format.

    1. Formatting Requirements.

    2. Mandatory Paragraphs.

    3. Numbering of OSHA Directions

Chapter 3       COORDINATION, CLEARANCE, AND PUBLICATION

  1. Purpose.

  2. Responsibilities.

    1. Assistant Secretary.

    2. Deputy Assistant Secretaries.

    3. Director, Administrative Programs.

    4. Program Directors

    5. Regional Administrators.

    6. Originator.

    7. Clearance Officials.

    8. Directives Officer.

    9. Directives Liaison Officers.

  3. Clearance and Coordination Guidelines for Instructions and Notices and OSHA Directions.

    1. General.

    2. Mandatory Clearance Offices for Instructions, Notices, and Directions.

    3. Selection of Clearance Organizations.

    4. Other Clearance Organizations for Directives.

  4. Clearance Using Electronic Media.

  5. Informal Clearance For OSHA Instructions and Notices.

    1. Preliminary Agreements.

    2. Informal Coordination.

    3. Federal Program Change.

  6. Formal Clearance for OSHA Instructions and Notices.

    1. Originator.

    2. Originating Program Director or Regional Administrator

    3. Labor-Management Relations Officer or regional equivalent

    4. Clearance Officials in the National Office and the Regional Offices.

    5. Directives Liaison Officer.

    6. OSHA Directives Officer.

    7. OSHA Webmaster.

  7. Time Allowed for Clearance for National Directives.

  8. Disagreements and Issue Resolution.

    1. Facilitation of Clearance.

    2. Clearance Officials Not Responding Within the Comment Period.

  9. Clearance and Coordination of OSHA Directions.

  10. Web-Ready Preparation.

    Figure 3-1   NATIONAL DIRECTIVES CLEARANCE PROCESS

    Figure 3-2   EXAMPLE OF OSHA 201, OSHA POLICY ISSUANCE CLEARANCE

Chapter 4       IDENTIFICATION, NUMBERING, AND CHANGES

  1. Purpose.

  2. Responsibilities.

    1. Originator.

    2. Directives Liaison Officer.

    3. OSHA Directives Officer.

    4. Regional Administrators.

  3. Amending National Directives.

  4. Directives Identification.

    1. Agency Directive Designations.

    2. Type of Directive.

    3. Classification Codes for OSHA Instructions.

    4. Identification Codes for OSHA Notices and OSHA Directions.

  5. Consecutive Numbering.

    1. Instructions.

    2. Notices.

    3. Revision Codes.

  6. Effective Date.

    Figure 4-1   SYSTEM FOR NUMBERING OSHA INSTRUCTIONS

    Figure 4-2   SYSTEM FOR NUMBERING OSHA NOTICES

    Figure 4-3   SYSTEM FOR NUMBERING OSHA DIRECTIONS

Chapter 5       DEFINITIONS

Chapter 6       DIRECTIVE FILES


  1. Purpose.

  2. Responsibilities.

    1. OSHA Directives Officer.

    2. Regional Directives Liaison Officers.

    3. Originating Offices.

    4. OSHA Webmaster.

  3. Directive Record Copies/Historical Files in Paper and in Electronic Media.

    1. Original National Office Paper Directive File.

    2. Original National Office Development File.

    3. Original Regional Directive File.

    4. Electronic Use Files.

    5. Original Electronic Directive Files.

    6. Conformance of Files.

INDEX


Chapter 1.

DIRECTIVES SYSTEM INTRODUCTION

  1. Purpose. This instruction describes and implements a revised Agency Directives System, implementing the policies stated in OSHA Instruction ADM 8-0.2.

  2. Scope. This instruction applies to all OSHA headquarters and field offices.

  3. References.

    OSHA Instruction ADM 1-0.20, Internet and Intranet Policies and Procedures, [DATE].
    OSHA Instruction ADM 8-0.2, OSHA Policy Issuances, [DATE].
    OSHA Instruction ADM 8-0.4, OSHA Non-Policy Issuances, [DATE].
    OSHA Instruction ADM 12.1, OSHA Classification System, October 30, 1978, and Changes 1 through 8.

  4. State Impact. This Instruction is not a Federal Program Change requiring State implementation, but States are encouraged to consider its implications on their operations.

  5. Significant Changes.

    1. General. OSHA Instruction ADM 8-0.1C, OSHA Electronic Directives System, December 19, 1997, was canceled by Instruction ADM 8-0.2. It had covered the overall policy framework governing OSHA's issuance of policy statements, the processes and procedures for drafting, clearing and issuing OSHA Directives. This Instruction clarifies and revises the processes and procedures for clearing and issuing OSHA Directives. OSHA Instruction ADM 8-0.2 provides guidance and direction to assure the effective management and communication of issuances on OSHA policies and procedures.

    2. Directives. This Instruction provides clarification and revisions to the OSHA Directives System in three principal ways:

      1. It eliminates the Interim Directive as a means for the rapid communication of policy and procedure. In its stead, this Instruction establishes a process for the issuance of policy and procedure in exigent circumstances as OSHA Directions (DIRs). DIRs are serialized in the same manner as OSHA Notices, but carry the same force and effect as an OSHA Instruction. Only minimum formatting requirements are imposed beyond the Abstract and mandatory paragraphs; however, OSHA Directions may remain in effect for no more than 12 months. They cease to be in effect at the end of this period, or sooner, as may be provided in the DIR or on the issuance of a replacement OSHA Instruction.

      2. It clarifies the process for Directives review and clearance and establishes all OSHA Program Directors (Directors of Directorates and free-standing Offices) as mandatory clearance officials.

      3. It expands the mandatory directive Abstract to include an Executive Summary of the significant provisions of the directive and a Significant Changes paragraph to outline the significant changes made in the current version of the directive from the previous version. The Significant Changes paragraph will change each time the directive is amended and includes a provision requiring listing the effective dates of cancelled versions of directives issued under the authority of this Instruction.

  6. Action Information.

    1. Responsible Office. Office of Management Systems and Organization (OMSO).

    2. Action Offices. National, Regional and Area Offices.

    3. Information Offices. OASAM Regional Offices, State designees, consultation project managers.

  7. Actions Required. All offices will implement the policy and procedures contained in this instruction.

  8. Directives System Policy Coverage.

    1. As provided in ADM 8-0.2, paragraph IX.,

      1. New or revised OSHA policies and procedures and policy or procedure interpretations, including interpretation(s) of the OSH Act of 1970, are to be established by and communicated through publication in the Code of Federal Regulations (CFR), the Federal Register (FR) and/or the OSHA Directives system.

      2. Interpretations of established policy or procedure must also be established by and communicated through publication in the CFR, the FR and/or the OSHA Directives system when they:

        1. Involve a departure from established Agency policy or procedure.

        2. Alter an established standard, rule or regulation by expanding, contracting or otherwise modifying its scope, coverage, application or manner of administration.

        3. Add or eliminate, or expand, contract or otherwise modify the scope or coverage of Agency jurisdiction.

        4. Add, remove or alter one or more Agency programs, program priorities or program requirements, by expanding, contracting or otherwise changing their scope, coverage or manner of administration.

    2. ADM 8-0.2, paragraph IX also provides that other OSHA policy statements that shall be established by and communicated through publication in the OSHA Directives system include:

      1. Delegation(s) of authority or assignments of responsibility, or changes in such.

      2. Establishment of or changes to organizational structure(s).

      3. Revision or cancellation of another directive(s).

      4. Establishment of recurring reports, or a reporting form(s) or format(s).

    3. ADM 8-0.2 limits deviations from the policy stated in Paragraph IX to those authorized in writing by the Assistant Secretary on a case-by-case basis.

    4. The issuance of non-policy materials is covered in ADM 8-0.4. Such materials may include:

      1. Publications issued primarily for the public.

      2. News releases.

      3. Routine correspondence.

  9. Authority. Section 506 (B) of the Federal Records Act of 1950, as amended (44 U.S.C. 3102), requires the head of each Federal agency to establish and maintain an active program for managing agency records. DLMS 1 - Records Management, Chapter 1 - Records Management, Paragraph 137 of the Department of Labor Manual Series (DLMS) authorizes each Departmental agency to supplement the DLMS with a directives system establishing agency policy and procedures. OSHA Instruction ADM 8-0.2 establishes Agency policy governing OSHA policy issuances.

  10. Objectives. The objective of the directives system is to ensure that OSHA's policies and procedures are effectively communicated to OSHA staff, partners, customers and stakeholders, and to the general public. The information thus provided is to be reliable, complete; up to date, easy to read and understand; and easy to locate and reference.

  11. Responsibilities.

    1. Assistant Secretary.

      1. Provides general oversight of program.

      2. Approves and signs all national directives except those dealing with administrative matter.

    2. Director, Administrative Programs.

      1. Oversees administration of the program and provides training in its operation.

      2. As the Agency Administrative Officer, signs all national directives dealing with administrative matters.

    3. Directives Officer, Office of Management Systems and Organization, DAP.

      1. Administers the OSHA Directives Program.

      2. Assures compliance with this and related instructions.

      3. Provides advice, assistance and training to Directives Liaison Officers in directives management, including the special requirements of this revised system.

      4. Periodically, notifies the OSHA Webmaster when in-force directives have been reviewed for currency and approved as still fully in effect.

    4. Program Directors Initiating National Directives (Directors of National Office Directorates and Free Standing Offices).

      1. Implement new or revised OSHA national directives within their organization.

      2. Initiate proposed directives to establish or amend Agency policies and procedures within their scope of authority or significantly affecting the operations of their program.

      3. Provide to all reviewers of proposed directives appropriate policy and other background information to assure that the proposed directive is thoroughly understood and considered.

      4. Obtain and appropriately consider critical policy issues identified by subordinate staff and others in the development of such proposed directives.

      5. Obtain guidance and clearance as appropriate from the Office of the Solicitor.

      6. Obtain input and technical and policy clearance of such proposed issuances from each OSHA Program Director (the head of each OSHA Directorate and free-standing Office), and others identified as Mandatory Clearance Offices. (See Chapter 3, Paragraph III, Mandatory Clearance Offices, OSHA Instruction ADM 8-0.3, OSHA Directives System.)

      7. Refer to their Deputy Assistant Secretary (ies) any unresolved disagreements concerning the substance or potential policy implications of a proposed policy issuance or the priority accorded to its review that emerge during the clearance process.

      8. Appoint and supervise the activities of Directives Liaison Officers for their organizations.

      9. Review each in-force directive issued by their organization at least every five years for currency, and advise the Agency Directives Officer either that revisions are needed and the directorate's plan and schedule for revision, or that no revisions are needed.

    5. OSHA Program Directors and Regional Administrators Receiving a Proposed Policy Issuance for Review and Clearance shall carefully consider each such proposed issuance (and any associated critical policy issues identified by their subordinate staff), and promptly respond to the originator, with respect to:

      1. Technical considerations,

      2. Its potential impact upon the programs and policies for which the director or Regional Administrator is responsible,

      3. Its implications for Agency-wide policy and operations, and

      4. The anticipated reception of the proposed new or revised policy or procedure by Agency customers or other interested parties.

    6. Regional Administrators.

      1. Implement OSHA national directives throughout the region.

      2. Clear and publish regional directives supplementing OSHA national directives in the region.

      3. Appoint and supervise Regional Directives Liaison Officers.

      4. Review each in-force regional directive at least every five years for currency, and advise the Agency Directives Officer either that revisions are needed and the plan and schedule for revision, or that no revisions are needed.

    7. Directive Liaison Officers.

      1. Oversee the dissemination of directives in the organization.

      2. Clear draft directives received from other organizations.

      3. Serve as liaison for draft directives drafted by their organization with the OSHA Directives Officer and Clearance Officers.

      4. Provide for the training of directives originators within the organization. (See Chapter 2 for format of web-ready documents.)

    8. Area Office Directors oversee dissemination of directives in their organization by assuring all employees are aware of issuance.

    9. OSHA Webmaster.

      1. Maintains the official OSHA Directives Page on the OSHA Web Site.

      2. Reviews OSHA directives forwarded by the Directives Officer, to assure proper web formatting and hypertext marking.

      3. Posts on the OSHA Web Site all new or revised directives forwarded by the Directives Officer.

      4. Includes all new and revised directives on the OSHA CD-ROM.

  12. Types of Directives.

    1. National Directives.

      1. Instructions. Long-term policy and procedure pronouncements that have continuing reference value. They are intended to be in effect for more than one year. An instruction may be issued as a manual when the material is of a length equal to or more than 20 printed pages, or to meet special requirements.

      2. Notices. Short-term policy and procedure pronouncements that are not to remain in effect over one year. Notices may be used to cancel an existing OSHA Instruction or Notice; such cancellations are permanent and do not expire at the end of that year.

      3. OSHA Directions (DIRs). Time-sensitive policy and procedure pronouncements that must be issued quickly to take effect when a policy or procedural change must be communicated quickly. They undergo a notification and rapid review screening rather than a full clearance process. DIRs remain in effect until the superseding instruction is effective but not more than 12 months from the effective date or until canceled by a superseding directive, whichever occurs first.

    2. Regional Directives. Regional Administrators may issue directives which apply only in their region, and that:

      1. Are used to provide direction on subjects not covered by a national directive (e.g., Local Emphasis Program) or to supplement national directives in a region.

      2. Do not alter or contradict any statement in a national directive (See ADM 8-0.2).

      3. Are consistent with the format outlined here for national directives, and will be forwarded as a web-ready electronic copy to OMSO, so they may be included in the electronic OSHA Directives System. OSHA Regions will not directly provide copies of directives to the Directorate of Information Technology (DIT) for posting on the OSHA Web Site.

      4. Utilize the new directives templates for regional directives. See Chapter II, Paragraph III. A. for template details.

    3. Internal Procedure Systems.

      1. OSHA field and headquarters offices are free to establish separate local systems for issuing internal operating procedures. Internal procedures and similar documents are not included in the OSHA Directives System.

      2. Local systems may not alter or contradict any statement in a national or regional directive as described in this Instruction.

      3. Internal procedures are restricted to operating procedures of the local office and do not under any circumstances establish OSHA policy and/or procedure.

    4. External Authorities. The Congress, the courts, the Executive Office of the President, Cabinet Departments (including the Department of Labor), and other Federal agencies issue a variety of laws, legal decisions, regulations, directives, and the like, which OSHA must consider in drafting and promulgating policy and procedures in the Directive System. Originators must be aware of these materials when drafting policy materials.

  13. Distribution of Directives.

    1. All directives are published by posting on the OSHA Web Site. Directives are not distributed in paper form to OSHA offices.

    2. OSHA supervisors are responsible for assuring that employees under their supervision are aware of newly issued OSHA directives and have access to them.

    3. The OSHA publications office in the National Office, and field offices, will provide single copies of directives to the regulated community, other Federal agencies, State and local governments, and the public upon request.

  14. Masthead. All OSHA directives begin with the appropriate masthead included in the directives templates maintained by OMSO. See Figures 1-1, 1-2, 1-3, 1-4, and 1-5 for examples.

Figure 1-1

NATIONAL INSTRUCTION MASTHEAD

Figure 1-1 Figure 1-2

NATIONAL NOTICE MASTHEAD

Figure 1-2 Figure 1-3

OSHA DIRECTION MASTHEAD

Figure 1-3 Figure 1-4

REGIONAL INSTRUCTION MASTHEAD

Figure 1-4 Figure 1-5

REGIONAL NOTICE MASTHEAD

Figure 1-5


Chapter 2.

PREPARATION

  1. Purpose. This chapter provides information regarding responsibilities, guidelines and procedures for directives preparation.

  2. Responsibilities.

    1. Program Directors (Directors of Directorates and Free-Standing Offices) and Regional Administrators initiate proposed directives to establish or amend policies and procedures within the scope of authority or significantly affecting the operations of their program.

    2. Originators. Originators prepare directives in draft and final form.

    3. Directives Officer. The OSHA Directives Officer and Regional Directives Liaisons ensure that directives are prepared in accordance with the guidelines contained in this chapter.

    4. National Office Directives Liaison Officers. Directives Liaison Officers ensure directives originating under their jurisdiction are prepared according to the guidelines contained in this chapter.

  3. Writing and Style. This paragraph provides some information for directives writers in organizing and presenting information. It also provides information about masthead information and standard directives paragraphs and focuses on the questions each standard paragraph must answer. Directives writers are responsible for the writing and style of non-standard paragraphs.

    1. General Style Guidance. Directive writers should follow this general guidance throughout:

      1. Use Active Voice.

      2. Keep sentences concise and language simple. Be brief whenever accuracy would not be impaired.

      3. Questions concerning writing style should be addressed through a major style manual such as the Government Printing Office Style Manual.

    2. Abstract with Directives Templates. All OSHA and Regional Directives should begin by employing the directives templates for abstracts and mandatory pages of Instructions, Notices, or OSHA Directions, as appropriate. The templates consist of a Masthead, an Abstract of summary information and mandatory paragraphs. Additional paragraphs may be added provided the total information does not exceed two pages. Templates are available from the OSHA Directives Officer or on the OSHA Internet Web Site.

  4. Masthead Information.

    1. Directive Number. The Directive Number will be assigned by the OSHA Directives Officer for national directives. Regional Administrators will establish a policy for numbering regional directives as outlined in Chapter 4.

    2. Effective Date. The Effective Date for national directives will be assigned by OMSO, following consultation with the originator and DIT. Use of the revised OSHA Classification System is required (see ADM 12.1). Regional Directives Liaisons will assign effective dates for regional directives.

    3. Subject. The Originator will assign a subject to directives, after consultation with the OSHA Directives Officer or the Regional Directives Liaison, as appropriate.

    4. Regional Identifier. Regional directives only will include a line below the subject indicating the applicable region.

  5. Abstract. The abstract is a mandatory one or two page summary of the directive contents. The abstract consists of several paragraphs:

    1. Purpose. The purpose statement should summarize as briefly as possible the reason for and intent of the directive. This statement serves to provide an immediate reference for the information included in the directive and should not exceed three sentences. The information may duplicate or summarize the standard "Purpose" paragraph of the directive within the three sentence limit.

    2. Scope. In one, two or a few words, state all of the organizations covered by the directive (e.g., OSHA-wide, National Office). Regional directives do not require this field.

    3. References. List by number and name not more than the five most important and recent references.

    4. Cancellations. List by number and name all directives canceled by this directive. (The OSHA Direction template also includes a field for suspensions.)

    5. State Plan Impact. This paragraph may be in one of three forms:

      1. Adoption Required. If the directive requires adoption of regulations or actions, specify the paragraph in the body of the directive detailing those regulations or actions.

      2. Response Required. If the directive requires the State to respond with information, specify the paragraph in the body of the directive explaining the required response

      3. No Impact. If the directive does not require State adoption or response, specify that the instruction is not a Federal Program Change requiring State implementation, but States are encouraged to consider its implications on their operations.

    6. Action Offices. List the Offices which must take action under the directive.

    7. Originating Office. Name the Office that originated the directive.

    8. Contact. Name the appropriate contact for further information about the directive. This may or may not be the Originator. The contact must not be at a higher organizational level than the Office; however, OSHA organizations may at their discretion elect to use a more specific organizational unit for their contact. The use of employee names is discouraged.

    9. Authority Statement. This item reveals under whose authority the directive is issued. See Chapter 3, Paragraph II. The templates include the statement, "By and Under the Authority of", but directives writers must complete the statement appropriately to appear as follows:

      By and Under the Authority of
      <Name of Authorizing Official>
      <Title>

    10. Executive Summary Statement. The executive summary tells the reader, in as few words as possible, the main features of the directive.

    11. Significant Changes Statement. This statement provides information on the major changes in the directive from the previous immediate version. Originators should take care to include compete explanations of all significant changes. At the end of the statement, originators must refer to previous versions of the directive by listing the effective date of each previous version of the directive. This requirement will apply with the first change to a directive issued after the effective date of this Instruction.

  6. Mandatory Paragraphs. The body of OSHA directives will contain the following mandatory paragraphs, as appropriate for the type of directive. Refer to the "Use" sub-paragraph of each type of mandatory paragraph to determine applicability.

    1. Purpose Paragraph.

      1. Use. Use for all directives.

      2. Questions.

        -   Why is the directive being issued? Be brief.
        -   What types of information does it contain? (Such as policy, procedures, guidelines, etc.)

      3. Style Guidance.

        -   Keep the paragraph short, limited to one or two paragraphs.
        -   Use complete sentences.
        -   Use active voice when writing.

    2. Scope Paragraph.

      1. Use. Use for all directives.

      2. Questions

        -    Who are the users?
        -    Is the directive aimed at specific job titles, positions, or other defining characteristics?
        -    Is the directive aimed at headquarters offices only or OSHA-wide?

      3. Style Guidance.

        -    The paragraph should be short, not more than one or two sentences.
        -    Address either the entire potential target audience (example: OSHA-wide, National Office or field offices) or specify a more narrow segment of the audience (example: Area Offices).

    3. Cancellation Paragraph.

      1. Use. Use for all directives that cancel another directive.

      2. Questions. What policy pronouncements are canceled by the directive?

      3. Style Guidance. This paragraph should identify clearly each directive that is canceled by the directive.

    4. Suspension Paragraph.

      1. Use. Use for OSHA Directions that suspend the application of other directives.

      2. Questions. What directives need to be suspended during the effective period of the OSHA Direction?

      3. Style Guidance. This paragraph should identify clearly each directive that is suspended by the OSHA Direction.

    5. Significant Changes Paragraph.

      1. Use. Use for all directives that revise or change a previous directive. If the first directive to be issued, indicate "None."

      2. Questions. What substantive changes have been made to the last iteration of the directive?

      3. Style. This paragraph should identify clearly and concisely all changes in the directive. Specify paragraph numbers and provide enough detail to identify and explain each change.

    6. Reference Paragraph.

      1. Use. Use for all directives which reference other directives, standards, regulations, publications, or other external documents (i.e., non-OSHA documents such as, OMB ciruculars or ANSI standards).

      2. Questions. What other documents are mentioned in the directive? What other documents may be of relevance to the reader?

      3. Style. This paragraph should identify clearly each document that is referenced by the directive including the document's number, if any, title or subject, date, and a brief explanation if necessary. Additional information on locating or obtaining referenced documents may be included at the originator's discretion.

    7. Expiration Date Paragraph.

      1. Use. Use for all directives that have a definite expiration date. Notices and OSHA Directions will expire after one year, unless otherwise noted. The exact date of expiration must be listed.

      2. Questions. Does this directive have a definite life time? Is this directive a notice or OSHA Direction?

      3. Style. This paragraph should inform readers of the term of effect of the directive. Provide the date the directive will expire.

    8. Action Information Paragraph.

      1. Responsible Office.

        1. Use. Use for all directives.

        2. Questions. Which office(s) has responsibility for functions covered by the directive?

        3. Style. When listing more than one office, specify which office is primary - responsible for drafting and clearing directive - and specify the functions applying to each office.

      2. Action Offices.

        1. Use. Use for all directives.

        2. Questions. Which offices are affected by the directive? That is, which offices are expected to take action?

        3. Style. List types of offices; such as Regional Offices, Area Offices, State plan States, consultation project managers, etc.

      3. Information Offices.

        1. Use. Use for all directives.

        2. Questions. Which offices need to be notified of the issuance of the directive but are not directly affected by the directive?

        3. Style. List types of offices; such as Regional Offices, Area Offices, State plan States, consultation project managers, NIOSH regional representatives, etc.

    9. Federal Program Change Paragraph.

      1. Use. Use for all directives. State if the directive requires adoption by the State, a response by the State or has no impact on the State.

      2. Questions. Do States have responsibilities to adopt or respond under this directive?

      3. Style. This paragraph must state clearly any affect of the directive upon State occupational safety and health programs, including implementation deadlines. The Directorate of Federal/State Operations will approve appropriate language for Federal Program changes.

    10. Definitions Paragraph.

      1. Use. Use for all directives where technical or non-standard English is used.

      2. Questions. Does the directive contain definitions of all terms that are new or used in unique ways in the directive, or that the originator desires to call to the special attention of the directive audience?

      3. Style. Include all definitions in a directive in a separate paragraph or chapter or appendix, as best suits the originator's needs.

  7. Format.

    1. Directives Templates.

      1. Three new templates have been developed for use with national directives; one each for Instructions, Notices and OSHA Directions. Two templates have been developed for use with regional directives; one each for Instructions and Notices. Regional offices may not use the OSHA Direction template or masthead. OMSO alone is authorized to make changes to these templates.

      2. OMSO will provide diskette or e-mail copies as well as instructions on how to use them to all OSHA organizations on request. They are also available on the OSHA Intranet Web Site. Templates are "read-only" and must be saved under a new name once completed. These templates replace the directives templates currently in use. The existing templates should be deleted.

      3. On the publication date of this instruction, OSHA is using WordPerfect 8 as its word processing application. As the Agency transitions to Word, OMSO will add word directive templates.

    2. Electronic Drafting. All directives must use either the Corel WordPerfect 6 or 8, or Microsoft Word 97 Outline function and conform to OSHA Instruction ADM 1-0.20.

      1. Directives without manuals must be single column with underlined paragraph headings. Figures or graphic materials follow the paragraph where first mentioned.

      2. Manuals must be single column with underlined paragraph headings. Manuals are to be organized in chapters that convey all mandatory information. Appendices may be utilized to convey other information, including information that elaborates on material covered in the chapters or information about related subjects. Figures or graphic materials may be included following the paragraph where first mentioned or grouped at end of the chapter, or displayed in a separate appendix.

    3. Paragraph Numbering. This system utilizes the Agency's current word processing application and will be modified if it changes. Follow the numbering scheme below. After the third level, numbered or unnumbered paragraphs should be used as described below.

      Level Numbering Graphic

      1. After the third level, new paragraphs should not be numbered using the Outline function. Numbered, unnumbered or bulleted paragraphs should be created indented one standard tab from the third level.

    Paragraph Numbering Graphic

    Originators are prohibited from altering the tab and indentation requirements of numbered paragraphs, but are otherwise free to structure paragraphs according to their needs.

    1. Originators are required to use the outline functions for all paragraphs in the first three levels with the sole exception that alphabetical lists may be unnumbered at any level.

    2. Chapters 1 and 2 of this directive contain all levels of text and should be used as an example.

    1. Manuals.

      1. Should be of a length equal to or more than 20 pages.

      2. Should usefully organize lengthy directives, consistent with the outline requirements of this directive.

      3. Must have a formal index and table of contents.

    2. Hypertext (Web) Links. These are electronic notations within a directive that allow users directly to access other parts of the directive, other directives, and other related documents. To assure that OSHA directives are published on the Web with appropriate Hypertext links, directives will include:

      1. Abstract. All directives must be accompanied by an abstract. The abstract must not exceed two pages and can be created by using the new directives templates. The abstract must include all the paragraphs contained in the template and detailed in paragraph III, B. 2. above. See the Abstract of this directive for an example.

      2. Table of Contents.

        1. Directives of three or more pages and manuals must have a table of contents included in the directive. A table of contents in addition to its reference value will allow the user, in directives both short and long, the ability while on the Web to move quickly through the document using hypertext links. Tables of contents shall be prepared using the WordPerfect or Word Table of Contents function. Draft directives should also include hyperlinks. See the Directives Handbook on the Directives Page of the OSHA web site. The table of contents should include chapters (including appendices) and the first two levels of paragraphs. Third level paragraphs should also be included whenever they are useful for navigation. Other items may be included in the table of contents at the originator's discretion.

        2. Using the word processor Table of Contents function, begin the table of contents at the left margin for the first level with each succeeding level indented one standard tab (approximately 0.5"). The page numbers will be entered at the right margin with dot leaders connecting the content or title section with the page numbers. Refer to the Table of Contents of this directive for an example.

        3. The Table of Contents should provide a maximum amount of detail about the content and organization of the directive. The first two levels of the directive and other important entries will be hyperlinked to the appropriate paragraph in the directive. Linked items will include Chapter headings (for manuals), the primary paragraph level (for non-manuals), figures and graphics, and appendices. Additional levels may also be included, as needed, to improve accessibility of the directive. Generally, links should be included on every other page to avoid excessive scrolling on the part of the reader.

      3. Index.

        1. Directives of three or more pages and manuals are produced with an index. The word processor index function must be used to create the index. Originators should choose terms for the Index which are specific to the directive, not already stated in the Abstract or Table of Contents , and not obviously linked to the directive. Originators should avoid, where possible, creating an Index in excess of one page. Refer to the index of this document for an example.

        2. If desired an originator may provide a separate, longer index for use with the printed version of the directive. The originator should consider the complexity of the subject, the length of the directive, and the anticipated audience when determining if an expanded index is necessary.

        3. See the Directives Handbook on the directives page of the OSHA Web Site for greater detail on creating Indexes.

      4. Other Hypertext Links.

        1. Directive originators must indicate, even in short documents, any words and sections, and their location, that are to be linked in addition to links created for the Abstract, Table of Contents and Index. This list should include references to other locations in the directive and to other documents maintained on the Internet (including all other OSHA directives). For links to other Internet documents, the originator must include the URL for that document to guarantee the correct link is generated. URLs can be found by navigating to the site of the document desired, as the address will be displayed at the top of the browser (the field is labeled "Location" for Netscape Navigator). The OSHA Webmaster will use this list to place appropriate links in the document like those placed for the abstract. See ADM 1-1.20 for clearance requirements for web links to external web sites.

        2. The hypertext link list must contain the location in the document of the term to be linked and the destination location. For example, assume linking the words "Appendix C" from this paragraph to the actual appendix.

        3. In addition, links in the directive to other locations on the Web, including other directives, should follow this same format. The Destination would be the URL of the targeted document.

        4. The OSHA Webmaster has the capacity to ensure that searches for specific terms on the entire OSHA Web Site be routed to particular documents of prime importance regarding that term. Therefore, if appropriate, originators should include with this list a term for use in this manner. (E.g., a search for "policy" on the site will yield this document.)

    3. Appendices, Figures and Graphics.

      1. Appendices. These serve as explanations in greater depth than the directive allows, further expositions of information or provide additional information such as voluntary standards. Appendices may be either mandatory or may be guidelines. Appendices are the last items in a directive except for the Index. Where appropriate, appendices should conform to the outline requirements of this directive. At a minimum all original, text appendices should use the outline format for primary paragraphs.

      2. Figures. These are graphic materials, illustrations, or similar explanatory items. Figures may be used at any point in the directive. Non-graphical figures should be created only within the standard OSHA word processing software to ensure these can be easily converted to web format.

      3. Graphics. Other graphic material not included as figures may be incorporated in a directive. As with figures, these may be placed at any point in the directive. Because of the size of many graphics, particularly pictures, originators may create graphics not included in the directive itself, but accessible as an external file in order to minimize the time involved in transferring and downloading the file. These graphics will not appear in the electronic directive, but will be replaced by a reference in the directive. The reference will be hyperlinked to the external file, so that the particular graphic is only downloaded when the user activates the link. This link must be included in the list described in Paragraph E.4. above.

  8. OSHA Direction Format.

    1. Formatting Requirements. The OSHA Direction's formatting is more informal than that of Instructions and Notices. Only a minimum of formatting is required. There are standard items which must be completed as outlined in Section B., below. The use of the Outline function is required. The layout of the directive is at the discretion of the originator.

    2. Mandatory Paragraphs. The following paragraphs are mandatory when drafting OSHA Directions: Purpose, Scope, Expiration Date, Action Information, and Federal Program Change. References to any Directives cancellation(s) or suspension(s), should be used when appropriate for a specific directive. Refer to Paragraph VI, Mandatory Paragraphs for explanations of the use of these paragraphs.

    3. Numbering of OSHA Directions. OSHA Directions are identified by the same classification as are OSHA Notices but are preceded by the abbreviation DIR and are numbered by fiscal year, then sequentially and followed by the appropriate file code in parentheses (e.g., DIR 01-01 (ADM 8)). The first OSHA Direction of FY 2001 dealing with compliance safety inspection matters, for example, would be numbered as DIR 01-01 (CPL 2-1).




Chapter 3.

COORDINATION, CLEARANCE, AND PUBLICATION

  1. Purpose. This chapter prescribes responsibilities, guidelines and procedures for coordinating, clearing and publishing OSHA directives.

  2. Responsibilities.

    1. Assistant Secretary. The Assistant Secretary will:

      1. Approve and sign national directives dealing with program-related matters.

      2. Approve the issuance of OSHA Directions superseding normal coordination and clearance procedures (see paragraph VIII.)

      3. Resolve disagreements among Deputy Assistant Secretaries, Program Directors (Directors of Directorates and free-standing Offices), and/or Regional Administrators regarding contested provisions of OSHA draft directives

    2. Deputy Assistant Secretaries. Arbitrate differences of opinion between Directors of Directorates and free-standing Offices and Regional Administrators regarding contested provisions of draft OSHA directives within their purview.

    3. Director, Administrative Programs. Approve and sign national directives dealing with administrative subjects as the OSHA Administrative Officer.

    4. Program Directors (Directors of Directorates or free-standing Offices). Are responsible for overseeing the originator and directives liaison officer in the drafting, coordination, clearance, publication and revision of directives.

    5. Regional Administrators. Regional Administrators are responsible for overseeing the originator and directives liaison officer in the drafting, coordination, clearance, revision and publication of regional directives. They also sign regional directives for their respective regions.

    6. Originator. The originator of a directive will:

      1. Distribute the draft directive for informal review by all relevant clearance offices.

      2. For National Directives, prepare OSHA 201, OSHA Policy Issuance Clearance (See Figure 3-2), for formal review. The originator will address the OSHA 201 , clearance document to the mandatory Clearance Officials and regional administrators and other designated clearance officials as appropriate.

      3. For Regional Directives, prepare the OSHA 83, OSHA Draft Clearance Request, (See Figure 3-3) for formal review. The originator will address the OSHA 83 clearance document to the appropriate clearance officials within the region, the Program Director responsible for the subject of the draft directive, and the OSHA Directives Officer.

      4. Obtain the approval of the originating Program Director (or Regional Administrator, in the case of Regional Directives), as appropriate, to distribute the draft directive for review and comment. (See paragraphs VI and IX.)

      5. Determine, in conjunction with the originating Program Director (or Regional Administrator, in the case of Regional Directives), whether the comments received will result in significant revisions to the draft directive and if such revisions require the draft to be re-circulated with comments received for a second clearance.

      6. Collect, review, and integrate comments in a final draft directive.

      7. Submit the final directive with all copies of OSHA 201 or OSHA 83, as appropriate, all comments received from all clearance offices, and any other background materials to the Program Director or Regional Administrator, as appropriate, for approval and then to the Directives Liaison Officer for transmission to the OSHA Directives Officer for National directives, or to the regional Directives Liaison Officer for regional directives.

      8. Submit to the OSHA Directives Officer minor changes in the format or content of existing directives which do not alter the directive's policy or procedure, or interpretation thereof. These changes may be approved by the Directives Officer without formal clearance or review or approval by the directive's approving official.

    7. Clearance Officials. Clearance Officials will respond to requests for comments on draft directives within the specified time periods.

    8. Directives Officer. The OSHA Directives Officer:

      1. Ensures that national directives are properly coordinated, cleared and published.

      2. Authorizes minor changes outside of the normal clearance process in the format or content of existing directives. These changes may not alter statements of OSHA policy or procedure.

    9. Directives Liaison Officers. Each Directives Liaison Officer will ensure that directives are properly coordinated and cleared.

  3. Clearance and Coordination Guidelines for Instructions and Notices and OSHA Directions.

    1. General. Clearance outside the originating office is mandatory. See B below for the appropriate clearance offices. The originator must also clear with certain offices based on the directive content and purpose, as outlined below or as needed.

    2. Mandatory Clearance Offices for Instructions, Notices, and Directions.

      1. All directives must be cleared by the OSHA Labor-Management Relations Officer, or regional equivalent, and the OSHA Directives Officer, or regional equivalent.

      2. All directives originating in the National Office must be transmitted to and cleared by all Program Directors.

      3. The Director, Directorate of Federal/State Operations (F/SO) will approve appropriate language for all Federal Program Change paragraphs.

      4. Directives affecting field operations must be transmitted to and cleared by Regional Administrators.

      5. Regional Directives (which affect only the offices within a specific Region) must be cleared by the Regional Administrator, affected Assistant Regional Administrators, affected Area Office Directors, the National Office Directorates and free-standing Offices responsible for the functions covered by the directive, and the OSHA Directives Officer.

    3. Selection of Clearance Organizations. Originators should be selective in clearing draft directives outside OSHA. Include organizations that are:

      1. Responsible for programs, standards, or procedures affected by the draft directive.

      2. Administratively or legally responsible for reviewing the draft directive.

    4. Other Clearance Organizations for Directives.

      1. Regional Offices. Clear regional directives which affect the activities or functions of other organizations with those organizations.

      2. State and Local Governments and Consultation Organizations. Chief executives of State and local governments or consultation organizations may comment on proposed directives at the desecration of F/SO.

      3. Office of the Solicitor. Clear the following regulatory materials with the Office of the Solicitor:

        1. Any construction or interpretation of laws or regulations.

        2. Any citation of laws or regulations as the authority for a legal position.

        3. Any other statement expressing an opinion on a matter of law, legal rights, or liabilities.

      4. Office of Management and Budget (OMB). Clear national directives which implement OMB Circulars with the appropriate offices of OMB.

      5. Other Federal Agencies. Clear with other Federal agencies those directives which affect those agencies' programs.

      6. Other Organizations. Share for comment with other organizations when deemed necessary and appropriate by the director of the originating directorate or free-standing office.

  4. Clearance Using Electronic Media. Originators are permitted to make use of electronic media to facilitate both the informal and formal clearance processes provided proper records are kept. See Paragraph IX for information on the coordination and clearance of the OSHA Direction.

  5. Informal Clearance For OSHA Instructions and Notices.

    1. Preliminary Agreements. Originators should communicate frequently with agency offices and stakeholders to agree on policies, procedures, and required actions wherever possible during the initial drafting process and before circulating drafts.

    2. Informal Coordination. Originators should informally circulate drafts, reports, and other materials relating to a directive drafting before conducting the formal clearance process detailed in paragraph VI below.

    3. Federal Program Change. Originators should consult with the Directorate of Federal/State Operations for Federal Program Change language during the informal clearance to ensure that the appropriate language is circulated for review during the formal clearance process.

  6. Formal Clearance for OSHA Instructions and Notices.

    Figure 3-1, National Directives Clearance Process, shows the steps involved in formally coordinating and clearing draft national directives using the OSHA 201. The OSHA 201 is available in electronic format from OMSO and from the directives web page. Regional Offices will establish their own clearance procedures for clearing regional directives consistent with the mandatory clearance offices designated above. The mandated process for clearance of directives is outlined below:

    1. Originator. Throughout the formal clearance process, the originator:

      1. Completes items 1 through 6 on the OSHA 201. See Figure 3-2, Example of OSHA 201, OSHA Policy Issuance Clearance.

      2. Determines whether field coordination is necessary.

      3. Allows a minimum of 15 working days for review and clearance. Originators should consult with the OSHA Directives Officer in the event a shorter clearance period is desired.

      4. Prepares enough copies of OSHA 201 (OSHA 83 for Regional Directives) and draft directive to circulate concurrently to all clearance officials. Two versions of the OSHA 201, one for the National Office and one for the field, may be prepared at the discretion of the originator.

      5. Identifies all clearance officials who will receive a copy.

      6. Obtains the approval of their Program Director and sends copies to the clearance officials.

      7. May prepare electronic copies of the OSHA 201 and draft directive and transmit via e-mail to clearance officials.

      8. Reviews and reconciles any comments noted in item 8 of the OSHA 201 by clearance officials in the National Office and in the field. Consults with clearance officials regarding comments and proposed policy and procedures including language.

      9. Refers to the Program Director any unresolved disagreements between the originator and clearance officials concerning the substance of a proposed policy issuance or the priority accorded to its review that have emerged during the clearance process.

      10. Revises the draft directive as necessary.

      11. Prepares directive in final form, in consultation with the Directives Liaison Officer.

      12. Prepares a transmittal memorandum for the signature of the director of the initiating directorate or independent office to the Agency approving official. This memorandum:

        1. Requests the approval and signature of the Assistant Secretary or the OSHA Administrative Officer, as appropriate.

        2. Explains the purpose and main features of the directive.

        3. Explains the probable advantages and risks for the Agency resulting from the policies established by the directive.

        4. Lists major or controversial comments presented by Clearance Officers which were not adopted and explains why those comments were not adopted.

      13. Obtains the approval and signature of their Program Director.

      14. Sends a directive package consisting of paper and diskette copies of the final directive including abstract, table of contents, and index; paper copies of the transmittal memo, OSHA 201's including comments, other materials received from clearing offices, and other background materials, to their Directives Liaison Officer.

    2. Originating Program Director or Regional Administrator (in the case of Regional Directives).

      1. Reviews, approves and signs the OSHA 201 (or OSHA 83, for Regional Directives), before distribution to the Clearance Officials.

      2. Reviews comments and originator's recommendations and approves the final draft directive.

      3. Elevates disputes with Clearance Officials to their Deputy Assistant Secretary for resolution.

    3. Labor-Management Relations Officer or regional equivalent.

      1. Determines whether consultation with Local 12 or the NCFLL is required.

      2. Indicates whether consultation is required and completes the shaded items on the clearance form.

      3. If consultation with Local 12 or the NCFLL is required, coordinates with appropriate directorates or offices.

    4. Clearance Officials in the National Office and the Regional Offices.

      1. Review the draft directive.

      2. Complete shaded items OSHA 201 (or OSHA 83 for Regional Directives).

      3. Return the OSHA 201 or (or OSHA 83 for Regional Directives), with comments to the originator. Alternately, sends concurrence or comments via e-mail.

      4. For National Directives, negotiate acceptance of comments with the originator and originating Program Director, or present case to their Deputy Assistant Secretary for comments not accepted by the originating Program Director or if no response was made.

    5. Directives Liaison Officer.

      1. Reviews directive package to determine if complete and correct.

      2. Sends the directive package to the OSHA Directives Officer.

    6. OSHA Directives Officer.

      1. Reviews directive package to determine if complete and correct and submits directive to approving official.

      2. If the approving official has requested revisions, returns directive to Directives Liaison Officer to coordinate necessary changes.

      3. If the directive has been signed, places original copy in directives historical file.

      4. Forwards conformed electronic copies to the OSHA Webmaster to be placed on the OSHA website in HTML and pdf versions.

      5. Sends an e-mail to OSHA offices providing advance notification of the directive and its effective date.

      6. Sends an e-mail to OSHA offices, and stakeholders and others requesting notification after the directive is available on the OSHA website.

    7. OSHA Webmaster.

      1. Reviews electronic copies for Web-related technical content.

      2. Prepares HTML and pdf copies for posting to the OSHA web site.

      3. Publishes electronic copies on OSHA web site in a timely fashion.

      4. Notifies the OSHA Directives Officer that the directive is on the OSHA web site.

  7. Time Allowed for Clearance for National Directives. Normally, allow at least 15 working days for Clearance Officers to concur or comment. Originators should consult with the OSHA Directives Officer in the event a shorter clearance period is desired. Regional Offices may need additional time to respond if the OSHA 201 and draft directives are not sent electronically to the Regional Administrator.

  8. Disagreements and Issue Resolution.

    1. Facilitation of Clearance. As the deadline for clearance of a draft directive approaches, the originator should contact non-responding clearance offices to determine whether clearance/comments will be submitted by the requested due date, and to offer an opportunity to discuss any questions or issues clearance offices may have, so as to expedite the review/clearance process.

    2. Clearance Officials Not Responding Within the Comment Period.

      1. If an originator is informed that a clearance official will not return clearance or comments by the due date, or if a clearance form is not returned by the due date, the originating Program Director shall contact the Clearance Official(s) in question to advise that the clearance form and/or comments have not been received, and attempt to:

        1. Negotiate a mutually satisfactory extension of time for review, clearance and/or the submission of comments.

        2. Resolve issues, questions or concerns that the clearance official may have about the draft directive.

      2. In the event of:

        1. A failure to achieve agreement with a Clearance Official following the efforts outlined above, or

        2. If clearance and/or comments are not received by the agreed upon extension, then

        3. The originating Program Director shall schedule a meeting with the appropriate Deputy Assistant Secretary(-ies) to resolve the matter.

      3. Absent the resolution of issues at the Deputy Assistant Secretary level, outstanding issue(s) are to be elevated to the Assistant Secretary for a decision whether to:

        1. Issue the directive notwithstanding the concerns of Clearance Official(s) and/or in the absence of comments, or

        2. Revise, reconsider or defer action on the draft directive, as may be appropriate.

  9. Clearance and Coordination of OSHA Directions.

    1. Paragraph XIV. A. 3. of Chapter 1 identifies a new type of Directive, the OSHA Direction (DIR). DIRs allow directors of OSHA directorates and independent offices to institute policy and procedural changes in OSHA operations on an emergency or interim basis, effective for not more than 12 months.

    2. Before an OSHA Direction may go into effect, the originator must provide a copy of the proposed OSHA Direction to each Clearance Office that would be required to provide clearance if the directive were issued as an Instruction. (See Paragraph VI, Formal Clearance for OSHA Instructions and Notices.) Clearance Officials have up to five (5) working days from the date of the OSHA 201 to consider the proposed OSHA Direction and provide comments to the originator.

    3. The originating Program Official will convene a conference of all Clearance Officials to distribute and provide information on the content of the Direction and provide an opportunity for discussion of initial questions and issues related to the content of the Direction, in order to focus and expedite review by identifying and addressing potential issues and problems as soon as possible.

    4. As the deadline for clearance of a draft Direction approaches, the originator should contact non-responding reviewing offices to determine whether clearance/comments will be submitted by the requested due date, and to offer an opportunity to discuss any questions or issues reviewing offices may have, so as to expedite the review/clearance process.

    5. If an originator is informed that a clearance official will not return clearance or comments by the due date, or if a clearance form is not returned by the due date, the originating Program Director shall contact the Clearance Official(s) in question to advise that the clearance form and/or comments have not been received, and to attempt to reconcile issues, questions or concerns that the clearance official may have about the draft directive.

    6. Absent the resolution of issues, outstanding issue(s) are to be elevated to the Deputy Assistant Secretary, and as necessary, to the Assistant Secretary, for a decision regarding the issues in contention.

    7. The Originator prepares a package for the Program Director to present to the Assistant Secretary for signature. The package should include the proposed Direction, the Transmittal Memo, clearance forms, and comments. The Transmittal Memo accompanying the final package presented to the Assistant Secretary must highlight any significant disagreements between the originator and clearance officials and detail their resolution.

    8. Before signature, the directives liaison officer gives the Directives Officer a copy of the package for review.

    9. After signature, the OSHA Directives Officer arranges for publication on the OSHA directive page.

    10. Within six months of issuance of a Direction, the originating Program Director should review the Direction to determine whether the policy contained therein will be continued, and take steps to assure its replacement with a cleared Instruction, if needed, as soon as possible.

  10. Web-Ready Preparation. Following the clearance of a directive, the Directive Liaison Officer of the originating organization shall:

    1. Submit to the Directives Officer completed OSHA 201 form (for national directives only) documenting the directive's clearance within the Agency.

    2. Submit the final copy to the Directives Officer (for OSHA Directions, see Paragraph IX):

      1. In electronic format (either diskette or e-mail) utilizing the word processor's hypertext capabilities to mark terms and generate the table of contents and index, as well as a list of applicable terms and their location in the text of directives, including manuals, for hypertext links to other specified points (not the index, table of contents or abstract) in the directive or to other on-line documents.

      2. In paper form for OSHA directives with letterhead appropriate for signature by the Assistant Secretary or other approving official. Regional directives should already have been signed by the Regional Administrator and filed appropriately within the region.

  11. Publication.

    1. All directives shall be placed on the OSHA website by DIT only after their receipt from OMSO. DIT will also include all directives on the OSHA CD-ROM.

    2. Copies of directives may be printed from the OSHA Web Site to meet internal OSHA needs and to satisfy requests by members of the public without Internet access. Printing will be available through a hard-copy formatted pdf version of each directive.

  12. Revision and Cancellation.

    1. Directives may be canceled by reference in the cancellation paragraph of a new or revised Instruction or Notice, or by a Direction. Directives which are canceled without a successor document may be canceled by the issuance of a Notice whose sole purpose is to cancel that directive. Expiration of the Notice does not change the status of the canceled directive.

    2. Directives shall no longer be amended by changes or revision codes. For additional information, see Chapter 4.

    3. The OSHA Directives Officer will notify DIT when a directive has been canceled to allow DIT to remove it from the active directives on the OSHA web site.

    4. The directives web page will provide access through separate archive pages to the text of all previous versions of the directive. Users may make comparisons by either copying one version to a word processor and opening and arranging windows to view applications simultaneously or copying both versions to a word processor and use the compare function of the word processor to highlight differences.

  13. Directives Lists. Up-to-date lists shall be maintained on the Directives page of the OSHA website of all directives issued or canceled within the past six months and all currently in-force directives.

Figure 3-1

NATIONAL DIRECTIVES CLEARANCE PROCESS

Figure 3-1
Figure 3-2

EXAMPLE OF OSHA 201, OSHA POLICY ISSUANCE CLEARANCE

Figure 3-2


Chapter 4.

IDENTIFICATION, NUMBERING, AND CHANGES

  1. Purpose. This chapter lists responsibilities and provides procedures and guidelines for numbering and identifying OSHA directives.

  2. Responsibilities.

    1. Originator. The originator will obtain a directive number from the directive liaison officer and consult concerning the proper subject or title of the directive.

    2. Directives Liaison Officer. National Office directives liaison officers will obtain a directive number from the OSHA Directives Officer for national directives. Effective dates are not normally assigned until an estimated web publication date can be estimated. Regional directives liaison officers will administer the numbering system established by the Regional Administrator in their region.

    3. OSHA Directives Officer. The Directives Officer administers the numbering system for National directives and will assign a number and effective date to all national directives. The effective date will be assigned after signature and is the date posted on the OSHA Web Site.

    4. Regional Administrators. The Regional Administrator will establish and operate a regional numbering system consistent with this Chapter.

  3. Amending National Directives. Instructions may be amended to provide updated information. Paragraphs, graphics, etc . may be added, changed or deleted as necessary during the clearance process provided in Chapter 3.

  4. Directives Identification. Using OSHA Instruction ADM 12.1, originators should appropriately title and tentatively number each directive placed in clearance. The OSHA Directives Officer or the appropriate regional directives liaison officer should be consulted with any questions. See Figure 4-1, System for Numbering OSHA Instructions, and Figure 4-3, System for Numbering OSHA Notices (Regional directives will vary from the outline in these figures); and Figure 4-3, System for Numbering OSHA Directions.

    1. Agency Directive Designations. This designates the organization(s) to which the directive is targeted.

      1. National Directives. These directives are targeted at the entire agency and are, therefore, designated as "OSHA" directives in the directive masthead (e.g., OSHA Instruction, OSHA Notice, and OSHA Direction).

      2. Regional Directives. These directives are targeted at a specific region and are designated with the name of the region in the Regional Identifier field. (e.g., "Region IV")

    2. Type of Directive.

      1. OSHA has three types of national directives: OSHA Instructions, OSHA Notices, and OSHA Directions.

      2. OSHA has two types of regional directives: Regional Instructions and Regional Notices.

    3. Classification Codes for OSHA Instructions. These have an alpha-numeric coding for identification, (e.g., ADM 8-0.3). See Figure 4-1.

    4. Identification Codes for OSHA Notices and OSHA Directions.

      1. Notices are identified by a calendar year and consecutive number system. This is accompanied by the alpha-numeric code. An example would be 00-10 (ADM 12-2). The alpha-numeric code is for information only and cross-references the notice to a subject classification. See Figure 4-2.

      2. The OSHA Direction's ID code has a prefix (DIR) before the calendar year, consecutive number and alpha-numeric code. An example is
        DIR 00-05 (CPL 2). See Figure 4-3.

  5. Consecutive Numbering.

    1. Instructions. A consecutive number will be assigned to each instruction within a classification code series. (See OSHA Instruction ADM 12-0.1).

      1. National Instructions. The Directives Officer will assign consecutive numbers to all national instructions.

      2. Regional Instructions. Each Directives Liaison Officer will assign consecutive numbers to regional instructions issued within his/her jurisdiction. For regional directives which supplement national instructions, the assigned number of the regional instruction will be the same as the national instruction. For regional directives on subjects not covered by a national instruction, each Directives Liaison Officer will establish his/her own series of consecutive numbers.

    2. Notices.

      1. National Notices. The Directives Officer will assign a separate consecutive number series to all notices. The consecutive number will follow the calendar year of issuance of the notice.

      2. Regional Notices. Each Regional Directives Liaison Officer will assign consecutive numbers to regional notices issued within his/her jurisdiction. Regions will not issue OSHA Directions. The consecutive number will follow the calendar year of issuance of the notice.

      3. OSHA Directions. The Directives Officer will assign a separate consecutive number to each OSHA Direction. The consecutive number will follow an DIR prefix and the calendar year of issuance and precede an alpha-numeric code. For example:

        DIR 2000-01 (CPL 2)


    3. Revision Codes. Revision codes are no longer assigned for OSHA or national directives. Instructions are amended only. Instructions are continuing directives. They are not replaced by new versions of directives, only revised and amended. Regional directives may continue to assign revision codes (directive number and alphabetical code such as A, B, C, etc.) or adopt the OSHA or national directive system.

  6. Effective Date. The date on which the directive goes into force as determined by the Directives Officer for national directives and by the regional Directives Liaison Officers for regional directives. Regional directives do not necessarily carry the same effective date as the national directives they supplement. Effective dates must allow sufficient time for proper implementation of the directive by OSHA staff in the Agency or Region, if necessary.

Figure 4-1

SYSTEM FOR NUMBERING OSHA INSTRUCTIONS

Figure 4-1 Figure 4-2

SYSTEM FOR NUMBERING OSHA NOTICES

Figure 4-2 Figure 4-3

SYSTEM FOR NUMBERING OSHA DIRECTIONS

Figure 4-3


Chapter 5.

DEFINITIONS

ADDRESS: See URL.

DIRECTION: Those directives in the OSHA Directive System designed to be a rapid means of communicating policy and procedure in exigent circumstances.

DIRECTIVE: A written statement of policy and procedure on a single subject. May include implementation guidelines.

DIRECTIVES LIAISON OFFICER: The person responsible in a headquarters or field organization for clearance, distribution and announcement of directives within their organization.

DIRECTIVES MANAGEMENT: Includes records and information management activities that deal with the drafting, clearance, and dissemination of policy and procedure statements within the agency.

DIRECTIVES OFFICER: The OSHA official responsible for conducting the agency's program for the orderly and proper clearance and dissemination of OSHA directives.

DIRECTIVES SYSTEM: OSHA's internal instruction that assures that agency policy, procedure and instructions concerning agency operations are communicated effectively and timely to agency personnel and other affected parties.

DIRECTIVES WEB PAGE: The official repository for OSHA's electronic directives system where all OSHA directives will be maintained. The OSHA Directives Web Page is accessible from the OSHA Home Page.

HOME PAGE: An introductory or guide page (see "web page" below), usually comparable to a cover sheet and/or table of contents but that will often contain substantive material as well, which may serve as a gateway to a collection of web pages maintained on a site

HYPERLINK: An insertion into a body of text that allows the user to select (click on) a designated piece of text and move to a new location providing additional or more detailed information about that designated text. (e.g., click on a hyperlink for ADM 8-0.3 and be transported to this document.)

INSTRUCTION: Those directives in the OSHA Directives System designed to be of long-term duration. They remain in effect until canceled.

INTERNET ADDRESS: See URL.

INTERPRETATION OF THE OSH ACT: Compliance assistance which, because of the inapplicability of any provision(s) of the Code of Federal Regulations, the Federal Register (FR), or the OSHA Directives System to specific worksite environments, conditions or hazards, refers directly to, interprets and/or applies one or more provisions of the Occupational Safety and Health Act of 1970.

LETTER OF INTERPRETATION: A Letter of Interpretation (LI) provides supplementary guidance that clarifies how to apply to a specific workplace situation a policy or procedure disseminated through the Code of Federal Regulations or the OSHA Directives System . An LI may not interpret the OSH Act, or establish or expand OSHA policy. LIs may answer questions posed by OSHA, employers, employees, or other parties.

MANUAL: A type of instruction of a length equal to or more than 20 printed pages with a formal table of contents and index, usually arranged in chapters concerning the main thrust of the directive with appendices providing highly specialized information dealing with one chapter or providing additional information of an advisory nature.

NATIONAL DIRECTIVE: A directive issued by the OSHA Directives Officer, usually signed by the Assistant Secretary, and applying throughout OSHA.

NATIONAL OFFICE: The OSHA headquarters in Washington, D.C., and all offices located in the field that are subordinate to headquarters directorates.

NOTICE: Those directives in the OSHA Directives System designed to be of short term duration and effect. Notices are canceled no later than one year after the effective date.

ORIGINATOR: The author of a directive.

OSHA LINK: OSHA Link is a database located on the OSHA web site consisting of standards, preambles, definitions, directives, letters of interpretation, emerging issues, Review Commission decisions, and other similar documentation retrievable through a system of hypertext links or searchable through the web site search engine.

POST: An item placed onto a page by either the site manager (or a user for interactive sites). A post may, in fact, occupy a page of its own indexed from a Home or index page, however, the tendency is to refer to such pages as posts rather than pages because of the relationship and function they have relative to other data on a site. (Note: Items may be posted onto OSHA Directives web pages by SLTC only, not the user.)

PROGRAM DIRECTOR: The director of a National Office directorate or free-standing office..

REGIONAL DIRECTIVE: A directive promulgated by a Regional Office, and signed by the Regional Administrator, having force and effect only within that region.

URL: A URL (Universal Resource Locator) is an address that points to a particular website, document, image or other resource on an Internet or Intranet server. The URL for the OSHA Home Page, for example, is http://www.osha.gov. (URLs for pages which reside on servers at the Salt Lake Technical center contain the letters "-slc"; for example, http://www.osha.gov/...)

WEB: Technically the World Wide Web, the Web is a highly responsive portion of the Internet accessible only by those with a web browser which can interpret the programming of web sites. The Web is visual as well as text driven (unlike most of the rest of the Internet). Its defining feature is hyperlinks which allow a user to "walk around" much of the Internet. The greater sophistication of the Web also demands greater computing power from the user so is not well suited to certain documents which may be better placed in other Internet (not Web) formats. However, with a web browser, a user can access most of the Internet although only the Web requires this device.

WEB PAGE: A specific location on the Web where information is posted for use. A home page is a particular kind of web page generally serving as an introduction or guide to the various pages on a web site. Each page has a unique URL (see address) making it easy to identify when one has moved from one page to another, usually via hyperlink.

WEB SITE: A site (location) on the World Wide Web. Each website contains a home page which is the first document users see when they enter the site. The expression "Website" is used to represent the entire collection of all material maintained on the Web under the same domain name (URL) by an organization or business entity.




Chapter 6.

DIRECTIVE FILES

  1. Purpose. This chapter prescribes the historical directives files which document this directives system.

  2. Responsibilities.

    1. OSHA Directives Officer. The OSHA Directives Officer, OMSO, will establish and maintain a historical directive file in paper media on all current and canceled national directives.

    2. Regional Directives Liaison Officers. Directive Liaison Officers in the regions will establish and maintain a historical directive file in paper media on all current and canceled regional directives issued by their Regions.

    3. Originating Offices. Originators will establish and maintain a historical directive development file in paper media on all current and canceled directives which they have produced.

    4. OSHA Webmaster. The OSHA Webmaster will maintain in electronic form all current and canceled national and regional directives.

  3. Directive Record Copies/Historical Files in Paper and in Electronic Media.

    1. Original National Office Paper Directive File. The OSHA Directives Officer, OMSO, shall maintain the original signed paper copy (the archival copy) of all national directives. These files will include the official signed copy of all directives, clearance forms including comments, and all other related documentation. OMSO will establish a historical directive file for each issued version of national directives. The historical directive file will contain the following:

      1. The original signed paper copy (the archival copy) of all national directives, including the official signed copy of the directive.

      2. A copy of the directive together with any indexes, finding aids and other materials intended to be issued with the directive.

      3. The OSHA 201 clearance form used to circulate draft directives for clearance. clearance forms including comments, and all other related documentation.

    2. Original National Office Development File. Originating offices shall maintain the directive development file including a final version of the directive as well as all related documents, both formal and informal, from the drafting process. This file will be maintained by the originating office. Originating offices are also responsible for maintaining a final word processing version of the directive for use in future revisions to the directive.

    3. Original Regional Directive File. Regional Directives Liaison Officers shall maintain the original signed paper copy (the archival copy) of all directives issued in their respective regions. including a final version of the directive, the OSHA 83's and comments, as well as all related documents, both formal and informal, from the drafting process.

    4. Electronic Use Files. The OSHA Webmaster shall maintain on the OSHA Web Site the most recent version of each directive that has been published on the Internet.

      1. The currently in-force version of the directive shall be linked to the two previous versions of the directive that have been Internet published, to allow a reader to refer back and forth from the current directive to earlier versions. Earlier versions of a directive that have been Internet published will be available in electronic form from the OSHA Webmaster while earlier versions not Internet published will be available in paper form from OMSO.

      2. A listing that names, with its effective date, every directive currently in force shall be maintained on the OSHA Web Site by the OSHA Webmaster.

    5. Original Electronic Directive Files. . The OSHA Webmaster will establish and maintain a historical directive file for each web and pdf version of National and Regional directives. The historical directive file will contain a copy of the directive together with any indexes, finding aids and other materials electronically published in conjunction with the directive; and any other materials which are maintained in electronic rather than paper form.

    6. Conformance of Files. Although electronic and paper files should be identical, should there be any discrepancies, the official paper copy maintained by OMSO or the appropriate regional Directives Liaison Officer shall be the final approved version. The electronic copy will be conformed to the paper copy.





Administrative Programs

Area Office

Assistant Secretary

CD-ROM

Compliance

Construction

Directives page

Director

Federal Agency

Federal Records Act

Federal/State Operations

Labor-Management Relations Officer

Local 12

National Office

NCFLL

NIOSH

OASAM

Office

OMB

Originating Office

OSHA Link

Policy

President

Regional Office

Responsible Office

WordPerfect

Department of Labor, see DOL

National Institute for Occupational Safety and Health, see NIOSH

Office of the Assistant Secretary for Administration and Management, see OASAM

Office of Management and Budget, see OMB

OSHA Computerized Information System, see OCIS



Directives - Table of Contents

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