Directives - Table of Contents Directives - (Archived) Table of Contents
• Record Type: Notice
• Directive Number: 06-01 (CPL 02)
• Title: Site-Specific Targeting 2006 (SST-06)
• Information Date: 06/12/2006
• Status: Archived

Archive Notice - OSHA Archive

NOTICE: This is an OSHA Archive Document, and may no longer represent OSHA Policy. It is presented here as historical content, for research and review purposes only.

OSHA NOTICE

DIRECTIVE NUMBER: 06-01  (CPL 02)  EFFECTIVE DATE: June 12, 2006
SUBJECT: Site-Specific Targeting 2006 (SST-06)

ABSTRACT

Purpose: This Notice implements OSHA's Site-Specific Targeting 2006 (SST-06) inspection plan, and replaces the August 5, 2005 Notice that imple­mented OSHA's Site-Specific Targeting 2005 (SST-05) inspection plan.  This program does not include construction worksites.
Scope: OSHA-wide
References: OSHA Instruction CPL 02-00-135, Recordkeeping Policies and Proce­dures Manual (RKM), December 30, 2004; OSHA Instruction CPL 02-00-025, Schedu­ling System for Programmed Inspections, January 4, 1995; OSHA Instruc­tion CPL 02-00-103, Field Inspection Reference Manual (FIRM), September 26, 1994; OSHA Instruction CSP 01-00-002, State Plan Policies and Proce­dures Manual, March 21, 2001; and OSHA Instruction CSP 03-02-002, OSHA Strategic Partnership Program for Worker Safety and Health, December 9, 2004 (effective February 10, 2005).
Cancellation: OSHA Notice 05-05 (CPL 02), Site-Specific Targeting 2005 (SST-05), August 5, 2005.
Expiration Date: One year from the effective date, unless replaced earlier by a new Notice.  Upon the expira­tion or replacement of this Notice, inspection cycles already underway must be completed as provided in paragraph XII.C.1.
State Impact: Adoption not required.  See paragraph VII.
Action Offices: National, Regional, and Area Offices
Originating Office: Directorate of Enforcement Programs
Contact: Directorate of Enforcement Programs
Office of General Industry Enforcement
200 Constitution Avenue, NW, N3119
Washington, DC  20210
202-693-1850


By and Under the Authority of

Edwin G. Foulke, Jr.
Assistant Secretary



Executive Summary

This Notice cancels and replaces OSHA Notice 05-05 (CPL 02), Site-Specific Targeting 2005 (SST-05), issued August 5, 2005.  Except for construction inspections, which are not conducted pursuant to the SST inspection plan, this Notice explains OSHA's major, current site-specific targeting inspection program.

This Notice defines key terms, describes the three inspection lists, provides scheduling and inspec­tion procedures, and gives information on IMIS coding.  Four appendixes give information on the industry groups included in the 2005 OSHA Data Initiative (ODI), provide a checklist for compliance safety and health officers (CSHOs), instruct Area Offices on how to use the Inspec­tion Targeting website, and provide a list of high-rate industries.



Significant Changes

  • Decreases the number of low-rate establishments from high-rate industries that are added to the Primary Inspection List.

  • Adds to the Primary Inspection List some establishments that did not respond to the 2005 OSHA Data Initiative survey.

  • Revises a provision concerning the Enhanced Enforcement Program (EEP) to allow for the deletion of certain establishments if they have had a comprehensive safety inspection (or a focused inspection for those in SIC 805) within the previous 12 months.


TABLE OF CONTENTS
  1. Purpose

  2. Scope

  3. References

  4. Cancellations

  5. Expiration Date

  6. Action Information

    1. Responsible Office
    2. Action Offices
    3. Information Offices

  7. State Plan Impact

  8. Significant Changes

  9. SIC and NAICS Codes

  10. Definitions

    1. Data Initiative (a.k.a. Data Survey)
    2. Days Away, Restricted, or Transferred (DART) Rate
    3. Days Away from Work Injury and Illness (DAFWII) Case Rate
    4. Establishment
    5. Partnership

  11. Description of the Site-Specific Targeting 2006 (SST-06) Plan

    1. Primary Inspection List
    2. Secondary Inspection List
    3. Tertiary Inspection List
    4. Industries without Permanent Worksites
    5. Establishments with Fewer than 40 Workers
    6. Different SIC/NAICS Codes
    7. Different Address than on ODI data sheet
    8. Office Only Sites

  12. Scheduling

    1. Cycle Size
    2. Deferrals
    3. Inspection Priority

  13. Deletions

    1. Previous Inspections
    2. Public Sector Employers
    3. Partnerships
    4. VPP or SHARP
    5. Enhanced Enforcement Program (EEP) Inspections
    6. Office Only

  14. Inspection Procedures

    1. Scope
    2. Verify SIC/NAICS Code
    3. Citations
    4. Recordkeeping Violations
    5. Compliance Officers (CSHOs)
    6. Ownership
    7. Calculate DART and DAFWII

  15. Relationship to Other Programs

    1. Unprogrammed Inspections
    2. Special Emphasis Programs
    3. Process Safety Management Inspections

  16. Recording and Tracking

    1. SST-Only Inspections
    2. SST Combined with Unprogrammed Inspections
    3. SST Combined with NEP or LEP Inspections
    4. SST Combined with Unprogrammed and other Programmed Inspections
    5. EEP Cases and EEP-related Inspections
    6. Strategic Management Plan

  17. Dun & Bradstreet's Number

APPENDIX A - Description of Industry Groups Included in ODI 2005

APPENDIX B - Compliance Officer Checklist

APPENDIX C - SST2006 WebSite

APPENDIX D - List of High-Rate Industries



  1. Purpose.  This Notice implements OSHA's Site-Specific Targeting 2006 (SST-06) inspection plan, and replaces the August 5, 2005 Notice that imple­mented OSHA's Site-Specific Targeting 2005 (SST-05) inspection plan.  This program does not include construction worksites.

  2. Scope.  This Notice applies OSHA-wide.

  3. References.

    1. Occupational Safety and Health Act of 1970, 29 USC 651.

    2. 29 CFR Part 1904, Recording and Reporting Occupational Injuries and Illness.

    3. 29 CFR Part 1908, Consultation Agreements.

    4. Revisions to the Voluntary Protection Programs to Provide Safe and Healthful Working Conditions, Federal Register, July 24, 2000 (65 FR 45650).

    5. Agency Information Collection Activities; Announcement of OMB Approval, Federal Register, April 23, 2004 (69 FR 22096).

    6. OSHA Directives.

      • CPL 02-00-025, Scheduling System for Programmed Inspections, January 4, 1995.

      • CPL 02-00-051, Enforcement and Limitations under the Appropriations Act, May 28, 1998.

      • CPL 02-00-103, Field Inspection Reference Manual (FIRM), September 26, 1994.

      • CPL 02-00-135, Recordkeeping Policies and Procedures Manual (RKM), December 30, 2004.

      • CPL 02-02-045, Process Safety Management of Highly Hazardous Chemicals--Compliance Guidelines and Enforcement Procedures, September 28, 1992.

      • CSP 01-00-002, State Plan Policies and Procedures Manual, March 21, 2001.

      • CSP 02-00-001, Consultation Policies and Procedures Manual, August 6, 2001.

      • CSP 03-01-002, Voluntary Protection Programs (VPP); Policies and Procedures Manual, March 25, 2003.

      • CSP 03-02-002, OSHA Strategic Partnership Program for Worker Safety and Health, December 9, 2004 (effective February 10, 2005).

      • OSHA Notice 04-08 (CSP 02), Consultation Policies and Procedures Manual, Chapter 2: OSHA Cooperative Programs, November 24, 2004.

    7. Log Data Collection System Procedures Manual, Version 10.0: 2004 Log Data Collection Initiative.

    8. Bureau of Labor Statistics (BLS), TABLE SNR02. Highest incidence rates of nonfatal occupational injury and illness cases with days away from work, restricted work activity, or job transfer, private industry 2004.

    9. Memorandum dated September 30, 2003 from Deputy Assistant Secretary R. Davis Layne to Regional Administrators, "Interim Implementation of OSHA's Enhanced Enforcement Program (EEP)."

    10. Memorandum dated October 16, 2003 from Richard E. Fairfax, Director, Directorate of Enforcement Programs, to Regional Administrators, "Enhanced Enforcement Program (EEP) IMIS Coding."

  4. Cancellations. OSHA Notice 05-05 (CPL 02), Site-Specific Targeting 2005 (SST-05), dated August 5, 2005.

  5. Expiration Date. This Notice will terminate one year from the effective date, unless replaced earlier by a new Notice.  Upon the expiration or replacement of this Notice, inspection cycles already underway must be completed as provided in paragraph XII.C.1.

  6. Action Information.

    1. Responsible Office.  Directorate of Enforcement Programs (DEP).

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

    3. Information Offices.  State Plan States, OSHA Training Institute, Consultation Project Managers, VPP Managers and Coordinators, OSHA Strategic Partnership Coordinators, Compliance Assistance Coordinator, Compliance Assistance Specialists, and Regional EEP Coordinators.

  7. State Plan Impact. There are no changes in this revised Notice which require State adoption; however, States are required to have their own inspection targeting systems (a "core inspection policy"), which must be documented in their State Plans and revised as necessary to reflect current practices, and must include the elements of the plan described in paragraph VII.B.  Such inspection policies must be accessible to all interested parties on the State Plan's website or submitted to OSHA in electronic format for posting to OSHA's website.  If posted on a State Plan's website, the appropriate link must be submitted to OSHA for posting to OSHA's public website as well.

    1. State Targeting Systems.

      1. Targeting options available to States:

        Use an existing State-developed high hazard inspection targeting system based on available State data.

        Use an existing high hazard inspection targeting system based on OSHA Instruc­tion CPL 02-00-025, which is based on Bureau of Labor Statistics (BLS) injury/illness rate data.  (The Office of Statistical Analysis will continue to make these State-specific lists available to a State annually, upon specific request.)

        Use the targeting inspection plan set out in this Notice.  The plan is based on establish­ment-specific employer DART and DAFWII data obtained through the 2005 Data Initiative.  (The Office of Statistical Analysis will provide a list of high-rate employers within the State and criteria for inspection categor­ies, upon specific request.)

      2. The State's inspection targeting system, including supporting documents such as directives or other guidance must be documented in the State plan. If a State's plan is not up-to-date in its description of the targeting system, the State must submit the appropriate revisions. 

    2. Deletions and Deferrals.

      1. In accordance with CSP 02-00-001, the Consultation Policies and Proce­dures Manual (Chapter I, Section IV), States must establish a recogni­tion and exemption program and adopt compliance policies and proce­dures related to the implementation of the Occupational Safety and Health Administration Compl­iance Assistance Authorization Act of 1998, which amended the Occupational Safety and Health Act of 1970, and 29 CFR Part 1908, as amended on October 26, 2000.  As related to inspection targeting, these include:

        • Discretionary authority for deferring programmed inspections for employers working toward exemption program participation (comparable to pre-SHARP) from programmed inspec­tion lists for up to 18 months (§1908.7(b)(4)(i)(A)).  See paragraph XII.B.5. of this Notice.

        • Deletions for State recognition and exemption program participants (compar­able to SHARP) from programmed inspection lists (§1908.7(b)(4)(i)(B)).  See paragraph XIII.D. of this Notice.

      2. States may, but are not required to, defer an inspection or assign lower priority, for 90 days, to establishments which have requested a full-service comprehensive consultation visit for safety or health and that visit has been scheduled.  See paragraph XII.B.2. of this Notice.

      3. Any State which has not submitted a plan supplement concerning these deletions and deferrals or documentation of an identical plan change must submit this documentation as soon as possible.

      4. States which have adopted procedures comparable to OSHA's Enhanced Enforcement Program (EEP) are encouraged to incorporate the revisions relating to this program.  See paragraph XIII.E.

    3. Release of Data.  OSHA Data Initiative (ODI) data are collected by the States for Federal OSHA under a 100% funded contract and shared with the States as a limited interagency disclosure.  Therefore, Federal OSHA is responsible for any release of data to other parties.  Any State receiving requests for these data should refer the requester to Federal OSHA.

  8. Significant Changes.

    1. The number of low-rate establishments from high-rate industries that are added to the Primary Inspection List has been decreased from 400 to 175.  See paragraph XI.A.2.

    2. Some establishments that did not respond to the 2005 OSHA Data Initiative survey are added to the Primary Inspection List.  See paragraph XI.A.5.

    3. A provision concerning the Enhanced Enforcement program (EEP) is revised to allow for the deletion of certain establishments if they have had a comprehensive safety inspection (or a focused inspection for those in SIC 805) within the prior 12 months.  See paragraph XIII.E.

  9. SIC and NAICS Codes. The Standard Industrial Classification (SIC) codes as well as the North American Industry Classification System (NAICS) codes are referenced in this Notice.  Eventually the NAICS codes will replace the SIC codes, but during the years of the transition, one or the other, and sometimes both, will be used.

    Beginning with calendar year 2003, injury and illness data published by the Bureau of Labor Statistics (BLS) uses the NAICS codes.  BLS data referenced in this Notice, such as that used for Appendix D, will use NAICS codes.

    Coverage of OSHA's injury and illness recordkeeping rule (29 CFR Part 1904) is defined by SIC in §1904.2.  In turn, the OSHA Data Initiative is based on the coverage of the recordkeeping rule.  This is why Appendix A of this Notice uses SIC codes.  Until OSHA amends the coverage of its recordkeeping rule to reflect data published under the NAICS coding system, this Notice will use both the NAICS and SIC codes.  As discussed in the preamble to the revised record­keeping rule (see paragraph III.C.), the industry exemptions are based on three years of injury and illness data published by the BLS.  Three years of BLS data under the NAICS coding system will not be available until December of 2006.

    Whenever possible, both the SIC and NAICS codes for individual establishments will be supplied to the Area Offices.

  10. Definitions.

    1. Data Initiative  (a.k.a. Data Survey ):  The Data Initiative is a nationwide collection of establishment-specific injury and illness data from approximately 80,000 establish­ments.  It collects data from establishments by using the "OSHA Work-Related Injury and Illness Data Collection Form." The Data Initiative is OSHA's Annual Survey that is referred to in 29 CFR §1904.41.

      NOTE:  The 2004 injury and illness data that was collected by the 2005 Data Initia­tive is used in the 2006 Site-Specific Targeting program.   

    2. Days Away, Restricted, or Transferred (DART) Rate:  The DART rate includes cases invol­ving days away from work, restricted work activity, and transfers to another job. It is calculated based on (N ¸ EH) x (200,000) where N is the number of cases involving days away and/or restricted work activity, and/or job transfer; EH is the total number of hours worked by all employees during the calendar year; and 200,000 is the base number of hours worked for 100 full-time equivalent employees.

      For example:  Employees of an establishment, including management, temporary, and leased workers, worked 645,089 hours at the worksite.  There were 22 injury and illness cases involving days away and/or restricted work activity and/or job transfer from the OSHA-300 Log (total of column H plus column I).  The DART  rate would be (22 ¸ 645,089) x (200,000) = 6.8.

    3. Days Away from Work Injury and Illness (DAFWII) Case Rate:  The DAFWII case rate is the number of cases that involve days away from work per 100 full-time equivalent employees. Cases that involve only tempor­ary transfers to another job or restricted work are not included.  It is calculated based on (N ¸ EH) x (200,000) where N is the number of cases involving days away from work; EH is the total number of hours worked by all employees during the calendar year; and 200,000 is the base number of hours worked for 100 full-time equivalent employees.  NOTE: The DART and DAFWII rates are differentiated by the makeup of N in the calcula­tion formula.  For the DAFWII rate, N is equal to the total of Column H from the OSHA-300 Log.

      NOTE:  The DAFWII is the same as the Days Away Case Rate (DACR) that is referred to in OSHA's Voluntary Protection Programs.

      For example, from the OSHA-300 Log:  Employees of an establishment, including management, temporary, and leased workers, worked 452,680 hours at the worksite.  There were 25 injury and illness cases involving days away from work from the OSHA-300 Log (total of column H).  The DAFWII  case rate would be (25 ÷ 452,680) x (200,000) = 11.0.

    4. Establishment:  An establishment is a single physical location where business is conducted or where services or industrial operations are performed.  For activities where employees do not work at a single physical location, such as transportation, communications, electric, gas, sanitary services, and similar operations, the establishment is represented by main or branch offices, terminals, stations, etc., that either supervise such activities or are the base from which personnel carry out these activities.  For a more detailed definition of Establishment, see 29 CFR 1904.46 and Chapter 2, paragraph VII.B. of CPL 02-00-135, Recordkeeping Policies and Procedures Manual.

      For purposes of this Notice, the term Establishment does not include construction worksites.

    5. Partnership:  In this Notice, partnership refers only to those agreements in which establishments participate in an OSHA strategic partnership (OSP) in accordance with OSHA Instruction CSP 03-02-002, and for which there is a signed partnership agreement.

  11. Description of the Site-Specific Targeting 2006 (SST-06) Plan.

    1. Primary Inspection List

      1. Selection Criteria.  The SST-06 plan selects for inspection indi­vidual work­sites, as identified through the 2005 Data Initiative survey.  For comparison purposes, the national DART rate for private industry for 2004 was 2.5, and the DAFWII case rate was 1.4.

        The SST-06 plan initially selects for inspection all worksites with a DART rate at or above 12.0, or a DAFWII case rate at or above 9.0 (only one of these criteria must be met) for the Primary List.   This is approximately 4,250 sites.

        Examples:  An establishment with a 10.0 DART  rate, and a 9.0 DAFWII  case rate, will be included on the Primary List.

        An establishment with a 12.0 DART  rate, and an 8.0 DAFWII  case rate, will be included on the Primary List.

        An establishment with a 13.0 DART  rate, and a 10.0 DAFWII  case rate, will be included on the Primary List.

        An establishment with an 11.0 DART  rate and an 8.0 DAFWII  case rate, will not be included on the Primary List.

      2. Low-Rate Establishments in High-Rate Industries.  In order to review the actual degree of compliance with OSHA requirements by establishments that report low DART rates, 175 low-rate estab­lish­ments in high-rate industries, with 75 employees or more, will be added to the Primary List.  These establishments will have a DART rate from 0.0 to 2.5.

        The establish­ments ­are selected from industries that have a DART rate from 6.7 to 10.6, as reported by the Bureau of Labor Statistics (BLS) Annual Survey, TABLE SNR02, Highest incidence rates of nonfatal occupational injury and illness cases with days away from work, restricted work activity, or job transfer, private industry 2004.  (See Appendix D for a list of these high-rate industries.)  The establish­ments selected will be identified on the Area Offices' inspection lists by two asterisks (**).  None will be eligible for "records only" inspections unless it has a different SIC/NAICS code (see second parag­raph in XI.F.).  If it is found that an establishment consists of only an office, no inspection will be conducted (see paragraph XI.H.).

      3. EEP  Cases on the Primary List.  If an establishment originally on the Primary List is identified as an initial-EEP case, or is an establishment related to an EEP case, it will be placed in the current inspection cycle by the Office of Statistical Analysis (OSA) and the Area Director will be notified.

        Any establishment that has been moved to the Primary List from the Secondary List because it is an initial-EEP case, or an establishment related to an EEP case, will be placed in the current inspection cycle by the Office of Statistical Analysis (OSA), and the Area Director will be notified.

        After notification by OSA, initial-EEP establishments or establishments related to an EEP case will not be deleted or entitled to an inspection deferral, except in accordance with paragraphs XII.B., XIII.C., and XIII.D. If these establishments have had a comprehensive safety inspection (or focused inspection for establishments in SIC code 805 as described in XIII.A.) within the previous 12 months, see paragraph XIII.E.

      4. Nursing and Personal Care Facilities.  For the SST-06 plan, establishments in SIC code 805 will be added to the Primary Inspection List.  However, because of the large number of establishments in SIC code 805, only the highest 50% rated establishments are included in the Primary List.  No establishments in this SIC code are added to the Secondary List or to the Tertiary List.

        Inspections in the above SIC code will focus primarily on the hazards which are prevalent in the covered industries, specifically: ergonomic stressors relating to resident handling; exposure to blood and other potentially infectious materials; exposure to tuberculosis; and slips, trips, and falls.  As detailed in the FIRM (OSHA Instruction CPL 02-00-103), when additional hazards come to the attention of the compliance officer, the scope of the inspection may be expanded to include those hazards.

      5. 2005 OSHA Data Survey  Non-Responders.  A random sample of establish­ments that did not provide rate information in accordance with the 2005 OSHA Data Initiative survey by April 7, 2006 have been added to the Primary Inspection List.  The establishments selected will be identified on the Area Offices' inspection lists by three asterisks (***) and will not be deleted from the list.  See XI.F. regarding different SIC/NAICS codes.

        If the company has gone out of business, moved, changed name, etc., the Office of Statistical Analysis (OSA) must be notified so the information can be updated for the next ODI survey.  Contact David Schmidt by email or at 202/693-1886.

        If it is found that an establishment consists of only an office, see XI.H. regarding Office-Only Sites.

    2. Secondary Inspection List. If an Area Office completes its inspections of all estab­lishments on its Primary Inspec­tion List before the expiration of this SST program, it may obtain additional estab­lish­ments from its Secon­dary Inspection List.

      1. Selection Criteria.  The Secondary List will contain establishments reporting DART rates of 7.0 or greater but less than 12.0, or a DAFWII case rate of 5.0 or greater but less than 9.0.  Only one of these criteria must be met.  These establishments will be inspected using the procedures in this Notice.  No establishments in SIC 805 will be included.

      2. EEP  Cases.  An establishment on the Secondary Inspection List that is moved to the Primary List under OSHA's Enhanced Enforcement Program (EEP) will be placed in the Primary List's current inspection cycle.

        If an establishment on the Secondary List is identified as an initial-EEP case, or is an establishment related to an EEP case, it will be moved to the Primary Inspection List.  If, however, the area office has completed its Primary List, then the Office of Statistical Analysis (OSA) will place such establishments into the area office's current inspection cycle that was created from the Secondary List, and the Area Director will be notified.

        After notification by OSA, initial-EEP establishments or establishments related to an EEP case will not be deleted or entitled to an inspection deferral, except in accordance with paragraphs XII.B., XIII.C., and XIII.D.

        If these establishments have had a comprehensive safety inspection (or focused inspection for establishments in SIC code 805 as described in XIII.A.) within the previous 12 months, see paragraph XIII.E.

    3. Tertiary Inspection List.  If an Area Office completes its inspections of all estab­lishments on its Primary and Secondary Inspec­tion Lists before the expiration of this SST program, it may obtain additional estab­lish­ments by contacting the Office of Statistical Analysis (OSA); David Schmidt by email or at 202/693-1886.

      The threshold rates will vary with each Area Office.  OSA will randomly select and provide each Area Office with the number of establishments specifically requested by that Area Office.  No establishments with a DART rate of 5.0 or lower and a DAFWII case rate of 2.8 or lower will be included.  No establishments in SIC 805 will be included.

    4. Industries without Permanent Worksites.  For industries like SIC 0783, Orna­mental Shrub and Tree Services, which do not have permanent worksites, the establishment list will normally only identify the employer's central office.  The Area Office will, so far as possible, determine (e.g., by visiting the central office) all currently active sites where employees are performing the targeted work activity, and then choose one worksite to inspect.  This will apply to such establishments on all SST inspection lists.

    5. Establishments with Fewer than 40 Workers.  If an establishment to be inspected under the SST-06 plan has fewer than 40 workers at the time the CSHO arrives on site to begin the inspection, the inspec­tion will still be con­ducted, provided that the establishment has more than 10 workers and either its calculated DART rate or DAFWII case rate is at or above twice the private sector 2004 national incidence rates (that is, DART = 5.0; DAFWII = 2.8), or records are not available. See XIV.G., below, for more details on calculating DART and DAFWII rates.

    6. Different SIC /NAICS  Codes.  If an establishment on any of the inspec­tion lists (including an establishment identified by *** as stated in paragraph XI.A.5.) is found to have a SIC code not on the Data Initiative SIC code list (Appendix A), proceed with the inspection if the establishment has a calculated DART rate or DAFWII case rate at or above twice the private sector 2004 national incidence rates (that is, DART = 5.0; DAFWII = 2.8).  Enter the correct SIC code on the OSHA-1.  If injury and illness records are not available, proceed with the inspection, unless the establish­ment's correct SIC/NAICS code exempts the establishment from recordkeeping.  If the establishment is exempt from recordkeeping, do not conduct an inspection.

      If the establishment is a low-rate establishment (one identified by ** as stated in paragraph XI.A.2), but its correct NAICS code is not on the high-rate indus­tries list in Appendix D, proceed with the inspection only if it has a calculated DART rate at or above 5.0 or a DAFWII case rate at or above 2.8, and it is not an Office- Only site.  Enter the correct NAICS code on the OSHA-1.  If injury and illness records are not available, proceed with the inspection.

      See also, paragraph XIV.B. regarding verifying SIC/NAICS codes.

    7. Different Address  than on ODI Data Sheet.  The ODI data sheet may show an address for an establishment that does not match the named establish­ment in an area office's jurisdiction.  The ODI address may be that of the employer's administrative office or some other facility with a different economic activity, or even the home address of the person completing the ODI survey.  This may also occur when the establishment changes physical location - moves across the street or to the neighboring town - after it has submitted its ODI data.

      Whenever the address on the ODI data sheet differs from that of the establishment in the area office's jurisdictional area, it must be checked to determine that the ODI survey data relates to the same establishment.  If injury and illness data from the ODI data sheet pertains to the establishment site in the area office's jurisdic­tion, then it will be inspected.  If such an address discrepancy is found, then the Office of Statistical Analysis must be informed (contact David Schmidt by email or at 202/693-1886) so that its records can be corrected.  See also paragraph XI.H. regarding Office-Only sites.

    8. Office-Only  Sites.  The SST is not intended to include establishments that are only offices.  Therefore, if a CSHO arrives at an establishment and discovers that there is only an office at the site, the CSHO should attempt to determine for what site or sites the OSHA Data Initiative (ODI) survey data was entered.

      If the ODI data includes data for a site (or sites) in addition to an office, and the additional site (or sites) has a SIC code listed in Appendix A, then an inspection of that site (at least one of several sites) will be conducted if it is within the Area Office's jurisdiction.  If the site (or sites) is not within the Area Office's jurisdiction, contact the Office of Statistical Analysis (OSA) -- David Schmidt by email or at 202/693-1886 -- so OSA can move the establishment to the correct Area Office's inspection list.

      The OSA must also be contacted if an Office-Only site is found or if the Office site data includes other site(s) data, so that the site can be removed from, or updated on, future ODI surveys.  The OSA is also available to assist with any ODI data survey issues that may arise.

      NOTE:  Recordkeeping rule §1904.30 requires an employer to keep a separate OSHA-300 Log for each establishment that is expected to be in operation for one year or longer.

  12. Scheduling.  The National Office will provide each Area Office with access to software   and databases containing the establishments on the Primary Inspection List for its cover­age area.  As discussed in paragraphs XI.B. and XI.C., the National Office will also provide each Area Office with a Secondary and a Tertiary Inspection List.  The software and databases­ will be available on the SST website.  Only the OSHA National Office, Regional Offices, Area Offices, and State Plan S tates will be able to access this website.

    1. Cycle Size.  Inspection cycles for the Primary, Secondary, and Tertiary Inspection Lists will be generated using the SST software (see Appendix C) that randomly selects the establish­ments.  Area Offices will base their determination of cycle size (i.e., 5 to 50 establish­ments) on consid­erations of available resources and geographic range of the office.  Larger cycle sizes will allow greater flexibility and efficiency of sched­uling, but once begun, the cycle must be completed.  If a cycle larger than 50 would provide the Area Office with more efficient use of staff, the office will request Regional Office approval for a larger cycle size.

      Within a cycle, the establishments may be scheduled and inspected in any order that makes efficient use of available resources.

      When a cycle is completed, the Area Office may generate a new cycle using the SST software (see Appendix C).

      All of the establishments in a cycle must be inspected (that is the inspection must be initiated) before any establishments in a new cycle may be inspected.  The exceptions are provided in OSHA Instruc­tion CPL 02-00-025, at paragraph B.1.b.(1)(e)1, which lists permissible carryovers from one cycle to another cycle.  In addition, any cycle begun but not yet completed by the expiration date of this Notice must be completed; even if the inspections for the remaining establishments in the cycle are initiated after the expiration date.

    2. Deferrals.

      1. OSHA Strategic Partnerships (OSP). An establishment participating in an OSP in accordance with OSHA Instruction CSP 03-02-002, and for which there is a signed agreement, may be carried over to a future cycle to allow the SST inspection to be deferred for up to six months from the signing of the partnership agree­ment or an establishment's subsequent entry into the partnership.  The Regional Partnership Coordinator/Manager will be contacted if there are questions regar­ding a specific workplace.  See also Deletions at XIII.C., and Scope at XIV.A., fourth paragraph.

      2. OSHA On-Site Consultation  Program 90-Day Deferral.  An establishment that has requested an initial full-service comprehensive consultation visit for safety or health from the OSHA Consul­­tation Program, and that visit has been scheduled by the State Consultation Program, may be deferred from the SST inspection for 90 days from the date of notifica­tion by the State Consul­tation Program to the Regional Office.  See paragraph XII.C. of Notice 04-08 (CSP 02), which is referenced in paragraph III.G., above.  No extension of the deferral beyond the 90 days is possible, unless the consultation visit is "in progress," which begins at the opening conference of the consultation visit.  See 29 CFR 1908.7(b)(1) for a definition of consulta­tion visit "in progress."

      3. VPP  Applicant.  If an establishment is in the process of applying for OSHA's Voluntary Protection Programs (VPP), the Area Director, upon receiving notification from the VPP Manager that a VPP on-site review has been scheduled, will defer any programmed inspection.  The applicant worksite will be deferred starting no more than 75 calendar days prior to the commencement of its scheduled pre-approval on-site review and the exemption from programmed inspections (see paragraph XIII.D) will continue for as long as they continue to meet VPP requirements.  See Federal Register (65 FR 45650), which is referenced in paragraph III.D.

      4. Pre-SHARP.  If an establishment is in pre-SHARP status, that is, in the process of meeting the criteria of an OSHA Consultation Safety and Health Achievement Recognition Program (SHARP), it may be deferred for up to 18 months while the employer is working to achieve recognition and exemption status.  See 29 CFR 1908.7(b)(4)(i)(A) and CSP 02-00-001, Chapter 7, paragraph III.

    3. Inspection Priority.  Normally, the first inspection priority for Area Offices is to conduct unprogrammed inspections, and the inspection priorities as described in the FIRM (OSHA Instruction CPL 02-00-103) will be followed, with the following additional guidance:

      1. Area Offices that have started but not completed a cycle of inspections from the SST-05 plan must normally complete that cycle before moving to inspections under the SST-06 plan, but see CPL 02-00-025 at paragraph B.1.b.(1)(e)1 that lists permissible carryovers from one cycle to another cycle.

      2. All establishments on the SST-06 Primary Inspection List must be inspected unless, in view of resource considerations, the Regional Admin­is­trator has received special approval (generally in advance) from the Deputy Assistant Secretary to conduct a smaller number of inspections. Approval will normally require the Area Office to complete all inspections in the current cycle.

      3. All Federal offices having jurisdiction over sites in State Plan States are expected to inspect all establishments (i.e., U.S. Post Offices, ship and boat building and repairing sites over which Federal OSHA has jurisdiction) on their Primary List, and as many on their Secondary and Tertiary Lists as resources permit.  With regard to establishments that are in SIC code 373 (ship and boat building and repairing), the Federal office, in coordination with the State plan, must deter­mine whether the State, OSHA, or both have jurisdiction over the establish­ment.

      4. Neither the Secondary nor Tertiary Inspection Lists have to be completed before the expiration date of this Notice.

      5. Area Offices will continue to conduct other programmed inspections under national emphasis programs, or under local emphasis/initiative programs, as the Area Office and Regional goals dictate.

  13. Deletions.  Area Offices will be responsible for making appropriate deletions from the inspection list, such as for establishments that are no longer in business, in accordance with CPL 02-00-025 at B.1.b.(1)(b)6.d., except for criteria H# and S#.

    1. Previous Inspections.  Establishments that received a comprehensive safety inspection (or estab­lishments in SIC code 805 that received an inspection that focused on ergonomic stressors relating to resident handling; exposure to blood and other potentially infectious material; exposure to tuber­culosis; and slips, trips, and falls) within the previous 24 months of the creation of the current inspection cycle, will be deleted from the inspection list.  The comprehensive safety inspec­tion need not have been initiated by an SST inspection.  See also Scope at XIV.A.

      Remember:  After notification by OSA, initial-EEP establishments or establish­ments related to an EEP case will not be deleted or entitled to an inspection deferral, except in accordance with paragraphs XII.B., XIII.C., and XIII.D. If these establishments have had a comprehensive safety inspection (or focused inspection for establishments in SIC code 805 as described in XIII.A.) within the previous 12 months, see paragraph XIII.E.

      For deletion purposes, the date when an establishment is considered to have received a comprehensive safety inspection will be the opening conference date not the closing confer­ence date or the citation issuance date.  For example, if the opening conference date occurred within the previous 24 months of the creation of the current inspection cycle, the establishment will be deleted from the list for SST-06 inspections.

      If the inspection is a "joint inspection," conducted by both a safety CSHO and a health CSHO, there will be two OSHA-1s.  The two CSHOs, may hold joint or separate opening conferences.  Therefore, there may be one opening date for the safety inspection and a different opening date for the health inspection for the same employer under the same SST inspection plan.  If the inspection is con­ducted by a cross-trained CSHO, there will be one OSHA-1 and one opening conference date.

    2. Public Sector Employers.  If any public sector employers (i.e., Federal, State, or local government) appear on the Primary, Secondary, or Tertiary Inspection Lists, they are to be deleted.  Remember:  The OSH Act was amended in 1998 to treat the U.S. Postal Service as a private sector employer.

    3. Partnerships.  If an establishment is participating in an OSHA Strategic Partner­ship, it may be deleted from the SST inspections lists in accordance with CSP 03-02-002 paragraph XIV.B.5.a.i. and para­graph XIII.A., above.

      In accordance with CSP 03-02-002 paragraph XIV.B.5.a.ii. the Area Director, with the approval of the Regional Administrator, may extend the deletion for another year if the partner continues to meet the conditions of the partnership agreement and demonstrates improved performance in areas measured by the partnership.  See also Deferrals at XII.B.1., and Scope at XIV.A., fourth paragraph.

    4. VPP  or SHARP.  If the establishment is an approved participant in OSHA's Voluntary Protection Programs (VPP), or in OSHA Consultation's Safety and Health Achievement Recognition Program (SHARP), it is to be deleted from the inspection list.

    5. Enhanced Enforcement Program  (EEP) Inspections.  As stated in paragraphs XI.A.3. and XI.B.2., initial-EEP estab­lish­ments and establishments related to an EEP case, which are on the Primary or Secondary Inspection Lists and are moved to the area office's current inspection cycle, will not be deleted or entitled to an inspection deferral, except in accordance with paragraphs XII.B., XIII.C., and XIII.D., and the following:

      For Initial-EEP Establishments.

      Initial-EEP establishments that have received a comprehensive safety inspection (or focused inspection for establishments in SIC code 805 as described in XIII.A.) within the previous 12 months and have had an in-compliance follow-up inspection, will be deleted from the inspection list.

      If the follow-up inspection to the initial-EEP inspection was not in-compliance, or the follow-up has not yet been conducted, then the SST inspection will be conducted, but it may be focused.  The focus of the inspection will be related to the hazards found in the initial-EEP inspection.

      For EEP-Related Establishments.

      EEP-related establishments that have received a comprehensive safety inspection (or focused inspection for establishments in SIC code 805 as described in XIII.A.) within the previous 12 months, will receive a focused inspection.  The focus of the inspection will be related to the hazards found in the initial-EEP inspection.

    6. Office-Only.  See paragraph XI.H. as to when an establishment is to be deleted if the establishment injury and illness data is only for an office.

  14. Inspection Procedures.

    1. Scope.  Inspections conducted under this plan will be comprehensive safety inspections, except for establishments in SIC 805 as discussed below.  Health inspections (comprehensive or partial) will be limited to (1) the focused inspections of nursing and personal care facilities, as described below, (2) CSHO referrals (i.e., when CSHO on site and saw potential health hazard), and (3) inspections ordered by the Area Director based on prior experience or current knowledge concerning a particular establishment or concerning the industry in which an establishment is classified.

      When an Area Director orders a health inspection (comprehensive or partial) at a particular establishment, the Area Director must document his/her rationale for the inspection.  If an Area Director orders a health inspection at a particular establishment based on experience or knowledge concerning an industry, such health inspections will also be conducted at all other establishments within that industry classification that are on the Area Office's SST inspection lists.  Inspec­tions will be conducted in accordance with the procedures described in the FIRM (OSHA Instruction CPL 02-00-103) and in other guidance documents.  NOTE:  Health inspections conducted in accordance with this Notice are also to be coded as an SST-06 inspection, see paragraph XVI.A.

      The scope of inspections for nursing and personal care facilities (SIC code 805) will focus primarily on the hazards which are prevalent in these industries: ergonomic stressors relating to resident handling; exposure to blood and other potentially infectious materials; exposure to tuberculosis; and slips, trips, and falls.  As detailed in the FIRM, when additional hazards come to the attention of the compliance officer, the scope of the inspection may be expanded to include those hazards.  See paragraph XI.A.4.

      If both a safety and health inspection are conducted, such inspections may be conducted either as one combined safety and health inspection by a cross-trained CSHO (as established through specific training or demonstrated ability), or as separate safety and health inspections, or as joint safety and health inspections.

      An SST inspection at any partnership site will normally be a comprehensive safety inspection.  However, if the establishment has undergone the necessary on-site non-enforcement verification inspection, a limited scope inspection may be conducted in accordance with CSP 03-02-002, paragraph XIV.B.4.  See also Deferrals at XII.B.1. and Deletions at XIII.C.

    2. Verify SIC /NAICS  Code.  At the opening conference, verify the establishment's SIC/NAICS code. As needed, establish what activities occur at the workplace before determining the appropriate SIC/NAICS code.  See paragraph XI.F. regarding different SIC/NAICS codes.

      If the establishment is a low-rate establishment in a high-rate industry (identified by **), but its correct NAICS code is not on the high-rate industries NAICS code list in Appendix D, conduct the inspec­tion only if it has a calculated DART rate or DAFWII case rate at or above twice the private sector 2004 national incidence rates (that is, DART = 5.0; DAFWII = 2.8).  If injury and illness records are not available, continue with the inspection.  If Office-Only do not inspect.  See paragraph XI.H. for Office-Only establishments.

    3. Citations.  Violations will be cited and penalties proposed in accordance with the FIRM (OSHA Instruction CPL 02-00-103) and other guidance documents.

    4. Recordkeeping Violations.  Whenever OSHA recordkeeping violations are identi­fied, appropriate citations and penalties will be proposed, and supporting docu­men­­tation will be provided, in accordance with guidance in the FIRM (OSHA Instruction CPL 02-00-103) and the Recordkeeping Manual (CPL 02-00-135).

      1. Recordkeeping  violations found on the OSHA-300 Log.  If the CSHO identifies recordkeeping violations on the OSHA-300 Log, the Area Director will issue citations in accordance with CPL 02-00-135, Chapter 2, paragraph II.B., or the FIRM, as appropriate.

      2. No copies of the OSHA-200 Log.  If an employer is unable to produce copies of the OSHA-200 Log, the employer may be cited under 29 CFR 1904.44 for failing to retain copies of the OSHA-200 Log for the previous five years.

      3. Recordkeeping  violations found on the OSHA-200 Log.  If, upon review of an employer's OSHA-200 Log, the CSHO discovers an unrecorded case, no citations will be issued for failure to record the case on the OSHA-200.

    5. Compliance Officers (CSHOs) .  For a checklist of items that CSHOs need to accomplish on SST inspec­tions, refer to Appendix B.

    6. Ownership.  If the establishment has changed ownership after December 31, 2004, and has been under new ownership for less than six months, go to paragraph XIV.G.  If the CSHO is unable to calculate the DART or DAFWII rates because the new owner does not have records from the previous owner, continue with the inspection.

      If the establishment changed ownership after December 31, 2004, and has been under new ownership for six months or more, recalculate the rate for the period of new ownership.  If the DART rate or the DAFWII case rate is at or above twice the private sector 2004 national incidence rates, continue with the inspec­tion.  If the recalculated DART rate and the DAFWII case rate are below twice the  private sector rates (that is, if DART is less than 5.0; DAFWII is less than 2.8), classify the inspection as a "records only" inspection and conduct a partial walkthrough inspection, as required in the next paragraph, before exiting the facility.

      For "records only" inspections, a partial walk­through will be conducted to inter­view workers in order to confirm and verify the establishment's injury and illness experience.  Any serious violations that are observed in the vicinity or brought to the attention of the CSHO must be investigated and may be cited.

      This Notice is projected to expire in early or mid 2007.  The period of new ownership, therefore, could range between 6 months and 2½ years.  If the new ownership is for a period of 6 months or more but less than one year, recalculate the rate for the entire period of new ownership.  If the new ownership is for a period of greater than one year, recalculate the rate for the preceding 12 months of new ownership from date of inspection. (When calculating the DART for the period of the new owner­ship, be sure that both N and EH are for the same period of time.)

      In establishments where the ownership has changed, CSHOs must enter into the IMIS the Dun & Bradstreet (DUNS) number of the new owner in the appropri­ate field on the Establishment Detail Screen.  If the new owner does not have a new DUNS number, enter the old DUNS number (see paragraph XVII).

    7. Calculate DART and DAFWII.  During inspections under this Notice, the OSHA-300 Logs for 2003, 2004, and 2005, will be reviewed.  The CSHO will calculate the DART rate and the DAFWII case rate for each of the following years: 2003, 2004 and 2005.

      NOTE:  The OSHA-300 Logs for 2006 (and 2007 when applicable) may also be reviewed for possible injuries and illnesses occurring during the year, but are not to be substituted for the calculations below.

      The CSHO-calculated DART rate for 2004 will be compared to the DART rate reported by the employer in the OSHA 2005 Data Initiative data collection.  Calculations will not be performed if, for any reason, the relevant records are not available.  CSHOs will check OSHA-301 Forms, or equivalent, as they deem appropriate to confirm the OSHA-300 Forms.

      For reference:  Twice the private sector 2004 national incidence rates: for DART rate 2 x 2.5 = 5.0; or DAFWII case rate 2 x 1.4 = 2.8.

      FIRST:  If records are not available to make this determination, proceed with the inspection.

      SECOND:  If any two of the CSHO-calculated 2003, 2004 or 2005 DART rates are at or above 5.0, proceed with the inspection.

      THIRD:  If any two of the above DART rates are below 5.0, but any two of the CSHO-calculated DAFWII case rates are at or above 2.8, proceed with the inspection.

      FOURTH: If for any two of the above three years the DART rates are below 5.0, and the DAFWII case rates for the same two years are below 2.8, then do a records review (not a records audit which requires the use of an audit software program) for that most current year that falls below twice the private sector 2004 national incidence rates, and then recalculate the DART and DAFWII for that most current year.  If the DART is below 5.0, and the DAFWII is below 2.8, classify the inspection as a "records only" inspection and conduct a partial walkthrough inspection, as required by the last paragraph in this section, before exiting the facility.  If either the DART rate is at or above 5.0, or the DAFWII case rate is at or above 2.8, proceed with the inspection.

      All low-rate establishments referred to in paragraph XI.A.2. will receive at least a compre­hen­sive safety inspection, regardless of their CSHO-calculated DART and DAFWII rates, unless the establishment is Office-Only (see paragraph XI.H.).  Low-rate establishments will be identified on the Area Offices' inspection lists by two asterisks (**).  If they have a different SIC/NAICS code, see paragraphs XI.F. and XIV.B.

      All non-responder establishments referred to in paragraph XI.A.5. will receive at least a comprehensive safety inspection regardless of the CSHO-calculated DART and DAFWII rates.  If the establishment is Office-Only see paragraph XI.H.  The non-responder establishments will be identified on the Area Offices' inspection lists by three asterisks (***).  If they have a different SIC/NAICS code, see paragraphs XI.F. and XIV.B.

      If recordkeeping violations are discovered, see paragraph XIV.D., above, for circumstances in which citations can be issued.­

      For "records only" inspections, a partial walk­through will be conducted to inter­view workers in order to confirm and verify the establishment's injury and illness experience.  Any serious violations that are observed in the vicinity or brought to the attention of the CSHO must be investigated and may be cited.

  15. Relationship to Other Programs.

    1. Unprogrammed Inspections. Unprogrammed inspections will be conducted according to the FIRM (OSHA Instruction CPL 02-00-103) or other guidance docu­ments.  If the occasion for an unprogrammed (e.g., complaint, fatality) inspection arises with respect to an establishment that is also in the current inspection cycle to receive a programmed inspection under the SST-06 plan, the two inspections may be conducted either concurrently or separately.  See also paragraph XVI.B.

    2. Special Emphasis Programs.  Some establishments may be selected for inspec­tion under the SST-06 plan and also under one or more other OSHA initiatives (National Emphasis (NEP) or Local Emphasis (LEP) Programs).  Programs based upon particular hazards (such as silica, lead, or amputations) or on particular industries (such as logging, scrap yards, or shipyards) can be run concurrently with the SST-06 plan; however, the SST-06 plan inspections have priority.

      Whenever an estab­lish­ment is scheduled for inspection on the current cycle of the SST-06 plan and on the current cycle of an NEP/LEP plan, the inspec­tions may be scheduled at the same time.  CSHOs will apply all applic­able IMIS codes to the inspection.  The employer's DUNS number must also be recorded for each inspec­tion since it is important for tracking.  See also paragraph XVI.C.

      In the case of an establishment scheduled for inspection under both SST and a NEP/LEP, an inspection limited in scope to the safety and health issues targeted by the NEP/LEP program may be conducted even though all CSHO-calculated rates for the establishment are found to be below the SST-06 inspection thresholds.

    3. Process Safety Management Inspections.  Inspections conducted under the SST plan will address process safety management if 29 CFR 1910.119 applies to the establishment being inspected.  Such inspections must be a comprehensive safety inspection.  However, they will not normally be Program-Quality-Verification (PQV) inspec­tions as defined by OSHA Instruction CPL 02-02-045.

  16. Recording and Tracking.

    1. SST-Only Inspections.  The OSHA-1 Form must be marked as "programmed planned" in Item 24.  In addition, the "NEP" box is to be checked and the value "SSTARG06" recorded in Item 25d (the SST inspections are being coded under the NEP for ease of tracking).  NOTE:  Health inspections conducted in accordance with this Notice are also to be coded as an SST-06 inspection.

    2. SST Combined with Unprogrammed Inspections.  For all unprogrammed inspec­tions conducted in conjunction with an SST inspection, the OSHA-1 Form must be marked as "unprogrammed" in Item 24 with the appro­priate unprogrammed activity identified.  In addition, the "NEP" box is to be checked and the value "SSTARG06" recorded in Item 25d.

    3. SST Combined with NEP or LEP Inspections. For all programmed inspections such as NEPs and LEPs conducted in conjunction with an SST inspection, the OSHA-1 Forms must be marked as "programmed planned" in Item 24.  In addition, the "NEP" box is to be checked and the value "SSTARG06" recorded in Item 25d along with all­ NEP and LEP IMIS codes applicable to the inspection.

    4. SST Combined with Unprogrammed and other Programmed Inspections.  If an SST inspection is combined with an unprogrammed (e.g., complaint) inspection and a programmed inspection, such as an NEP or LEP, Item 24 must be marked "unprogrammed."

    5. EEP  Cases and EEP-Related Inspections.  Any SST inspection that becomes an initial-EEP case and any SST inspection that is an EEP-related inspection, in addition to the above coding, must be coded "N-08 EEP" in the optional informa­tion field of the OSHA-1.  If it is an SST inspection that meets the criteria to become an initial-EEP case, then the coding will be added when it is deter­mined that the inspection meets the EEP criteria.  If, however, it is an EEP-related inspection, the coding should be entered as soon as the case is opened.

      See the memorandum referenced in paragraph III.J, above, for all IMIS coding necessary for the Enhanced Enforcement Program (EEP).

    6. Strategic Management Plan.  Enter all applicable Strategic Management Plan hazard/industry codes in Item 25f. (e.g., amputations, ergonomics, lead, silica).

  17. Dun & Bradstreet's Number. The Data Universal Numbering System (DUNS) number, which is a required entry for all SST inspections, must be recorded in the appropriate field on the Establishment Detail Screen.  In establishments where ownership has changed, enter the DUNS number for the new owner.  If the new owner does not have a new DUNS number, enter the old DUNS number.  Since the DUNS number is site-sensitive, the old number will give some useful data.  The field on the Establishment Detail Screen can be accessed by pressing F5 in Item 8 to access establishment processing.  Once establish­ment processing is completed, the DUNS number will appear in Item 9b.



APPENDIX A
Description of Industry Groups Included in ODI 2005


Approximately 80,000 establishments were surveyed in the 2005 OSHA Data Initiative (ODI) that collected 2004 injury and illness data.  Establishments with 40 or more employees in the following industries were included in the data collection.

SIC      INDUSTRY

 0181   ORNAMENTAL NURSERY PRODUCTS
 0182   FOOD CROPS GROWN UNDER COVER

 0211   BEEF CATTLE FEEDLOTS
 0212   BEEF CATTLE, EXCEPT FEEDLOTS
 0213   HOGS
 0214   SHEEP & GOATS
 0219   GENERAL LIVESTOCK, NEC
 0241   DAIRY FARMS
 0251   BROILER, FRYER, & ROASTER CHICKENS
 0252   CHICKEN EGGS
 0253   TURKEYS & TURKEY EGGS
 0254   POULTRY HATCHERIES
 0259   POULTRY & EGGS, NEC
 0271   FUR-BEARING ANIMALS & RABBITS
 0272   HORSES & OTHER EQUINES
 0273   ANIMAL AQUACULTURE
 0279   ANIMAL SPECIALTIES, NEC
 0291   GENERAL FARMS, PRIMARILY ANIMAL

 0783   ORNAMENTAL SHRUB & TREE SERVICES

 20-39   MANUFACTURING

 4212   LOCAL TRUCKING WITHOUT STORAGE
 4213   TRUCKING, EXCEPT LOCAL
 4214   LOCAL TRUCKING WITH STORAGE
 4215   COURIER SERVICES, EXCEPT BY AIR
 4221   FARM PRODUCT WAREHOUSING & STORAGE
 4222   REFRIGERATED WAREHOUSING & STORAGE
 4225   GENERAL WAREHOUSING & STORAGE
 4226   SPECIAL WAREHOUSING & STORAGE, NEC
 4231   TRUCKING TERMINAL FACILITIES

 4311   U.S. POSTAL SERVICE

 4491   MARINE CARGO HANDLING
 4492   TOWING & TUGBOAT SERVICE
 4493   MARINAS
 4499   WATER TRANSPORTATION SERVICES, NEC

 4512   AIR TRANSPORTATION, SCHEDULED
 4513   AIR COURIER SERVICES
 4581   AIRPORTS, FLYING FIELDS, & SERVICES

 4783   PACKING & CRATING 

 4953   REFUSE SYSTEMS 

 5012   AUTOMOBILES & OTHER MOTER VEHICLES
 5013   MOTOR VEHICLES SUPPLIES & NEW PARTS
 5014   TIRES & TUBES
 5015   MOTOR VEHICLE PARTS, USED
 5031   LUMBER, PLYWOOD & MILLWORK
 5032   BRICK, STONE, & RELATED MATERIALS
 5033   ROOFING, SIDING, & INSULATION
 5039   CONSTRUCTION MATERIALS, NEC
 5051   METALS SERVICE CENTERS & OFFICES
 5052   COAL & OTHER MINERALS & ORES
 5093   SCRAP & WASTE MATERIALS

 5141   GROCERIES, GENERAL LINE
 5142   PACKAGED FROZEN FOODS
 5143   DAIRY PRODUCTS EX. DRIED & CANNED
 5144   POULTRY & POULTRY PRODUCTS
 5145   CONFECTIONERY  
 5146   FISH & SEAFOODS 
 5147   MEATS & MEAT PRODUCTS
 5148   FRESH FRUITS & VEGETABLES
 5149   GROCERIES & RELATED PRODUCTS, NEC
 5181   BEER & ALE
 5182   WINE & DISTILLED BEVERAGES

 5211   LUMBER & OTHER BUILDING MATERIALS

 5311   DEPARTMENT STORES

 8051   SKILLED NURSING CARE FACILITIES
 8052   INTERMEDIATE CARE FACILITIES
 8059   NURSING & PERSONAL CARE, NEC
 8062   GENERAL MEDICAL & SURGICAL HOSPITALS

 8063   PSYCHIATRIC HOSPITALS
 8069   SPECIALTY HOSPITALS, EXC PSYCHIATRIC

OSHA's collection of information regarding occupational injuries and illnesses has been approved by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995.  The data collection requested occupational injury and illness data and employment and hours worked data from selected employers in the above Standard Industrial Classifications (SICs).

In addition, OSHA collected data from establishments that were visited by OSHA after October 1, 1997 and are required to maintain the OSHA Log.  Information was also collected from public sector establishments in certain State Plan States.  See Federal Register, April 23, 2004 (Vol. 69, No. 79, pp. 22096-22097).

For further information concerning the OSHA Data Initiative, contact Joseph J. DuBois, Directorate of Evaluation and Analysis, Office of Statistical Analysis, Occupational Safety and Health Administration, U.S. Department of Labor, Room N3507, 200 Constitution Avenue, NW, Washington, DC 20210, telephone (202) 693-1875.

Source:  OSHA, Directorate of Evaluation and Analysis, Office of Statistical Analysis



APPENDIX B
Compliance Officer Checklist

VPP  and SHARP  Sites
If the CSHO discovers that the establishment is either a Voluntary Protection Programs (VPP) site or a On-site Consultation SHARP site, exit the site without conducting an inspection.  These sites must be deleted from the inspection list. See XIII.D.

If an establishment is a VPP applicant, and a VPP on-site review has been scheduled for within 75 calendar days, programmed inspections will be deferred.  See XII.B.4.

If an establishment is in pre-SHARP status, it may be deferred for up to 18 months.  See XII.B.5.
OSHA Consultation  Program
Establishments that have requested an initial full-service comprehensive consultation visit for safety or health, and that visit has been scheduled, may be deferred for 90 days from programmed inspections. See XII.B.2.
Strategic Partnership  Sites
If the CSHO discovers that the establishment is a participant in the OSHA Strategic Partnership Program for which there is a signed agreement, the site may be deferred for up to 6 months from the signing of the partnership agreement or from an establishment's subsequent entry into the partnership.  Check with the Area Director.  See XII.B.1.

If the establishment is a participant in the OSHA Strategic Partnership Program, it may be deleted in accordance with CSP 03-02-002 paragraph XIV.B.5.a.i. and paragraph XIII.A., above.  The deletion may also be extended for one year pursuant to CSP 03-02-002 paragraph XIV.B.5.a.ii. (See paragraph XIII.C.).  Check with the Area Director.

If the establishment is a participant in the OSHA Strategic Partnership Program, the inspection may be of limited scope if the establishment has had an on-site non-enforcement verification inspection.  See XIV.A., fourth paragraph.
Enhanced Enforcement Program  (EEP )
Initial-EEP establishments and EEP-related establishments moved from the Secondary List, as well as those already on the Primary List, will be placed in the current inspection cycle.  See paragraphs XI.A.3. and XI.B.2.
Different SIC/NAICS Codes
If the establishment's SIC is not on the Data Initiative SIC list (Appendix A), proceed with the inspection if its DART rate is at or above 5.0, or its DAFWII rate is at or above 2.8.

If the establishment is a low-rate establishment (identified by **), but its correct NAICS is not on the high-rate industry list (Appendix D), proceed with the inspection if its DART rate is at or above 5.0, or its DAFWII rate is at or above 2.8.

See paragraph XI.F., and also paragraph XIV.B.
Verify SIC /NAICS  Codes
If the establishment's SIC is not on the Data Initiative SIC list (Appendix A), verify the SIC, and proceed with the inspection if injury and illness records are not available, or if it has a high rate.  Enter the correct SIC on the OSHA-1.

If the establishment is a low-rate establishment (**) (described in  paragraph XI.A.2), but its correct NAICS is not on the high-rate industries NAICS list in Appendix D, conduct the inspection only if it has a DART rate at or above 5.0, or a DAFWII case rate at or above 2.8.­

See paragraph XIV.B., and also paragraph XI.F.
Establishment with Fewer than 40 Workers
If the establishment has fewer than 40 employees, proceed with the inspection as long as there are more than 10 employees, and it has a DART rate at or above 5.0, or a DAFWII case rate at or above 2.8, ­or if injury and illness records are not available.  See XI.E.
Federal Offices Having Jurisdiction over Establishments in State Plan States
If the establishment is in SIC 373 (ship and boat building and repairing), the Federal office, in coordination with the State plan, must determine whether the State, OSHA, or both have jurisdiction over the establishment.  See XII.C.3.
Ownership
If the establishment changed ownership since December 31, 2004, and the period of new ownership is less than six months, go to XIV.G.

If the establishment changed ownership since December 31, 2004, and the period of new ownership is six months or more, recalculate the rate for the period of new ownership.  See XIV.F.

If the period of new ownership is for 6 months or more but less than one year, recalculate the rate for the entire period of new ownership.  If the period of new ownership is greater than one year, recalculate the rate for the preceding 12 months.

If the DART rate is at or above 5.0 or the DAFWII rate is at or above 2.8, continue with the inspection.

If the recalculated DART rate is below 5.0, and the DAFWII rate is below 2.8, classify the inspection as "records only," and do a partial walkthrough.

Remember: when calculating the DART rate for the period of the new ownership, which may be less than a year, be sure that both N and EH are for the new ownership period.

Remember also:  In establishments where the ownership has changed, enter into the IMIS the Dun & Brad­street (DUNS) number of the new owner in the appropri­ate field on the Establish­ment Detail Screen.  If the new owner does not have a new DUNS number, enter the old DUNS number.
Calculate DART  Rate and DAFWII  Case Rate
Review the OSHA-300 Logs for 2003, 2004 and 2005.  Calculate and record the DART rate and DAFWII case rate for each of the three years.  See XIV.G.

OSHA-300 Logs for 2006 (and 2007 when applicable) may also to be reviewed for possible injuries and illnesses occurring during the year.

The CSHO-calculated DART rate for 2004 is to be compared to the DART rate reported by the employer on the OSHA 2005 Data Initiative data collec­tion.

Calculations are not to be performed if, for any reason, the relevant records are not available.  CSHOs will check OSHA-301 Forms as they deem appropriate to confirm the OSHA-300 Logs.

For Reference:  Twice the private sector 2004 national incidence rates: DART rate 2 x 2.5 = 5.0; and DAFWII case rate 2 x 1.4 = 2.8.


  • If records are not available, proceed with the inspection.

  • If any two of the calculated DART rates are at or above 5.0, proceed with the inspection.

  • If any two of the above DART rates are below 5.0, but any two of the DAFWII case rates are at or above 2.8, proceed with the inspection.

  • If for any two of the above three years the DART rates are below 5.0, and the DAFWII case rates for the same two years are below 2.8, then do a records review for that most current year that falls below twice the private sector rates, and then recalculate the DART and DAFWII rates for that most current year.  If the DART rate is below 5.0, and the DAFWII rate is below 2.8, classify the inspection as a "records only."  But, if either the DART rate is at or above 5.0, or the DAFWII rate is at or above 2.8, proceed with the inspection.

  • Remember: All low-rate establishments referred to in XI.A.2. will receive a comprehensive safety inspection regardless of their calcu­lated DART and DAFWII rates.  These establishments will be identified on the Area Offices' inspection lists by two asterisks (**).  Note:  Do not inspect if Office-Only.

  • Also Remember: All non-responder establishments referred to in XI.A.5. will receive a comprehensive safety inspection regardless of their calcu­lated DART and DAFWII rates.  These establishments will be identified on the Area Offices' inspection lists by three asterisks (***).  Note:  If Office-Only see XI.H.

  • For "records only" inspections:  A partial walkthrough will be conducted to interview workers in order to confirm and verify the injury and illness experience. Any recordkeeping violations, in addition to any serious violations that are observed in the vicinity or brought to the attention of the CSHO, must be investi­gated and may be cited.

  • To determine which recordkeeping violations can be cited, see XIV.D.
IMIS

Record the DUNS Number
Press F5 in Item 8 to access establishment processing and record the DUNS number in the appropriate field on the Establishment Detail Screen.  Once establishment processing is completed, the DUNS number will appear in Item 9b.  In establishments where owner­ship has changed, enter the DUNS number for the new owner.  If the new owner does not have a new DUNS number, enter the old DUNS number.  See XVII.
Enter Inspection Type
SST-Only Inspections  =  Programmed Planned

SST combined with Unprogrammed Inspections  =  Unprogrammed

SST Combined with NEP or LEP Inspections  =  Programmed Planned

SST Combined with Unprogrammed and other Programmed  =  Unprogrammed
Enter Inspection Classification
Inspection classification: NEP  =  SSTARG06
Enter all applicable NEP and LEP Program codes
In Item(s) 25c and 25d when a SST-06 inspection was conducted and the inspection also meets the protocol for other program(s).
Enter all applicable Strategic Management Plan hazard/industry codes
In Item 25f, (e.g., amputations, ergonomics, lead, silica).


APPENDIX C
SST2006 Website

Enter Website with ID and password.

From the main page, select Create.

The next page will display the total number of establishments in your database and the total number of establishments that are available for selection in the next cycle.  For the cycle selection, there are two steps.


Step 1 Enter a name for the cycle.  This will allow you to return to list of establishments chosen in this cycle.
Step 2 Enter the number required for this cycle.
Or
Enter the percent of those available that is required for this cycle.

Then click on the "create cycle" button and the cycle will be created by randomly selecting the desired number of establishments from those available.

The establishments selected will be displayed next.  There are three branches from this page.   The lower right corner of the page has a print cycle button which will open a window with the establishments listed in a format for printing.

The DUNS # and Name columns are highlighted in blue.  Clicking on the name of the establish­ment will send you to the IMIS establishment search with this establishment name entered.  Clicking on the DUNS # will open a page with other print options for more data on this establishment or the industry of the establishment.

Source:  OSHA, Directorate of Evaluation and Analysis, Office of Statistical Analysis



APPENDIX D
List of High-Rate Industries

The following industries have an industry DART rate from 6.7 to 10.6 as reported by the Bureau of Labor Statistics (BLS) Annual Survey, TABLE SNR02. Highest incidence rates of nonfatal occupational injury and illness cases with days away from work, restricted work activity, or job transfer, private industry 2004.

Industry NAICS DART
Hog and pig farming 1122 10.6
Light truck and utility vehicle manufacturing 336112 10.4
Amusement parks and arcades 7131 10.1
Couriers 4921 9.2
Bottled water manufacturing 312112 9.0
Motor vehicle air-conditioning manufacturing 336391 8.7
Animal (except poultry) slaughtering 311611 8.4
Iron foundries 331511 8.3
Cut stock, resawing lumber, and planing 321912 8.1
Other concrete product manufacturing 32739 8.1
Scheduled air transportation 4811 8.0
Soft drink manufacturing 312111 7.9
Copper rolling, drawing, and extruding 331421 7.9
Aluminum foundries (except die-casting) 331524 7.5
Frozen fruit, juice, and vegetable manufacturing 311411 7.3
Ship building and repairing 336611 7.3
Steel foundries (except investment) 331513 7.2
Travel trailer and camper manufacturing 336214 7.2
Beer, wine, and distilled alcoholic beverage merchant wholesalers 4248 7.0
Truss manufacturing 321214 6.9
Waste collection 5621 6.9
Cookie and cracker manufacturing 311821 6.8
Prefabricated wood building manufacturing 321992 6.8
Fluid milk manufacturing 311511 6.7
Manufactured home (mobile home) manufacturing 321991
6.7
Source:  OSHA, Directorate of Evaluation and Analysis, Office of Statistical Analysis


INDEX

Area Director

Cancellations

Carryovers

Checklist

Construction

Consultation

CPL 02-00-025

CPL 02-00-051

CPL 02-00-103

CPL 02-00-135

CPL 02-02-045

CSP 01-00-002

CSP 02-00-001

CSP 03-01-002

CSP 03-02-002

Cycle Size

DAFWII

DART

Data Initiative

Data Survey

Deferrals

Definitions

Deletions

Different Address

Different SIC/NAICS Codes

DUNS number

EEP

Enhanced Enforcement Program

Establishment

Expiration Date

High-Rate Industries

IMIS

Inspection Priority

Inspection Procedures

Low-Rate Establishments

NAICS

Non-Responders

Nursing and Personal Care Facilities

Office Only

OSHA Notice 04-08 (CSP 02)

OSHA-200 Log

Ownership

Partnership

Pre-SHARP

Primary Inspection List

Process Safety Management Inspections

Public Sector Employers

Purpose

Recording

Recordkeeping

References

Regional Administrator

Scheduling

Scope

Secondary Inspection List

Selection Criteria

SHARP

SIC

Significant Changes

SST software

Tertiary Inspection List

Tracking

Unprogrammed Inspections

VPP

VPP Applicant



Archive Notice - OSHA Archive

NOTICE: This is an OSHA Archive Document, and may no longer represent OSHA Policy. It is presented here as historical content, for research and review purposes only.


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